The official personnel file is Buffalo State's record of communication and documents related to the job and employment status of an employee.  The file serves as the historical record of information pertaining to an employee from the date of hire to separation.

Official Personnel File
Confidential File
Handling of Official Personnel File During Grievance Proceedings (UUP)
Records Retention and Disposition

Official Personnel File

Contents:
Materials should be stored information in chronological order, starting with oldest information in the back of the file. Retain only final copy of any paperwork. The file includes:  original offer of appointment, resume, official transcripts, position release, faculty and professional appointment form, contract letters, welcome from the President and Provost/VP, letters of reference (non-confidential), all subsequent change or leave request forms, performance programs and evaluations, letters of reappointment, permanency or continuing status, letters of counseling, notices of discipline.

Maintained By:  Functional Provost/VP, President, or Human Resource Management (classified employees)

Minimum Retention and Disposition:
Destroy 6 years after employee separation from agency, unless earlier disposition is permitted under terms of a labor-management contractual agreement. In the event of a suit or change, keep the file until a final disposition is rendered.

Employees may view their official personnel file within 24 hours of the request. They must view it in the presence of office personnel; nothing is to be removed. A designated UUP representative may view the employee's file with written authorization; otherwise, no one other than the President and Provost/VP and their designees (managers in the chain of authority and authorized staff with personnel responsibilities) may view the file. There is no requirement to reproduce documents on demand. Copies may be provided at a later time (within 24-48 hours of the request).  Note, per Article §31.4, copies of materials in an employee’s official personnel file to which the employee is permitted access pursuant to provisions of this Article shall be made available to the employee upon request and at the employee’s expense.

Reference:  UUP Agreement Personnel Files Article 31

Confidential File

Contents:
The file may include:  a request for reasonable accommodation (in compliance with the Americans with Disabilities Act), a request for leave as per the family and Medical Leave Act and medical related information provided, or medical information related to workers' compensation case.

Maintained By:  Functional Provost/VP, President or Human Resource Management

Minimum Retention and Disposition:
Destroy 3 years after final resolution of grievance or request, and after execution of any stipulations or termination of any accommodation provided.  The workers' compensation file should be maintained until final disposition rendered, then destroy basic record of injuries or illnesses 18 years after the injury or illness.

Handling of Official Personnel File During Grievance Proceedings (UUP)

  1. Upon the filing of a grievance, the grievant's official personnel file will be removed from the Provost/VP or President's Office and will be placed under the jurisdiction of the associate vice president for human resource management for the duration of the grievance proceedings. A representative from the Provost/VP's office and Human Resource Management will jointly review the file and will label and inventory its contents.
  2. For the duration of the grievance process, the personnel file will not be removed from the office of the associate vice president for human resource management except for those instances when necessary for the processing of personnel transactions. In these instances, the Provost/VP's office will be responsible for verifying the return of all materials listed in the inventory.
  3. Requests to examine the file by the grievant or a designated UUP representative must be submitted in advance to the associate vice president for human resource management. File review will take place in the presence of the associate vice president or designee.
  4. Copies of any documents requested will be made by the designee of the associate vice president.
  5. Should the settlement of the grievance call for the removal of material from the personnel file, the associate vice president for human resource management will be responsible for implementing this provision of the settlement.

Upon final resolution of the grievance, the personnel file will be returned immediately to the President/Provost/VP's office.