Fifth Judicial District - Department of Correctional Services

DISTRICT POLICIES

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TITLE: Confidentiality Of Personnel Files

POLICY

A personnel file shall be maintained by the Personnel Technician's Office on each employee of the Department. Contents of the personnel files shall be established by procedure by the Director.

Information which shall be considered public and may be given to anyone upon request shall be:

  1. Dates of Employment
  2. Job Duties
  3. Salary Information (including the accrual, utilization, and balances of vacation, sick leave, and compensatory time, upon written request).

Information regarding the employee's job performance and conduct shall be considered confidential and may be given out only as follows:

To Department supervisory or management personnel, members of the Department's Board of Directors, Directors of other Judicial District Departments of Correctional Services within Iowa and management staff at the Iowa Department of Corrections, on a need-to-know basis.

  1. To potential employers performing reference checks, but only if the employee or former employee has signed the Department's waiver form for release of employment information.

Other "working" files may be established by procedure to contain copies of documents contained in the personnel file or other personnel-related information for use by supervisory or management staff.

PROCEDURES

  1. Contents of Personnel Files
    The following documents (listed by section) shall be maintained in each employee's personnel file:
    1. Personnel File Access Log (Log to be completed by personnel accessing the personnel file. Authorized personnel: Director, Assistant Director, Division Manager, Administrative Assistant, and Director Designee.)
    2. All Reports of Personnel Action, to include initial appointment and each change in pay and/or status thereafter.
    3. All Acknowledgements for Receipt and Review of Manual Policies and Procedures.
    4. All performance evaluations conducted on the employee.
    5. All Training Request/Evaluation Forms as documentation of employee training attended and evaluations of the training. This information will be maintained on the Human Resources computer database under Training.
    6. The completed application for the initial appointment and any subsequent appointments. Any other reports or correspondence regarding the employee that is of importance to the Department. Any and all reports and letters of commendation or appreciation. Any and all reports of disciplinary actions.
  2. Responsibility for Maintaining

    The Personnel Technician shall maintain the personnel files. The employee's immediate supervisor is responsible for forwarding all materials to be included in the personnel file to the Personnel Technician.

  3. Reviews by Employee

    The employee shall receive a copy of all written reports or be notified of entries to his/her personnel file before they become a part of said file. All employees have the right to review all of their employment records; however, no file shall be removed from the Personnel Technician's office by the employee. Such review shall be in the presence of the Personnel Technician.

    Any requests for review of the administrative personnel file shall be made to the employee's supervisor in writing. The supervisor shall immediately forward such requests to the Personnel Technician, who shall reply to schedule a time for review. All reviews shall take place during the normal working hours of the administrative office.

  4. Reference Checks on Former Employees [NOTE: Includes Interns & Volunteers]

    Unless a former employee, intern or volunteer has signed an Authorization and Waiver for Release of Information, the only information the Department will release will be that defined by policy as public information.

    Every person who leaves the Department's employment shall be given the option of signing an "Authorization and Waiver for Release of Employment/Internship/Volunteer Position Information" form, the original of which shall be placed in the employee's personnel file, a copy retained by the supervisor.

    In responding to reference check queries, supervisory staff shall exercise care to respond factually rather than giving unsubstantiated opinions. (Don't just say "not dependable"; give facts to substantiate).

  5. File Records on Interns/Volunteers

    All interns/volunteers shall complete an Agreement for Internship/Volunteer Position form. The completed form shall be kept by the Volunteer Coordinator and placed in the intern/volunteer file records.

    Upon completion of the internship/volunteer service, the intern/volunteer shall be given the option of signing an Authorization and Waiver for Release of Information form, the original of which shall be placed in the personnel records, and a copy retained by the Volunteer Coordinator.

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