Employee Review of Personnel Files

VANDERBILT UNIVERSITY PEOPLE EXPERIENCE POLICIES AND PROCEDURES
SUBJECT: EMPLOYEE REVIEW OF PERSONNEL FILES
EFFECTIVE DATE: July 1, 2015

POLICY

It is the policy of Vanderbilt University to permit an employee an opportunity to review his/her personnel file that is maintained in People Experience Records Management. It should be noted that personnel files maintained in People Experience Records Management are the official employment record of an employee and are the property of Vanderbilt and cannot be duplicated without explicit authority from a Director of People Experience Services.

PROCEDURE

An employee who wishes to see his/her personnel file should contact the Engagement Consultant for his/her area to arrange for a mutually convenient time to review appropriate material.

I. PERSONNEL FILE RECORDS AVAILABLE FOR REVIEW

A. Vanderbilt Application Form

B. Offer Letter

C. Performance plans or disciplinary letters

D. Authorization for a deduction or withholdings of pay

E. Employment history – including salary information

F. Required Certifications

G. Performance Development Documents, including Orientation Records

H. Mandatory Continuing Education Records

I. Open Enrollment/Fringe Benefit Information (Maintained in Benefits Record)

J. Retirement Application (Maintained in Benefits Record)

K. Job Related Certifications

II. PERSONNEL FILE RECORDS EXCLUDED FROM REVIEW

A. Documents relating to the investigation of possible criminal offenses or violations of University policy

B. Letters of reference

C. Medical information related to leave certification

D. I-9 Documentation

E. Any other documents that Vanderbilt considers to be confidential proprietary or privileged

III. RULES FOR GRANTING REVIEW

A. A request is made by completing the Request To Review Personnel File Form available in the department of People Experience Services. The purpose of the written request is to identify the individual in order to avoid disclosure to ineligible persons.

B. An employee may review his/her personnel file in the presence of a People Experience Department staff member during regular business hours.

C. Records may not be removed from the personnel file.

D. An employee may submit a rebuttal if he/she disagrees with material found in his/her file.

E. A former employee does not have access to his/her personnel file after employment ends. However, he/she may request a copy upon receipt of a signed release of information form and duplication fee.

NOTE: Managers may review the file of his/her current employee, maintained in People Experience Records Management, when appropriate.

This policy is intended as a guideline to assist in the consistent application of University policies and programs for employees. The policy does not create a contract implied or expressed, with any Vanderbilt employees, who are employees at will. Vanderbilt reserves the right to modify this policy in whole or in part, at any time, at the discretion of the University.

Approved by Traci K. Nordberg, Chief People Experience Officer and Associate Vice Chancellor

Approved by Eric Kopstain, Vice Chancellor for Administration