Advocacy Series, January 2013
Personnel Files In tr oductio n School employees often contact The SCEA concerned because a document has been placed in their personnel file. They worry about the consequences of the document on their current and future employment. This paper will attempt to address some of those concerns. Each district establishes its own policy related to personnel files; therefore, the information in this paper is general in nature, is not intended to apply to all districts and cannot address every situation. Members with specific concerns should contact our Member Advocacy Center at 864-641-7272 or send an email to help@thescea.org.
Per so nn el File D ef in ed
W ha t’s in th e Per so nn el File?
To understand the issues related to personnel files, it is important to define “personnel file”. As used in this publication, a personnel file refers to the file that each school district superintendent is required by state statute to maintain for each employee. This file is located at the district office. The physical location in the district office building varies among districts. Districts, as an employer, are required to collect and maintain certain information about their employees. This is a necessary business practice needed to meet certain legal requirements and protect the district and employees. The material placed in a personnel file provides a record of each employee's employment history, and documentation is added throughout the year to record district decisions and employee activity. The need to retain different types of data may result in more than one file. For example, material collected and created by human resources and teacher evaluation will make it necessary to have files in each of those departments. Personnel records may be stored in paper or digital form. Medical information is confidential and sealed. There is also a file located at the school for each employee, usually referred to as the “school file”. The material in that file is not “official” unless it is sent to the district. Regardless of where information is located, it is not official until it is placed in the official file.
The personnel file may include but is not limited to the following: performance evaluation documents suggestions for improvement rebuttal letters submitted by the employee professional development information complaints reprimands teaching credentials transcripts employment contract highly qualified status attendance, leave records pre-employment references application records transfer requests letters of intent professional reference letters grievance documents letters from parents the result of any investigations that took place any other information the district or supervisor wants to keep Employees become understandably concerned if the information is negative, incorrect, misleading, or taints their record and reputation.
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Advocacy Series, January 2013
D i str i c t O f fi c e Pe r so n ne l Fi l e s v s. S c ho o l Ba se d Fi l e s When an employee receives a written letter from his/her principal, the bottom of the letter will often indicate that a copy has been sent to “personnel file”, “school file”, or a specific individual. If the letter is only copied to “school file”, the employee is safe in assuming the letter has not been sent to the district office. If the letter is copied to the Human Resources or Personnel Director, it is fair to assume that the document has been sent to the employee’s official personnel file at the district office. It is also common to see the names of other professionals such as a member of the employee’s evaluation team, Assistant Principal, Team Chair or other such individuals. In some districts, the employee will receive a letter from the district notifying him or her that a letter is being placed in their personnel file. However, not all districts notify employees. An employee who is unsure whether a letter has been placed in their official personnel file, should request to see their file. It is best to wait at least 30 days before reviewing the file to allow time for filing. Review the file first instead of asking the administrator if a letter was placed in the file. Why? If the letter was not placed in the file, the question could cause the administrator to place it there as a afterthought. School employees should check their file every year to make sure there are no surprises in the file and that important information such as professional development and recertification credits are on file.
A L e t te r Was P l ac e d i n M y Fi l e . D o e s i t Re al l y M a tte r ? Don’t panic unnecessarily. The difference between the school file and the district file is mostly a matter of geography. Something in the school file cannot jeopardize employment unless it is sent to the district office. The material in an employee’s personnel file can protect the employee. An example is a document that provides a record that an employee was found innocent of an accusation or complaint. Sometimes, employees are too eager to want material removed from the file when it actually protects them to have it there. An employee becomes vulnerable when multiple documents in the file begin to show a pattern. With each write up, an employee becomes more vulnerable. It becomes harder to convince administration that a teacher deserves the benefit of the doubt if there was a similar accusation in the past. Districts hold on to this material forever. So, a teacher who is accused of using excessive force on a student in 1990 could find herself in jeopardy if it happens again in 2013. Regardless of the circumstances surrounding either incident, the district may decide that at the very least, there is something about how this teacher handles student behavior that contributes to the problem or makes her vulnerable to accusations. The important thing to remember is that a school district cannot terminate an employee because of the existence of a piece of paper in the file. The district must prove that an employee should be terminated
Is the Information in My Personnel File Shared With Others? The district’s board policy for personnel files explains who has access to the file. As a general rule, only selected district office personnel have access. The Freedom of Information Act limits what information a district may share with others. Standard information such as the dates employed and the position held are routinely shared. Visit The SCEA at www.thescea.org/help ~ Visit The SCEA Member Advocacy Center at www.thescea.org/mac 2
Advocacy Series, January 2013
What school employees worry about the most is that information in the file will keep them from getting another job or harm their reputation. This is a valid concern. Within the district, the reputation and record of the teacher influences decisions related to transfers or consideration for other positions. If a teacher applies to another district, only certain information is shared and the file does not leave the district. The unknown is the current principal and what he or she will say if a district or principal calls for a reference. Those conversations are secretive and the teacher will rarely know what was said. She will suspect it was not a positive reference if the job offer is retracted or she is not considered for employment. The Center for Educator Recruitment, Retention, & Advancement (CERRA) maintains an online database on behalf of the SDE for school employees and districts’ use when applying for jobs and checking references. The database is called “South Carolina Educator Employment Application System” and is located online at http://www2.winthrop.edu/scteach/. School districts use this database to screen applicants. The following list comes from the site. This information may be of interest to those who are worried about their personnel information or a bad reference: (This list is a verbatim cut and paste from the site.)
