Disposition of departmental files

STAFF
Departmental files (for regular and student staff) are kept in the department until five years after the employee has left the department.* 

Follow the procedures below for staff documents.

Has it been five years since the employee left the department?*

1. Yes
   
   1. Scan the following paper documents:
      
      1. Original performance evaluations not housed in the online PE system.
      2. Commendations.
      3. Written corrective actions.
      4. Signed agreements or acknowledgements (“wet signature”).
   2. Identify files by last name, first name, UK ID or last four digits of Social Security number. If UK ID or SSN unknown, save as employee name and department.
   3. Email HR Employee Records at employeerecords@uky.edu notifying them you are ready to transfer files to a departmental One Drive account.
      
      1. Subject line: Departmental File Retention
      2. Please identify the backup names of employees who should have access.
      3. A member of our team will contact you with instructions.
      4. Ensure all documents - paper, digital or electronic media - that have not been transferred to One Drive are accounted for on a Records Destruction Certificate (RDC). Contact UK Libraries-Records Management. They can provide, sign and return the RDC before destruction of media. 
      5. Identical copies of what was transferred for storage in the official record do not need an RDC. Paper must be placed in a locked, confidential blue recycle bin. Duplicate digital and electronic files must also be destroyed after retention date is met.
2. No
   
   1. Retain documents, with access limited to authorized personnel.
      
      1. Example: locked filing cabinet with a key.
   2. Store paper departmental files in a safe place until five years after the employee has left the department.
   3. Maintain by year of separation from the department (for ease of disposition at the end of five years).
   4. Once five years of separation has been reached, follow the procedures shown above.

* If the file is for a temporary employee, retention is two years after separation.

Questions about disposition of staff files? Send an email to employeerecords@uky.edu with subject line: Question Departmental File Retention.

FACULTY
Has it been five years since the faculty member left the department?

1. Yes
   
   1. Scan the following paper documents:
      
      1. CVs
      2. Personal statements
      3. Identify files by faculty's last name, first name, UK ID or last four digits of Social Security number. If UK ID or SSN unknown, save as faculty's name and department.
   2. Email the scanned files to UK Libraries-Records Management.
   3. Be aware of the size limits for email. You may need to create a zipped file or use Adobe Acrobat to create a file link.
      1. You may need to email a few documents at a time.
   4. Duplicate digital and electronic files must also be destroyed.
2. No
   
   1. Retain documents, with access limited to authorized personnel.
      
      1. Example: locked filing cabinet with a key.
   2. Store paper departmental files in a safe place until five years after the faculty member has left the department.
   3. Maintain by year of separation from the department (for ease of disposition at the end of five years).
   4. Once five years of separation has been reached, follow the procedures shown above.

Questions about disposition of faculty files? Send an email to UK Libraries-Records Management or call 859.257.1742.

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