Houston Fire Department Personnel Files Policy I-27 Comprehensive Study Guide
Houston Fire Department: Personnel Files Policy (I-27)
Policy Information
Volume Number: I
Reference Number: I-27
Sections Covered: 1.00 - 7.01
Jurisdiction: All Commands
Revision Date: 12/05/2018
Review Date: 5/04/23
Purpose and Objectives
1.01 Purpose
To comply with the City of Houston Administrative Policies:
3-12: Personnel Records
2-9: Guidelines for Responding to Request for Public Information
To adhere to legal requirements set forth in:
The Texas Local Government Code, Section 143.089
Texas Government Code, Chapter 552 (Public Information Act)
To provide specific guidance for the maintenance of personnel files for all Classified and Civilian employees of the Houston Fire Department (HFD).
2.01 Objectives
To ensure the maintenance of a complete and accurate employment history for every employee within the Houston Fire Department.
Definitions
3.01 City of Houston Disclosure Form
An electronic form accessible to City of Houston Human Resources employees.
Used by employees to select levels of disclosure for their personnel files in accordance with Government Code 552.
Allows employees to deny public access to their home address, telephone number, social security number, or information regarding family member status.
3.02 Department File
A duplicate of the official personnel file maintained by the Fire Department, which includes supervisor files.
Important Restriction: This file is NOT subject to open records requests under the Texas Public Information Act.
The department is prohibited from releasing any information in this file to any agency or person requesting information related to a firefighter.
3.03 Documentation
Includes any letter, memorandum, paper, document, or electronic communication.
Covers commendations, disciplinary actions, periodic employment performance evaluations, or any other physical/electronic document identified by the City, Fire Chief, Interim Fire Chief, or their designees.
3.04 Employee Performance Evaluation (EPE)
A form used to document an employee’s job performance rating.
These forms are stored permanently in the employee's personnel file.
3.05 HFD Form 34
Form used to document formal counseling of an employee.
Stored permanently in the employee’s Department File.
3.06 HFD Form 42
An electronic form used by supervisors to document daily workday activities.
Includes data on events, benefit time usage, training, and sick occurrences.
3.07 HFD Policy Awareness Program (P.A.P.) Form
Used at the Deputy Chief Officer level to document interventions related to non-notarized complaints filed with the Office of the Inspector General (O.I.G.) or Professional Standards Office.
Crucial Note: These interventions are not considered disciplinary actions.
3.08 Investigatory File
Files maintained by the Office of Inspector General, Professional Standards Office, and Arson Investigators for investigation purposes.
Not subject to open records requests under the Texas Public Information Act.
3.09 Official Personnel File
The official employment record for each Classified and Civilian employee; property of the City of Houston.
Documents detailed history including promotions, transfers, training, commendations, disciplinary actions, and leaves/absences.
Subject to public information requests with limited disclosure restrictions.
3.10 Public Information
Information written, produced, collected, assembled, or maintained under law/ordinance or in connection with official business transactions.
3.11 Texas Local Government Code 143.089
Directs the Fire Chief (or designee) to maintain personnel files.
Specifies required documents for firefighters’ files, consent requirements, and department-level files.
3.12 Texas Public Information Act
Formerly known as the Open Records Act; codified as Texas Government Code, Chapter 552.
Ensures citizens maintain control over governmental records to promote open government.
Scope and Responsibilities
4.01 Scope
Applies to all full-time employees in both classified and unclassified service of the Houston Fire Department.
5.01 Responsibilities
Responsibilities are distributed and outlined within the context of the guidelines provided in section 6.00.
Documentation and Security Guidelines
6.01 Documentation and Security
Supervisor Responsibilities:
The highest-ranking supervisor must maintain personnel information in accordance with Texas Government Code 552 and Texas Local Government Code 143.089.
Files must be secured in a locked and restricted location. Failure to secure files may result in disciplinary action.
Documentation must be legible, concise, true, and accurate.
