PART III. HUMAN RESOURCES
DIVISION I EMPLOYMENT, GENERAL
(Revised to conform to State Board of Regents Merit System effective 1/1/72; amended 9/93; 10/94)
CHAPTER 7: ACCESS TO PERSONNEL FILES
7.1 Faculty - General
7.2 Professional and Scientific and Merit System Staff
7.1 FACULTY -- GENERAL.
The University recognizes the right of access by a faculty member to his or her own personnel files whether in departmental, collegiate, central administrative, or any other University offices. A faculty member may have access to letters and other materials written in an expectation of confidence after the means of identification have been removed.
a. The following materials will be presumed to have been written in an expectation of confidence, unless the author indicates otherwise:
b. Materials from administrators, including deans, directors, and department heads, will be treated as not having been written in an expectation of confidence.
c. Materials from peers within the University will be treated as having been written in an expectation of confidence.
d. The above statements comprise the basic policy on faculty access which is to be observed in all colleges and departments. In addition, by vote of the appropriate faculty group, a department or college may elect to adopt a general policy providing access to materials written by peers within the University without removing the means of identification. The Executive Vice President and Provost should be notified by any department or college electing to provide access to such materials.
e. A faculty member wishing to have access to his or her personnel files should inform the administrator responsible for maintaining the files sought for inspection. Nothing in this statement limits a faculty member's right of access to his or her own personnel files in connection with a proceeding brought under III-29. Questions relating to the application of this policy should be directed to the Executive Vice President and Provost.
7.2 PROFESSIONAL AND SCIENTIFIC AND MERIT SYSTEM STAFF.
(10/95; amended 3/02; 9/02; 12/05)
a. General. Employing departments shall maintain a personnel file, and, when applicable, a separate medical file for each employee. Files are the property of the University, and information contained within shall be consistent with state and federal laws and regulations, University policies, and applicable collective bargaining agreements.
(See also www.uiowa.edu/~hrpersvc/relations/pftable.html.)
b. File Content.
(1) Personnel File. Personnel files shall contain documents related to the employee's employment, e.g., resumes and/or application materials, appointment and employment offer documents, change of status and termination forms, performance appraisals, letters of recognition and/or commendation, and any disciplinary records.
c. File Storage and Access. An employee may have access to all documents in his or her personnel and medical files as long as it is done in an appropriate time, place, and manner. All information is presumed confidential to anyone but the employee except when information is needed for official University purposes, when the employee gives written authorization, or when the information is general directory information such as name, address, phone number, and position.
(2) Medical File. Medical files shall contain employee documents related to Workers' Compensation, Family and Medical Leave Act, the Americans with Disabilities Act, employment accommodations, leave of absence documents pertaining to an ADA accommodation, employment immunizations, and drug screen information when applicable under the CDL drug-testing program.
(1) Personnel Files. Files are to be stored in a confidential location. Access is limited to supervisory and appropriate support personnel as required in the performance of work responsibilities. An employee may provide written release of information meeting the specified criteria to release all or portions of his or her files.
d. Storage Following Employment Separation.
(2) Medical Files. Files shall be stored in a separate file, apart from other employment-related files. Access is limited to supervisory and safety personnel required to have knowledge of such information in the performance of work responsibilities. An employee may provide written release of information meeting the specified criteria to release all or portions of his or her files.
(1) Personnel Files. Files shall transfer with the employee when the employee assumes a position in another university department. These files shall be maintained for three years in the last employing department.
(2) Medical Files. Files except for ADA-related documents shall transfer with the employee when the employee assumes a position in another University department. Medical files except for ADA-related documents shall be maintained for three years in the last employing department. ADA-related documents are to be sent to Faculty and Staff Disability Services at the time of the employee's transfer or termination.
(a) Documents related to positive test results, refusals to take a required alcohol and/or controlled substances test, and employee exposure to toxic substances are to be retained in the last employing department for five years.
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Page last updated June 2013 by Office of the Senior Vice President for Finance and Operations