Privacy Issues in the Workplace

2. C HECKLIST : E MPLOYEE P ERSONNEL F ILE I NSPECTION P ROCEDURE

Employers may want to consider the following checklist in implementing an employee personnel file inspection procedure:

 Require the employee to provide a written request for access to the file.

 Review the file to determine whether any of the statutory exemptions apply (e.g., letters of reference regarding county employee, criminal investigations). If so, remove such documents from the file.  Determine whether any of the documents in the file are from individuals who have been given an assurance of confidentiality. If so, remove these documents from the file.

 Enter a notation indicating date and time of employee’s inspection.

Some states expressly require employees to submit a written form requesting access to their personnel files. The purpose of such a requirement is to identify the requesting individual and to avoid disclosure to ineligible individuals. Even though California does not expressly provide for this requirement, employers should maintain records of requests to inspect personnel files together with detailed information concerning the inspection. For example, the records custodian should record the time the inspection occurred and identify which documents were reviewed and copied. The custodian may also wish to obtain from the requesting employee a signed statement that the inspection occurred. Detailed records concerning the inspection of personnel files will provide evidence of an employer’s compliance with the access statutes. 3. C ONTROLLING I NTERNAL A CCESS TO P ERSONNEL F ILES Employers have a duty to see that information contained in an employee’s personnel file or supervisor’s desk folder is not disclosed to others in the agency in ways that are unfair to the employee. For example:

 Personnel and payroll records should only be available internally to authorized users on a need-to-know basis.  Security records or records relating to security investigations should be maintained apart from other records, but access need not be given to the employees unless the information is incorporated into their personnel files or is used for discipline, termination, promotion or evaluation.  Medical records used for work restrictions and life and health insurance records should be kept confidential. These records should not be made available for use in any employment decision.  Records of work-related insurance compensation, disability, sick pay should be available internally only to authorized recipients on a need-to-know basis.

Privacy Issues in the Workplace ©2021 (s) Liebert Cassidy Whitmore 100