DEPARTMENT OF ADMINISTRATIVE AND FINANCIAL SERVICES
BUREAU OF HUMAN RESOURCES

September 13, 2006

HUMAN RESOURCE MEMORANDUM 7-06

TO:                  Service Center Directors, Deputy Directors, Human Resource Directors

SUBJECT:    IMPLEMENTATION OF HUMAN RESOURCE COMPONENTS OF SECURITY PROTOCOLS

Human Resource Memorandum 7-06 is intended to implement the human resource components of agency information security policies.  The procedures provided herein are intended to ensure public confidence and security, and to ensure that the State Government workforce is appropriately qualified and credentialed.  The protocols outlined herein must be applied for all new hires to State service.

These measures are an integral component of an information security initiative developed by the Office of the Chief Information Officer.  It is anticipated that agencies will develop specific information security protocols that are consistent with the State of Maine Information Technology Security Policy.¹   This human resource memorandum will fulfill the human resource aspects of agency information security policies.

This memorandum was developed by a team of human resource professionals from the Bureau of Human Resources and several agencies.  This team, and their successors, will periodically convene to ensure that human resource related security issues remain a viable component of the State’s overall information security effort.

Full implementation of the human resource related security protocols outlined in this memorandum will begin January 1, 2007.

SECTION 1.1 SECURITY IN JOB DEFINITION AND RESOURCING

1.1.1 SECURITY IN JOB RESPONSIBILITIES

1.1.1.a Classification specifications will include:

• A general statement concerning employee security responsibilities.
• Supervisory classifications will include a statement concerning security responsibilities.

1.1.1.b Job postings will include a statement that information provided during the application, interview, and selection processes will be verified.

1.1.1.c The State of Maine employment application(s) developed by the Bureau of Human Resources will include the following affirmations:

• The application is true, correct, and complete to the best of the applicant’s knowledge.
• The applicant may have to submit information not specifically requested on the application form.
• BHR or the employing agency may verify any information provided in the application process.
• BHR or the employing agency may conduct reference checks.
• BHR or the employing agency may conduct a credit check when appropriate.
• BHR or the employing agency may release information to authorized agents, officers, and/or employees of the State of Maine which may include, but are not limited to, information concerning past work, present work, attendance, evaluations, educational records (including transcripts), military service, criminal records, and any other personal record deemed necessary to verify the information provided in the application or during the selection process.
• Supplying erroneous information or omitting pertinent information as part of the application process would be sufficient cause for discharge.

1.1.2 PERSONNEL SCREENING AND POLICY

Verification of information pertaining to applicants and new employees is a responsibility that is shared by BHR and appointing authorities.  BHR is responsible to ensure that applications are complete, with the appropriate verifications left to agency interview/selection panels and the agency HR Service Center or other appropriate agency HR representative. 

All new hires are conditional until all prescribed verifications for the particular position are completed.  All verifications must be completed prior to the end of the probationary period.

1.1.2.a Employment Application

• For competitive positions completeness verified by BHR. 
• For direct hire positions completeness verified by agency human resource representative.
• Incomplete application(s) will be returned to the applicant.

1.1.2.b Employment References

• Employment references must be obtained before a job offer is made or, if necessary, before the candidate starts work.  (Again, an offer of employment is conditional.  If employment references are not available, one of the conditions should be appropriate personal references.)
• References are gathered by interview/selection panel chair (or panel member) or other appropriate agency staff designated by the interview/selection panel chair. 
• At least one work-related reference should be obtained, preferably from the last previous and/or the most job-related employer.  Additional work-related references are encouraged.  In addition to ascertaining that the person was employed with the organization in question, and to the extent a former employer is willing to provide additional information, reference checks should include:
  • The position held, whether full-time or part-time, dates of employment and eligibility for rehire.
  • Questions directly associated with the Core Competencies, Knowledge and Skills, Terms and Conditions and, for applicable supervisory positions, the manager-related questions found in the State of Maine Performance Management Form (PER 119 3/97 or its successor).  
• If a work-related reference is not available, a personal reference may be included. 

1.1.2.c Resumes/Vitae

• Completeness verified by interview/selection panel chair (or panel member) for completeness. 
• Special attention should be given to account for significant gaps in employment history.

