University of Minnesota
Office of Human Resources
http://www.umn.edu/ohr
612-625-2016

Article 23 Personnel Records

The official personnel file is the file maintained by the University Human Resources Department or by the appropriate Human Resources Department of the coordinate campuses. No written documentation of prior disciplinary action shall be used as the basis for disciplinary action unless it has been entered into the employee's official personnel file, or the employee has been provided written notification of recent disciplinary action. Written allegations of improper employee behavior that have not been used as a basis for coaching or are more than one (1) year old shall not be used as the basis for disciplinary action, nor shall they be placed in the official personnel file. Disciplinary action documents shall be sent to the appropriate Human Resources Department, where they shall be date stamped upon receipt, and shall be given priority in filing.

Any employee shall be allowed to review all documents held in his/her official personnel file. Requests for such review shall be in writing and addressed to the appropriate Human Resources Department. Following receipt of such request, arrangements shall be made for the employee to review his/her file in the presence of a Human Resources Department representative. No one may remove material from an employee's official personnel file unless authorized to do so by the head of the appropriate Human Resources Department or his/her designee.

Upon receipt of written authorization by the employee, his/her Union representative may schedule an appointment to review the employee's file. Copies of any document in the file related to a disciplinary action will be made upon request by the Union Representative. There will be no charge for the first ten (10) copies; a charge for all copies greater than ten will be at the departmental rate.

Employees have the right to include or update a reasonable amount of information in their personnel files that may be pertinent to their job performance. Employees shall also be able to respond to performance appraisal or disciplinary materials placed in their official file. (See Article 22, Discipline, Section 6, regarding employee signature on standard University form attached to the written discipline.)

Materials related to job performance or discipline that are placed in an employee's official personnel file by management must be copied to the employee. Materials placed in the official file by the employee must be copied to the employee's immediate supervisor. Materials that are designated for an employee's official personnel file should be filed promptly.