POLICY NO. 213: FACULTY PERSONNEL FILE

Policy Number: 213

Effective Date: 08/16/2014

Policy Title: Faculty Personnel File

Revised:

Approval Date: 10/22/2013

President’s Signature: signature on file

 

An official faculty personnel file shall be established and maintained for each full-time faculty member in the office of the provost.  This file may be maintained electronically.  The contents of the personnel file should be sufficient to document and support all personnel decisions including, but not limited to; annual evaluations, the award of tenure, promotion in rank, renewal or non-renewal of contract for a tenure-track or non-tenure-track faculty member and termination of the appointment of a tenured faculty member for cause (as defined in HEPC Title 133 Series 9, Section 12).

 

A. File Contents

Each faculty member’s file shall contain, at the minimum, the following items:

  1. The letter of appointment and other documents which describe, elaborate upon or modify the faculty member’s assignment, including position description, work plans, memoranda of understanding and subsequent letters of agreement.  (Responsibility:  Dean, Chair)
  2. Copies of all annual contracts.  (Responsibility:  Provost)
  3. An up-to-date curriculum vitae containing
    1. Teaching documentation: critical dates relative to education, employment history, change in status, promotion, leaves of absence, etc.;
    2. Research documentation: a list of publications and presentations with complete citations, grants and contracts, and/or other evidence of scholarship;
    3. Service documentation: a list of service activities.  (Responsibility:  Faculty)
  4. For each academic year since appointment, the faculty member’s Faculty Performance Activity Report (including a record of classes taught and enrollments in each, number of academic advisees, graduate students supervised, clinical assignments, significant committee assignments, and other aspects of the faculty member’s plan of work).  The Activity Report without supporting documentation is not in itself sufficient for evaluation purposes. (Responsibility:  Dean, Chair)
  5. All other information that bears upon the quality of the faculty member’s performance in all pertinent areas. This information may include, but need not be limited to, teaching evaluations, professional presentations, published materials, grant applications and awards, research in progress and the preparation of unpublished materials, other creative scholarship, and service to the university and statements relative to professional conduct. A self-evaluative statement by the faculty member is strongly encouraged.  (Responsibility:  Provost, Dean, Chair, Faculty)
  6. All annual evaluations, including any written responses by the faculty member.  For faculty with multiple reporting lines, each supervisor will provide an evaluation of the individual’s performance. (Responsibility:  Dean, Chair, Faculty)
  7. Student Course evaluations from all courses taught at West Liberty University.  (Responsibility: Provost)
  8. All classroom and online course observation reports (Responsibility:  Dean, Chair)
  9. Other information and records that the chairperson or dean may wish to include. Faculty members may include written responses to such material.  (Responsibility:  Dean, Chair, Faculty)
  10. A continuing chronological inventory of entries to assure the integrity of the file.  (Please see B.2 for requirements of access.) (Responsibility:  Provost)

 

B. File Maintenance and Access

Responsibilities for maintenance of items are indicated above.  The Provost’s Office may periodically issue more detailed instructions for the development and maintenance of faculty personnel files.  Those requirements may be supplemented or elaborated upon by college or department procedures.

  1. The faculty personnel file shall be updated in a timely manner according to procedures established for annual evaluations and evaluation for promotion and tenure. 
    1. On the appropriate deadline date, as specified by the promotion and tenure policies, the file shall be closed for the review period. 
    2. Only such materials generated as a consequence of the promotion or tenure evaluation process shall be added to the file after the deadline date with the exception of faculty responses to newly added materials, which will always be accepted.
  2. Right of Access:
    1. Faculty members have the right of access to their personnel files at any time during regular office hours, without giving reasons. 
    2. Faculty members will be notified in writing when there is any change, addition, or subtraction to their file other than routine additions made in accordance with WLU Policy. 
    3. All others shall have access to the file only on the basis of a need to know.  Members of a faculty evaluation committee or administrators responsible for personnel recommendations are presumed to have a need to know.  Deans, Chairs and Program Directors will have access at any time during regular office hours, without giving reasons, to the files of faculty members for whom they have supervisory responsibility.
    4. The faculty member (or appropriate staff, upon request) may copy the file, but may not remove the original file or any part of it from the Provost’s office. The faculty member may not remove anything from his or her personnel file without approval from supervisors.
    5. Each file will have a sign-in sheet (or the electronic equivalent) on which will be recorded the name, date and time of each instance of access to the file.
    6. All persons will treat the material from the file as confidential.  The security of all personnel files is to be assured.  The confidentiality of each file is to be respected, except under legal subpoena.