Contents

APPENDIX D: MAINTENANCE OF RECORDS

A number of files may be maintained concerning each faculty member.  Among these there should be a file called the Central File that contains the only information to be used for faculty evaluation and for making tenure and promotion decisions.

I.          CENTRAL FILE--The Evaluation File

            A.        Purpose.  To maintain a performance record for faculty evaluation and for making promotion and tenure decisions.

            B.         Place.  To be maintained in the Personnel Office by the personnel officer.

            C.        Content of Central File.  The following materials, and nothing else, shall be in a faculty member's Central File:

                        1.         Permanent

                                    a.         Prior Evaluation Conference Summaries (Form D-1), Performance Ratings (Form D-2), and any rebuttals or relevant attachments thereto.

                                    b.         Records of awards and honors that relate to faculty job performance.

                                    c.         Additional information placed in the file at the faculty member's request.

                                    d.         Other materials relating to the faculty member's job performance designated permanent in nature and placed in the file subject to the provisions set forth in sections C., 3., General, a. and G. Depository Guidelines, below.

                        2.         Transient

                                    All evaluation forms and attachments for a current evaluation shall be kept in the Central File for the duration of this process, including rebuttals and appeals.  When the evaluation has been completed, all forms and attachments except Forms D-1 and D-2 (and attachments thereto) shall be returned to the faculty member with the following exceptions:

                                    a.         In cases where one or more successive evaluations and/or remediation plans have been mandated for documentation of professional improvement, all evaluation forms and other relevant materials (including those from the original process that triggered the follow-up actions) shall be retained until completion of remediation or any other actions that ensue from this follow-up process.

                                    b.         Those records of personnel actions that the appropriate vice president judges to be relevant to the evaluation of a faculty member's job performance shall be deposited and kept in the Central File subject to the time limit imposed by Section 10(iii) of the Personnel Action Procedures: after a period of three years during which no further personnel action is taken on the matter in question, or when the pending action is resolved, whichever comes later.

                                    c.         Other materials relating to the faculty member's job performance designated transient in nature and placed in the file subject to the provisions set forth in sections C., 3., General a. and G., Depository Guidelines, below.

                        3.         General

                                    a.         Other materials may be placed in a faculty member's Central File upon written instructions to the personnel officer from the appropriate vice president not sooner than fifteen calendar days after a copy of the materials proposed to be placed in the Central File have been given to the faculty member, who shall have an opportunity within ten calendar days to furnish written comments that shall also be placed in the Central File.  At the time of placement, the vice president shall designate such materials as being permanent or transient (i.e., for only that year's evaluation process).

                                    b.         Under no circumstances will anonymous material be placed in the Central File except for the recipients of service responses (Form C), prepared in accordance with these evaluation procedures.

                                    c.         Under no circumstances will hearsay materials be placed in the Central File.

                                    d.         All evaluation materials must be submitted in duplicate by the depositor.

            D.        Access to Central File.  Access to a faculty member's Central File shall be restricted to

                        1.         the faculty member being evaluated, who may make copies of all materials in the file.

                        2.         the faculty member's supervisor(s).

                        3.         chairpersons of divisional promotion and tenure committees and of the Collegewide Promotion/Tenure Committees and the Promotion Appeals Committee, who shall furnish to the personnel officer the names of all committee members who will see these materials.

                        4.         the president of the college and the coordinator of the Plan, who shall have access to the evaluation materials for the purpose of ensuring that proper procedures are followed.

            E.         Record of Copies.  The personnel officer shall keep a signed log of all copies requested from any faculty member's file for any reason.  This log shall include the date, the reason for the copy, the specific information copied, and the recipient of the copies.  All copies will be made only by the personnel officer or her or his designated agent.

            F.         Return of Files.  All persons, except the faculty member being evaluated, who have received copies of materials in the Central File shall return all copies by the close of the evaluation procedure.  The chairpersons of the review and appeals committees shall be responsible for the collection and return of all copies received by members of their committees.  Upon their return, all such copies shall either be retained in the Central File or shall be destroyed at the discretion of the personnel officer.

