Personnel Files, Shadow Files and Medical Files

See Hiring Process – Applicant, Interviews and Selection for record requirements in connection with rejected job applicants. As soon as an individual has been hired, information from the interview and hiring process becomes part of the employee’s personnel file and shadow file. Throughout the term of the employment relationship, documentation relating to the employee should be added to, and retained in, such files. The following separate files must be maintained for each individual:

• Personnel File
• Shadow File
• Medical File
• I-9 Files

Personnel File

Each employee’s personnel file may include:

• Employment Application
• Hourly New Employee Input Document / Salaried New Employee Input Document
• Employee Profile Form
• New Hire Resume (if submitted)
• 2014 w4
• State Withholding Form (If applicable)
• Offer Letter (If applicable)
• Orientation Checklist/Acknowledgment
• Employee Handbook Acknowledgement
• Employee Agreement (If applicable)
• Temporary Employee Acknowledgment (If applicable)
• Electronic Systems Acknowledgement
• New Electronic Communication and Social Media Policy 9.2 (6.7.11 version)
• Guide to Business Conduct Acknowledgement (If applicable)
• Confidentiality Agreement (If applicable)
• Security Manual Acknowledgment (If applicable)
• Safety Guides Acknowledgment (If applicable)
• Disciplinary Warnings
• Termination Forms
• Separation Information
• Severance Information (If applicable)
• Vacation Requests
• Tests, if any administered (Non-medical only)
• Commendations
• Performance appraisals
• Benefit Enrollment Forms (Non-medical only)
• FCRA Notice and Investigative Consumer Reports
• Current  Employee Profile(s)
• Prior Employee Profile(s)
• Other (non-medical only) job-related documents of an administrative or regulatory nature

Shadow File

Each employee’s shadow file may include:

• Pinkerton Form
• Background search/Credit Reports (if applicable)
• Disciplinary investigation notes and documents
• Reference Check Form(s) Telephone Reference Check
• Interview Form and Ranking Form
• Garnishments (i.e. child support, etc)
• Unemployment Claims
• Employee Self ID Form
• Applicant Self-ID Form
• Pertinent medical records, including doctor’s notes
• FMLA or other medical leave forms, including leave certifications and return-to-work certifications
• Requests for disability accommodations and documentation (including costs) of accommodations that have been provided or rejected
• Worker’s compensation forms
• Benefits Enrollment Forms (medical)
• Current and Prior Insurance Action Form(s)
• Accident Reports
• Short-or Long-Term Disability requests, applications and information
• Any complaints or investigations relating to disabilities or medical issues
• Other medically-related documents

I-9 Files

• Form I-9s and related documentation must be maintained in a separate file or binder.
• E-Verify form should be placed behind the I-9 and related documentation

Where and How to Maintain Employee Files

Employee records must be maintained in a secure and confidential manner. Keep unit personnel files and medical files separately, in a safe, locked and fireproof area with limited access. Computers containing this information must also have proper security and limited accessibility.
The personnel files, shadow files and medical files for all of the following will be maintained by the Corporate Human Resources Department:

• All corporate personnel
• SVPs
• VPs
• RVPs
• Area/Regional Controllers
• Executive Chefs
• GMs
• AGMs/Directors of Operations (or equivalent)
• Miscellaneous staff who are Corporate Director level and above
• All field Human Resources employees

Set up separate file drawers for current and former employees, in each case filed alphabetically.

Access to Employee Files

Only an employee’s direct manager, General Manager (if any), the Corporate Human Resources Department, and others specifically authorized by the Corporate Human Resources Department, should have access to such employee’s files. Government authorities, including police, may see an employee’s file only with appropriate legal authorization, such as a subpoena, and only after the Corporate Human Resources Department has been contacted.
An employee may only review his or her own personnel file and medical file in the presence of his or her manager or a Corporate Human Resources Department representative. An employee may also request copies of all documents contained in his or her personnel file, provided the employee requests such copies in writing with reasonable advance notice. Refer to the state law addendum for particular requirements in your location.

Moving Files

Personnel file, shadow file and medical files are not removed from their location, unless and until an employee transfers to another unit or the unit closes. Personnel file, shadow file and medical files of former employers may be archived.
When an employee transfers to another unit within Centerplate, the employee’s personnel file, shadow file, medical file and I-9 must be sent to the new location by a secure method. A copy of such files should be maintained at the former site until it has been confirmed that the transferred files have been received, after which the copies should be destroyed.
When a unit or facility closes, all personnel files, shadow files and medical files and the I-9s must sent to record storage with all other Unit records, reports, forms, etc.  Each file must contain a copy of the final Employee Profile showing the employee’s termination date. (See Personnel Files and Records – Creation and Retention of Records.)

Confidentiality of Employee Information

To ensure the confidentiality of employee records, each employee with access to any such information pertaining to other employees is required to sign a Confidential Information Agreement, a copy of which should be kept in the signing employee’s own personnel file.
If you have any questions or concerns about the release or disclosure of any employee records or employee information, contact a member of the Corporate Human Resources Department staff before releasing the records or information. Unauthorized release or disclosure of medical information may subject you and the Company to criminal prosecution and civil litigation.

