PERSONNEL FILE POLICY, UWM's

No: S-42

Date: October 1996--Rev.(2)
(Original September 1983)

Authority: UWM Administration

UWM PERSONNEL FILE POLICY

I.      Definitions

Confidential Record: Any record concerning an employee which cannot be inspected by an employee consistent with the intent of the provisions of sec. 103.13(6), Wis. Stats. With regard to requests from persons outside the UWM System, other than the employee to whom the file refers, "confidential record" also includes records that are not disclosable to the public under the provisions of the Wisconsin Public Records Law. With regard to requests from persons within the UW System, there must exist an actual business purpose "need to know" on the part of the requestor before access is permitted.

Employees:

Classified: All employees so designated by sec. 230.08(3), Wis. Stats.

Unclassified: All Faculty and Academic Staff (including all employees with limited appointments) as defined is secs. 36.05(1),(8) and 36.17, Wis. Stats.

Letters of Reference: Any written communication from a party other than the applicant submitted to the university prior to date of hire with respect to a specific position or solicited in connection with an application for promotion and an expectation of confidentiality on the part of the evaluator.

Personnel File: A collection of records identifiable as pertaining to the employment related affairs of an individual.

Record: As defined is Wis. Stats. sec. 19.32(1), "record means any material on which is written, drawn, printed, spoken, visual or electromagnetic information is recorded or preserved, regardless of physical form or characteristics, which has been created or is being kept by an authority. 'Record' includes, but is not limited to, handwritten, typed or printed pages, maps, charts, photographs, films, recordings, tapes (including computer tapes), and computer printouts. 'Record' does not include drafts, notes, preliminary computations and like materials prepared for the originator's personal use or prepared by the originator in the name of a person for whom the originator is working; materials which are purely the personal property of the custodian and have not relation to his or her office; materials to which access is limited by copyright, patent or bequest; and published materials in the possession of an authority other than a public library which are available for sale, or which are available for inspection at a public library."

II.   Types, Location and Contents of Personnel Files

A.    Unclassified Staff

1. Official Personnel File

a. The official personnel file is maintained in an office designated by the dean or
   division head of the school, college or division in which the appointment is held.

b. Contents

i)     Employee Records

The following are typical personnel forms maintained in the official unclassified personnel file. These materials have either been submitted or signed by the individual or a copy has been sent to the individual. Such forms may include but are not restricted to:

- Employment application
- Vita/resume
- Personal data
- Transcript
- Letters of offer and acceptance or employment contract
- Salary letters
- Correspondence concerning performance or disciplinary actions1
- Letters of official commendation
- Annual summaries of academic and other professional activities
- Vacation and sick leave records
- Correspondence relating to merit recommendations, promotion to tenure or indefinite status2
- Requests and approvals for leaves of absence

(Individuals may submit a written request to the records custodian that materials relevant to the above items be included in the official personnel file.)

ii)     Confidential Folder

The confidential folder contains:

a. Any item specified in Section IV of this policy.

b. Any letter of reference as defined in this policy which has been solicited with the pledge or
    submitted with the expectation of confidentiality.

2.     Employment History Records

a.     Location

Employment history records are located in the Department of Human Resources.

b.     Contents

The employment history records file in the Department of Human Resources contains summary records and personnel transactions, after the fact, without background records. Each such file is a basic employment history file.

An employee may review his/her employment record file. The following are typical forms maintained in the employment records history file:

- Initial letter of offer or employment contract
- Letters of reappointment and renewals of appointment
- Letters of non-renewal
- Copies of personnel action forms
- Indefinite status or tenure letters
- Physical Examination Certification
- Vita/resume

3.     Temporary Personnel Files

a.     Location

Other offices may maintain files containing employment records relating to unclassified employees, e.g., departments, divisional executive committees, Teaching Academic Staff Review Committee, Non-teaching Academic Staff Review Committee.3

All temporary personnel files shall be under the jurisdiction of the custodian of the official personnel file irrespective of their physical placement or use.

b.    Contents

Copies of records found in the Official Personnel File may exist in temporary personnel files in department offices, but these files may also contain a variety of other materials pertaining to the individual and his/her relation to a department, its functions and its students. Unevaluated, unsolicited materials that have not resulted in official actions of any kind may be included in department files; therefore, such items are not considered official personnel records.

Divisional executive committees' and academic staff review committees' files shall contain materials pertaining only to particular decisions on promotion and/or tenure or indefinite appointment.