1.1.2.d Academic Qualifications 

• It is the candidate’s responsibility to produce original academic documentation (or copies certified with a raised seal from the institution) to the employing agency.
• Photocopies of educational credentials are acceptable only on a temporary basis.  
• If original academic credentials/documents are not immediately available, it is the employee’s responsibility to obtain certified copies from the educational institution prior to the end of the probationary period.
• Academic credentials/documents must be provided to the agency at the candidate’s expense.  These documents are generally available through the Registrar at a college or university.
• In the event there is any question concerning the authenticity of academic transcripts or other credentials, the agency must verify graduation, the degree conferred, and major/minor fields of study directly with academic institution. 
• Verify that educational institution is accredited by a nationally recognized accrediting agency that the United States Secretary of Education (ED.gov) has determined to be a reliable authority as to the quality of education or training provided by the institution of higher education and the higher education programs they accredit.  [List published by the U.S. Secretary of Education may currently be found at http://ope.ed.gov/accreditation/search.asp]  A degree from an institution that is not accredited by a nationally recognized accrediting agency that the United States Secretary of Education has determined to be a reliable authority as to the quality of education or training may not be treated as a valid degree for purposes of qualification for the classification or for other purposes.
• In the event that an academic credential is from a foreign institution, the applicant is required, at his or her own expense, to submit the credentials to the World Education Services for a credential evaluation.  WES will then supply the State with a report verifying that the credentials are authentic and indicating the U.S. equivalency of the foreign credential.  Reference: http://www.wes.org/
• An applicant who presents foreign credentials may utilize another similar service if authorized, in advance, by the Director, Bureau of Human Resources.
• Many professional licensing boards (physicians, nurses, attorneys, social workers, etc.) undertake an extensive credential evaluation prior to issuing a license to practice in Maine.  In those cases, possession of the appropriate Maine license to practice may be considered prima-facie evidence that the foreign academic credential is valid and no further independent verification of the academic credential is required.
• A copy of a degree (and WES verification if from a foreign institution) should be retained in the personnel file only after the interview/selection panel chair (or member) and/or appropriate agency HR representative has viewed the original document.  The person verifying authenticity of the copy and accreditation must indicate original was viewed and accreditation verified, then sign and date copy for employee personnel file.^*

1.1.2.e Licenses/Certifications 

• It is the candidate’s responsibility to produce original licenses and certifications from the issuing authority.
• All licenses and certifications must be obtained and maintained at the candidate’s expense.
• Verify possession of license/certification required by the classification or which has been used to establish qualification for the classification to be employed. 
• A copy of a license should be retained in the personnel file only after interview/selection panel chair (or member) and/or appropriate agency HR representative has viewed the original document.  The person verifying authenticity of copy must indicate original viewed, sign and date copy for employee personnel file.
• Verify authenticity of license/certification directly with the granting authority, such as a licensing board.
• An agency may choose to ascertain if a candidate has had any adverse licensing board actions with respect to a professional license.  In that event, the agency may consult the website maintained by the Department of Professional and Financial Regulation, which provides much of this information.  If the candidate is an attorney, the information may be accessed through the Board of Overseers of the Bar.

1.1.2.f Background Checks

• A criminal background check shall be conducted for all new employees.
  • A criminal record may legitimately be considered pursuant to Human Resources Memorandum 2-06 (March 15, 2006), or its successor.
  • State agencies should consult the Department of Public Safety for access to the website that will provide conviction and adjudication information for adult and juvenile crimes committed within the State of Maine. 
  • In the event that a prospective employee self identifies a criminal conviction, or a criminal conviction is subsequently determined by way of the criminal records check, agencies should refer to Human Resources Memorandum 2-06 (03/15/06).
• When the employee will be required to spend a significant amount of time driving a State-owned or privately-owned vehicle conducting State business, and/or in cases when a State employee is customarily required to transport clients, patients, inmates, or civilians, a driving record check may be conducted. 
  • When the operation of a motor vehicle is a regular component of employment, a candidate’s driving record may legitimately be considered as a factor in the selection process.
• In the event that a prospective employee self identifies an adverse driving record, or an adverse driving record is subsequently determined by way of the driving record check, agencies should consider the driving record in a manner similar to that provided in HR Memorandum 2-06 (03/15/06).  That is, there must be a nexus between the driving record and the job.
• Employees using a vehicle owned by the State of Maine are required to adhere to the VEHICLE USE AGREEMENT provided by Risk Management.
• A credit check may be conducted in cases where a legitimate nexus exists between an employee’s credit history and his or her job functions.    
  • Credit checks should only be instituted for positions where there is a clear and direct correlation between credit history and job duties.
  • Agencies are cautioned that the collection and proper use of credit information is subject to a myriad of state and federal laws.  If an agency contemplates instituting credit checks, the agency should receive specific direction from the Department of the Attorney General.

 1.1.2.g Verification of Identity

• Verification of identity and eligibility for employment will be verified by an agency human resource representative [Form I-9] when completing new-hire paperwork.

1.1.2.h Information to Applicant Prior to Employment Interview

• Interview/selection panel chair or member or an agency HR representative should advise each applicant, in writing, what will be required at the time of the initial employment interview.  These items include, but are not limited to current resume/vitae, or other information that the agency deems appropriate for the employment interview. 
• A model pre-interview letter is attached for reference.
• Circumstances may require that the interview be scheduled by phone.  In that case all of the information outlined in the sample letter should be communicated verbally during the phone contact. 

