3/25/2015 Marta M.MardiValentino, CMC, MPA Director of Human - - PDF document

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Marta M.“Mardi”Valentino, CMC, MPA Director of Human Resources City of West Columbia

Nothing contained in this

presentation is intended as a substitute for legal advice.

Please consult your municipal

attorney for legal advisement.

“A good sketch is better than a long speech.”

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What Is a Record? How to Set Up an Employee File System Records Security Records Retention Quick Tips

 Paper: loose sheets or bound volumes  Electronic media: E-mail / Facebook / Tweets  Photographs: paper or digital  Audio or video recordings: tape or digital  Microfilm  Digitally scanned documents  Anything you create!

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When determining if something is a record – if you created it in the course of normal business, then you created a legal liability to use it, store it and / or dispose

• f it in a proper manner.

Blank forms Technical journals Federal / state publications or guidelines Newspaper or magazine articles Newsletters Notices from other agencies Anything you do not create or alter by

inserting information.

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Personnel File Confidential File Medical File Benefits File FMLA File Workers’ Comp File Form I-9 E-verify Record

 Original employment application / resume  Annual evaluations / supervisor notes  Promotions / transfers between departments  Disciplinary actions / complaints  Investigations (only if resolved or concluded)  Letters of commendation  Certifications / certificates of training  Signed receipts for handbooks / policy changes  Resignation / discharge / retirement documentation  Anything to do with the employee’s job

performance.

 Tax levies / garnishment of wages  Child support orders or divorce decrees  Verifications of employment  Employee investigations  Criminal background or credit checks  Wage data:W-2 and W-4 forms or salary changes  Supervisor notes unrelated to job performance  Address / name changes  Birth records / military records / driving records  Educational records  Anything of a personal nature.

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Doctors excuses (unless Workers’ Comp) Drug screens (pre-employment / random) EAP documentation / counseling Results of physicals Medical evaluations for respirator use Any kind of medical document on the

employee or an employee’s dependent

• ther than related to Workers’ Comp.

 Insurance Notice of Election (NOE)  Retirement application / beneficiary forms  COBRA notifications  Address / name changes sent to benefits carrier  Supporting documentation for employee’s

dependents such as birth certificates, marriage licenses and copies of Social Security cards

 Health insurance questionnaires  Documents for qualifying events such as adoption,

birth of child or dependent loss / gain of medical insurance

Maintain only one FMLA file on each

employee.

Every new application for FMLA leave

should be kept separate from previous approved leaves.

Use a checklist to know what documents

have been completed and returned and which ones are still outstanding.

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Keep a separate file on each injury. Include date of injury on the file label. If an employee sustains a new injury

while still being treated for a WC injury start a new file.

Maintain a copy of any internal

communications regarding the claim.

 “Employers must retain each employee’s

completed Form I-9 for as long as the individual works for the employer.”

 “Once the individual’s employment ends, the

employer must retain this form for either 3 years after the date of hire or 1 year after the date the employment ends, whichever is later.”

 Maintain an Form I-9 folder separated by year:

current year plus three previous years for new

• hires. Place long-term employees in oldest year.

 Staple together employee’s Form I-9, E-verify

approval and copies of supporting documents.

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Information that is opinion, supposition,

random notes, gossip or unfounded rumors

Unresolved allegations from other

employees

Unpursued allegations (not investigated or

concluded)

Any non-factual information Do not combine files when an employee

• leaves. Continue to maintain separate

folders, but place in one primary folder.

The contents of an employee’s personnel file can be subpoenaed by lawyers for lawsuits and Equal Opportunity Commission (EEOC) complaints. A current employee or former employee can request a copy of his/her complete employment record at anytime and at no cost.

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 Storage: Files should be locked in cabinets

preferably in a locked file room.

 Access: Limited to only two or three employees:

i.e., city manager/administrator, you and one

• ther employee who would cover for you when

you are not at work.

 A supervisor should have access to only the

employee’s personnel file.

 It is important to be able to accurately state in

court who has access to the employee files – the fewer the better.

The Health Insurance Portability and Accountability Act (HIPPA) protects information such as medical records that contain identifiable health information. HIPPA does not distinguish between active and terminated employees.

Section 30-4-40, Matters exempt from disclosure. (a) A public body may but is not required to exempt from disclosure the following information: (2) Information of a personal nature where the public disclosure thereof would constitute unreasonable invasion of personal privacy.

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Burton v.York County Sheriff’s Department (2004) SC Court of Appeals decision: “A sheriff’s office is required under FOIA to disclose internal investigation reports that contain information as to the performance of public duties by sheriff’s

• ffice employees.”

Subpoena duces tecum: a writ that orders a

person or organization to provide physical evidence before the ordering authority or face punishment. This is often used for requests to mail copies of documents to the requesting party or directly to court.

A subpoena usually requests the entire

contents of the employee file.

Subpoenas issue from civil or criminal suits,

sometimes unrelated to the municipality.

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SC Department of Archives and History SC Public Records Act of 1973 http://arm.scdah.sc.gov

Records Management Local Government Schedules General Records Retention Schedules for

Municipal Records

Subarticle 7. Personnel Hot Files Rule – 20/80 theory File chronologically oldest to newest File Mc between Ma and Me Use 3 1/3” X 4” mail labels for checklists:

e.g., FMLA and Workers’ Comp folders

Use checklists for hire / termination Cross file records: e.g.,WC and FMLA Calculate future dates: timeanddate.com Use color coding to distinguish files, e.g.,

blue = medical, green = benefits, yellow = WC

File employment applications each year

by department

Begin setting up employee files with all

new hires

When an employee leaves set up his/her

employee file in the new system

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Five documents sure to appear in an employment lawsuit:

Job descriptions Employee handbooks Performance evaluations Disciplinary action documents Response to administrative charges

“Organized people are just too lazy to look for things.”

Bertrand Russell British Philosopher (1872 – 1970)

Mardi Valentino Director of Human Resources City of West Columbia (803) 939-8603 (office) mvalentino@westcolumbiasc.gov