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ARTICLE
10
PERSONNEL FILES[1]
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| A. GENERAL PROVISIONS
| 1. |
Personnel Files
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a. The University shall designate an
office in which the personnel file shall be maintained.
The University shall also designate an office with overall
responsibility for personnel files. Where necessary
for administration of the NSF’s employment, materials
may be kept in other offices.
b. Personnel files shall, except with the written consent
of the NSF, contain only those records necessary and
appropriate to the administration of the NSF’s
employment at the University. It is recognized that
some routine information (e.g. payroll and benefits
information) may be kept in forms other than that included
in the personnel file. Personnel actions may not be
based on any material that is not part of the official
personnel file.
c. Any non-confidential item placed in a personnel
file shall be clearly identified as to its source or
originator and its date of receipt by the University.
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| 2. |
Personnel Review Files
Personnel review files are developed in preparation for the
performance assessment of the NSF undertaken in accordance
with the MOU. Personnel review files may contain both confidential
and non-confidential academic review records, [2]
as described below. An individual’s personnel review
file shall contain only material relevant to consideration
of personnel actions under the criteria of this MOU and for
the relevant review period. Correspondence involving potential
disciplinary actions that do not result in disciplinary actions
shall not be included in the personnel review file. Materials
involving final disciplinary action may be included only to
the extent that such material is relevant, according to the
standards of this MOU, to the personnel action for which the
review file has been assembled. Personnel actions based upon
a review of the performance of NSF, such as reappointment/non-reappointment
and merit actions, shall be based solely upon the material
contained in the individual’s personnel review file.
No materials excluded by this article from personnel files
may be included in personnel review files.
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| 3. |
Grievance Materials
Grievance documents and documents referring to, or arising
out of, a grievance shall not be contained in the official
personnel file. [3]
Grievance materials shall be kept separately.
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| B. ACCESS
BY INDIVIDUALS OTHER THAN THE NSF
Access by University representatives and employees to confidential
and non-confidential material in personnel files and personnel review
records (synonymous with confidential academic review records as
referenced in Appendix F Definitions of Confidential and Non-Confidential
Academic Review Records), and other confidential information shall
be strictly limited to those representatives and employees who need
access to information in the personnel file in the performance of
their officially assigned duties, provided that such access is related
to the purpose for which the information was acquired. Members of
the public and non-governmental entities shall not have access to
confidential personnel files except as required by law.
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C. RIGHT TO
INSPECT
| 1. |
Upon reasonable notice to the office designated
to maintain the official personnel file/personnel review file,
NSF shall have the right to inspect all non confidential reports,
documents, correspondence, and other material in their official
personnel file(s)/personnel review file(s) and in personnel
files maintained at the departmental level. NSF shall be entitled
to copies of confidential material, if any, in their personnel
files(s)/ personnel review files, which may be redacted to
the extent necessary to maintain the anonymity of the sources
of the information. NSF shall have the right to have a UC
AFT representative or another person of her or his choice
accompany her or him to inspect the NSF’s file(s), so
long as the person chosen is not a supervisor, manager or
confidential employee.
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| 2. |
2. NSF may give written authorization to a representative
to review their file(s) in their absence. The written authorization
shall be valid for thirty (30) calendar days from the date
of the signature of the authorization or within a written
time limit specified by the NSF, whichever is shorter. The
representative shall be entitled to examine all non confidential
material. Records protected by recognized legal privilege
and records exempted from disclosure by law may be withheld
from the NSF and her/his representative. Subject to these
exceptions, unsolicited documents which request confidentiality
shall be returned to the originator or destroyed. [4]
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D. RIGHT TO
COPY MATERIAL
Under normal circumstances, within ten (10) working days of a written
request, an NSF shall be given a complete copy of the requested
non confidential items in the personnel file and a listing of the
types of confidential material within the file. If a written request
for a redacted copy of confidential material is received by the
University, the request shall be fulfilled within thirty (30) working
days, under normal circumstances. The University will provide the
first copy of such material at no cost to the NSF. Subsequent copies
will be provided at a cost of ten cents ($.10) per page.
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E. RESPONSES
TO MATERIALS IN FILE
NSF may have responses or documentation attached for the purpose
of challenging or responding to materials in the personnel file.
Any response shall, unless the NSF requests otherwise, become a
part of the file of the NSF. NSF may request, in writing to the
designated administrative officer, deletions and/or corrections
of materials from their file. Within 30 calendar days, the appropriate
administrative officer shall determine whether a requested correction
in a statement of fact or a requested deletion will be made. If
material is deleted from academic personnel records in accordance
with the preceding provision, care shall be taken to ensure that
the same material is also deleted from copies of those records in
all locations where such copies are maintained.
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F. DISCIPLINARY
MATERIALS
| 1. |
Personnel Files
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a. Copies of documents, including letters,
that relate to final disciplinary action taken by the
University shall, upon being placed in the NSF personnel
file, be provided to the NSF. [5]
The NSF’s written comments, if any, regarding
such documents shall, upon request of the NSF, be placed
in their personnel file. Documents concerning disciplinary
action that do not result in final disciplinary action
shall not be included in the files.
b. When it comes to the attention of the University
(e.g. through a review of files, or at the request of
the NSF) that an NSF’s personnel file contains
documents older than two years that pertain to disciplinary
action not related to the NSF’s performance, such
documents will be removed from the NSF’s personnel
file if there have been no other warnings or discipline
pertaining to the same or similar conduct that resulted
in the earlier disciplinary action during the two-year
period. [6]
c. Notwithstanding the above provisions, copies of
documents, including letters, that the University is
required to maintain to fulfill its legal obligations,
may be retained in the NSF’s personnel file.
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| 2. |
Personnel Review Files
Copies of any letters or documents that are otherwise permitted
under this MOU and University policy, including documents
pertaining to disciplinary actions, may be included in the
NSF’s personnel review file, insofar as the letters
or documents pertain to the NSF’s performance under
the criteria of this MOU during the review period.
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G. MATERIAL
EXEMPTED FROM GRIEVANCE AND ARBITRATION PROCEDURES
Confidential material, personal information, legal privilege, and
records, to the extent that each of these is exempted by law from
disclosure under the California Evidence Code or by other statutes
and relevant case law, shall not be subject to disclosure through
Article 32 - Grievance Procedure or Article 33, Arbitration. In
disputes concerning whether material is exempted by law from disclosure,
the Grievance Hearing Officer or Arbitrator may, if necessary to
resolving such controversy, examine the material in camera (outside
the presence of the parties) and rule on the confidentiality of
the material, unless examining the material in camera would be prohibited
by law. Where confidential material is relevant to resolving a grievance
or arbitration, the material may be examined in camera by the Hearing
Officer or Arbitrator.
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