Investigations in Employee Personnel Files?

CindyG

I wanted to ask how all of you file investigations dealing with employee discipline issues. For example, I had an employee who was smelled having alcohol on her breath by different employees. We have her coworker statements, however I don't want to put their names in her personnel file in the event she later requests a copy of her file and sees who complained about her. Is she entitled to the investigation notes? What I do is file them separately, yet in her file put the investigation summary without naming any specific employee names.

SamanthaQ

We have a separate file called a "confidential" file for things like that including the summary. If it resulted in a disciplinary action then that document would go in her personnel file.

SMace

You need to check your state laws. There is no Fed law regulating files, but there are state laws.

Your state should have a state DOL website that can help you.

Paul in Cannon Beach

We would put any write up or last chance agreement in the employee's file and keep the investigation notes in a confidential file.

Its a good question because in my experience when you confront an ee with something like this, their first question is often "who did you talk to? Where did you hear this?"

pork1

I concur, we keep investigations in a seperate legal filing cabinet. A copy of the resulting personnel action is placed in the personnel file.

PORK

CindyG

If someone requests a copy of the investigation, do you give it to them and black out the coworkers' names or do you allow them to see the names?

SMace

Who is requesting a copy? If my state law didn't require it, I'm not sure I would give them copies of the investigation.

If it is the complainant, I would give them the details of the investigation and the outcome, but I don't know that I would give them a copy.

System

[font size="1" color="#FF0000"]LAST EDITED ON 02-13-06 AT 04:01PM (CST)[/font][br][br]Our employee files are considered "company confidential" and therefore, the employee has no right to add to, remove, copy or otherwise modify the contnets, and our policy specifically states those things. Employees may review the file, by appointment and with an HR rep in the room while they do so. I know it sounds rather draconian, but we feel very strongly that the files are not to be viewed as the employees property. As others pointed out, check your state law to see if there are restictions on this. As to your investigative notes, absolutely treat them as confidential and only divulge your findings in terms of whether you feel the employee should receive disciplinary action based upon your investigation. Obviously, when things such as sexual harassment are alleged, the accused should know who was making the accusations in order to defend themself. But something like smelling alcohol on someone's breath, that can be verified by a management rep, leaving the employee reporting the incident anonymous.