EMPLOYEE FILES AND REQUEST FOR RECORDS

Submitted by lcmisoi@mainsl.com on Mon, 07/27/2020 - 13:47
Policy: 

Employee files are maintained for all Mains'l employees. The purpose in maintaining these files and records is to the benefit of our employees and Mains’l recordkeeping needs. Employees occasionally need information documented in an employee file for personal or professional reasons and Mains’l is able to provide record of the information to the employee upon request. Additionally, Mains’l is required to keep records according to established federal and state statutes. 

Employee files are property of Mains'l. Employees have the right to review the content of their employee file, upon written request to Human Resources, once every 6 months, and once a year after separation of employment. Mains’l has a 7 day turn-around time for personnel file requests. 

Documents contained in the employee files are released with written authorization of the employee. Documents released to employees, or their designee, are subject to the conditions established in State law. 

Employee files may be kept in paper form in a locked cabinet or in electronic form in a password protected document management system. The employee files are kept secure at all times, except when viewing.
 

Procedure: 

Employee files will be maintained on all active Mains’l employees by human resources. The following information generally is contained in all personnel files:

  1. Employment application;
  2. Letter confirming employment and work location;
  3. Employee evaluations and performance records;
  4. Any licenses, professional affiliations, or certificates;
  5. Documentation of changes in employment status;
  6. Documentation of changes in wage or salary status;
  7. Written communication between Mains’l and the employee;
  8. Employee training records and documents;
  9. W-4 forms;
  10. References;
  11. Orientation Checklists and Log;
  12. Copy of automobile insurance coverage, if applicable;
  13. Any other pertinent data as determined by the employee's supervisor and/or human resources.

The following documentation is maintained in a separate file or document imaging file, due to the private nature of the information:

  1. I-9 Employment Verification;
  2. Benefit information;
  3. Medical information including documentation relating to the Americans with Disabilities Act;
  4. 401K Information;
  5. Workers’ Compensation.

Employee files may be kept in paper form in a locked cabinet or in electronic form in a password protected document management system. Keys for these cabinets are kept by human resources staff. The following classifications are permitted to view employee file records as it pertains to their work:

  1. Managers;
  2. Senior Managers;
  3. Directors;
  4. Executive Team members;
  5. Human Resources staff;
  6. Finance staff.

Access to the files for viewing can be obtained by contacting human resources. For control and security purposes, the files can only be viewed in a designated location in the office and in the presence of human resources staff. The only exception to this policy will be at the request of licensing or other officials who have legal authority to access these records. 

No files or documents are removed from human resources files.

If a current or former employee personally requests a copy their own employment information, Mains’l requires a signed release; when the employee requests information via telephone or email, the requested information may:

  1. be mailed directly to the employee’s home address, 
  2. picked up by the employee in the main office, or 
  3. faxed to the employee as requested.
     
Internal Controls: