SOP 104.63: Privacy of Personnel Records

|GEORGIA DEPARTMENT OF CORRECTIONS
Standard Operating Procedures|Col2|Col3|
|---|---|---|
|Policy Name:Privacy of Personnel Records|Policy Name:Privacy of Personnel Records|Policy Name:Privacy of Personnel Records|
|Policy Number: 104.63|Effective Date: 5/7/2020|Page Number: 1 of 7|
|Authority:
Commissioner|Originating Division:
Administration & Finance
Division (Human Resources)|Access Listing:
Level I: All Access
|

I. Introduction and Summary:

A. The Georgia Department of Corrections [GDC] has a legal duty to comply with

the standards applicable to all agencies for producing, publishing, or distributing
government documents maintained within the scope of its authority. Corrections
Human Resources Management [CHRM] is the custodian of official personnel
files. Appointing authorities are the custodians of the local personnel files
maintained at their work locations. The procedures below shall govern the
disclosure or release of information from the personnel records of GDC.

B. To the extent possible, GDC officials and records custodians will protect all

personnel records from unnecessary access or disclosure. Except as required or
permitted by state law and other legal authority, information contained in an
employee's file will not be released without the employee's knowledge.

1. Agency sections, facilities, and/or central office staff are often required (by

court order, subpoena, Georgia’s "Open Records Act" (O.C.G.A. Title 50), and
other sources) to produce copies of GDC records. Records custodians must
always attempt to verify the authenticity and legitimacy of such requests.

2. Any request to copy confidential documents or data protected by law should

be routed to the Office of Legal Services.

3. Any request for confidential information obtained in the selection and hiring

process should be processed in accordance with SOP 104.09, Filling a
Vacancy.

C. Only personnel authorized by the Director of Human Resources, or for local files,

by the appropriate appointing authority, may add to or copy information retained
in personnel files. Appointing authorities will establish measures to ensure
compliance with this procedure.

D. Information in a personnel file may not be altered or removed. To request an

exception to this rule, a written request outlining the detailed reason(s) for the
request may be submitted to the Director of Human Resources. Upon receipt, the
Director of Human Resources will review the document and all pertinent
information to make a final determination and provide the same in writing to the
requestor within a timely manner. Removal of any documents from the file will

|GEORGIA DEPARTMENT OF CORRECTIONS
Standard Operating Procedures|Col2|Col3|
|---|---|---|
|Policy Name:Privacy of Personnel Records|Policy Name:Privacy of Personnel Records|Policy Name:Privacy of Personnel Records|
|Policy Number: 104.63|Effective Date: 5/7/2020|Page Number: 2 of 7|
|Authority:
Commissioner|Originating Division:
Administration & Finance
Division (Human Resources)|Access Listing:
Level I: All Access
|

require written notification to all parties that may have been involved in the
document being placed in the file.

II. Authority:

A. O.C.G.A. §50-18-70, _et seq._ (Georgia’s Open Records Act);

B. Governor’s Executive Order dated 01-13-2003: Creating the Office of State

Inspector General;

C. State Personnel Board Rule 478-1-.09 - Records;

D. GDC Standard Operating Procedures (SOPs): 101.07 Open Records Requests

and 104.09 Filling a Vacancy; and

E. ACA Standards; 2-CO-1C-23, 1-CTA-1C-11, 5-ACI-1B-16 (ref. 4-4040), 5-ACI
1C-20 (ref. 4-4067), 5-ACI-1C-21 (ref.4-4068), 4-ACRS-7E-11, 4-ACRS-7E-12,
and 4-ALDF-7E-02.

III. Definitions: None.

IV. Statement of Policy and Applicable Procedures:

This policy applies to CHRM and all facilities, centers, units, and offices of the
GDC.
A. CHRM and local personnel files are maintained according to CHRM guidelines

with medical files being kept separate and marked confidential.

