I. AUTHORITY

This policy is issued under authority granted to the Chief Probation Officer.

II. PURPOSE

The purpose of this policy is to ensure the confidentiality and proper handling and maintenance of employee personnel records.

III. APPLICABILITY

This applies to any staff possessing or handling employee documents as it relates to employee personnel records for all Probation employees.

IV. BACKGROUND

Employee personnel records are confidential documents which are to be treated with utmost care and restricted access.

V. GENERAL POLICY

The Human Resources Department maintains the official personnel file for each employee.

 

A.  The Probation Department maintains three (3) separate and independently stored files for each employee.  The files shall be labeled and defined as follows:

1. Administrative file includes:  Emergency contact form; employee documents signed at the time of hire; employee performance evaluations through 2016 (as of 2017, performance evaluation can now be access through NeoGov); medical insurance documents through 2016 (medical insurance can now be accessed through BenXcel as of 2017); commendations/letters of appreciation; employee photograph; work improvement memorandums; written memorandums summarizing specific conversations; and copies of any formal disciplinary documents.
2. Administrative, medical, and background investigation files may be destroyed five (5) years after employee separation from the Department.

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   2. Background investigation files shall be kept for the term of the employee’s employment plus five (5) years. 

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   4. Administrative and medical files shall be kept for the term of the employee’s employment plus five (5) years.  (San Luis Obispo County Personnel Department Policy Topic: Department Personnel Files)

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   6. Administrative, medical and background investigation files shall be retained and destroyed as follows:

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   5. The release of peace officer personnel records pursuant to the California Public Records Act shall be done in consultation with County Counsel.

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   8. Any record relating to an incident in which a sustained finding was made by any law enforcement agency or oversight agency that the peace officer made an unlawful arrest or conducted an unlawful search.

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   7. Any record relating to an incident in which a sustained finding was made by any law enforcement agency or oversight agency that a peace officer engaged in conduct involving prejudice or discrimination against a person based on a specified protected class (i.e. race, religion, color, etc.).

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   6. Any record relating to an incident in which a sustained finding was made by any law enforcement agency or oversight agency involving dishonesty by a peace officer directly relating to the reporting, investigation, or prosecution of a crime or directly relating to the reporting of, or investigation of misconduct by another peace officer or custodial officer including but not limited to, false statements, filing false reports, destruction, falsifying or concealing of evidence or perjury.

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   5. Any record relating to an incident in which a sustained finding made by any law enforcement agency or oversight agency that a peace officer engaged in sexual assault involving a member of the public.

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   4. A sustained finding involving a complaint that an officer failed to intervene against another officer using force that is clearly unreasonable or excessive.

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   3. A sustained finding involving a complaint that alleges unreasonable or excessive force.

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   2. An incident involving the use of force against a person by a peace officer that resulted in death or in great bodily injury.

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   4. An incident involving the discharge of a firearm at a person by a peace officer.

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   4. Peace officer personnel records are confidential pursuant to Penal Code Section 832.7.  However, pursuant to exemptions within that statute, records pertaining to the following shall be made available pursuant to the California Public Records Act:

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   2. Any request from the office of the District Attorney to review a peace officer’s personnel records for any reason, including request pursuant to Brady v. Maryland, shall be referred to the County Counsel’s office.

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      C.   Other agency access to peace officer personnel records is restricted as follows:
       

   4. A court order is required to compel disclosure of peace officer personnel records in civil and criminal proceedings. (Penal Code Section 832.7, Evidence Code 1043)

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   5. Employees objecting to or wishing to clarify a comment or document in their administrative file, may attach a memorandum to the document(s) within 30 days of the issuance of the document.

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   2. If the removal is denied, the initial request and the Chief Probation Officer’s response shall remain in the employee’s administrative file.

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   4. The Chief Probation Officer has 30 calendar days from the date of the employee request to respond either negatively or affirmatively.

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   4. In the event the employee identifies a document(s) that he/she wishes to have removed, the employee may have a copy of the document and submit a request to the Chief Probation Officer explaining the basis for the request to remove the document.

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   3. Employees may request to have a copy of any document in their Administrative File by submitting a written request to the Supervising Administrative Clerk or Department Personnel Technician.

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   2. An appointment is agreed upon between the employee and the Supervising Administrative Clerk or Department Personnel Technician to review the file.  The employee shall not be allowed to review his/her file privately, only in the presence of the Supervising Administrative Clerk or Department Personnel Technician.

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      B.   All employees have a statutory right to review any personnel records that are within the employee’s personnel file and used to determine their qualifications for employment, promotion, additional compensation, or disciplinary action by complying with the following process:

       

   4. The employee submits a written e-mail request to review his/her administrative file to the Supervising Administrative Clerk or Department Personnel Technician.

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   2. Employees may not review their background investigation file.

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   4. Background investigations are strictly confidential. They are to be maintained apart from the administrative file of the individual. Only the final page of the employee’s background investigation, which includes the employee’s name, the name of the submitting investigator, and the signature of the Chief Deputy Probation Officer assigned to the Support Services Division or designee shall be placed in the employee’s administrative file. The remaining portion of the employee’s background investigation shall be placed in the employee’s background investigation file.

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   3. Background investigation file includes:  The background investigation report and any required documents supporting/confirming that the employee met the minimum requirements for the position at the time he/she was hired.

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   3. Employees may review their medical file but may not remove items from the file. Employees may request copies of documents they have submitted.

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   2. Access to this information is for the sole purpose of being informed regarding the employee’s work status and for making related management decisions.  Confidential medical information will not be disclosed, except on a need-to-know basis, for Departmental management decision-making.

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   4. Access to and review of employee medical files are restricted to those staff designated as Workers’ Compensation Liaisons for the Department and who have annually signed a Confidentiality of Information Agreement form, and department management, as necessary. 

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   2. Medical file includes: Documents pertaining to injuries/illnesses occurring on duty; medical leave of absence documents; physician authorizations to return to duty; physician restrictions; accommodation and non-accommodation memos; and the results of psychological/medical evaluations.

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   4. While supervisors may maintain generic and general notes on employees, separate individual employee files used to document negative performance are not allowed.

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   3. Any officer conducting background or internal affairs investigations may review administrative files of employees involved in/related to said background or internal affairs investigation with consent of the Chief Probation Officer, Assistant Chief Probation Officer, or the Chief Deputy Probation Officer of the Support Services Division.

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   2. Supervisors may review administrative files of direct reports at any time in the Supervising Administrative Clerk’s or Departmental Personnel Technician’s office.  Administrative files shall only be removed from their place of storage by the Chief Probation Officer, Assistant Chief Probation Officer or one of the Chief Deputy Probation Officer.

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   4. Administrative files will be maintained in locked storage at all times.  Administrative files of Peace Officers will be maintained separate from the files of all other job classes.
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VI. EXCLUSIVITY

This policy will remain in effect until superseded or suspended in writing by the Chief Probation Officer and can be reviewed as needed.