Faculty Personnel Files
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Document Number: FacHR--115
Revision #: 2.0
Document Owner: Executive VP Date Last Updated: 07/11/2013
Primary Author: Director of Human Resources Status: Approved
Date Originally Created: 01/19/2012
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General Description
Description:
Information about faculty personnel files relative to HR policy.
Purpose:
Delineation of policy.
Scope:
Faculty
Responsibility:
Human Resources
VP for Academic Affairs
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Requirements
Relevant Knowledge:
Current University policy
Federal statutes
State statutes
Terms and Definitions:
Additional training
Corrective Action
Loss of privilege, general
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Policy Provisions
1. Faculty Personnel File
1.1 Employment Record File
Federal and state laws require the collection and retention of detailed personnel information. The Human Resource Office houses a separate file on each employee of Cumberland University, faculty and staff, in a separate and secured file cabinet accessible only to those with a legitimate need to review the information. These files include information that (1) is employment-related; (2) relates to compensation, including benefits; (3) concerns disciplinary action; and (4) provides general personnel data. Information regarding an employee’s health or request for medical leave will be maintained in a separate and secured file cabinet accessible only to those with a legitimate need to review the information.
The file for all full-time, part-time, and adjunct faculty contains the Cumberland University employment application, official transcripts and copies of faculty contracts, biographical information, evaluations, records of discipline, grievance, or appeals of administrative decisions, transcripts and certifications of all relevant credential information for the faculty member.
Faculty members are required to furnish official transcripts of all undergraduate, graduate and post-graduate work to the Vice President for Academic Affairs to house in the Human Resource Office in the personnel files.
The personnel files are the property of the University. The files may be reviewed by the employee, his/her immediate supervisor, the executive member in charge of area of position (most cases the Vice President for Academic Affairs), and/or the President of the University with a legitimate need to have access to the information contained. It is also open to the legal counsel of the university when needed for official legal matters relative to the university, but it is not open to anyone else except by legal process. The employee, upon request, may review the files by contacting the Director of Human Resources for an appointment. A record will be maintained that shows the viewing activity of the file.
1.2 School Dean's Personnel Files
School deans may but are not required to keep personnel files for faculty and staff. If a school dean chooses to keep these files he/she should forward a copy of all the content to the office of Human Resources.
These files are located in the offices of the appropriate School Dean. Personnel files vary considerably in their contents according to the practices and discretion of the administrators involved. They should, however, all contain biographical information, copies of transcripts from all undergraduate and graduate work, annual activity reports, promotion application and review information, student and administrative evaluations, and records of discipline. They may also contain grievances and appeals and/or certifications of academic and scholarly work.
Faculty may review the materials in this personnel file by making an appointment through the Dean’s office.
Viewing must occur in the presence of another individual. This file is also open to the President and Vice President for Academic Affairs, and to the legal counsel of the university when needed for official legal matters relative to the university, but is not open to anyone else except by legal process. A record will be maintained that shows the viewing activity of the file.
1.3 Vice President for Academic Affairs Personnel Files
Depending upon the administrator, the contents of the files housed in the Office of Academic Affairs may vary greatly. They may contain all the information also contained in the Dean’s file and the Office of Human Resource, but they must contain copies of Faculty Annual Activity Reports and Faculty Credentialing verifications.
Faculty may review the materials in this personnel file by making an appointment through the Office of Academic Affairs. Viewing must occur in the presence of another individual. This file is also open to the President and Vice President for Academic Affairs, and to the legal counsel of the university when needed for official legal matters relative to the university, but is not open to anyone else except by legal process. A record will be maintained that shows the viewing activity of the file.
1.4 Promotion and Leaves Application Files
During the period in which a faculty member is a candidate for promotion or leave, this file is located in the Office of the Vice President for Academic Affairs. It contains those documents required in order to make application for the award desired, according to the specifications made in the appropriate sections of this Handbook. The faculty member may review the materials in this file by appointment with the Office of the Vice President for Academic Affairs. Viewing of the file must occur in the presence of a staff member from the Office of Academic Affairs.
This file is open to the faculty member (as detailed above), members of the Promotion and Review Committee, Leaves Committee, the School Dean, the Vice President for Academic Affairs, and the President. This file is also open to the legal counsel of the university when needed for official legal matters relative to the university, but it is not open to anyone else except by legal process. A record will be maintained that shows the viewing activity of the file.
1.5 Submissions and Exclusions of Records
Faculty may submit written responses to evaluations or documentation within their personnel files. They may provide statements offering their own interpretations of employment activity and provide evidence with regard to any grievance, appeal and/or disciplinary action documented in their personnel file. Faculty have the right to challenge and request removal of any documentation in their file that is factually incorrect, providing they have documentation to make such a case. The Vice President for Academic Affairs and/or the President can accommodate this request.
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Performance Evaluation
Performance Metrics:
Compliance with federal mandate
Consequences:
Further training
Loss of privileges
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Subject Experts
The following may be consulted for additional information.
Academic Affairs Support Staff
VP for Academic Affairs
Director of Human Resources