3.1.29 Right of Access to Personnel Files and Records

Policy

The University shall maintain a complete official personnel file for each employee. These will be retained by Human Resources. The files shall contain only official records directly related to employment and work performance. Anonymous communications shall not be included in this file.

Access to Personnel Files and Records

Illinois State University shall provide an employee the opportunity to inspect, copy or receive copies of their personnel records (including their personnel file and any additional personnel records maintained at the Department/School, College and University levels) within seven working days following receipt of a written request to Human Resources. If the University can reasonably show that such a deadline cannot be met, the University shall have an additional seven calendar days to comply. 

The written request from the employee shall:

1. identify what personnel records the employee is requesting;
2. specify if the employee is requesting to inspect, copy, or receive copies of the records;
3. specify whether copies be provided in hardcopy or electronic format;
4. specify whether inspection, copying, or receipt of copies will be performed by that employee's representative; and,
5. if the records being requested include medical information and medical records, include a signed waiver to release medical information and medical records to that employee's specific representative. 

Upon written request, employees have a right to inspect, copy, or receive copies of:

1. 1. all written materials which are considered in 
      1. determining that individual's qualifications for employment, promotion, transfer, compensation, benefits, discharge, or any other disciplinary action;
      2. making recommendations regarding appointment or non-reappointment;
      3. making recommendations regarding, tenure; and,
      4. making performance-evaluated salary recommendations.
   2. any employment related contracts or agreements that the employer maintains that are legally binding on the employee;
   3. any employee handbooks that the employer made available to the employee or that the employee acknowledged receiving; and,
   4. any written employer policies or procedures that the employer contends the employee was subject to, including collective bargaining agreements, and that concern qualifications for employment, promotion, transfer, compensation, benefits, discharge, or other disciplinary action. 

Documents exempt from inspection or copying include:

1. letters of reference;
2. any portions of test documents;
3. materials related to the employer's staff planning where the materials relate to or affect more than one employee, provided the materials have not been, and are not intended to be, used by the employer in determining an individual employee's qualifications for employment, promotion, transfer, compensation, or benefits, or in determining an employee's discharge or discipline;
4. records relevant to pending litigation;
5. information of a personal nature about a person other than the employee inspecting a file if disclosure of the information would constitute a clearly unwarranted invasion of privacy;
6. external peer-review documents;
7. trade secrets, client lists, sales projections, and financial data; or,
8. investigatory or security records maintained by an employer to investigate criminal conduct by an employee or other activity by the employee which could reasonably be expected to harm the employer's property, operations, or business or could by the employee's activity cause the employer financial liability, unless and until the employer takes adverse personnel action based upon the information in such records. 

Inspection of files and records shall be allowed only in the presence of an authorized office employee during regular office hours. Under no circumstances shall an individual have the right to remove the file or records from the office. 

An employee may obtain copies of the information or documents in the personnel records at their own cost. An employee may be provided instructions to obtain any requested information which is maintained in a manner and fashion that is already accessible to the employee. 

Employees shall be notified at the earliest possible time if their personnel files or records are subpoenaed in accordance with the law. Any requested disclosure of personnel files or records to a third party will be processed in accordance with the law.  

Disputed Records

If an employee disagrees with any information contained in the personnel file or records, removal or correction of that information may be mutually agreed upon by the employee and the University. If an agreement cannot be reached, the employee may submit a written statement explaining their position to Human Resources, which will be attached to the disputed portion of the personnel record. The employee's statement must be included whenever the disputed portion is released to a third party; this does not imply the employer's consent or agreement with the counterstatement.

Basis of Policy

Personnel Record Review Act, 820 ILCS 40, et seq.