Chapter Ten - Employee Records Management

10.1           EMPLOYEE RECORDS MANAGEMENT

10.1.1        District 19 Community Services Board Responsibilities

Policies governing access to personnel records will be in compliance with both §2.2-3704 (Freedom of Information Act) and §2.2-3806 (Privacy Protection Act) of the Code of Virginia. Personnel records will be treated in a confidential fashion, with agencies and individuals having access to records indicated below.

There shall be a single personnel file for each D19 CSB employee. Those D19 CSB personnel having access to individual personnel files include applicable Director and the Executive Director. In some instances, these may be the same individu­als.

The individual designated for maintaining personnel records is the Board's Human Resources Director who will similarly have access to individual personnel files. This individual is responsible for ensuring that records are maintained in compliance with Board policies, applicable federal and State laws, and DMHMRSAS regulations. The Human Resources Director is delegated by the Executive Director to respond to requests for D19 CSB employment related information regarding employees.

In compliance with the requirement of certain funding agencies, such as the DMHMRSAS, personnel records may be subject to review by funding agency personnel for the purpose of documenting the maintenance of certain records, as well as the presence of required forms and verification of individual employee credentials, as appropriate.

10.1.2        Human Resource Office Records and Disclosure of Information

The Board's Human Resources Director shall maintain:

1. A master set of current Human Resources Policies and Procedures with all amendments;
2. A copy of current classification and compensation plans;
3. A master personnel roster showing the title of each position and classification, the name of the position incumbent, immediate supervisor, the rate of pay, and any other data necessary to meet reporting requirements as requested by the Executive Director or Directors.
4. A record of recruitment and selection for each position as outlined in Chapter 3 ("Recruitment and Selection") of this manual.

See Section 10.1.5 regarding employee review of their personnel file.

10.1.3        Individual Employee Files

Individual employee personnel records are private. The records are the property of D19 CSB and the information contained is to be used only by the Human Resources Director, Executive Director, or Directors. As indicated previously, certain funding agencies (e.g., DMHMRSAS), may have access to personnel records for specified reasons.

Personnel records are only to be reviewed in the office of the Human Resources Director. The Human Resources Director must approve any records taken out of the Human Resources Office which must be logged out.

The Human Resources Director may release the following information to third party inquiries made by telephone or in writing, unless otherwise directed by the employee: (1) beginning and ending dates of employment; (2) verification of current salary; and (3) job title. Any other release of information requires a written request by the employee, and an explanation of the reason for the request.

10.1.4        File Requirements: The following files are required to be maintained in the Human Resources Office.

1. Confidential personnel files must be maintained for each employee and include:
   1. application for employment
   2. initial and continuing letters of employment indicating employment acceptance
   3. job-related references and credentials verification, when required
   4. verification of right to work in the U.S. (I-9 Form)
   5. verification of professional licenses
   6. performance planning and evaluation; performance expectations for probationary employees
   7. wage, benefits, tax and other payroll deduction information
   8. position descriptions and position number
   9. employee orientation checklist
   10. employee emergency information
   11. letters of commendation
   12. written reprimands and other notes relative to formal disciplinary action
   13. driver's license verifications and automobile insurance information, when required
   14. outside employment authorization
   15. information on completion of special training programs, when required
   16. authorization for merit increase
   17. record of criminal history check
   18. work schedule
   19. confidentiality from
   20. human resources policies and procedures compliance from
   21. child support inquiries (Code of Virginia, §60.2-114.1)
   22. a record of adverse action by any licensing bodies and organizations such as State Human Rights Committee, if any
2. A health and safety file is to be maintained by the Human Resources Director. This file will include all references to health and safety;, i.e., TB and HBV clearances, workers' compensation information, medical and/or mental records.

It is the responsibility of the Human Resources Director to ensure that employee personnel files are complete and accurate.

3. Other files: Other personnel records which may be maintained as separate files and not as part of the personnel file may include:
   1. Grievance records.
   2. Discrimination complaint case files.
   3. Exit interviews
   4. Unemployment Compensation material

10.1.5        Release of Information to Employees

Employees may ask to examine their personnel files pursuant to §2.2-3704 of the Freedom of Information Act with the following exceptions:

1. Medical and psychological records which shall be released only to a physician or psychologist designated by the employee upon written authorization of the employee.
2. Other information obtained in a confidential manner which needs to protect the privacy right of the information provider (e.g., confidential letters of recommendation or references, credentials verification, criminal background checks, etc.)

This protection of privacy applies to current, as well as, former employees.

The employee is required to review his/ her file in the presence of the Human Resources Director. Any copies to be made of file information are to be approved by the Human Resources Director, and D19 CSB may charge fees for copies of information equal to the cost of reproduction.

The approval of the employee's supervisor will not be required prior to such review. Reasonable notice, however, will be required to their supervisor and Human Resources Director regarding their desire to review their personnel file.

10.1.6        Release of Information to Third Parties

Except for the routine processing of payroll, taxes, insurance, and related administrative functions, or as required by law, payroll information will not be released to credit bureaus, banks, or other credit agencies or to any person without the employee's prior written consent. Third party requests for information must be in writing and accompanied by written authorization from the employee. A copy of the written response is maintained in the employee's personnel file.

District 19 Community Services Board personnel are not permitted to give references unless they are listed as a personal reference. Prior to giving the reference, the individual must verify that his/ her name was used as a personal reference. In such instances, D19 CSB assumes no responsibility for any information given.

All employment-related verifications/ requests are to be handled by the Human Resources Director. The following information will be provided when requested by telephone or in writing: (1) beginning and ending dates of employment; (2) verification of current salary; and (3) job title. No additional information may be provided to prospective employers or any other party unless required by law.

10.1.7        Separation from D19 CSB