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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)

1. initial appointment forms
2. official transcripts
3. vita/resume
4. letters of reference (non-confidential)
5. position release
6. faculty and professional appointment form
7. letter of welcome from president or vice president/provost/CIO
8. offer of appointment with original signatures
9. signed performance program for professionals
10. 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.
11. signed performance evaluation for previous year (no drafts); signed performance program for next year
12. current employee change form which may have letters of recommendation from department chair/division director and/or dean attached
13. letter of reappointment from president
14. 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/provost/CIO 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).

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Confidential File

1. College and/or career placement file.
2. Selection process report; affirmative action reports that refer to qualifications and assessment of other candidates.
3. 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.

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Personal Materials File

1. Correspondence (optional)
2. 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/provost/CIO, 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.

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Handling of Official Personnel File During Grievance Proceedings (UUP)

1. Upon the filing of a grievance, the grievant's official personnel file will be removed from the vice president/provost/CIO 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/provost/CIO's office and human resource management will jointly review the file and will label and inventory its contents.
2. 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/provost/CIO's office will be responsible for verifying the return of all materials listed in the inventory.
3. 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.
4. Copies of any documents requested will be made by the designee of the associate vice president.
5. 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/provost/CIO's office.

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