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

960.000 Personnel Files

The content of this page applies to UEA employees on the University of Minnesota, Crookston campus.


960.100 Official Personnel Files.

The Employer shall maintain two official personnel files, one called the “Employment Record File” and the other the “Academic Record File,” and one Promotion and Tenure file for each Member. Employment Record File shall be located at the UMC Office of Human Resources and the Academic Record File shall be located at the UMC Office of the Vice Chancellor for Academic Affairs. The Employer may maintain other personnel files. The Employer will only take action on information of which the member has been made aware and is available to the Member for review and comment.

960.200 Contents

960.210 Employment Record File.

Each Employment Record File shall contain all official documents and records of a Member’s employment with the University of Minnesota recognizing however that some documents are only maintained electronically and can be accessed electronically.

960.220 Academic Record File.

Each Academic Record File shall contain all materials relevant to performance appraisal for annual merit salary adjustments, for appraisal of probationary service, for promotion and/or tenure review, and a record of performance evaluations.

960.300 Source to be Identified.

The Employer shall not include material in a Member’s official personnel file(s) unless the material’s source is identified.

960.400 Responses.

No material shall be placed in a Member’s official personnel file(s) unless the Employer has provided the Member with a copy of any such material. Each Member shall be permitted to submit a written response to any document which the Employer includes in h/her official personnel file(s). The Employer shall include the written response in the Member’s official personnel file(s).

960.500 Access.

Each Member shall have reasonable access to h/her official personnel file(s) as well as information in other files regarding h/herself which is available under state and federal 1aw. The Employer shall provide copies of any document upon request and the payment by the requesting Member of a reasonable fee for copying. Upon the Member’s written authorization, the Employer shall grant the Association or the Member’s legal representative access to the Member’s official personnel file(s) and to any information in other files, as referred to above, to which the Member would have access. The Employer shall provide forms for this purpose. Notwithstanding any provision of this agreement, access to documents contained in any personnel file should be provided in conformance with Minnesota Government Data Practices Act as amended from time to time.

960.600 Removal of Materials.

The Employer shall not remove or permit any other person to remove material from an official personnel file unless the Employer and the Member agree in writing to such removal. Any document or portion of any document may be removed as a result of a grievance process.

960.700 Promotion and Tenure File.

Notwithstanding this section, the Employer may take action with respect to a Member based upon the information which is contained in the Member's Promotion and Tenure File. When a Member is considered for a promotion or conferral of Indefinite Tenure, the Member with the Convenor's assistance shall prepare a Promotion and Tenure File. The information for the file may be drawn from the Academic Record File and may contain relevant materials from other sources. The Employer shall retain two (2) record copies of the file after the completion of the process, while the original file and all other copies shall be returned to the Member.

960.800 Confidentiality.

In addition to the access provided in this section, the Employer shall limit access to the Member's official personnel file(s) and Promotion and Tenure File to persons who perform legitimate roles in personnel matters, including the Procedure for Promotion or Conferral of Indefinite Tenure, the Review of Probationary Members by Head, and Review of Tenured Faculty Performance.