Section 3 Personnel


Policy 3-11 PERSONNEL FILES

ADMINISTRATIVE POLICY 3-11

DISTRIBUTION:  Departments/Divisions

SUBJECT:  Personnel Files

PURPOSE:  To establish procedures and responsibilities for the maintenance of employee personnel records and personnel files.

BACKGROUND:  A centralized records processing system is required to perform proper personnel management.

PROCEDURES:    

1.    Official Records

The official personnel records and personnel files of the City of Lawton are those maintained by the Human Resources Department.  All data relating to employee status, history, performance, commendations, disciplinary actions, and qualifications shall be kept in the files at the Human Resources Department, along with any other employee information the Human Resources Director shall deem necessary.  These shall be considered the official records and all pertinent information received by departments and divisions shall be forwarded to the Human Resources Department.  Medical information shall be maintained in separate files in the Human Resources Department.

2.    Viewing Records.

Any employee may view their personnel records at any time during normal working hours at the Human Resources Department in the presence of a staff member.  It is the responsibility of the employee to ensure that they have permission from their supervisor to be absent from their place of duty.

If an employee submits an application for an internal job vacancy, the interviewing authority is authorized to view the personnel records of a referred applicant at the Human Resources Department in the presence of staff member, subject to the approval of the Human Resources Director.

3.    Updating Files.

Any change in file status (change of address, telephone number, change of beneficiary, number of dependents, educational achievements, etc) shall be submitted to the Human Resources Department with appropriate documentation, within five (5) working days of the effective date of the change or the date the request for change is initiated.

4.    Personnel Inquiries.

Any inquiries concerning personnel matters (verification of employment, salaries, or status of specific employees) shall be directed to the Human Resources Department.  Any other individual or department shall provide no information or comments relating to personnel inquires.

Except as otherwise provided in the Oklahoma Open Records Act, personnel records are confidential and the contents are not to be disclosed unless the employee has given their authorization in writing.  Human Resources Department policy is to only telephonically verify that information that the employee provides to a creditor/employer and is limited to dates of service, job title, gross income, and eligibility for re-employment.  Additional employment information may be released only by the Human Resources Department with written authorization of the employee.

The following information may be released in accordance with the Oklahoma Open Records Act:

Items considered private and confidential in nature under the Oklahoma Open Records Act and not subject to disclosure include:
    
5.    Department Responsibilities.

Department directors are responsible for the forwarding of documents to the Human Resources Department for inclusion in the personnel files of those employees assigned to their departments. Departments may keep temporary copies of certain records such as personnel action forms, performance evaluations, commendations, and disciplinary actions for reference only.  Such copies at the department level are not official personnel records.  There shall be no such records maintained below the department level.  Divisions and sections are specifically prohibited from maintaining such records.

6.  Verification and Removal of Records.

Each employee is responsible for the verification of information contained in the personnel file through periodic audit.  A Human Resources Department representative must be present when the file is audited.  Only the Human Resources Director may remove records from personnel files.  The Human Resources Director shall use the following guidelines to determine if a record may be removed from an employee's personnel files:

Upon consultation with the employee department supervisor, the Human Resources Director may remove a record from an employees personnel file after 5 years from the date of such investigation, complaint, reprimand, counseling session, documentation etc; Employee appraisals are not subject to removal from an employee's personnel files.  The City Attorney should be consulted as to the propriety of removing records on a case-by-case basis.

7.  Letters of Reference.

Department directors or supervisors are permitted to write letters of recommendation in their official capacity for former employees, consistent with the following provisions:

·     The former employee must provide written documentation authorizing the department director or supervisor to write     a letter of reference.

·     Prior authorization must be obtained from the Human Resources Director or City Manager.

·     The former employee must not have any documentation of disciplinary action or any appraisal with an overall rating     less than standard in their personnel file.

·     Letter of recommendation must have a disclaimer stating that the letter of recommendation is the personal assessment of the author, not the City of Lawton.

·     Letter of recommendation cannot be written on City of Lawton letterhead.

REFERENCES:    Chapter 17 of the Lawton City Code
                            Oklahoma Open Records Act

RECISION:    This policy rescinds Administrative Policy 3-11 dated August 23, 194 and will remain in effect until superseded or rescinded.

RESPONSIBLE DEPARTMENT: Human Resources


_____________________________
Bill Baker
City Manager
September 10, 2002


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(AP 3-11, Amended, 09/10/2002, Prior Text)