Policy Manual

D-610-AR: Personnel Records

References:

• C-620-AR Division Records: Access, Retention and Disposal
  
  

1. The effective operation of the school system requires the accurate maintenance of personnel records and that those records should be accessible only to the employee, the superintendent of schools, or personnel delegated by the superintendent.
2. Information held in personnel files will be classified according to the following predetermined categories:
   1. Applications, contracts and letters of assignment (work history);
   2. Evaluations and performance documentation;
   3. Leaves of absence;
   4. General certification/training/experience;
   5. Compensation and benefits; and
   6. Personal profile (a maximum of five pages, 8 ½” by 11” in size).  Should an employee choose to have a personal profile added to their personnel file, the content of that profile is at the discretion of the employee.
3. Personnel files shall not contain:
   1. confidential letters of reference or unsigned material;
   2. solicitor/client privileged information; or
   3. letters of personal support or commendation unless these letters are a part of the personal profile (see 2.6).
4. Personnel files are retained according to pre-determined criteria as stated in administration regulation C-620-AR, Division Records:  Access, Retention and Disposal, record type Human Resources – Attendance & Leave, Benefits, Job Descriptions, Employee Records, and WCB.
5. Access to an employee’s personnel file is governed by the following:
   1. Access to personnel files by the board of trustees shall be gained by motion.  The need for access to personnel files by the board of trustees shall be considered based on the circumstances requiring access, and evaluated on a case by case basis. The employee in question shall be informed should the board require access.
   2. General access to an employee’s personnel file shall be limited to senior administrators, namely the superintendent of schools, the deputy superintendent, the associate superintendent(s), or personnel delegated by the superintendent.
   3. Limited access shall be granted to school principals.  Limited access shall refer to the ability to access all categories with the exception of the “Leave of Absence” section and “Payroll Information”.
   4. Central office staff requiring access to portions of employee files in the performance of their duties shall have limited access through the superintendent of schools or their designate.  Limited access refers to those categories that relate to the required tasks being performed by the staff member.
   5. Every employee shall have access to all their personnel file with the exception of document(s) that are subject to solicitor/client privilege, or the Freedom of Information and Protection of Privacy Act (FOIP).  The employee has the right to access their own personnel file with a minimum of two (2) working days’ notice to the Human Resources Department. The employee must be accompanied by a senior administrator, or designate when accessing their personnel file.
      1. Upon request, an employee shall be able to obtain copies of documents in their personnel file provided that disclosure is not restricted pursuant to solicitor/client privilege or FOIP. 
6. Information pertaining to appeals, grievances and termination not protected under the solicitor/client privilege will be filed in the appropriate section of the personnel file (e.g. a grievance on a salary would be filed in the compensation and benefits section).
7. Solicitor/client privileged information will be filed under separate cover.  Only senior administrators and designated central office personnel will have access to this file.  These files will be retained in perpetuity.
8. Information collected on an employee is retained according to pre-determined criteria as stated in administration regulation C-620-AR, Division Records:  Access, Retention and Disposal.
   1. Letters of concern/warning or reprimand/discipline are retained in accordance with clauses 11 and 12 of this administration regulation.
9. The authority to issue letters of concern/warning and/or letters of reprimand/discipline is entrusted to school principals/supervisors and central office administration.
10. All letters of concern/warning or reprimand/discipline must be copied to the superintendent, or designate.  Each letter must clearly indicate whether it is a letter of concern/warning or a letter of reprimand/discipline which shall be determined at the discretion of the issuing party taking into consideration the circumstances requiring the issuance of the letter.
11. Letters of concern/warning shall contain written notice to the employee of the reason for issuing the letter, and may include, but not be limited to, reference to previous verbal warnings and/or prior attempts to address the issue with the employee.  Employees may attach a written response to a letter of concern/warning.  Letters of concern/warning become part of the employee’s personnel file and are kept on file for a minimum of one (1) calendar year before the superintendent/designate will consider its removal.  Requests for removal of the letter of concern/warning must be made in writing by the employee to the superintendent/designate.
12. Letters of reprimand/discipline shall contain written notice to the employee of the reason for issuing the letter and may include, but not be limited to, reference to previous warnings, verbal or written, and/or prior attempts to address the issue with the employee. Employees may attach a written response to the letter of reprimand/discipline.  Consequences of further misconduct by the employee shall be outlined in the letter of reprimand/discipline. Letters of reprimand/discipline become part of the employee’s personnel file and are kept on file for a minimum of five (5) calendar years before the superintendent/designate will consider its removal.  Requests for removal of the letter of reprimand/discipline must be in writing by the employee to the superintendent/ designate.  With respect to the five (5) year minimum requirement, the superintendent/designate will make their decision to remove the letter of reprimand/discipline based on the severity of the incident(s) and other letters of reprimand/discipline issued.
13. Documents related to appeals and grievance to Boards of References, Arbitration Boards, etc. must be retained permanently in the personnel file.