Policy 7010 Implementation Procedures - Personnel Records

Implementation Procedures

I. Definition

Within the context of these procedures, the following definition applies:

Supervisor File – Site-based, confidential employee file maintained by a supervisor, in any format and location, that contains personnel records.

II. Personnel Records

Personnel Records Maintained in an Employee’s Personnel File
1. The Howard County Public School System (HCPSS) safeguards personnel records that are part of an employee’s personnel file. Personnel records maintained in an employee’s personnel file, in any format and location, may include, but are not limited to:
  1. Action Plans.
  2. Administrative leave information.
  3. Application for employment documents including reference surveys and/or pre-employment references.
  4. Attendance records.
  5. Background checks.
  6. Benefit information.
  7. Certification information.
  8. Contract documentation including coaching, team leader, and/or sponsor contracts.
  9. Data and information kept by the third party billing office.
  10. Disciplinary action documents including letters of reprimand, suspension, and/or termination.
  11. Employment offer letter and/or contract.
  12. Evaluation documents and responses.
  13. Evidence of completion of trainings.
  14. Family and descriptive social information.
  15. Health records.
  16. Leave records and eligibility information.
  17. Legal proceedings.
  18. Observation reports.
  19. Onboarding records.
  20. Payroll records.
  21. Personal identification data.
  22. Promotional references.
  23. Separation from service documentation.
  24. Social media activity reviews.
  25. Social Security number.
  26. Transcripts, test scores.
2. An employee’s legal name will be used on all official records. In the event of a name change resulting from marriage or a Court Order, the employee’s legal name and all former names will be maintained.
Personnel Records Maintained in Locations Other Than the Employee’s Personnel File
1. A supervisor may maintain site-based, confidential employee files. Such a file is not part of the employee’s personnel file. Personnel records in a supervisor file, in any format and location, may include but are not limited to:
  1. Articulation meeting minutes/notes regarding the employee.
  2. Attendance information regarding the employee.
  3. Bullying, Cyberbullying, Harassment, or Intimidation reporting forms.
  4. Building access and/or security codes.
  5. Certification documentation.
  6. Commendation information.
  7. Correspondence regarding the employee including emails, memos, and/or letters.
  8. Disciplinary action documents, including letters of concern, warning, reprimand, resolution and/or understanding.
  9. Documents related to ADA accommodations.
  10. Evaluation documents and responses, including observation reports and responses.
  11. Fitness for Duty referrals.
  12. Meeting minutes/notes regarding the employee.
  13. Professional learning plans and/or goals.
  14. Recommendation letters.
  15. Student reports or statements regarding the employee.
2. The HCPSS maintains other confidential personnel records that may not be part of an employee’s personnel file or a supervisor file. Such records, in any format and location, may include but are not limited to:
  1. Attendance information regarding the employee.
  2. Bullying, Cyberbullying, Harassment, or Intimidation reporting forms.
  3. Building access and/or security codes.
  4. Correspondence regarding the employee including emails, memos, and/or letters.
  5. Documents related to accommodations.
  6. Documents related to criminal proceedings.
  7. Evaluation documents and responses, including observation reports and responses.
  8. Fitness for Duty referrals and evaluations.
  9. Meeting minutes/notes regarding the employee.
  10. Records of grievances and appeals.
  11. Reports of Suspected Child Abuse/Child Neglect/Mental Injury.
  12. Student reports or statements regarding the employee.
Records that a supervisor keeps in his/her confidential personal file that may be used as a personal memory aid by the supervisor are not personnel records.

III. Security of Personnel Records

All personnel records will be stored securely and will be accessible only to HCPSS Board members, employees, and vendors with legitimate job-related interest.
1. Personnel records in physical format will be stored in a secure, lockable location.
2. Personnel records in an electronic format will be password protected.
When personnel records are converted to another format, the accuracy, confidentiality, integrity, and quality of the original record will be preserved.
When personnel records are sent or received by HCPSS Board members, employees, and vendors in physical or electronic form, confidentiality will be protected.
When access to an electronic system includes an employee ID or user ID, that access will require dual authentication of the user’s identity.

