University of Minnesota
Office of Human Resources

955.000 Personnel Files

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

955.100 Official Personnel Files.

The Employer shall maintain two official personnel files, one called the "Employment Record File" and the other the "Academic Record File," for each Member. Employment Record File shall be located at the office of the Executive Vice Chancellor for Academic Affairs and the Academic Record File shall be located at the office of the Principal Administrator of the academic unit in which the Member is employed. The Employer may maintain other personnel files; however, the Employer shall only take action with respect to a Member based upon the information which is contained in the official personnel files (with the exclusion of Section 201.000).

955.200 Contents

955.210 Employment Record File.

Each Employment Record File shall contain all official documents and records of a Member's employment with the University of Minnesota except materials described in Section 955.220 of this Agreement.

955.220 Academic Record File.

Each Academic Record File shall contain only materials relevant to performance appraisal for annual merit salary adjustments, for appraisal of probationary service under Section 201.600, for promotion and/or tenure review under Section 201.400, and a record of performance evaluations generated under 201.700 of this Agreement.

955.300 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.

955.400 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).

955.500 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 law. 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.

955.600 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 under Section 800.000 of this agreement.

955.700 Promotion and Tenure File.

Notwithstanding Section 955.100, 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 as provided in this Section 955.700 and in Section 201.000. When a Member is considered for a promotion or conferral of Indefinite Tenure, as provided in Section 201.000 of this Agreement, 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 one (1) record copy of the file after the completion of the process, while the original file and all other copies shall be returned to the Member. Sections 955.300, 955.400, 955.500, and 955.600 shall apply to this Section 955.700.

955.800 Confidentiality.

In addition to the access provided in Section 955.500, 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 as provided in Sections 201.400, the Review of Probationary Members by Head as provided in Section 201.600, and Review of Tenured Faculty Performance as provided in Section 201.700.