Official
Personnel File
Confidential
File
Personal Materials File
Handling of
Official Personnel File During Grievance Proceedings (UUP)
| Official Personnel File |
| Contents: |
Store information in chronological order.
Start with oldest information in the back of the file.
Retain only final copy of any paperwork.
The file contains the following material: resume, official transcripts, position
release, Faculty and Professional appointment form, contract letters, welcome from the
president and vice presidents, original offer of appointment, all subsequent change or
leave request forms, performance programs and evaluations, letters of reappointment/
permanency or continuing status. |
| Maintained By: |
Functional vice president |
| Duration: |
Maintain file until termination. Keep the file
for 3 additional years post termination then destroy. In the event of a suit or change,
keep the file until a final disposition is rendered. |
| Confidential Personnel File |
| Contents: |
A request for reasonable accommodation (in
compliance with the Americans with Disabilities Act). |
| Maintained By: |
Functional vice president |
| Duration: |
Keep request for 1 additional year post the date
of action. |
|
| Contents: |
A request for leave as per the family and
Medical Leave Act. A medical related information provided. |
| Maintained By: |
Functional vice president |
| Duration: |
Keep request and any related material (e.g.,
medical certification) for 3 years post the date of action. |
|
| Contents: |
Medical information related to workers'
compensation case. |
| Maintained By: |
Human Resource Management |
| Duration: |
Maintain workers' compensation file until
final disposition rendered. Maintain 10 years post disposition for 5 additional years. |
| Personal
Materials File |
| Contents: |
Letters of thanks, congratulations, etc. |
| Maintained By: |
Functional vice president |
| Duration: |
Same as official personnel file. |
 back to top
Organization of Personnel Files
Official Personnel
File
(Materials should be clipped to file with two-pronged fastener in the following
chronological order, with the most recent in front)
- initial appointment forms
- official transcripts
- vita/resume
- letters of reference (non-confidential)
- position release
- faculty and professional appointment form
- letter of welcome from president or vice president
- offer of appointment with original signatures
- signed performance program for professionals
- subsequent personnel actions-other materials to be included in the official file are
recommendations for renewal/non-renewal and/or promotion; salary changes, extra service,
sabbatical leaves/leaves of absence, letters of counseling, notices of discipline.
- signed performance evaluation for previous year (no drafts); signed performance program
for next year
- current employee change form which may have letters of recommendation from department
chair/division director and/or dean attached
- letter of reappointment from president
- faculty/professional employment history form attached to inside front cover of folder
(prepared by Human Resource Management).
Employees may see their official
personnel file within 24 hours of the request. They must view it in the presence of office personnel;
nothing is to be removed. A designated UUP representative may view the employee's file
with written authorization; otherwise, no one other than the president and vice president
and their designees (managers in the chain of authority and authorized staff with
personnel responsibilities) may view the file. There is no requirement to reproduce
documents on demand. Copies may be provided at a later time (within 24-48 hours of the
request).
back to top
Confidential File
- College and/or career placement file.
- Selection process report; affirmative action reports that refer to qualifications and
assessment of other candidates.
- The Americans with Disabilities Act (ADA) requires that medical information be collected
and maintained on separate forms in a file separate from the employee's official personnel
file. Therefore, any medically related information is to be filed in the confidential
file.
back to top
Personal Materials File
- Correspondence (optional)
- Letters of thanks, congratulations, etc.
Personnel Files (materials they should contain): Article 31.1a of the
Agreement states: Each College shall maintain, for official University purposes, an official
personnel file for each employee who is subject to this Agreement. Such file shall
contain copies of personnel transactions, official correspondence with the employee and
formal, written evaluation reports prepared in accordance with provisions of Article XII,
Title A, Section 3 and Article XII, Title C, Section 4 of the Policies and such
other written evaluations and/or recommendations as may be prepared by an immediate
supervisor, department chairperson, dean, vice president, or other persons serving in a
supervisory capacity in a direct line, as appropriate, in connection with matters of
appointment, evaluation, reappointment or promotion. With respect to the latter written
evaluations and/or recommendations, those which pertain to reappointment shall be sent to
the employee at the time they are prepared. All materials referred to in this section
shall be available to an employee for review and response. In no event shall statements
which are both unsolicited and unsigned be placed in the official personnel file.
back to top
Handling
of Official Personnel File During Grievance Proceedings (UUP)
- Upon the filing of a grievance, the grievant's official personnel file will be removed
from the vice president's or president's office and will be placed under the jurisdiction
of the associate vice president for human resource management for the duration of the
grievance proceedings. A representative from the vice president's office and human
resource management will jointly review the file and will label and inventory its
contents.
- For the duration of the grievance process, the personnel file will not be removed from
the office of the associate vice president for human resource management except for those
instances when necessary for the processing of personnel transactions. In these instances,
the vice president's office will be responsible for verifying the return of all materials
listed in the inventory.
- Requests to examine the file by the grievant or a designated UUP representative must be
submitted in advance to the associate vice president for human resource management. File
review will take place in the presence of the associate vice president or designee.
- Copies of any documents requested will be made by the designee of the associate vice
president.
- Should the settlement of the grievance call for the removal of material from the
personnel file, the associate vice president for human resource management will be
responsible for implementing this provision of the settlement.
Upon final resolution of the grievance, the personnel file will be returned immediately
to the vice president's office.
back to top
|
