Chicago Police DepartmentEmployee Resource E01-03
Personnel Records
Issue Date:02 June 2017Effective Date:02 June 2017
Rescinds:E01-03 Review of Personnel Documents Version dated 08 December 1988; E02-02-09 Miscellaneous Personnel Actions dated 29 September 1994
Index Category:Employee Rights and Responsibilities
This directive:
  • A.outlines the procedures to update personnel records.
  • B.continues the use of Personnel Change Notice (CPD-11.611).
  • C.continues the procedures by which a Department member may inspect and obtain photocopies of certain Department-maintained personnel documents which pertain to the member.
II.Procedures to Update Personnel Records
  • A.Personnel Change Notice (CPD-11.611)
    • 1.Members will use the Personnel Change Notice to notify the Human Resources Division of changes to the following items:
      • a.Home address / zip code / district of residence
      • b.Telephone number
      • c.Marital status (include name change [if any], spouse’s name, address, and telephone number)
      • d.Additional educational achievement (particularly degrees or certificates)
      • e.Newly acquired language skills
      • f.Military status (change in rank, unit, service, termination date, etc.)
      • g.Other, specify change in the remarks section of the form.
    • 2.For changes in personal data reflected in Items II-A-1-a,b, and c, the Personnel Change Notice must be submitted in duplicate. The original will be forwarded to the Employment Section, Human Resources Division, and the duplicate copy will be forwarded to the district commander or unit commanding officer to ensure that the unit / district records are updated to reflect any changes.
    • 3.Any Department member who reports a change of residence address must also complete and attach two copies of the Employee Change of Address Form (PER 72) to the Personnel Change Notice and forward it to the Employment Section, Human Resources Division. The PER 72 form is subsequently forwarded to City Hall by the Department's Human Resources Division.
      The Department member must provide proof of the new address to the Employment Section, Human Resources Division, by providing one of the following: a driver's license, state-issued ID, mortgage statement, bank statement, or utility bill.
    • 4.Personnel Change Notices and Employee Change of Address Forms are available from the unit secretary.
    • 5.Notification of all changes will be submitted no later than three business days after the change.
  • B.Name Change
    • 1.Department members will change their name with the   City of Chicago's Benefits Management Division, Department of Finance, before changing their name with the Department's Employment Section, Human Resources Division.
      Retirees will change their name at their respective pension location.
    • 2. A Department member initiating a name change will:
      • a.update his or her name with the  Social Security Administration and the Illinois Secretary of State.
      • b.visit the City of Chicago's Benefits Management Division, Department of Finance, and:
        • (1)bring the following:
          • (a)the original updated social security card;
          • (b)an updated driver's license or state identification; and
          • (c)original documents verifying the name change (marriage certificate, divorce decree, birth certificate, etc.).
        • (2)obtain the City of Chicago Benefits Management Division Certified Documents Cover Sheet (11.19.2014) that is stamped and signed from the City's benefits office verifying his or her name was changed.
      • c.bring the stamped and signed City of Chicago Benefits Management Division's Certified Documents Cover Sheet (11.19.2014) received from the City's benefits office and the documents listed in item II-B-2-b-1 of this directive to the Department's Employment Section, Human Resources Division, which will serve as sufficient verification to proceed changing his or her name with the Department's Human Resources Division.
        In accordance with the directive entitled "Department Identification Cards and Photos," members are reminded that it is required to obtain a revised identification card for a change in name.
  • C.Health Benefit Changes
    Members who experience a change (addition or deletion) in their dependents (spouse or children) may contact the  City of Chicago Health Benefits Service Center, Department of Finance, for information on procedures to be followed to ensure health insurance coverage for such dependents.
    Formal notification of changes must be received by the Benefits Office within 30 days of the change or coverage may be denied.
  • D.Beneficiary Changes
    Certain personnel changes may also necessitate changes in beneficiary. Beneficiary changes may be necessary concerning the following: Pension Fund, Credit Union, Deferred Compensation, Collective Bargaining Agreement, State Duty Death Benefit (contact Special Activities Unit), and City Life Insurance Providers (City Paid / Optional). Members inquiring about information related to any of the organizations / programs listed above may contact the respective program directly.
III.Review of Personnel Documents
  • A.This section is consistent with the Personnel Record Review Act (820 ILCS 40/0.01).
  • B.General Information
    • 1.Personnel documents subject to a member’s review include documents that are, have been, or are intended to be used in determining that member’s qualifications for employment, promotion, transfer, additional compensation, discharge, or other disciplinary action.
    • 2.Personnel documents not subject to a member's review include the following types of records:
      • 1.Letters of reference, including background investigation material prepared prior to the original appointment, and returns from leaves of absence or reinstatements.
      • 2.Any portion of a test document administered by the Department except that the member may see a cumulative total test score for either a section or the entire test document.
      • 3.Materials relating to the Department's staff planning, such as matters relating to the development, expansion, closing, or operational goals, where the materials relate to or affect more than one employee, provided, however, that this exception does not apply if such materials are, have been, or are intended to be used by the Department in determining an individual employee's qualifications for employment, promotion, transfer, or additional compensation or in determining an individual employee's discharge or discipline.
      • 4.Information of a personal nature about a person other than the member if disclosure of the information would constitute a clearly unwarranted invasion of the other person's privacy.
      • 5.Records relevant to any other pending claim between the Department and the member which may be discovered in a judicial proceeding.