Employees shall be given copies, upon request, of any and all records contained in his/her temporary personnel files, with the exception of confidential records as defined previously.

These files are distinguishable from the Official Personnel File in that they are neither complete nor official.

B. Classified Staff

1.     Official Personnel File

a.     Location

The Official Personnel File is centrally located in the Department of Human Resources. (Policies related to classified staff personnel files are provided b the State Department of Employment Relations directives, contractual agreements, and sec. 103.13, Wis. Stats.)

b.    Contents

The following is a list of materials which may be included in the Official Personnel File:

- Appointment letters
- Apprenticeship agreements
- Award granted under merit award program or other state programs
- Commendation letters related to performance
- Disciplinary letters
- Interchange agreements
- Leave of absence forms
- Letters between first-line supervisor and dean or division head concerning a reclassification denial
- Memos concerning reconsideration for a reclassification
- Organization chart(s)
- Personnel Action (PA) Forms
- Performance evaluations-annual
- Physical disability retirement exam
- Position descriptions
- Position description confirmations
- Probationary service reports
- Reallocation letters
- Reallocation notices
- Reclassification justification memos
- Reclassification letters
- Reclassification request forms
- Reinstatement letters
- Resignation letters for new position, promotion or transfer or notice of retirement or termination
- Salary letters
- Supervisory analysis forms
- Transfer letters
- Transfer records, Personnel (DER-PERS-24)
- Selected certification request forms

2.     Temporary Personnel File

a.     Location

Copies of records found in the Official Personnel File may exist in temporary files located in the office of the first-line supervisor, director, dean or division head.

b.    Contents

These temporary files may contain materials such as documentation pertaining to leave accounting and payment information, unsolicited correspondence relating to job performance or other records not resulting in official action.

These files are distinguishable from the Official Personnel File in that they are neither complete nor official.

III.   Maintenance of and Access to Personnel Files

A.    Unclassified Personnel Files

1.    Custodian

The custodian of the unclassified personnel files is the dean/division head, or his/her designee, of the appropriate school, college or division.

2.    Maintenance

These policies govern the maintenance of all unclassified personnel files. The security of and limited access to unclassified personnel records are specified here to protect the privacy of unclassified employees and to protect the interest of the institution as custodian of such personnel records. These records should be maintained in limited-access files in the appropriate offices. In each office, only those persons who are authorized by the records custodian to handle personnel files may do so.

The purpose for which these records are maintained should serve as a guide for their uses: to validate the official status of the individual and to document the official actions taken by the University. Only persons who, by virtue of their office, have an appropriate reason to know the official status of the individual or to know the justification for official actions of the University may have access to the information in the Official Personnel File. Only those who have a responsibility to make recommendations concerning merit salary increases, appointments or promotions shall have access to information in an unclassified employee's temporary personnel file.

3.    Access

An individual or his/her designated representative wishing to inspect his/her Official Personnel File should submit a written request to the custodian and arrange for a time satisfactory to both individuals. The file may be inspected only under the supervision of the custodian or his/her designee in the administrative office where it is maintained.

If the file contains a confidential folder, it, or any other items excluded under Wis. Stats. Sec. 103.13(6), must be removed before the file is opened to the individual. An individual may not remove or add to his/her file any records at the time of the inspection: to add or delete records, the individual must send a written request to the custodian. If an employee disagrees with any information contained in the personnel records, a removal or correction of that information may be mutually agreed upon by the employer and the employee. If an agreement cannot be reached, the employee may submit a written statement explaining the employee's position. The employer shall attach the employee's statement to the disputed portion of the personnel record.

Other agents of the UW System who seek information for legitimate purposes may submit a written request to the custodian who shall provide the requested information.

Requests for individual faculty or academic staff personnel files from persons outside the UW System may be complied with if the individual about whom information is being requested gives prior written authorization and release for the disclosure of his/her records excluding those specified in sec. 103.13(6), Wis. Stats. The requestor shall be responsible for obtaining such written authorization, subject to verification by the records custodian. Subpoenas for records shall be reviewed by University Legal Counsel prior to compliance. All other requests for individual faculty and academic staff personnel files will be handled in accordance with the Wisconsin Public Records Law, ss. 19.31 through 19.39 Wis. Stats. The Chancellor or his or her designee, in consultation with Legal Counsel, will resolve any questions concerning the confidentiality of specific records.

