DATA PRIVACYDATA PRIVACY

PERSONNEL FILESPERSONNEL FILES

““P-FILE”P-FILE”

Wisconsin Public RecordsWisconsin Public Records

Wisconsin Statue 19.31 – 19.39Wisconsin Statue 19.31 – 19.39 Wisconsin Statue 230Wisconsin Statue 230 Wisconsin Statue 103.13Wisconsin Statue 103.13

Wisconsin Public Records Wisconsin Public Records LawLaw

1.1. Presumes that all persons are entitled Presumes that all persons are entitled to the greatest possible information to the greatest possible information regarding governmental affairs and the regarding governmental affairs and the official acts of government officers.official acts of government officers.

2.2. There are only a few recognized There are only a few recognized exceptions to this broad principal of access. exceptions to this broad principal of access. The law does not provide for automatic The law does not provide for automatic release of records, rather each request for release of records, rather each request for records are examined on a case-by-case records are examined on a case-by-case basis.basis.

Wisconsin Public Records Law, Wisconsin Public Records Law, continued.continued.

3.3. The law also requires that state The law also requires that state employees who are the subject of employees who are the subject of certain sensitive records be notified certain sensitive records be notified prior to the release of those records prior to the release of those records in order that the individual can seek in order that the individual can seek to prevent their release through to prevent their release through court protection.court protection.

““P-Files”P-Files”

There are general guidelines for There are general guidelines for determining which documents in the determining which documents in the “P-File” are open to the public and “P-File” are open to the public and which may be closed.which may be closed.

““P-Files”P-Files”Three categories of employee Three categories of employee

records.records. Employee records that are closed to Employee records that are closed to

public access.public access. Employment records that may be Employment records that may be

released only after notifying the released only after notifying the subject of the records and allowing subject of the records and allowing him or her to contest the release in him or her to contest the release in court.court.

Employee records that are open to Employee records that are open to public access.public access.

Records that are considered Records that are considered Closed for Classified and Closed for Classified and Unclassified EmployeesUnclassified Employees

Home address, home e-mail, home telephone Home address, home e-mail, home telephone number, social security number.number, social security number.

Records relating to the investigation of Records relating to the investigation of possible criminal offense or employment possible criminal offense or employment related misconduct prior to the end of the related misconduct prior to the end of the investigation.investigation.

Records relating to an employee’s Records relating to an employee’s employment examination except an employment examination except an examination score (unless otherwise examination score (unless otherwise prohibited).prohibited).

Closed Records, continued.Closed Records, continued.

Records relating to one or more specific Records relating to one or more specific employee(s) that are used for staff employee(s) that are used for staff management planning, including management planning, including performance evaluations, judgments or performance evaluations, judgments or recommendations concerning future recommendations concerning future salary adjustments or wage treatments, salary adjustments or wage treatments, management bonus plans, job management bonus plans, job assignments, letters of reference or assignments, letters of reference or other employment related comments or other employment related comments or ratings.ratings.

Closed Records, continued.Closed Records, continued.

Disability Verification for the Handicapped Disability Verification for the Handicapped Certification Program.Certification Program.

Physical Disability Retirement ExamPhysical Disability Retirement Exam Employee Trust Fund Information (ETF)Employee Trust Fund Information (ETF) Lists of participants, annuitants, beneficiaries.Lists of participants, annuitants, beneficiaries. Sex, Race, Ethnic Group information (unless Sex, Race, Ethnic Group information (unless

disclosure relates to equal rights, disclosure relates to equal rights, discrimination or fair employment law discrimination or fair employment law compliance purposes.)compliance purposes.)