B. In carrying out the agency's policy concerning release of personnel record

information, department employees should follow six general rules:

1. Collect and retain only needed information;

2. Allow records to be examined or reproduced by only those persons who have

a legitimate need to know;

3. Except when verifying employment or responding to legitimate investigatory

inquiries or other legal notices, do not release information from personnel
records to non-GDC requestors without the employee's approval;

|GEORGIA DEPARTMENT OF CORRECTIONS
Standard Operating Procedures|Col2|Col3|
|---|---|---|
|Policy Name:Privacy of Personnel Records|Policy Name:Privacy of Personnel Records|Policy Name:Privacy of Personnel Records|
|Policy Number: 104.63|Effective Date: 5/7/2020|Page Number: 3 of 7|
|Authority:
Commissioner|Originating Division:
Administration & Finance
Division (Human Resources)|Access Listing:
Level I: All Access
|

4. Private facts or information such as social security numbers, date and/or month

of birth, mother's birth name, identification of immediate family members, or
dependents, home addresses and home telephone numbers, banking and/or
financial information, and insurance and/or medical data will not be disclosed
without proper authorization;

5. Provide a means for an employee to examine the employee’s own official or

local personnel file to ensure its accuracy; and

6. When in doubt, contact the CHRM or Office of Legal Services representatives.

C. Inspection or copying of personnel records will be accomplished as follows:

1. A supervisor may review the personnel files of employees under his/her

supervision; however, such review will be done during normal business hours
at the local personnel office or in CHRM. Supervisors will not be permitted
access to employees’ medical files.

NOTE : Special arrangements can be made, by contacting the Director of
Human Resources, to meet the needs of the Commissioner or other senior
officials of the agency.

a. Personnel files may be reviewed or signed out by authorized personnel

only. Files may only be removed from the premises of the local personnel
office with the permission of the appointing authority/designee or CHRM
with the permission of the Director of Human Resources/designee.

NOTE: Official personnel files in CHRM are scanned into SCRIBE, a
computerized electronic imaging system, and would have to be
printed.

b. Authorized individuals who are not members of CHRM staff or local

personnel office staff must complete Attachment 1, Request to Review
Employee Personnel File before any record is reviewed or released to them.

c. Except for GDC investigators, hearing officers, Legal Services personnel,

or payroll staff, all non-supervisory personnel must receive advance
clearance to review or sign out records.

|GEORGIA DEPARTMENT OF CORRECTIONS
Standard Operating Procedures|Col2|Col3|
|---|---|---|
|Policy Name:Privacy of Personnel Records|Policy Name:Privacy of Personnel Records|Policy Name:Privacy of Personnel Records|
|Policy Number: 104.63|Effective Date: 5/7/2020|Page Number: 4 of 7|
|Authority:
Commissioner|Originating Division:
Administration & Finance
Division (Human Resources)|Access Listing:
Level I: All Access
|

d. The records custodian shall be notified immediately if a file is being routed

to anyone other than the original requestor. Strict accountability must be
maintained.

2. Local Personnel Files:

a. Current GDC employees may review their own local personnel files by

contacting the local personnel office. An appointment is required. Such
review will be conducted during normal business hours when there is staff
available in the personnel office to monitor the review.

b. The file may not be removed from the personnel office area.

c. There is no charge for the initial copying of file documents. Subsequent

copies will be made at the rate of 10 cents ($0.10) per page.

d. A supervisor may review the local personnel files of employees under

his/her supervision following the same procedure for appointment as
described above. However, the supervisor may NOT have access to the
medical file.

e. An employee may review his or her own management file and/or

performance diary. However, copies will not be provided unless the
employee makes an official Open Records Request.

3. Corrections Human Resources Management (CHRM) Official Personnel File:

a. When desired, or in the absence of a local personnel file, current GDC

employees may review their own official personnel files via SCRIBE, a
computerized electronic imaging system, in CHRM. Employees must
make an appointment by contacting the CHRM file room at (478) 9925211. Such review will be conducted during normal business hours at a
time when staff is available to monitor the review. This will include a
review of the medical file upon request by the employee.

b. There is no charge for the initial copies of file documents. Subsequent

copies will be made at the rate of 10 cents ($0.10) per page.

|GEORGIA DEPARTMENT OF CORRECTIONS
Standard Operating Procedures|Col2|Col3|
|---|---|---|
|Policy Name:Privacy of Personnel Records|Policy Name:Privacy of Personnel Records|Policy Name:Privacy of Personnel Records|
|Policy Number: 104.63|Effective Date: 5/7/2020|Page Number: 5 of 7|
|Authority:
Commissioner|Originating Division:
Administration & Finance
Division (Human Resources)|Access Listing:
Level I: All Access
|

c. A supervisor may review the official personnel files (via SCRIBE) of the

employees under his or her supervision following the same procedure for
appointment as described above. However, the supervisor may NOT have
access to the medical file.