All submitted documents are kept on file for one year and will be shredded after that time.
Once you have “Waived your Rights to View References” it cannot be reversed. Please select the option to "waive your right" or "retain your right" carefully.
All applications and documents are used for purpose of hiring of teachers and administrators in the state of South Carolina and will not be forwarded to other states or organizations.
Employment information entered into this system will only be released to those school districts authorized by you.”
Have you failed to meet standard on any evaluation instrument during your most recent evaluation? Yes, No, Explain.
Have you ever been involuntarily terminated, not had your contract renewed, or have you ever resigned from any employment in lieu of being terminated from employment or in lieu of having your contract non-renewed? Yes, No, Explain
Have you ever been convicted, pled guilty, entered a plea of no contest, or paid a fine for any criminal offense, other than a minor traffic violation such as speeding or driving too fast for conditions; or have you ever been arrested or ticketed for a criminal offense where the criminal charge is still pending? You must answer yes to this question for every conviction, plea or fine paid, no matter how long ago it occurred, unless the record of the criminal charge has been sealed or expunged by written court order. You also must answer yes to this question if you were ever arrested or ticketed and the charge was never formally dismissed, no matter how long ago the incident occurred. If you check yes, you must give the information requested for each criminal charge. Failure to answer this question accurately and/or failure to provide all of the requested information could result in denial or termination of employment. Yes, No, Where, Date, Charge, Disposition
I herewith authorize the School District to request and receive confidential release of documentary materials relating to me, regardless of physical form or characteristics, prepared, owned, used, in the possession of, or retained by: (1) educational institutions I have attended, (2) previous employees of mine, and (3) city, county, state, and federal law enforcement authorities.
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Advocacy Series, January 2013
T he Fr e e do m o f I nf o r m a ti o n A c t ( FOI A ) http://www.scstatehouse.gov/code/t30c004.php The Freedom of Information Act (FOIA) guarantees citizens access to data held by public entities and establishes a “right to know” legal process to request this information. This means that some information held by school district is public record, including personnel files and e-mails. A teacher in a SC school district filed suit against the district for unfair dismissal. The teacher, using her rights provided by FOIA, requested and received all e-mails that were sent between district employees. A parent filed a complaint against a teacher and requested a copy of the teacher’s personnel file, as well as e-mails sent. Recently, a television reporter requested copies of e-mails from a school district related to a specific issue. The e-mails included e-mail from more than a dozen teachers who would have never guessed that their routine school e-mail would become public. The news station published the e-mails. Like FOIA or hate it, it’s a federal and state law that isn’t going anywhere. School employees need to be mindful of what they write in e-mail. A district can refuse to release some information in a teacher’s file and force the person requesting the information to fight to get it, as a strategy to protect certain information from being released.
W h at A r e My R i g ht s ? School employees should review their personnel file periodically, as a matter of practice. If a school employee learns that a negative document has been placed in either the school file or the district file, a decision should be made as to whether a written rebuttal is needed. If the written document in file is accurate and fair, and there is nothing the employee can say that is beneficial, a rebuttal may not be necessary. However, there are times when a rebuttal is a good idea. For example, if the rebuttal is related to being tardy, here are possibilities: 1. The employee has been tardy several times. She can write a rebuttal that apologizes for the tardies and promises to make an effort to arrive on time. 2. If the tardy was a one time incident and beyond her control, she could simply state why she was late and the reason that it was not within her control. Just the facts. 3. If the tardy is caused by something that will likely re-occur, she could explain the tardy and the cause, and ask for some kind of consideration or accommodation. 4. If the teacher does not believe she was tardy, she can write a rebuttal stating this and providing evidence such as eye witnesses. TIPS:
The overall purpose of a rebuttal is to get the employee’s side of the story in the record. If there is an accusation of misconduct, the member is encouraged to contact The SCEA for guidance before submitting a written rebuttal. Rebuttals should be typed and comply with professional writing standards. Rebuttal documents should state the facts, without emotion, and should be respectful in words and tone. Rebuttals should reflect an appropriate amount of contrition, and validate the impact of what happened on the students, colleagues, etc. Refusing to recognize administration’s concern will cause more problems. Rebuttals should never be used as an opportunity to criticize administration. This will work against the employee. Concerns about mistreatment can be addressed separately. Call The SCEA for assistance. Rebuttals should be sent to each person who was copied on the original document, with a request that it be attached to the original document in file. Visit The SCEA at www.thescea.org/help ~ Visit The SCEA Member Advocacy Center at www.thescea.org/mac 4