Section 600.630 Personnel Records and Performance Reviews

Section 600

Section 600.630  Personnel

Records and Performance Reviews

a)         Personnel Records

1)         A personnel file shall be established for each employee upon

his or her entry into employment and shall be maintained by the custodian

designated by the Auditor General.  When the following records are maintained,

they must be maintained in the personnel file:

A)        Applications for employment, letters of recommendation, resumes

and school transcripts

B)        Offers and acceptances of employment

C)        Employee information cards

D)        Personnel transaction forms

E)        Written commendations and disciplinary actions

F)         Annual and probationary performance appraisals

2)         Records not otherwise confidential are not made confidential

because of their inclusion in the personnel file.

3)         An employee is entitled to view his or her personnel file

during working hours with reasonable notice to the custodian.  The records may

be inspected only in the presence of an authorized employee.  Certain records

in the personnel file, in accordance with the law, may be withheld from the

employee's inspection.  In addition, personnel files may be viewed by the

Auditor General, a Deputy Auditor General, the custodian and other employees,

at the discretion of the Auditor General, on a need-to-know basis only.

4)         An employee shall be notified of any additions to or deletions

from his or her personnel file.  If an employee disagrees with any information

contained in a personnel record, the employee may submit a written statement

explaining his or her position for inclusion in the personnel file.

5)         Performance records shall constitute material in an employee's

personnel file which is relevant to determining the appropriateness of proposed

or recommended personnel transactions

sonnel file.  If an employee disagrees with any information

contained in a personnel record, the employee may submit a written statement

explaining his or her position for inclusion in the personnel file.

5)         Performance records shall constitute material in an employee's

personnel file which is relevant to determining the appropriateness of proposed

or recommended personnel transactions.

6)         Performance records shall be considered in all cases, unless

excepted by this Subpart, of promotion, demotion, discharge, layoff,

reinstatement, merit salary increases and certification.  In considering any

potential change in an employee's current status, the employee's most recent

performance records may be given greater weight than the employee's earlier

performance records.

b)         Performance Evaluations:  Performance records shall include an

evaluation of employee performance prepared at least annually on prescribed forms.

Executive employees shall be evaluated in the time and manner prescribed by the

Auditor General.

1)         For an employee serving a six (6) month probationary period,

two evaluations shall be prepared and submitted to the personnel file custodian

– one at the end of the third month of the employee's probationary period and

another before the conclusion thereof.  If the probationary period is extended

as provided in Section 600.634, the number and timing of performance

evaluations during the extended period will be determined by the Office at the

time of extension.

2)         For

an employee serving a four (4) month probationary period as a result of a

promotion, one evaluation shall be prepared and submitted to the personnel file

custodian before the conclusion thereof.  If the probationary period is

extended as provided in Section 600.634, the number and timing of performance

evaluations during the extended period will be determined by the Office at the

time of extension

ployee serving a four (4) month probationary period as a result of a

promotion, one evaluation shall be prepared and submitted to the personnel file

custodian before the conclusion thereof.  If the probationary period is

extended as provided in Section 600.634, the number and timing of performance

evaluations during the extended period will be determined by the Office at the

time of extension.

3)         Additional performance evaluations of individual employees may

be conducted as deemed necessary.

4)         Employees

shall be required to sign all evaluation forms to indicate they have read the

evaluation and it has been discussed with them.