Closed Records, continued.Closed Records, continued.May not be kept in a P-FileMay not be kept in a P-File

Employee Assistance Program Employee Assistance Program ParticipationParticipation

Medical RecordsMedical Records I-9 formsI-9 forms

Employment Records that Employment Records that require notice to the subject require notice to the subject and an opportunity contest and an opportunity contest

release.release. Records relating to an employee that are the Records relating to an employee that are the result of an investigation into a disciplinary result of an investigation into a disciplinary matter involving the employee or an employment matter involving the employee or an employment related violation by the employee of a statute, related violation by the employee of a statute, ordinance, rule, regulation, or policy.ordinance, rule, regulation, or policy.

Records obtained by the institution through Records obtained by the institution through subpoena or search warrant.subpoena or search warrant.

Records prepared by an employer other than an Records prepared by an employer other than an authority, if that record contains information authority, if that record contains information relating to an employee of that employer, unless relating to an employee of that employer, unless the employee authorized the authority to provide the employee authorized the authority to provide access to that information.access to that information.

Balancing TestBalancing Test

Applied on a case by case basis and Applied on a case by case basis and involves balancing the “harm to the involves balancing the “harm to the public interest from public examination public interest from public examination of the records against the benefit to of the records against the benefit to the public interest from opening the the public interest from opening the records to examination; giving much records to examination; giving much weight to the beneficial public interest weight to the beneficial public interest in open public records.”in open public records.”

Balancing Test, continued.Balancing Test, continued.

Questions that are considered in applying Questions that are considered in applying the balancing test:the balancing test:

1.1. How will the public benefit by How will the public benefit by opening for inspection the record being opening for inspection the record being sought?sought?

2.2. How will the public suffer if the record How will the public suffer if the record is not made public?is not made public?

If balancing test results in a decision to If balancing test results in a decision to release documents, notice to the release documents, notice to the employee may be required.employee may be required.

Records considered Open for Records considered Open for Classified and Unclassified Classified and Unclassified

EmployeesEmployees Employee’s nameEmployee’s name Salary and Pay IncreasesSalary and Pay Increases Appointment Letter, Certification Request, Appointment Letter, Certification Request,

Moving Expense Request/Authorization, Moving Expense Request/Authorization, Personnel Transfer Record, Position Personnel Transfer Record, Position Description, Reallocation Notice, Description, Reallocation Notice, Reclassification Request and Report, Reclassification Request and Report, Resignation Letter, Termination Notice due Resignation Letter, Termination Notice due to Lay-off, Training Agreementsto Lay-off, Training Agreements

Employee Review of Employee Review of Employment RecordsEmployment Records

WS 103.13 permits an employee to WS 103.13 permits an employee to review his or her own employment review his or her own employment records “which have been used in records “which have been used in determining that employee’s determining that employee’s qualifications for employment, qualifications for employment, promotion, transfer, additional promotion, transfer, additional compensation, termination or other compensation, termination or other disciplinary action and medical records disciplinary action and medical records (with certain exceptions).”(with certain exceptions).”

Employee Review - Employee Review - ExceptionsExceptions

1.1. Records relating to investigation of possible Records relating to investigation of possible criminal offenses committee by the employee.criminal offenses committee by the employee.

2.2. Letters of reference.Letters of reference. 3.3. Test documents.Test documents. 4.4. Materials used for staff management Materials used for staff management

planning.planning. 5.5. Information of a personal nature about Information of a personal nature about

another person if disclosure would constitute another person if disclosure would constitute invasion of the other person’s privacy.invasion of the other person’s privacy.

6.6. Records which may be discoverable in a Records which may be discoverable in a judicial proceeding.judicial proceeding.

Employee Review ProcessEmployee Review Process

1.1. Employer must permit review within 7 Employer must permit review within 7 days of request.days of request.

2.2. Employee involved in a current Employee involved in a current grievance against the employer may grievance against the employer may designate a representative to inspect the designate a representative to inspect the records.records.

3.3. Employer must permit the employee to Employer must permit the employee to augment or correct records in his or her augment or correct records in his or her personnel file and challenge in writing any personnel file and challenge in writing any item the employer refuses to change or add.item the employer refuses to change or add.

The EndThe End