Policy on Records and Responsibilities

Op3.28 Records and Responsibilities Maintenance of Faculty Personnel Items

Maintenance of Faculty Personnel Items

In accord with policy guidelines set forth in the revised Faculty Handbook, the following documents shall be maintained in the personnel files housed in the Dean's office of each college and the library:

  • Copy of the initial hiring letter
  • Copies of all official transcripts, including written official verifications of completion of the terminal degree
  • Copies of all position authorizations and personnel action forms reflecting Provost level approval
  • Copies of all reappointment communications, Tenure and/or Promotion Review forms, and yearly performance reviews from the Dean, Department Head, and RPT committee
  • Copies of all communications to faculty from the Provost Office related to tenure and promotion
  • Copies of any memorandum to faculty or staff originating from the Provost, Dean, or Department Head pertaining to a reprimand or other personnel action where placement in the personnel file is specified in the document
  • Responses from the Provost Office, Deans, or Department Heads to written appeals related to personnel matters and the pay for performance system
  • Copies of all prescribed communications set forth by the approved university policy and procedures to faculty from the Dean, Department Head, and departmental personnel committee pertaining to the merit evaluations
  • Copy of the form documenting receipt of criteria for Promotion/Tenure in effect at time of faculty hire
  • Copies of written communications of decisions made related to sabbaticals and other available leave options from the Provost Office, Dean, or Department Head
  • Copies of any official document related to matters of immigration or visa status of faculty and staff who are foreign nationals.  This includes notification of faculty and staff on university sponsorship of permanent residence
  • Copies of official complaints under review by the Office for Institutional Equity and Compliance and the resolution of stated complaints
  • Salary notifications
  • Annual Leave Statements (12-month faculty only)

The Office of the Provost will keep copies of the following items:

  • Any correspondence that originates from this office (i.e., Promotion/Tenure Notifications, non-reappointment memos, grievances, etc.)
  • Position Authorization forms, EOR and copy of appointment letter for all faculty hires
  • Requests for tenure clock stops or special leaves (including with and without pay)

Note: The Office of Human Resources will continue to maintain personnel files which contain a set of all official documents.