How are Personnel Files Organized and Used?
[Please note that this document reflects policy changes as of July 25, 2005;
revised October 2007]
1. How are Personnel Files Organized?
The official personnel record for faculty has several components. The Human
Resources Office maintains a chronological record of employment including I-9
cards, visa status, applications for medical leave, and other job-related
records. The HR file is not used in the merit or promotion process.
The Office of the
The Governance file contains a cumulative job record. Faculty do not directly
submit documents to the Governance file. A backup of this file containing the
original record of principal personnel actions is maintained by the Secretary as
a safety measure. This “Personnel” file does not leave the SOFAS office.
The Professional Activities file contains annual professional activities
updates, summary documents submitted for tenure or full professor review and
any updates to the CV submitted at the time of hire. This file also includes
evaluative letters in support of tenure or promotion to full professor. The
University is required to maintain this record of professional activity, and
faculty are required to submit these documents to the
There is another file that is not part of the official personnel files
maintained by the
The Supporting Documents file contains a faculty member’s documents submitted
in support of merit and promotion. Typically this file includes course syllabi,
CCQs, publications, grant proposals, "thank you" notes for service
and other documents submitted as evidence of meritorious teaching, scholarship
and service. As of July 2005, the Supporting Documents file is maintained by
the individual faculty member who makes it available as required for merit and
promotion review committees. (Budgetary units may decide they would prefer to
maintain the Supporting Document file in program offices, in which case their
decision takes precedence.) On completion of all personnel reviews, the
Supporting Documents file is returned to the individual except following a
negative personnel decision or an appeal of a personnel decision. In either of
those cases the file will be held by the SOFAS and will not be returned until
all appeals have been completed and statutes of limitations for appeals have
expired.
It is in the best interest of faculty to see that their Supporting Documents
file is complete and well-organized for all merit, retention and promotion
reviews. The Governance file and the Professional Activities file are required
for retention and promotion reviews. They will not normally be needed for merit
reviews, so be sure to make two copies of the annual professional activities
report--one to place in your Supporting Document file and one to send to SOFAS
for your official personnel file. You will receive an annual reminder to do
this. As a rule of thumb, take as much care with your annual professional
activities summary and the organization of your supporting documents file as you
did with your letter of application. (For a list of the kinds of documents
often included as supporting documents, see
http://uwgb.edu/sofas/faq/filelist.htm.)
2. Who has access to the files?
The Governance and Professional Activities files are kept in the Office of the
Administrators and unit chairs may have access to the official Governance files
in the course of their duties. Upon request to University Counsel, others may
have access to certain documents, according to the provisions of
3. How should a faculty member prepare his or her personnel file?
With care and serious intent, obviously. We recommend that from the first day
at
4. How may a file be used during a personnel review?
The Governance file and the Supporting Documents file are the bases for the review,
and it is important, as a professional courtesy, that all members of the
reviewing body be familiar with the contents of the files before the meeting.
During the meeting, questions clarifying the file may be directed to the
faculty member. At the time of notification of the date of the review (20 days
prior to a renewal or promotion review), the faculty member must be invited to
have the file ready for the review. This notification rule does not pertain to
merit reviews, but unit chairs must be clear about when the review committee
will require the supporting document file, and should give fair advance notice
of reviews. Personnel reviews, according to UWGB 3.08 (1) (c) and (5) (a) “shall
be open unless the reviewing committee, in accordance with state law and proper
notification, authorizes a closed review. The faculty member under
consideration has the right to attend reviews, whether open or closed.”
UWGB Code states that "oral evidence," that is, evidence not in the
file, may be introduced by members of the reviewing body [UWGB 3.08 (5)(d)]. It
is quite "proper and legal" to do so, but professional courtesy
should be the guide. For example, if a member of the reviewing body wishes to
augment evidence in the file, that is quite permissible -- "Yes, professor
*** did an excellent job on that committee" but if out of the blue a
member accuses the faculty member of drunkenness in class, that charge should
be put in writing prior to the notice of the meeting to the faculty member.
Obviously, there will be gray areas. For example, if a member says that the
faculty member has failed to give final exams in a course when he said he did,
that is "new evidence" but relevant to a review. In our view, such a
remark by a member of the reviewing body is permissible as long as the faculty
member can respond to it.
July 20, 2005; Revised October 2007
Return to FAQ page