East Carolina University Faculty Manual
PART VI.
GENERAL PERSONNEL POLICIES
VIII. Frequently Asked
Questions About Faculty Personnel Records
1. What is the definition of a
“personnel file?”
North Carolina law defines a personnel file as any information gathered by East
Carolina University that relates to an individual’s application, selection or
non-selection, promotion, demotion, transfer, leave, salary, suspension,
performance evaluation, disciplinary action, or termination of employment,
wherever located and in whatever form. Records related to grievances and appeals of
non-reappointment and non-conferral of tenure are personnel records.
The Personnel Action Dossier (“PAD”) is an evaluative document and
is a personnel record. Like other personnel records, the PAD is
University Property and is retained by the University.
2. Where can
I find the state laws that pertain to personnel records?
You will find the statutes that relate to personnel records for state employees
in the General Statues of North Carolina in Chapter 126. The General
Statutes are located in Joyner Library and in the University Attorney’s
Office.
You can also access the statutes on the Internet at http://www.ncleg.net/gascripts/Statutes/StatutesTOC.pl?0126
PLEASE NOTE THAT THE STATUTES REPORTED ON THE INTERNET MAY NOT BE ACCURATE AND MAY NOT BE UPDATED IN A TIMELY MANNER TO REFLECT THE LATEST SUPPLEMENTS.
Section
126-5 of the General Statutes of North Carolina makes the provisions of Chapter
126 applicable to all State employees and ECU faculty. Sections 126-22 et
seq. in Article 7 (The Privacy of State Employee Personnel Records) defines
personnel records (126-22), determines who has access to personnel
records (126-23), provides for the confidentiality of personnel records
(126-24), and provides remedies for employees objecting to material in
the personnel file (126-25), among other things.
3. What does
“wherever located and in whatever form” mean?
It means that your personnel records may be located in different offices on
campus. Documents that meet the statutory definition will be considered
personnel records.
4. Where is
my personnel file located?
Faculty will have a primary personnel file located in his/her Code Unit
Administrator’s Office. In addition, there may be other files
containing personnel records that are located in approved University
offices. The Department of Human Resources will have only documents about
faculty employment that reflect basic employment and benefits
information. Please consult the Personnel File Checklist that has been
attached to the inside cover of your primary personnel file to confirm the
offices where your personnel records are located. (Faculty Senate
Resolution #02-04, January 2002 )
5. Are there other files that may
contain information about me?
Records related to your employment may be found in the offices identified in
FAQ # 4 and FAQ #5. However, if you have filed a grievance, an appeal of
non-reappointment or non-conferral of tenure; or a complaint was filed by you
or against you with the ECU EEO Office alleging sexual harassment,
discrimination based on age, race, religion, or disability, or a violation or the
amorous relations policy; or you are subject to a disciplinary action, records
from your personnel file may be included in an appeal hearing file or
investigative file prepared by the EEO Office or by the University Attorney’s
Office.
Please
note that those personnel records in the EEO
Office or the University Attorney’s Office remain
confidential, but the documents collected and/or
created in those offices would be part of an investigative/preparation file and would not be considered part of your personnel
file. Disclosure of documents in those files would be subject to the
applicable University policies and state laws. Additionally, the
University would formally notify you in accordance with the relevant policy, if
a complaint or grievance was filed against you, and would follow the procedures
prescribed for due process. In most cases, personnel documents maintained
in those files would be duplicates of documents in your primary personnel
file.
If
you have any questions about University policies that are referenced above, you
may wish to review these sections of the ECU Faculty Manual:
Appendix
D. Procedures for Appeal of Notice of Non-Reappointment or
Non-Conferral of Permanent Tenure
Appendix
I. East Carolina University Policy on Conflicts of
Interest and Commitment
Appendix J. Informal Faculty Grievance
Procedure for Grievances Involving Sex Discrimination and Other Equal
Employment Opportunity Complaints
Appendix
U. Policy on Improper Relationships Between Students and Faculty
Appendix
V. Sexual Harassment, Discrimination, and Conflicts of Interest Policies
Appendix
W. Racial and Ethnic Harassment Policies
Appendix X. Grievance Procedures for Complaints
of Sexual or Racial Harassment or Discrimination or Conflicts of Interest
Brought Against East Carolina University Faculty Members or Administrators
Holding Faculty Status
Appendix
Y. Grievance Policies and Procedures of East Carolina University
6.
Is there any truth to rumor
about the existence of secret files?
No. Personnel files should only be kept in University offices and should
always be accessible to you during regular business hours with reasonable
advance notice. Administrators shall not keep secret files and shall not
include anonymous material in personnel files, except student opinion
surveys. See Frequently Asked Question #4 for the file locations. (Faculty
Senate Resolution #02-04, January 2002)
7. When can I
review my personnel file?
