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DEPARTMENT OF ADMINISTRATIVE AND FINANCIAL SERVICES
BUREAU OF HUMAN RESOURCES

October 30, 2006

HUMAN RESOURCE MEMORANDUM 8-06

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

SUBJECT:    AMENDMENT TO IMPLEMENTATION OF HUMAN RESOURCE COMPONENTS OF SECURITY PROTOCOLS

Human Resource Memorandum 8-06 implements changes to HR Memo 7-06 that came about as a result of the implementation process.1  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.  Full implementation of the human resource related security protocols outlined in this memorandum will begin January 1, 2007.   

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.2   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.

SECTION 1.1 SECURITY IN JOB DEFINITION AND RESOURCING

1.1.1 SECURITY IN JOB RESPONSIBILITIES

1.1.1.a Classification specifications will include:

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:

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 on or after 01/01/07 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

1.1.2.b Employment References

1.1.2.c Resumes/Vitae

1.1.2.d Academic Qualifications 

1.1.2.e Licenses/Certifications 

1.1.2.f  Background Checks

 1.1.2.g Verification of Identity

1.1.2.h Information to Applicant Prior to Employment Interview

1.1.2.i  Written Job Offer

1.1.2.j  Administration

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 information.

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.

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.

S/ Alicia Kellogg

Alicia Kellogg, Director

Bureau of Human Resources

AK/pjs

1 Section 1.1.2.d, concerning the verification for foreign educational credentials, expands the number of services which can provide equivalency verification.  There are also certain minor changes to the text and attachments.

2 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.”

3 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.

* 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.

 

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 Confidentiality Agreement
Attachment 6 - Policy Guideline Concerning Applicants with Criminal Convictions
Attachment 7 - Implementation of HR Security Protocols Q & A