1.1.2.i Written Job Offer

• Every offer of employment must be in writing. (This does not preclude initial notification by other means, such as email or phone, followed by a written job offer.)
• Every offer of employment must include a statement that the job offer is conditional based upon verification of information provided to the State, a criminal background check and, if required for the position, a driver’s license, and/or credit check.
• Every offer of employment must advise the candidate what “New Hire” information will be required including, but not limited to, identification materials for the Form I-9, original academic degrees, licenses, certifications, or other work-related credentials.
• A sample written job offer is attached as a reference.²

1.1.2.j Administration

• A verification checklist must be completed for all new employees prior to the end of probation.
• An agency HR representative will ensure that the verification checklist has been completed prior to authorizing permanent status.
• The failure of an employee to provide the documentation necessary to verify his/her credentials during initial probation is deemed to be unsatisfactory performance and the employee may not attain permanent status.  The employee will be so advised pursuant to the Civil Service Rules or appropriate bargaining agreement.  Depending on the individual circumstances, the employee’s service may be terminated or, if the appropriate documentation has been requested in a timely manner, but is pending, probation may be extended for up to an additional six months.
• In the event the agency has received the necessary documentation, but is unable to complete the necessary verifications within the initial probationary period, the employee’s probation will be extended for up to an additional six months.
• Failure to complete verification prior by the end of an extended probation (up to one year) is deemed to be unsatisfactory performance by the employee and the employee may not attain permanent status.

1.1.3 CONFIDENTIALITY AGREEMENTS

Confidentiality agreements are intended to ensure that information designated confidential is not improperly released to unauthorized persons.  Confidentiality agreements inform an employee of his or her responsibilities with respect to the confidentiality of information and the potential consequences of the improper release of records.

Although maintaining the confidentiality of information remains an important responsibility of each State employee, the guiding principles with respect to public access to public records articulated in Title 1, Chapter 13, should always be considered in the conduct of State business. 

1.1.3.a In the event that an employee is unsure as to whether information should be released, supervisory and or legal guidance should be obtained prior to the release of the information requested.

1.1.3.b Prior to starting work, every employee of the State of Maine, regardless of employee status, is required to read, agree to, and sign a confidentiality agreement.

• In the event an agency does not have a confidentiality agreement, the sample provided by the Bureau of Human Resources may be utilized. 
• This agreement will be included in the employee’s personnel file.

1.1.3.c Individual agencies may have additional confidentiality agreements that are specific to the work location or other appropriate mission. 

1.1.3.d In the event that an employee changes work location, whether on a temporary or permanent basis, an HR representative must ensure that an appropriate agency confidentiality agreement is agreed to and signed by the employee.

1.1.4 TERMS AND CONDITIONS OF EMPLOYMENT

1.1.4.a Individual employees are responsible for information security within the purview of their employment.

SECTION 1.2 USER TRAINING

1.2.1 INFORMATION SECURITY EDUCATION AND TRAINING

Information security responsibilities and protocols will be incorporated into new employee and management training.

1.2.1.a Information security will be included in mandatory New Employee Orientation,   whether it is a statewide or agency-specific NEO program.

1.2.1.b Information security will be included in mandatory Managing in State Government (MSG) training, whether it is a statewide or agency-specific program.

• A security segment will be incorporated in the MSG handbook.

1.2.1.c Information security overview included in on-line BHR Policy and Procedures Manual

S/ Alicia Kellogg
Alicia Kellogg, Director
Bureau of Human Resources

AK/pjs

1 The State of Maine Information Technology Security Policy “. . . provides a uniform set of information technology security policies, standards and general guidelines for every State Department, Agency, Board, Bureau, Commission, and Authority which are required to comply with Maine Revised Statute Annotated (MSRA) Title 5, Chapter 158, § 1871 - 1896. All Maine State Government entities, unless specifically exempted, are required to abide by the policies hereby established. All users (employees, contractors, vendors, and other parties) are expected to understand and abide by them.”

*The term “personnel file” is not specifically defined in Civil Service Law or Civil Service Rules.  The Civil Service Law, 5 MRSA, §7070 and §7071 defines what records the Director, BHR is required to maintain.  These requirements are further defined in CSR, Chapter 14.

2 It is strongly recommended that the job offer include the starting salary stated in terms of both the salary schedules (Grade/Step/Salary Specification) and the actual hourly and/or annual dollar amount.  This will avoid any confusion as to salary considerations for a new employee.  It should be emphasized that hiring supervisors do not have the authority to promise a salary above Step 1 of the salary grade.  The only exception would be if the authority to hire above the minimum rate is pre-approved.

Attachment 1 - PER-131(9/06) - Verification Certification (Word version)  (Adobe PDF version)
Attachment 2 - Model Pre-interview letter
Attachment 3 - Model Reference Check
Attachment 4 - Sample written job offer
Attachment 5 - Sample Confidential Agreement
Attachment 6 - Policy Guideline Concerning Applicants With Criminal Convictions
Attachment 7 - Implementation of HR Security Protocols Q & A