Although your personnel file is about you, it is University property. You
have complete access to your personnel records during regular business hours
with advance notice to the custodian of the records. Advance notice is
required so that your file can be gathered from other offices, if necessary,
and so that confidential documents, like references for initial employment or
certain medical information, can be removed. Additionally, the custodian
of records will need to make arrangements to have office staff available to
oversee the review process to ensure the integrity and safekeeping of the
records and to assist in making copies, if necessary. While reasonable
efforts will be made to provide you with quick access to your file, it may take
some time to make the necessary arrangements.
Please note that documents can not be added to or removed from the personnel file at this time. The University reserves the right to limit the number of copies and to make only one complete copy of the PAD.
8. Is any
information in my personnel file considered public information?
Yes. State law requires that the University permit the public to have
access to the following information about your personnel records: name, age,
date of original state employment, current position or title, current salary,
date and amount of most recent salary change, date of most recent status change
(promotion, resignation, termination, etc.), and current office assignment.
9.
What information is
considered confidential personnel information?
As stated above in FAQ #8, Section 126- 23 of the General Statutes of North
Carolina provides that certain records to be kept by State agencies are open to
inspection. Those records include a record of each State employee showing
the following information with respect to each such employee: name, age, date
of original employment or appointment to the State service, current position,
title, current salary, date and amount of most recent increase or decrease in
salary, date of most recent promotion, demotion, transfer, suspension,
separation, or other change in position classification, and the office or
station to which the employee is currently assigned.
All other information contained in the personnel file is confidential and shall not be open for inspection and examination except to the following persons:
1) The employee, applicant for employment, former employee, or his/her properly authorized agent, who may examine his/her own personnel file in its entirety except for (i) letters of reference solicited prior to the employment, or (ii) information concerning a medical disability, mental, or physical, that a prudent physician would not divulge to a patient. An employee’s medical record may be disclosed to a licensed physician designated in writing by the employee;
2) The supervisor of the employee;
3) Members of the General Assembly who may inspect and examine personnel records under the authority of G.S. 120-19;
4) A party by authority of a proper court order may inspect and examine a particular confidential portion of a State employee’s personnel file;
5) An official of an agency of the federal government, State government or any political subdivision thereof.
10. Is
there any information in my personnel file that I do not have access to?
As mentioned in FAQ # 9, reference letters solicited prior to employment and
medical records that a prudent physician would not disclose to his/her patient
shall not be disclosed to the faculty member.
11. Does anyone, other than me, have access to my
confidential personnel records?
Yes. Anyone that you properly authorize (in a written release) may have
access to your records. Your supervisor(s), members of the General
Assembly, anyone with a proper court order, and officials of federal and state
agencies may also inspect and examine your personnel records. In
accordance with Appendix D of the ECU Faculty Manual, the Personnel
Action Dossier is compiled by candidates for reappointment, promotion, and/or
permanent tenure in consultation with the unit administrator and the Unit
Personnel Committee. The Code Unit Administrator and the Unit Personnel
Committee have access to your personnel records.
12. What can I do if I consider material in my personnel
file to be inaccurate or misleading?
Section 126-25 of the General Statutes of North Carolina states that an
employee, former employee, or applicant for employment who objects to material
in his/her file may place in his/her file a statement relating to the material
he/she considers to be inaccurate or misleading. Statements
relating to the objectionable material should be submitted to the Code Unite
Administrator. Removal of the offensive material may be sought in
accordance with Appendix Y of the ECU Faculty Manual; however, informal
resolution of disputes about the inaccuracy or misleading nature of material in
your personnel file is encouraged before resorting to Appendix Y
procedures.
13. How long does the University keep my personnel file?
Personnel records are kept in accordance with the Record Retention and
Disposition Schedule approved by the University Archivist, the Director of the
Division of Archives and History, the Chancellor, and the Secretary of Cultural
Resources. Although it depends on the type of document, most personnel
records are stored, and transferred to the State Records Center to be
microfilmed for permanent security storage in the Archives vault.
14. If I have other questions about my personnel file,
where should I look or whom should I contact for more information?
For more specific information, you may refer to the
General Statutes of North Carolina, Appendix C, and Appendix D
("PAD") of the ECU Faculty Manual, contact the Faculty Senate
Office at 328-6537, or contact the University Attorney’s Office at 328-6940.
__________________________________________________________________________________
FACULTY PERSONNEL FILE CHECKLIST
(Division of Academic Affairs)
Your primary personnel file is
located in the office of your Code Unit Administrator, Dr./Dean__________, and
may be reviewed at any time during regular business hours with advance notice
to the custodian of records or his/her designee. Advance notice is
required so that your files can be gathered from other offices, if necessary,
and so that confidential documents, like references for initial employment or
certain medical information, as described in the General Statutes of North
Carolina, can be removed. The custodian of records will need to make
arrangements to have office staff available to oversee the review process to
ensure the integrity and safekeeping of the records and to assist in making
copies, if you request same. While reasonable efforts will be made to
provide you with quick access to your file, it may take some time to make the
necessary arrangements. Multiple copies of the same document may be
limited.
