Skip Maine state header navigation
OF ADMINISTRATIVE AND FINANCIAL SERVICES
OF HUMAN RESOURCES
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
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.
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.
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
1.1 SECURITY IN JOB DEFINITION AND RESOURCING
SECURITY IN JOB RESPONSIBILITIES
Classification specifications will include:
general statement concerning employee security responsibilities.
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:
application is true, correct, and complete to the best of the applicant’s
applicant may have to submit information not specifically requested on
the application form.
or the employing agency may verify any information provided in the application
or the employing agency may conduct reference checks.
or the employing agency may conduct a credit check when appropriate.
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.
erroneous information or omitting pertinent information as part of the
application process would be sufficient cause for discharge.
PERSONNEL SCREENING AND POLICY
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.
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.
competitive positions, completeness verified by BHR.
direct hire positions, completeness verified by agency human resource representative.
application(s) will be failed or returned to the applicant.
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.)
are gathered by interview/selection panel chair (or panel member) or other
appropriate agency staff designated by the interview/selection panel chair.
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
position held, whether full-time or part-time, dates of employment and
eligibility for rehire.
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).
a work-related reference is not available, a personal reference may be
verified by interview/selection panel chair (or panel member).
attention should be given to account for significant gaps in employment
is the employee’s responsibility to produce original academic documentation
(or copies certified with a raised seal from the institution) to the employing
of educational credentials are acceptable only on a temporary basis.
original academic credentials/documents are not immediately available,
it is the employee’s responsibility to obtain official copies from the
educational institution prior to the end of the probationary period.
credentials/documents must be provided to the agency at the employee’s
These documents are generally available through the Registrar at the educational
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 the academic
that the 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
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 will
not be treated as a valid degree for purposes of qualification for the
classification or for other purposes.
- Education from colleges and universities in foreign countries must be evaluated in terms of equivalency to that acquired in U.S. colleges and universities. As part of the verification process, new employees educated in whole or in part in foreign countries must submit sufficient evidence, including transcripts, to an accredited private organization for equivalency evaluation of course work and degree. The employee must provide a copy of the letter containing the results of the equivalency evaluation. For a listing of services which can perform this evaluation, visit the National Association of Credential Evaluation Services, Inc.'s web site at http://www.naces.org/members.htm.
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.
copy of a degree (and equivalency 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.*
is the candidate’s responsibility to produce original licenses and
certifications from the issuing authority.
licenses and certifications must be obtained and maintained at the candidate’s
possession of license/certification required by the classification or which
has been used to establish qualification for the classification to be employed.
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
authenticity of license/certification directly with the granting authority,
such as a licensing board.
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.
criminal background check shall be conducted for all new employees.
criminal record may legitimately be considered pursuant to
Memorandum 2-06 (March 15, 2006) or its successors.
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.
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 (March 15, 2006).
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.
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.
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 Human Resources
Memorandum 2-06 (March 15, 2006). That
is, there must be a nexus between the driving record and the job.
using a vehicle owned by the State of Maine are required to adhere to the VEHICLE
USE AGREEMENT provided by Risk Management.
credit check may be conducted in cases where a legitimate nexus exists
between an employee’s credit history and his or her job functions.
checks should only be instituted for positions where there is a clear and
direct correlation between credit history and job duties.
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.
of identity and eligibility for employment will be verified by an agency
human resource representative [Form I-9] when completing new-hire paperwork.
to Applicant Prior to Employment Interview
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.
model pre-interview letter is attached for reference.
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.
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
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.
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.
sample written job offer is attached as a reference.
verification checklist must be completed for all new employees prior to
the end of probation.
agency HR representative will ensure that the verification checklist has
been completed prior to authorizing permanent status.
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
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
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
to complete verification prior to the end of an extended probation
(up to one year) is deemed to be unsatisfactory performance and the
employee may not attain permanent status.
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
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
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.
the event an agency does not have a confidentiality agreement, the attached
sample provided by the Bureau of Human Resources may be utilized.
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.
TERMS AND CONDITIONS OF EMPLOYMENT
1.1.4.a Individual employees are responsible
for information security within the purview of their employment.
1.2 USER TRAINING
INFORMATION SECURITY EDUCATION AND TRAINING
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.
security segment will be incorporated in the MSG handbook.
Alicia Kellogg, Director
Bureau of Human Resources
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
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