The University shall designate an office in which the personnel file
shall be maintained. The University shall also designate an office with
overall responsibility for personnel files. Where necessary for
administration of the NSF's employment, materials may be kept in
other offices.
Personnel files shall, except with the written consent of the NSF,
contain only those records necessary and appropriate to the
administration of the NSF's employment at the University. It is
recognized that some routine information (e.g. payroll and benefits
information) may be kept in forms other than that included in the
personnel file. Personnel actions may not be based on any material
that is not part of the official personnel file.
Any non-confidential item placed in a personnel file shall be clearly
identified as to its source or originator and its date of receipt by the
University.
Personnel Review Files
Personnel review files are developed in preparation for the performance
assessment of the NSF undertaken in accordance with the MOU. Personnel
review files may contain both confidential and non-confidential academic
review records, as described below. An individual's personnel review file
shall contain only material relevant to consideration of personnel actions
under the criteria of this MOU and for the relevant review period.
Correspondence involving potential disciplinary actions that do not result in
disciplinary actions shall not be included in the personnel review file.
Materials involving final disciplinary action may be included only to the extent
that such material is relevant, according to the standards of this MOU, to the
personnel action for which the review file has been assembled. Personnel
actions based upon a review of the performance of NSF, such as
reappointment/non-reappointment and merit actions, shall be based solely
upon the material contained in the individual's personnel review file. No
materials excluded by this article from personnel files may be included in
personnel review files.
Grievance Materials
Grievance documents and documents referring to, or arising out of, a
grievance shall not be contained in the official personnel file. Grievance
materials shall be kept separately.
ACCESS BY INDIVIDUALS OTHER THAN THE NSF
Access by University representatives and employees to confidential and non-confidential
material in personnel files and personnel review records
(synonymous with confidential academic review records as referenced in
Appendix F Definitions of Confidential and Non-Confidential Academic
Review Records), and other confidential information shall be strictly limited to
those representatives and employees who need access to information in the
personnel file in the performance of their officially assigned duties, provided
that such access is related to the purpose for which the information was
acquired. Members of the public and non-governmental entities shall not
have access to confidential personnel files except as required by law.
RIGHT TO INSPECT
Upon reasonable notice to the office designated to maintain the official
personnel file/personnel review file, NSF shall have the right to inspect all
non-confidential reports, documents, correspondence, and other material in
their official personnel file(s)/personnel review file(s) and in personnel files
maintained at the departmental level. NSF shall be entitled to copies of
confidential material, if any, in their personnel files(s)/ personnel review files,
which may be redacted to the extent necessary to maintain the anonymity of
the sources of the information. NSF shall have the right to have a UC-AFT
representative or another person of her or his choice accompany her or him
to inspect the NSF's file(s), so long as the person chosen is not a supervisor,
manager or confidential employee.
NSF may give written authorization to a representative to review their file(s) in
their absence. The written authorization shall be valid for thirty (30) calendar
days from the date of the signature of the authorization or within a written time
limit specified by the NSF, whichever is shorter. The representative shall be
entitled to examine all non-confidential material. Records protected by
recognized legal privilege and records exempted from disclosure by law may
be withheld from the NSF and her/his representative. Subject to these
exceptions, unsolicited documents which request confidentiality shall be
returned to the originator or destroyed.
RIGHT TO COPY MATERIAL
Under normal circumstances, within ten (10) working days of a written request, an
NSF shall be given a complete copy of the requested non-confidential items in the
personnel file and a listing of the types of confidential material within the file. If a
written request for a redacted copy of confidential material is received by the
University, the request shall be fulfilled within thirty (30) working days, under normal
circumstances. The University will provide the first copy of such material at no cost
to the NSF. Subsequent copies will be provided at a cost of ten cents ($.10) per
page.
RESPONSES TO MATERIALS IN FILE
NSF may have responses or documentation attached for the purpose of challenging
or responding to materials in the personnel file. Any response shall, unless the NSF
requests otherwise, become a part of the file of the NSF. NSF may request, in
writing to the designated administrative officer, deletions and/or corrections of
materials from their file. Within 30 calendar days, the appropriate administrative
officer shall determine whether a requested correction in a statement of fact or a
requested deletion will be made. If material is deleted from academic personnel
records in accordance with the preceding provision, care shall be taken to ensure
that the same material is also deleted from copies of those records in all locations
where such copies are maintained.
DISCIPLINARY MATERIALS
Personnel Files
Copies of documents, including letters, that relate to final disciplinary
action taken by the University shall, upon being placed in the NSF
personnel file, be provided to the NSF. The NSF's written comments,
if any, regarding such documents shall, upon request of the NSF, be
placed in their personnel file. Documents concerning disciplinary action
that do not result in final disciplinary action shall not be included in the
files.
When it comes to the attention of the University (e.g. through a review
of files, or at the request of the NSF) that an NSF's personnel file
contains documents older than two years that pertain to disciplinary
action not related to the NSF's performance, such documents will be
removed from the NSF's personnel file if there have been no other
warnings or discipline pertaining to the same or similar conduct that
resulted in the earlier disciplinary action during the two-year period.
Notwithstanding the above provisions, copies of documents, including
letters, that the University is required to maintain to fulfill its legal
obligations, may be retained in the NSF's personnel file.
Personnel Review Files
Copies of any letters or documents that are otherwise permitted under this
MOU and University policy, including documents pertaining to disciplinary
actions, may be included in the NSF's personnel review file, insofar as the
letters or documents pertain to the NSF's performance under the criteria of
this MOU during the review period.
MATERIAL EXEMPTED FROM GRIEVANCE AND ARBITRATION PROCEDURES
Confidential material, personal information, legal privilege, and records, to the extent
that each of these is exempted by law from disclosure under the California Evidence
Code or by other statutes and relevant case law, shall not be subject to disclosure
through Article 32 - Grievance Procedure or Article 33, Arbitration. In disputes
concerning whether material is exempted by law from disclosure, the Grievance
Hearing Officer or Arbitrator may, if necessary to resolving such controversy,
examine the material in camera (outside the presence of the parties) and rule on the
confidentiality of the material, unless examining the material in camera would be
prohibited by law. Where confidential material is relevant to resolving a grievance
or arbitration, the material may be examined in camera by the Hearing Officer or
Arbitrator.