Required File Contents (at a minimum):
Attendance history.
Commendations, honors, and awards.
Disciplinary actions.
Employee Performance Evaluations (EPE).
Employee Performance Plans.
Employee Performance Progress Meetings.
HFD Form 34.
HFD Form 42.
Informal counseling documentation.
Professional Certifications.
Training forms and certificates.
Transfers.
Other pertinent work-related information.
Employee Responsibilities:
Every employee must know, understand, and comply with this guideline.
Employees must acknowledge responsibility with an electronic signature per City of Houston A.P. 8-6.
Employees are responsible for knowing the content of their Official Personnel File, Department File, and Supervisor’s File.
Negative Documentation Procedures
6.02 Handling Negative Documentation
Evidence Threshold: Documentation related to alleged misconduct may NOT be placed in the file if the department determines there is insufficient evidence to sustain the charge.
Notification Timeline: The author of a negative notation/document must notify the employee within days of it being placed in the file.
Employee Response: The employee may file a written response on or before the th day after receiving the notification.
Acknowledgment Process:
The author must explain the document to the employee and request a signature for acknowledgment.
Signature Exception: An acknowledgment signature is strictly an confirmation that the document is being placed in the file; it is NOT an admission of misconduct or agreement with the content.
Refusal to Acknowledge:
If the employee refuses to sign, the supervisor must document the refusal on the document or in electronic Form 42.
A neutral witness must be present and sign to acknowledge the employee’s refusal.
Removal of Documentation: Disciplinary action records must be removed if the Civil Service Commission determines:
The action was taken without just cause.
The misconduct charge was not supported by sufficient evidence.
Disclosure and Privacy
6.03 Disclosure Form Requirements
Completion upon Hire: All employees must complete the Disclosure Form to specify if they prohibit public access to:
Home address.
Telephone number.
Social Security Number.
Family member status.
Supervisor Verification: Supervisors should verify employees have been informed of their right to prohibit access.
Location Verification: Employees must ensure the form is on file at two locations:
City of Houston HR Department: 611 Walker, 4th Floor.
HFD HR Division: 1801 Smith Street, 6th Floor.
Changes: Employees can update disclosure selections through the HFD HR Division or COH HR Department.
Default Rules: If no form is filed, the City cannot refuse to disclose the information.
Exemption: Arson Investigators and Peace Officers are exempt from these disclosure provisions.
File Locations and Maintenance
6.04 Physical and Electronic File Locations
All files are the property of the City of Houston and are confidential and protected.
Fire Department personnel cannot disclose, remove, or delete documents without written authorization from the Human Resources Department.
Four Designated Locations:
Official Personnel File: Maintained by the Employee Records Division of the City of Houston Human Resources Department.
Department File: Maintained by the HFD Human Resources Division.
Supervisor’s File: Maintained by supervisors at the employee’s work location/District; viewed as an extension of the Department File for the current assignment.
Electronic Record: Includes HFD Form 42; maintained by the City’s IT Division with login restrictions. These are legally equivalent to physical records.
Review and Transfer Protocols
6.05 Review of Personnel File
Supervisor Duties: Must not withhold or unreasonably delay a request (verbal or written) to review a Supervisor’s File. Reviews must be conducted under the Supervisor's direct supervision.
Employee Rights:
May review their own Official, Department, and Supervisor’s files.
Prohibited from reviewing any other employee's file.
Unauthorized access results in disciplinary action.
6.06 Transferring Personnel Files
Process: Upon transfer to a new location, the current supervisor must promptly forward files to the new location.
Communication:
Sending supervisor must notify the incoming supervisor and the employee via email.
The email must include the date, time, and method of transit.
The incoming supervisor must reply to the email to confirm receipt.
Compliance: Failure to transfer files properly may lead to disciplinary action.
Compliance and Grievances
7.01 Filing Complaints
If an employee believes information was released without consent or that a supervisor failed to comply with these guidelines, they are encouraged to file a complaint with the Office of Professional Standards.