            G.        Depository Guidelines.

                        1.         All materials deposited in the Central File must be signed and dated by either the author or the depositor and must be logged in at the time of deposit.

                        2.         Under no circumstances shall "memos for the record" or any form of correspondence, report, or memo be deposited into any faculty member's file, except materials outlined in C., Content of Central File, above, or unless copies of same have been given to the faculty member, to any other party mentioned in such memoranda or letter, and to the next level of authority above the writer of such memoranda.  The provisions of this paragraph do not apply to such materials deposited by the faculty member in his or her own file.

                        3.         Under no circumstances will material go through channels other than the appropriate administrative channels.  Copies of all correspondence that are to be placed in any file regarding the faculty member must be served on the faculty member fifteen calendar days before being placed in the files.  The faculty member shall have the right within fifteen calendar days after service of such material to furnish written comments, which must also be placed in the files.  There are no cases where confidentiality of the sender must be respected.

                        4.         Materials deposited by anyone may be removed by the authors if notice of such removal is given to the faculty member.

II.         PERSONNEL FILE--Materials from this file cannot be used for evaluation or for promotion/tenure decisions unless requested by the faculty member.

            A.        Purpose.  To provide a record of an individual's professional activities and accomplishments.

            B.         Place.  Maintained in the Personnel Office by the personnel officer.  The appropriate vice president will review all materials for adjustments in rank, salary, or tenure before they are made part of a faculty member's personnel file.

            C.        Contents.

                        1.         Initial job application and materials on which a hiring decision was made, such as credentials, educational transcripts, letters of reference, etc.

                        2.         Past PGCC contracts, if appropriate.

                        3.         Correspondence dealing with the position, such as requests for promotion, tenure, or special leaves.

                        4.         Letters of commendation.

                        5.         The record of all personnel actions taken.

            D.        Depository Guidelines.

                        1.         The contents of the personnel file are governed by the same regulations that govern the materials of the Central File.

                        2.         Under no circumstances will material go through channels other than the appropriate administrative channels.  Copies of all correspondence that are to be placed in any file regarding the faculty member must be served on the faculty member fifteen calendar days before being placed in the files.  The faculty member shall have the right within fifteen calendar days after the service of such material to furnish written comments, which must also be placed in the files.  There are no cases where confidentiality of the sender must be respected.

III.       DIVISION AND DEPARTMENT FILES--Materials from these files cannot be used for evaluation or promotion/tenure decisions unless the possessor wishes to follow the procedures set forth in this document to make the material part of the Central File.

            A.        Purpose.  To assist a dean, director, or department chairperson, and other supervisors in keeping useful records about their personnel.

            B.         Place.  The appropriate office.

            C.        Contents. Left to the discretion of the possessor but subject to Central File regulations previously described.

            D.        Procedures Governing Use.

                        1.         Confidential.  The faculty member and appropriate supervisors shall have access to these files.  Other persons shall have access only with written approval of the faculty member.

                        2.         Unofficial.  These materials are to be used by the supervisor for routine decisions in his or her area of jurisdiction.  If a possessor wishes to make some of this material part of the official record, he or she must follow the procedures for placing the material in the Central File or personnel file.

            E.         Depositing Guidelines.

                        Same as for Central File and personnel file.

IV.       TEMPORARY RETENTION FILE

The personnel officer shall establish a temporary file in the Personnel Office that contains all forms and materials that are used as part of the faculty evaluation process.  Some shall be destroyed at the completion of the evaluation and appeal process (that is, fifteen calendar days after the faculty member has been served notice that the evaluation process is completed).  The coordinator of the Plan shall designate the proper time for the destruction of the forms.

All other materials are returned to the faculty member at the end of the academic year, except for the following which are retained in the applicants permanent file:

a.                   Evaluation Conference Summary(Form D-1)

b.                  Deanís Performance Rating(Form D-2)

c.                   Application for Promotion (Form P)

d.                  Application for Tenure (Form T)

e.                   Promotion And Tenure Recommendations (Form R)