During inspection, personnel files requested by persons outside the UW System may not be taken from the area in which they are kept. Confidential records must be removed from the file before inspection by such outside persons. Each custodian should assign personnel to supervise the inspection of records. Those given this responsibility must remain in the room where the records are being inspected to ensure the integrity of the records.

Requests from media representatives for background information for news releases should be directed to the Department of News Services.

4.    Disposition

When the purpose for which the creation of personnel files has been served, the contents shall be disposed of as follows:

a.     Department Files

Following final separation from the University (emeritus status does not constitute separation for this purpose), departmental files may be retained by the department during the period in which these files have administrative value or for a period of four (4) years, whichever is shorter. Departmental files will then be forwarded to the custodian of the Official Personnel File for destruction or inclusion in the Official Personnel File.

b.    Promotional/Review Files

i)   When the Board of Regents has approved a positive recommendation for promotion, the file compiled in
     support of promotion, including confidential records, shall be forwarded to the custodian of the Official
     Personnel File for inclusion in the Official Personnel File. A list of published items and a list of items which
     are not easily reproducible (such as sculptures and paintings) will be compiled for inclusion in the Official
     Personnel File and the items shall be returned to the employee.

ii)   In the event of a negative decision on promotion or renewal, the contents of the promotional/review file will
      be kept intact, as part of the Official Personnel File, until all internal and external appeals procedures have
      been exhausted, and all time periods for the filing of such appeals have expired. After such time, the
      procedures contained in b.i) above shall apply.

c.    Official Personnel File

Following final separation from university employment (emeritus status does not constitute separation for this purpose), the Official Personnel File will be retained by the custodian for a period of five (5) years or, in the case of non-retention, for the period specified in III.A.4.b.(ii) above, after which period, the file shall be forwarded to UWM Archives for permanent retention with authority to weed.

The UWM Archivist shall be the custodian of any files retained by him/her and the provisions for maintenance of and access to those files shall be in accordance with the provisions of III.A.2. and 3., above.

B.    Classified Personnel Files

1.    Custodian

The custodian of Classified Personnel Files is the Director of Human Resources.

2.    Maintenance and Access

The maintenance and access of these files are governed by State Department of Employment Relations directives, contractual agreements, and sec. 103.13, Wis. Stats. A classified staff member or his/her designated representative may, upon his/her request to the Department of Human Resources, review his/her file at a mutually agreed upon time in the presence of a department representative. An individual may not remove or add to his/her file any records at the time of inspection: to add or delete records, the individual must send a written request to the custodian. To modify personnel records, the individual must proceed as for unclassified employees. See section III.A.3.

Requests for access to individual classified staff personnel files from the general public may be complied with if the individual about whom information is being requested gives prior written authorization and release for the disclosure of his/her records excluding those specified in sec. 103.13(6), Wis. Stats. The requestor shall be responsible for obtaining such written authorization subject to verification by the records custodian.

Subpoenas for records shall be reviewed by University Legal Counsel prior to compliance. All other requests for individual classified staff personnel files will be handled in accordance with the Wisconsin Public Records Law, ss. 19.31 through 19.39 Wis. Stats. The Chancellor or his or her designee, in consultation with Legal Counsel, will resolve any questions concerning the confidentiality of specific records.

During inspection, personnel files requested by the general public may not be taken from the area in which they are kept. Confidential records must be removed from the file before inspection by such outside persons. The custodian should assign personnel to supervise the inspection of records. Those given this responsibility must remain in the room where the records are being inspected to ensure the integrity of the records.

3.    Disposition

Disposition of classified employee personnel files shall be in accordance with the Records Disposition Authorization approved in 1989 by the State of Wisconsin Public Records and Forms Board. The retention period for Official Personnel Files of classified staff who separate from state service is eight years. The files are kept at the University of Wisconsin - Milwaukee for three years following termination from State Service, and then transferred to the State Records Center where they are retained for an additional five years.

IV.   Records That Cannot Be Inspected By Employees

Section 103.13(6), Wis. Stats., provides that an employee (unclassified or classified) does not have the right to inspect certain personnel records. See attached appendix for a copy of the statute.

It follows that if an employee cannot inspect the records listed in the exceptions, then such records are not disclosable to others except by subpoena.

 

1 At the time material is placed in the file, the employee must receive a copy.
2  Reference to tenure here and in all further citations apply to faculty only, while references to indefinite status apply to academic staff only.
3 Reference to divisional executive committees refers here and in all further citations to faculty only, while reference to the Teaching and the
    Non-teaching Academic Staff Review Committees refers to academic staff only.