      • 6.Investigatory or security records maintained by the Department to investigate criminal conduct by a member or other activity that could reasonably be expected to harm the Department or could, by the member's activity, cause the Department financial liability, unless and until the Department takes adverse personnel action based on information in such records.
    • 3.The Department shall retain the right to protect its records from loss, damage, or alteration in order to ensure the integrity of the records.
  • C.Procedures
    • 1.The Department will allow a member at least two inspection requests per document in a calendar year when requests are made at reasonable intervals, unless otherwise provided in a collective bargaining agreement.
    • 2.A member who wishes to inspect his or her personnel records must submit a request in writing to the commanding officer of the unit that maintains the requested record. If the member's request is approved, the member will be provided with the opportunity to inspect the requested record within seven working days after the request was made in accordance with established procedures. If the commanding officer can reasonably demonstrate that the requested record cannot be made available within the seven-working-day deadline, the Department will have an additional seven days to comply with the request. All requests to review personnel records will be annotated in the file requested to be reviewed.
    • 3.A request received from a former member will be forwarded to the commanding officer of the unit that maintains the requested record.
    • 4.After a member has reviewed the requested record, he or she may obtain a photocopy of all or part of the record upon submission of a written request.
    • 5.If a member disagrees with any information contained in his or her personnel record, a removal or correction of that information may be agreed upon by the Department and the member. If an agreement cannot be reached, the member may submit a written statement explaining his or her reasons for disagreeing with the information, and the statement will be attached to the disputed record. The employee's statement shall be included whenever that disputed portion of the personnel record is released to a third party as long as the disputed record is a part of the file.
    • 6.A member involved in a grievance procedure against the Department may designate, in writing, a representative to inspect the members personnel record that may have a bearing on the resolution of the grievance (except as limited in Item III-A-2).
    • 7.If a member can demonstrate that he or she is unable to review a personnel record in person at the location where it is maintained (e.g., the member is confined to a bed or is a former member who resides outside the City), the Department will, upon the member's written request, mail a copy of the requested record to the member.
    • 8.The member has remedy through legal action to have false information expunged.
    • 9.Personnel records are maintained at the following locations:
      • 1.Human Resources Division—the member's personnel jacket, computerized performance ratings, award summaries, etc.
      • 2.Internal Affairs Division—the member's record of previous disciplinary actions (summary punishment and Complaint Register investigation case files).
      • 3.Education and Training Division—training cards and probationary police officer performance evaluations.
      • 4.Unit Assigned—Personnel Card (CPD-11.600), deputy clerk affidavits, Personnel Change Notices (CPD-11.611), Personnel Action Requests (CPD-11.612), etc.
  • D.Release of Information to Third Parties
    • 1.The Department will not release information concerning a member's disciplinary history without written notice to the affected member except when:
      • 1.the member has specifically waived written notice as part of a written, signed employment application with another employer.
      • 2.the disclosure is ordered to a party in a legal action or arbitration.
      • 3.the information is requested by a government agency as a result of a claim or complaint by a member or as a result of a criminal investigation by such agency.
      • 4.the information is requested by a member of the Department authorized to review such information.
    • 2.The written notice to the affected member will be sent by first class mail to the member’s last known address and will be mailed on or before the day the information is divulged.
      When the Department receives a request for records of a disciplinary report, letter of reprimand, or other disciplinary action in relation to a member under the Freedom of Information Act, the Department may provide notification to the affected member through electronic mail, if available.
    • 3.Disciplinary history information that is more than four years old at the time a request for such information is received (more than three years old if the employee is a member of AFSCME) will not be released to a third party except when the information is ordered to a party in a legal action or arbitration.
  • E.Additional mandates according to the Personnel Record Review Act 820 ILCS 40/0.01
    • 1.Personnel record information not included in the personnel record but should have been as required by the Act shall not be used by the Department in a judical or quasi-judicial proceeding unless the court determines the records were not intentionally excluded and the member agrees or has been given a reasonable time to review the information. The member may request the use of material in a judicial or quasi-judicial proceeding which should have been included in the personnel record. Further information may be found in 820 ILCS 40/4.
    • 2.The Department will not gather or keep a record of a member's associations, political activities, publications, communications, or nonemployment activities unless the member submits the information in writing or authorizes the Department in writing to keep or gather the information. However, the Department may keep a record of the above activities in the members personnel record according to the exemptions in 820 ILCS 40/9.
    • 3.This act will not be construed to diminish a right of access to records already otherwise provided by law, provided that disclosure of performance evaluations under the Freedom of Information Act will be prohibited.
    • 4.The Department will not gather or keep a record identifying a member as the subject of an investigation by the Department of Children and Family Services (DCFS) if the investigation by DCFS resulted in an unfounded report as specified in the Abused and Neglected Child Reporting Act.
      A member, upon receiving written notification from DCFS that an investigation has resulted in an unfounded report, will take the written notification to the Director, Human Resource Division, and have any record of the investigation expunged from his or her personnel record.
    • 5.If a member alleges that he or she has been denied his or her rights under this Act, he or she may file a complaint with the Department of Labor. The Department of Labor will investigate the complaint according to the procedures in 820 ILCS 40/12.
Eddie T. Johnson
Superintendent of Police
15-180 CMF
City of Chicago- Department of Finance, Benefits Management Division
333 S. State- Room 400 Chicago, IL 60604
Social Security Administration
City of Chicago- Department of Finance, Benefits Management Division
333 S. State- Room 400 Chicago, IL 60604