Employee Personnel Records - SOP

Idaho
Department of
Correction

Standard
Operating
Procedure

Human
Resource
Services
Control Number:
225.07.01.001
Version:
2.0
Page Number:
1 of 3
Adopted:
3-5-2009
Reviewed:
4-20-2009

Title:
Employee Personnel Records

This document was approved by Judith Gregory, director of Human Resource
Services, on 4/20/09 (signature on file).
BOARD OF CORRECTION IDAPA RULE NUMBER
None
POLICY STATEMENT NUMBER 225
Employee Personnel Records
POLICY DOCUMENT NUMBER 225
Employee Personnel Records
DEFINITIONS
Employee Personnel Permanent File: An employee file maintained by the Idaho
Department of Correction’s (IDOC’s) Human Resource Services (HRS) that includes all
information regarding a current or former employee’s performance, work history, payroll, and
benefits.
Employee Working File: An employee file maintained by the employee’s supervisor that
includes information and documentation regarding the employee’s per formance (both good
and poor) for current and past employee performance review cycles .
PURPOSE
The purpose of this SOP is to provide guidance in the development and administration of
current, accurate and appropriately confidential employee personnel reco rds.
SCOPE
This SOP applies to all managers, supervisors, and employees of IDOC.
RESPONSIBILITY
The director of Human Resource Services (HRS) (or designee) will ensure the safety and
confidentiality of employee personnel records and act as a custodian concerning the
development, maintenance, access, and disposal of these records in accordance with Idaho
Public Records Law.

Control Number:
225.07.01.001
Version:
2.0
Title:
Employee Personnel Records
Page Number:
2 of 3

• A file may contain both exempt and nonexempt material, but cannot be considered
confidential in total.
• When access is requested, nonexempt information must be provided.
Division chiefs, facility heads, and district managers will ensure the provisions contained
herein are adhered to and that working files are maintained in a safe and secure
environment.
Managers and supervisors are responsible for maintaining a working file for each employee
reporting to them. This would include updating information and performance documentati on
as described herein.
Table of Contents
General Requirements .............................................................................................................. 2
1. Confidentiality ...................................................................................................................... 2
2. Disclosure of Employee Information ................................................................................... 3
3. Employee Access to Personnel Record ............................................................................. 3
4. Removal of Material in Personnel Files .............................................................................. 3
5. Separation ........................................................................................................................... 3
References ................................................................................................................................ 3
GENERAL REQUIREMENTS
1. Confidentiality
Persons allowed access to information in personnel files are:
• The employee himself;
• Human Resource Services office employees with a business need to know;
• Any supervisor in the employee's chain of command with a business need to know ;
• Any Department of Correction management employee with a business need to know,
e.g., supervisor/manager interviewing an employee for a position;
• Office of Professional Standards (OPS) investigators or individuals acting in an
investigative capacity as assigned and approved by the director’s office;
• Other government agencies as required by law ;
• Any individual given written authorization by the employee;
• Any attorney or legal staff assigned to the Department of Correction with a business
need to know.
Note: At no time will any individual (other than HRS staff) be left alone with an employee’s
permanent file.
Control Number:
225.07.01.001
Version:
2.0
Title:
Employee Personnel Records
Page Number:
3 of 3

2. Disclosure of Employee Information
All requests for information about current or former employees shall be referred to the HRS
office.
Information regarding an employee's employment history, classification, pay grade, longevity
table, gross salary, status, and work location is public information.
All other information in an employee's file including but not limited to information regarding
sex, race, marital status, birth date, address, home telephone number, correspondence,
performance evaluations, background investigation records, disciplinary record, grievances
and similar material shall remain confidential.
3. Employee Access to Personnel Record
An employee may, at any time during business hours, review his/her personnel file. A
supervisor or employee of the personnel office shall be present whi le the employee is
examining the records.
An employee has the right to request correction, ask for deletion or write a statement of
disagreement with any item in the file. File contents will be corrected if found in error.
Employees will be furnished copies of every personnel action affecting their status, pay,
tenure, or other terms and conditions of employment including performance evaluations.
4. Removal of Material in Personnel Files
Managers and supervisors will review each of their employees ’ working file (kept at the work
site) after completion of the performance evaluation.
Note: Managers and supervisors shall maintain all originals and copies of performance
documentation in accordance with SOP 227.07.01.001, Performance Management.
A Letter of Reprimand (LOR) retained in the employee’s permanent file shall only be
removed with the director's approval.
Requests from an employee or a supervisor to remove an LOR from the permanent file shall
be forwarded through the organizational chain to HRS. HRS will forward the request to the
director. Upon approval, the LOR will be removed from the permanent file but not destroyed.
It will be maintained in a separate file designated f or this purpose.
5. Separation
Upon separation, the employee working file will be sent to HRS for retention.
REFERENCES
Idaho Code, Sections 74-101 thru 74-126 (Idaho Public Records Law)
IDAPA 15.04.01, Rules of the Division of Human Resources and Personnel Commission,
Section 220.01, Employee Service Records
– End of Document –