1. To protect the confidentiality of the work of the Committee and of individuals involved in issues before the Committee;

2. To preserve in appropriate fashion the historical record of the University.

All official files of the Committee shall be maintained in the Committee Office under the supervision of the elected Chair. As an aid to deliberations, members of the Committee have in their possession copies of various confidential Committee documents. All members share the obligation to protect these papers and to return them to the Committee Office when a case is completed or a term of service on the Committee ends.

Description and disposition of file categories:

There are several distinctions made between consultation records and case files. A consultation is an informal level of hearing by FAC of a complaint, appeal, or inquiry. The purpose of the consultation stage is to attempt to solve problems in a way that helps to maintain the collegial atmosphere of a unit. A consultation often requires informing people of various policies and procedures or other avenues of appeal. If a grievance cannot be resolved informally and the complainant has exhausted all other
avenues of appeal, the FAC may then decide to elevate the matter to case status. An investigation is conducted by a subcommittee of the FAC. The subcommittee interviews case principals and submits its finding and recommendations for action by the full Committee.

Committee Activities File Description:

The file of Committee activities contains:

•  agenda for each meeting;
•  minutes for each meeting, containing
  o time and place of meeting and list of those in attendance;
  o reports of newly received complaints;
  o subcommittee assignments;
  o brief progress reports;
  o statement of final disposition of complaints; and
  o summary reports of other business conducted by the Committee.
•  summary of caseload, containing
  o a listing of cases and consultations under consideration and subcommittee assignments;
  o disposition of complaints;
  o date of closing report (findings and recommendations); and
  o date case or consultation is closed.
•  correspondence;
•  annual report;
•  committee roster;
•  and other documents that deal with advice on University/campus policies or convey general information about the Committee.

Disposition: The Committee Activities File shall be retained in the Committee Office for twenty (20) years. The File shall then be deposited in the University Archives where it shall remain closed for an additional ten (10) years, except that this file shall be available to the Committee’s current officers and staff when the need arises. Prior to the expiration of thirty (30) years, the Committee or the University Archivist may receive applications for research access to these records, but such access may only be granted following written approval from the Chair of the current Committee after he/she consults with
the FAC. When access to materials is granted, whether prior to or after the expiration of 30 years, researchers must complete the University Archives Request to Conduct Research in Personally Identifiable Faculty Advisory Committee Records and adhere to all access and non-disclosure provisions.

Case Files

Description. During the period of active consideration, Case Files may contain such materials as correspondence, interview summaries, copies of departmental and college bylaws, and related documents pertinent to the work of the Committee. At the conclusion of a case, all extant copies of such papers held by Committee members shall be returned to the Committee Office where the following items will be retained for the official file:

•  the letter stating the nature of the complaint;
•  official correspondence by the Committee;
•  correspondence and supporting documents submitted to it by persons involved in the complaint;
•  summaries of subcommittee interviews;
•  the final report to the complainant or other interested persons regarding the disposition of the complaint; and
•  other materials which substantially contribute to an understanding of the situation.

Drafts of reports and drafts of closing letters, and routine notifications and transmittals ordinarily are not retained for the official file.

Disposition. Case Files shall be retained in the Committee Office for twenty (20) years after conclusion of a case. Before transferring Case Files to the University Archives, the FAC will make a check whether the appellant is at that time still an active member of the University community, and if so, a flag noting that fact will be attached to the file. Case Files shall then be deposited in the University Archives where they shall remain closed for an additional ten (10) years, except that they shall be available to the Committee’s current officers and staff when the need arises. Prior to the expiration of thirty (30) years, the Committee or the University Archivist may receive applications for research access to these records, but such access may only be granted following written approval from the Chair of the current Committee after he/she consults with the FAC. In case a request is made for a flagged file, regardless of age, the Archivist will make a further check and will not release the file during the time when the appellant still is active in the University community. When access to materials is granted, whether prior
to or after the expiration of 30 years, researchers must complete the University Archives Request to Conduct Research in Personally Identifiable Faculty Advisory Committee Records and adhere to all access and non-disclosure provisions.

Consultation Records
Description. During the period of active consideration, consultation records may contain such materials as correspondence, interview summaries, copies of departmental and college bylaws, and related documents pertinent to the work of the Committee.

Disposition. Except for the official record of consultations which is included in the minutes, permanent files on consultations will not be retained after two (2) years following the close of the  consultation. Insofar as consultations are recorded in the minutes held in the Committee Activities, the access policy for that file governs access to consultations.

Committee Issuances and Publications File
Description. The Committee Issuances and Publications File contains:

•  annual report
•  other general reports to the faculty or administration;
•  membership roster;
•  correspondence to the faculty regarding the nomination and election process;
•  nominating petitions and biographical information submitted by nominees;
•  a tally of votes cast in election; and
•  correspondence regarding the outcome of the election.

Disposition. The Committee Issuances and Publications File shall be retained in the Committee Office for twenty (20) years. The File shall then be deposited in the University Archives where it is available for examination without restriction.

Adopted March 31, 2000;