COUNTY OF SAN FRANCISCO CIVIL SERVICE COMMISSION ii^ 111 3 1223 06564 1368 CITYWIDE EMPLOYEE PERSONNEL RECORDS GUIDELINES DEPT. MC»fHf»*S SAN FRANCISCO 'HRARV PUBLIC I Adopted by the Civil Service Commission April 6, 992 1 D May Effective 1992 1, REF 658 301 . Sa52c CITY AND COUNTY OF SAN FRANCISCO CIVIL SERVICE COMMISSM >\ SANFRANCISCOPUBLICLIBRARY in , | 3 1223 06564 1368 CITYWIDE EMPLOYEE PERSONNEL RECORDS GUIDELINES DEPT. ,,..*NTS SAN FRANCISCO '^RARV MJbLlC > Adopted by the Civil Service Commission April 6. 1992 May Effective 1, 1992 1 2 CITY AND COUNTY OFSAN FRANCISCO CIVIL SERVICE COMMISSION Citywide Employee Personnel Records Guidelines Table of Contents I. Authority for and Effective Date ofGuidelines, pg. 3 II. Purpose,Administration and Application ofGuidelines, 4 Pg- III. Glossary and Abbreviations, pg. 6 IV. Memoranda ofUnderstanding, pg. 9 V. Official Employee Personnel Folder and Employee Personnel Records Forms Prescribed, pg. 10 Employee Personnel Folders, pg. 1 iployee Personnel Records and Disclosure of pg. 16 ofEmployee Personnel Records. San FranciscoPublicLibrary Retention and Destruction of Employee Government :cords, pg. 21 Information Center San h-ancisco Public Library TOO Larkin Street, 5th Floor yee Records - Maintenance, Access, Transmittal San Francisco, CA 94102 ion, pg. 23 REFERENCE BOOK Text ofMemoranda of Understanding Provisions Not to be taken from the Library Related to Employee Personnel Records, pg Al Graphic Depiction of the Official Employee Personnel Folder, pg B Official Employee Personnel Folder Cover Label. (CSC 1-88), pg. CI Appendix D: Tab Label Information, Sample Labels, Positioning of Tab Label, pg. Dl Appendix E: Employment History Summary (CSC 1-80). pg El Appendix F: Employee Personnel Records Register of Access and Copies Provided (CSC 1-82), pg Fl Appendix G: Employee Personnel Records Transmittal Receipt (CSC l-84),pg.Gl Appendix H: Disclosure and Access Authorization and Release (CSC 1-86), pg. HI Appendix I: Employment Verification Guidelines, pg II 2 CITY AND COUNTY OF SAN FRANCISCO CIVIL SERVICE COMMISSION AUTHORITY FOR AND EFFECTIVE DATE OF GUIDELINES I. These Guidelines, adopted by the Civil Service Commission at its meeting ofApril 6, 1992, are effective on May 1, 1992. They are adopted andprescribed pursuant to the authority ofthe Civil Service Commission under the following: A. Charter Section 3.661 - General Powers and Duties. B. Civil Service Commission Rule 30 - Personnel Records. C. City Attorney's Opinion. 3 1223 06564 1368 CITY AND COUNTY OF SAN FRANCISCO CIVIL SERVICE COMMISSION PURPOSE. ADMINISTRATION AND APPLICATION II. OF GUIDELINES A. The purpose ofthese Guidelines is to prescribe a uniform, standardized system for the access, maintenance, retention, and destruction of all papers related to the work history ofemployees ofthe City and County ofSan Francisco and to provide a procedure to facilitate the movement ofpersonnel folders and other personnel records ofemployees between departments. B. The San Francisco Unified School District and the San Francisco Community College District shall be considered as departments ofthe City and County of San Francisco for the purposes ofthe implementation, application and administration of these Guidelines. C. These Guidelines shall apply to the personnel records of all employees regardless of employment status in all departments ofthe City and County and to classified (non-certificated) employees ofthe School Districts, both civil service appointees and those exempt from civil service examination and removal procedures Use of the term "employee" in these Guidelines shall include appointees to positions of the City and County ofSan Francisco and the classified employees of both School Districts D. The General Manager, Personnel shall implement and administer these Guidelines and may conduct any audits deemed necessary to insure that departments conform to them. E. Employee personnel records shall be maintained in such a manner as to be readily available for audit by agents ofthe Civil Service Commission F. These Guidelines provide for the administration ofexisting employee personnel records and those records established for new employees appointed on or after the effective date. All employee personnel records, both the existing personnel folders, the ' )ff Employee Personnel Folders (OEPF) provided herein and other personnel-related documents, shall be administered, accessed, maintained, retained and disposed of in the manner prescribed in these Guidelines. The contents of existing employee personnel folders shall be immediately brought into conformity with these Guidelines. G. Except as provided in these Guidelines, there shall be one employee personnel folder, either the OEPF as prescribed in these Guidelines or the employee personnel folder existing prior to the adoption ofthese Guidelines, for each employee of the City and County ofSan Francisco. Separate "personnel folders" within a department shall not be maintained. Multiple personnel folders in a department shall be consolidated into an OEPF as soon as administratively feasible after the effective date of these Guidelines H. The OEPF or the existing personnel folder shall be maintained in one location u ithm each department; however, in large departments with geographically distinct locations, the existing personnel folder or the OEPF may be maintained at a designated location at the employee's work site. Each department may determine and designate the location ofthe personnel records ofeach ofits employees. I. All employee personnel records are the property of the City and County of San Francisco and not ofthe individual departments. 