4. Former employees of GDC may review or obtain a copy of their files if they

appear in person with proper identification at CHRM.

NOTE: This procedure will also apply to a local personnel file, if one
exists.

a. Advance notice is required so a mutually agreeable time may be

coordinated.
b. Records will be reviewed in the CHRM file room and the individual must

be supervised by a staff member at all times.

c. No charge will be assessed for the first 15 minutes of review. Charges for

the time of a supervisory employee will be at a rate of $9.35 per hour for
additional review time.

d. Charges for copying material will be 10 cents ($0.10) per page.

Additionally, the hourly rate (see section c. above) will be charged for an
employee to copy the file.

5. Members of the general public (i.e., non-GDC employees) may review

department personnel records or other declassified and non-sensitive materials.
The request must be made in writing and in accordance with Georgia’s Open
Records Act or include an authorization from the employee. The request
should be received at least 3 days in advance of the agreed-upon time for
review. Following the review, copies may be made of selected records at the
above stated rates for copies and supervision by an appropriate GDC employee.

NOTE: Any request for records under Georgia’s Open Records Act must
be coordinated with GDC’s Office of Legal Services in accordance with
SOP 101.07, Open Records Requests.

a. The request must be responded to by the Director of Human Resources

within three business days of receipt. This response need only inform the

|GEORGIA DEPARTMENT OF CORRECTIONS
Standard Operating Procedures|Col2|Col3|
|---|---|---|
|Policy Name:Privacy of Personnel Records|Policy Name:Privacy of Personnel Records|Policy Name:Privacy of Personnel Records|
|Policy Number: 104.63|Effective Date: 5/7/2020|Page Number: 6 of 7|
|Authority:
Commissioner|Originating Division:
Administration & Finance
Division (Human Resources)|Access Listing:
Level I: All Access
|

requesting party of the department's decision concerning access to the
requested record. A mutually agreeable time for review may be coordinated
later.

b. No charge will be assessed for the first 15 minutes of review. Charges for

the time of a supervisory employee will be at a rate of $9.35 per hour.

c. Charges for copying material will be set at 10 cents ($0.10) per page.

Additionally, the hourly rate (see c. above) for an employee to copy file
documents will be charged.

NOTE: Charges may be waived for certain local, state, and federal
agencies.

d. An invoice (letter and/or billing notice) must be sent to the requestor,

providing charges which must be paid prior to producing copies of the
documents. Payment must be received within thirty (30) days, or the
assumption will be made that the requested information is no longer
needed.

e. Checks or money orders (no cash) for the amount of the total charges will

be made payable to: Georgia Department of Corrections. After the
payment is received, it will be processed through the appropriate business
office and GDC’s Central Accounting Office.

f. Once payment is received, requested records will be released. A copy of

the employee's release or the Open Records Request, and the billing notice,
should be retained for two years in a file separate from the personnel file.

g. Private facts or information will be redacted in the released copies as

necessary to comply with legal requirements regarding individual privacy.

6. Exceptions to this procedure may be granted by the Director of Human

Resources on a case-by-case basis.

V. Attachments:

Attachment 1: Request to Review Employee Personnel File

|GEORGIA DEPARTMENT OF CORRECTIONS
Standard Operating Procedures|Col2|Col3|
|---|---|---|
|Policy Name:Privacy of Personnel Records|Policy Name:Privacy of Personnel Records|Policy Name:Privacy of Personnel Records|
|Policy Number: 104.63|Effective Date: 5/7/2020|Page Number: 7 of 7|
|Authority:
Commissioner|Originating Division:
Administration & Finance
Division (Human Resources)|Access Listing:
Level I: All Access
|

VI. Record Retention of Forms Relevant to this Policy:

Upon completion, this form shall be retained for two (2) years in the employee’s
local Human Resources file.