Supervisor's Employee Work Folder - Catra

1 Record Keeping Page 1 of 6 _____ _____ RECORD-KEEPING The Employee Personnel Folder should be used to record personal, emergency information and to document significant events and discussions supervisors have with their employees regarding performance, recognition, training and conduct. Documenting is a Supervisor's responsibility and should not be assigned to clerical personnel. Employees have a right to see and initial notes concerning performance or conduct, and may review the contents of their work Folder upon request. Employee Personnel Folders must be maintained in a secure area that guards against unauthorized access, yet is readily accessible for supervisors to enter notes and other documentation.

2 Compile only job-related information in the personnel file. Items include: Resume/Job Application Job Performance and Evaluations Salary Changes Disciplinary & Grievance Actions Transfers File notes Generally, and if administratively viable, a separate confidential Folder is maintained for information which is to be revealed on a need to know basis. Such items include: Vacation, Leave Requests Pre-employment Evaluations (Subjective items) Reference Checks Medical records (Dr. releases, health insurance information, physicals, injury reports, w/c claims) Legal Actions Immigration form necessary for all applicants offered a Designed to prevent the hiring of "illegal aliens".

3 Payroll Records Recordkeeping: General Guidelines Personnel files. This "all-purpose" file should contain all human resources information about each Employee (except medical and health insurance files) including: applications or resumes, performance reviews, Employee comments or responses if appropriate, disciplinary actions, salary history, deductions, bonuses, special pay (tuition reimbursement for example), pay rate changes, promotions, demotions, apprenticeships, job training, courses or degrees taken during the job period, and Record Keeping Page 2 of 6 _____ _____ attendance (vacation days, sick days, personal days, family leave days, days absent without permission).

4 Some employers keep attendance files separately. The attendance file may contain the dates of family leave absences, but medical or family history records connected with family leave must be kept in a separate file. 'Protected' status. Information specifically identifying race, gender, age, ethnic group, disability, or religion should be kept separate from the worker's personnel file. Family/dependent records. Any family history, whether medical or otherwise, must be kept in a separate file and in a separate place, in a file cabinet or locked computer file. If the Employee 's health insurance covers the Employee 's dependents, these records may be kept with the Employee 's other family records, but must be separate from the Employee 's personnel file.

5 Medical records. Medical exams, medical history, and anything else medical must be stored separately and access to these records strictly governed by a "need to know" policy. Evidence of HIV status is particularly sensitive, and should not be kept on an Employee 's personnel file. Payroll records. Generally, these are maintained for all employees by pay period, and are not kept in the individual worker's personnel file. They record the work period, straight and overtime hours worked, pay rate, deductions/additions, wages paid. Former employees. In terms of the Basic Conditions of Employment Act, every employer must keep a record containing at least the following information- (a) the Employee 's name and occupation; (b) the time worked by each Employee ; (c) the remuneration paid to each Employee ; (d) the date of birth of any Employee under 18 years of age; and (e) any other prescribed information.

6 Such a record must be kept by the employer for a period of three years from the date of the last entry in the record. No person may make a false entry in a record. An employer who keeps a record in terms of this section is not required to keep any other record of time worked and remuneration paid as required by any other employment law. Record Keeping Page 3 of 6 _____ _____ Access to Employee Files by Labour Inspectors In order to monitor and enforce compliance with an employment law, a labour inspector may, without warrant or notice, at any reasonable time, enter (a) any workplace or any other place where an employer carries on business or keeps employment records, that is not a home; (b) any premises used for training in terms of the Manpower Training Act, 1981 (Act No.)

7 56 of 1981); or (c) any private employment office registered under section 15 of the Guidance and Placement Act, 1981 (Act No. 62 of 1981). A labour inspector may enter a home or any place other than a place referred to above only with the consent of the owner or occupier; or in terms of a court order. If it is practical to do so, the employer and a trade union representative must be notified that the labour inspector is present at a workplace and of the reason for the inspection. Powers to question and inspect In order to monitor or enforce compliance with an employment law, a labour inspector may- (a) require a person to disclose information, either orally or in writing, and either alone or in the presence of witnesses, on any matter to which an employment law relates, and require that the disclosure be made under oath or affirmation; (b) inspect, and question a person about, any record or document to which an employment law relates; (c) copy any record or document referred to in paragraph (b), or remove these to make copies or extracts.

8 (d) require a person to produce or deliver to a place specified by the labour inspector any record or document referred to in paragraph (b) for inspection; Following is a list of records which should be maintained in an Employee s personnel Folder . Personnel File Contents Document on file? Section 1 Application Details Yes No Application for employment form Employee CV Employee document or permanent residency (Photostat) Employee driver's license (Photostat) Interviewing Notes Interview Correspondence Offer of Employment Employee Acceptance Record Keeping Page 4 of 6 _____ _____ Employee Orientation Checklist Employee Contact Numbers, Address and next of kin Section 2 Salary Details Yes No Employee Salary Advice IRP5 forms IRP2 forms UIF Card Monthly salary advices Complaints of indebtedness (Garnishee Orders) Stop Order and other salary deduction authorization forms Retirement Fund and Medical Aid membership forms Beneficiary forms.

9 Section 3 Leave Record Yes No Leave schedules Annual Compassionate Sick Study Family Responsibility Shop Steward Leave Other Section 4 Performance and Development Yes No Position Descriptions Training records, including Formal Training Plans Performance Plans Performance Ratings Section 5 Disciplinary Procedures Yes No Pending personnel actions, awards recommendations, etc. Disciplinary/adverse action backup materials Disciplinary File Documentation Checklist Objective: To provide a clear audit trail of all actions taken and leading up to a formal disciplinary action. 1. Copies of notice of proposed action Employee response (or notation that no written response made) Summary of response when made orally (including Employee s or representative s signature as to Record Keeping Page 5 of 6 _____ _____ accuracy of memorandum) Notice of decision and reasoning behind decision (specifically addressing Douglas factors) Supporting documentation such as: a.

10 Witness statements b. affidavits c. documents d. investigative reports or extracts of them e. pertinent regulations f. personnel actions g. reports on personal interviews/group meetings Evidence of delivery of notice letters Completed case sheets, with all items filled in (noting N/A if necessary) Section 6 Grievance Procedures Yes No Objective: To provide a clear audit trail on all actions taken and leading up to a final decision on each grievance. This checklist applies to both negotiated and administrative grievances. 1. Written grievance. 2. Designation of representative. 3. Witness statements. 4. Memos on discussions with grievant/supervisor/rep/witnesses. 5. All Grievance forms and Notices.