Please note that you cannot add to
or remove documents from your personnel files at the time you review your
files. If you have concerns about documents in your files, please bring
them to the attention of the custodian of records. You can object to
inaccurate or misleading information in your files by putting your objections
in a written statement to your Code Unit Administrator, who will add your
statement to the file(s) you are concerned about. Removal of offensive
materials may be sought in accordance with the procedures in Appendix Y of the
ECU Faculty Manual.
Location of Records Related to Employment:
_____ Code Unit Administrator’s
Office
_____ Dean’s Office
_____ Academic Department Chair’s Office in Professional Schools
_____ Vice Chancellor for Academic Affairs’ Office
_____ Department of Human Resources
Other Files Containing Personnel Records May be Located:
_____ Equal Employment
Opportunity/Affirmative Action Office
_____ University Attorney’s Office
_____ Faculty Senate Office
Please note that reference letters
solicited prior to employment and medical records that a prudent physician
would not disclose to his/her patient shall not be disclosed to you and should
be kept in a sealed envelope that can be easily removed from your file.
Additionally, medical records related to a medical condition or disability
should be maintained in a separate envelope. Questions about your personnel
records should be directed to the Faculty Senate office or the University
Attorney’s office.
FACULTY PERSONNEL FILE CHECKLIST
(Division of Health Sciences)
Your primary personnel file is
located in the office of your Code Unit Administrator, Dr./Dean ____, and may
be reviewed at any time during regular business hours with advance notice to
the custodian of records or his/her designee. Advance notice is required
so that your files can be gathered from other offices, if necessary, and so
that confidential documents, like references for initial employment or certain
medical information, as described in the General Statutes of North Carolina,
can be removed. The custodian of records will need to make arrangements
to have office staff available to oversee the review process to ensure the integrity
and safekeeping of the records and to assist in making copies, if you request
them. A reasonable number of copies will be provided at no cost to the
faculty member. While reasonable efforts will be made to provide you with
quick access to your file, it may take some time to make the necessary
arrangements. _________ will serve as the custodian of personnel records
for the Brody School of Medicine and the Office of the Vice Chancellor for
Health Sciences.
Please note that you cannot
add to or remove documents from your personnel files at the time you review
your files. If you have concerns about documents in your files, please
bring them to the attention of the custodian of records. You can object
to inaccurate or misleading information in your files by putting your
objections in a written statement to your Code Unit Administrator, who will add
your statement to the file(s) which concern(s) you. Removal of inaccurate
or misleading materials may be sought in accordance with the procedures in Appendix
Y of the ECU Faculty Manual.
Location of Records Related to
Employment:
_____ Code Unit Administrator’s
Office
_____ Dean’s Office
_____ Academic Department Chair’s Office
_____ Center Administrator’s Office (ex. Center for Advancement of Health)
_____ Department Section Head’s Office
_____ Vice Chancellor for Health Sciences’ Office
_____ Department of Human Resources
Other Files Containing Personnel
Records May be Located:
_____ Equal Employment
Opportunity/Affirmative Action Office
_____ University Attorney’s Office
_____ Faculty Senate Office
Additional Records for
Physician Faculty - located at Brody SOM and Pitt County Memorial Hospital:
_____ Medical Faculty
Practice Plan Benefits Office
_____ Managed Care Office
_____ ECU Physicians Credentialing Office
_____ PCMH Credentials Verification Office (Medical Staff Support)
This notifies you that certain Brody
School of Medicine or other ECU offices (including, but not limited to,
University Attorney, Equal Employment Opportunity, Compliance, BSOM Risk Management,
CME, etc.) may maintain records (including, but not limited to, attendance
records for mandatory training sessions, orientation, and CME programs; routine
audits of medical records and billing documentation; Quality Assurance;
malpractice; etc.) related to your employment and which may constitute
personnel records. Should you wish to verify whether such offices maintain
records related to your employment, you may contact the specific office for
further information regarding your records and/or _________ within the Office
of the Vice Chancellor for Health Sciences.
Please note that reference letters
solicited prior to employment and medical records that a prudent physician
would not disclose to his/her patient shall not be disclosed to you and should be
kept in a sealed envelope that can be easily removed from your file.
Additionally, medical records governed by General Statute, if any, would be
maintained in a separate envelope. Questions about your personnel records
should be directed to the Faculty senate office or to the University Attorney’s
office.
Approved:
Faculty Senate Resolution #00-13
April 5, 2000
East Carolina University Chancellor
Amended:
Faculty Senate Resolution #02-04, January 2002
Faculty Senate Resolution #02-13, March 2002
Faculty Senate
Resolution #03-13, March 2003
Faculty Senate Resolution #03-14, March
2003