4 CITY AND COUNTY OFSAN FRANCISCO CIVIL SERVICE COMMISSION Section II (continued) J. Effective on and after May 1, 1992, as provided in these Guidelines, an employee's personnel folder shall follow an employee as the employee moves from one department to another department within City and County employment. K. Establishment and conversion to the employee personnel records system prescribed in these Guidelines fromexisting systems shall be at the expense ofthe respective departments ofthe City and County ofSan Francisco. 5 CITY AND COUNTY OFSAN FRANCISCO CIVIL SERVICE COMMISSION GLOSSARY AND ABBREVIATIONS III. GLOSSARY A. 1. ACCESS The provisions governing the inspection of employee personnel records (see Section VII C). ADMINISTRATIVE A 2. set offiles containing personnel-related FILES records of an employee which for a variety of reasons are not maintained in existing personnel folders or in the OEPF but in separate, secondary files. Examples of records maintained in Administrative Files are medical records, grievances, conflict of interest statements, workers' compensation records, etc. 'see Section X). 3. CITY When the term "City and County" is used in AND these Guidelines it shall also include the COUNTY San Francisco Unified School District and the San Francisco Community College District. These Districts shall be considered as departments of the City and County for the purposes of these Guidelines. 4. CONFIDENTIAL Records about an employee which may not be released to the public without the consent of the employee or by legal process. 5. CONSOLIDATION The combining ofmultiple employee personnel folders either within a department or from two or more departments into one OEPF. 6. CONVERSION The process ofchanging existing personnel folder nto s the official system established under these Guidelines CONTENTS Items described in these Guidelines which may be placed in an employee's personnel folder. CUSTODIAN A person designated by an appointing officer OFTHE in each department or at each location where PERSONNEL employee personnel records are maintained who RECORDS is responsible for maintaining the security and confidentiality of the employee personnel records and conformity with these Guidelines (see Section \H A). 9. DEPARTMENT When the term "department" is used in these Guidelines, it shall include the various subdivisions of the City and County ofSan Francisco, i.e., department, commission, office, etc. under an appointing officer, and the San Francisco Unified School District and the San Francisco Community College District. 10. EMPLOYEE When the term "employee" is used in these Guidelines it shall include all civil service and exempt appointees of the City and County of San Francisco and all classified employees ofthe San Francisco Unified School District and the San Francisco Community College District. 6 CITY AND COUNTY OFSAN FRANCISCO CIVIL SERVICE COMMISSION Section III (continued) 11. EMPLOYEE All employee personnel-related records PERSONNEL maintained both before and after the effective RECORDS date ofthese Guidelines. "Employee Personnel Records" includes both those documents maintained in existing personnel folders and in the Official Employee Personnel Folder and includes other records maintained in separate Administrative Files. 12. EXISTING Those employee personnel records maintained PERSONNEL until the effective date ofthese Guidelines. FOLDER An existing personnel folder may continue to be maintained subject to conversion to an Official Employee Personnel Folder in the manner and on the occasions prescribed in these Guidelines. FORMER A 13 file containing a department's record of EMPLOYEES previous employees. The basic document in FILE the Former Employees File is a copy ofthe Employment History Summary (EHS) (see Section VI B, VIII D and Appendix E). 14. OFFICIAL A folder prepared according to the EMPLOYEE specifications provided in these Guidelines PERSONNEL which contains the official records of an FOLDER (OEPF) employee's work history with the City and County ofSan Francisco and which is established and administered in accordance with these Guidelines. 15. MAINTENANCE The manner in which employee personnel records are filed and secured during and after an individual's employment with the City and County ofSan Francisco (see Section VIII). MEMORANDUM A 16 contractual agreement between the City and OF County ofSan Francisco and an employee UNDERSTANDING organization (see Section IV and Appendix A). 17 RELEASING The "releasing department" is the department DEPARTMENT in which an employee was previously employed and which is now forwarding or transmitting employee personnel records to another department (see Section IX A). 18. RECEIVING The "receiving department" is the department DEPARTMENT to which an employee is being appointed and to which employee personnel records are being sent by the "releasing department" (see Section DC B). 19 SUPERVISOR'S Documentation about the workperformance of FILE an employee kept in a separate file by a supervisor on a X short-term basis (see Section B). 7