IV. Management of Personnel Records

Access to Personnel Records
1. HCPSS Board members, employees, and vendors will not have access to personnel records unless they have a legitimate job-related interest in doing so.
2. Employees have the right to review their personnel records according to established HCPSS procedures and applicable Master Agreements.
3. Employees have the right to receive copies of documents contained in their personnel records according to established HCPSS procedures and applicable Master Agreements.
4. Employee reference letters and information are the property of the HCPSS and are neither available for review by the employee nor available for release to any other party except HCPSS Board members, employees, and vendors who have a legitimate job-related interest.
5. Employees have the right to request that information determined to be inaccurate or misleading be removed from those records according to HCPSS procedures.
6. Upon termination, employees will have no further access to their personnel records. Exceptions will be authorized by the Superintendent/Designee.
7. Records of grievances and appeals under The Annotated Code of Maryland, Education Article, Section 4-205 will not be included in an employee’s personnel file except as it may confirm a salary or position adjustment.
8. Public Information Act requests for personnel records will be complied with in compliance with the Maryland Public Information Act, Section 4-101, et seq., General Provisions Article, Annotated Code of Maryland.
9. Subpoenas received by the HCPSS for personnel records will be processed according to federal, state, and local laws and regulations, as applicable.
10. Court Orders for the disclosure and/or production of personnel records will be processed in accordance with applicable law.
Review of Personnel Records
1. Personnel Records Maintained in an Employee’s Personnel File
  1. An employee has the right to review his/her personnel file. If the employee wishes to be accompanied by another person or a representative of a union during such a review, that request must be submitted in writing. The review will then be made in the presence of the Superintendent/Designee responsible for protecting the confidentiality of such files. At the employee’s request, a copy of any material contained in the file will be provided.
  2. A log documenting names and dates of review of the file by anyone other than the Superintendent/Designee will be maintained as part of the file.
  3. Derogatory material or complaints about an employee’s conduct, service, character, or personality may be placed in the site-based supervisor file only if:
    
    The employee has had an opportunity to review such material, and
    
    The Superintendent/Designee has investigated the allegations, and
    
    The Superintendent/Designee has concluded that the allegations have validity.
  4. The employee will be given an opportunity to acknowledge that he/she has had the opportunity to review any derogatory material or complaints about the employee’s conduct, service, character, or personality, by affixing his/her initials to the copy to be filed, with the express understanding that such initialing in no way indicates agreement with the contents. If the employee declines or refuses to initial such material that declination/refusal will be noted on the document by the Superintendent/Designee and be verified by another witness.
  5. Duplicate copies of letters, email messages, or materials sent or copied to the employee may be filed without the employee’s signature.
  6. The employee will be permitted to attach his/her comments related to any material included in this file.
2. Personnel Records Maintained in a Supervisor File
  1. The existence of a supervisor file will be made known to that employee. Any documents maintained in a supervisor file that are not made accessible to the employee may not be used to support an evaluation or disciplinary action.
  2. An employee has the right to review his/her supervisor file. If the employee wishes to be accompanied by another person or a representative of a union during such a review, that request must be submitted in writing. The review will then be made in the presence of the supervisor/designee responsible for protecting the confidentiality of such files. At the employee’s request, a copy of any material contained in the file will be provided.
  3. A log documenting names and dates of review of the file by anyone other than the supervisor will be maintained as part of the file.
  4. Derogatory material or complaints about an employee’s conduct, service, character, or personality may be placed in the site-based supervisor file only if:
    
    The employee has had an opportunity to review such material, and
    
    The appropriate supervisor has investigated the allegations, and
    
    The appropriate supervisor has concluded that the allegations have validity.
  5. The employee will be given an opportunity to acknowledge that he/she has had the opportunity to review any derogatory material or complaints about the employee’s conduct, service, character, or personality, by affixing his/her initials to the copy to be filed, with the express understanding that such initialing in no way indicates agreement with the contents. If the employee declines or refuses to initial such material that declination/refusal will be noted on the document by the supervisor and be verified by another witness.
  6. Duplicate copies of letters, email messages, or materials sent or copied to the employee may be filed without the employee’s signature.
  7. The employee will be permitted to attach his/her comments related to any material included in this file.
  8. After an employee’s probationary period has been completed and upon the employee’s request, documents and notes kept in the supervisor’s file for more than three years regarding that employee may be removed and discarded at the discretion of the supervisor.
  9. When an employee transfers to another work site or assignment within the HCPSS, the site-based supervisor file will be forwarded to the supervisor at the new location.
Retention and Destruction of Records

The retention schedule for personnel records will follow the Policy 3050 Records Management, the HCPSS Records Retention Schedule, and the following protocols:
1. Personnel records of employees no longer in the HCPSS will be stored in a central archive under the supervision of the Superintendent/Designee.
2. Records of Suspected Child Abuse/Child Neglect/Mental Injury will be retained in accordance with Policy 1030 Child Abuse and Neglect.
Waivers
1. An applicant for admission to an institution of post-secondary education or employment may waive his/her right to inspect and review confidential letters and confidential statements of recommendation, applications for employment, or receipts of honors or honorary recognitions.
2. A waiver as described above may be revoked with respect to future actions. The revocation must be in writing.

IV. History

ADOPTED: June 11, 2015

REVIEWED:

MODIFIED:

REVISED:

EFFECTIVE: July 1, 2015