Creation and Retention of Records

Record – Information or data used for or by Centerplate on any subject and which is collected for preservation.
Procedures – The following retention schedule specifies the number of years that corporate, regional and unit offices must retain Centerplate records. Every April should be designated as record maintenance month where all records, reports, forms, etc. should be properly (and in accordance with this policy) discarded or placed in appropriate storage.
Correspondence – Unimportant letters, notes and form letters that require no follow up; copies of material for which there is another copy. Keep for 30 days.Temporary file for general inquiry letters following a reasonable period after the cycle of correspondence is completed; letters requesting specific action, but that have no further use after the action is taken; similar letters that cease to have value within a short period;  Keep for 360 days. Other correspondence that relates to the business enterprise, such as reports on expense accounts, explanations of Company policy, collection letters, letters to customers that may be referred to in the future, and similar correspondence and notes. Keep for 60 months.
General Accounting:

• Accounts payable – Current plus 7 years
• Accounts receivable – Current plus 7 years
• Bank Records – Current plus 7 years
• Budgets – Current plus 3 years
• Cash Register Tapes – Current plus 7 years
• Commissions, Sales Runs, etc. – Current plus 7 years
• Copies of Expense Reports – Current plus 7 years
• Customer Invoices (credit memos) – Current plus 7 years
• Daily Sales Reports – Current plus 7 years
• Financial Statements – Current plus 7 years
• Fixed Asset Records – Current plus 7 years
• General Ledger – Current plus 7 years
• Inventory Details/Control of Product – Current plus 7 years
• Operating Reports, etc. – Current plus 7 years

Licenses – Federal, State, Local  –  Discard after expiration or receipt of new document.
Payroll and Personnel Records:

• Benefit related records – Current plus 7 years
• Employee files and Medical files – Current plus 6 years
• Employment Applications – 1 year
• Government Agency filings (e.g. EEOC) – Current plus 7 years
• I-9s – Current plus 5 years
• Log of applicants not hired – Current plus 2 years
• Payroll Reports – Current plus 7 years
• Time Card/Sheets, etc. – Current plus 7 years
• Tip Reporting Schedules – Current plus 7 years
• Pension Documents & supporting Employee data – Indefinitely

Special Retention Records:

• Customer Correspondence, Contracts, etc.(to be kept in customer files) – Current plus 9 years
• Employee Actions, Memos, etc. (to be kept in employee files) – Current plus 6 years (see Personnel records)

Tax Records:

• Income Tax Returns – Current plus 9 years
• Income Tax Returns / Back-up – Current plus 7 years
• Personal & Real Property Back-up Report  – Current plus 7 years
• Personal & Real Property Returns – Current plus 7 years
• Sales Tax Permits (closed operations) – Send to Corporate Tax Department
• Sales Tax Permits (expired)  – Discard
• Sales Tax Returns  – Current plus 9 years
• Payroll Tax Returns  – Current plus 9 years
• Payroll Tax Returns Backup – Current plus 9 years

Workers Compensation and Safety:

• Accident Reports – Current plus 7 years
• Insurance Records – Current plus 7 years
• OSHA Logs – Current plus 7 years
• Safety and Health Records – Current plus 7 years

All Other:

• General Corporate Shareholder records – Keep indefinitely
• General business records  – Current plus 4 years
• Patent and Trademark Rights – Keep for 5 years after final expiration. Intellectual property records should be retained permanently.
• Purchase Contracts – Current plus 4 years
• Software or other licenses to use property – Keep for 10 years after software has been removed from company computer or the termination of license.

All confidential and proprietary documents should be clearly marked as such. The distribution of these documents should be restricted to persons on a need-to-know basis.
Employees should routinely delete unnecessary email and annually purge all email which fall outside the retention requirements.
Discretion is needed on documents, reports, etc. that are not specifically mentioned. To alleviate unnecessary document storage make sure these items are not retained beyond the period prescribed for in this policy.
All records shipped to Centerplate’s record management storage facility should be neatly placed in the storage facility’s box. The transmittal sheet(s) must be organized and properly completed. The corresponding bar code must be placed on both the box and transmittal sheet. A copy of the transmittal sheet must be maintained at the Unit while a second copy is sent to the Corporate Office for retention.
Examples:

Corp.

The transmittal sheet from the Corporate HR Department would have the Customer ID, Customer Name, Division ID number, Department ID number, Major Description and Minor Descriptions, Creation Date, and Destruction Date completed as follows:

• Customer ID – SP011 (all Centerplate accounts use this number)
• Customer Name – Centerplate Corporate Office (or Stamford Office)
• Division ID – Human Resources
• Department ID # – 48082 (is Human Resources Dept. #)
• Major Description –Terminated Employee, Medical files
• Minor Description –Terminated in 2002 (names A-F)
• Create Date – 02/06/2005
• Destroy Date – 02/06/2012

Field  

The transmittal sheet from the Field Units would have the Customer ID, Customer Name, Division ID number, Department ID number, Major Description and Minor Descriptions, Creation Date, and Destruction Date completed as follows:

• Customer ID – SP011 (all Centerplate accounts use this number)
• Customer Name – Yankee Stadium
• Division ID – Accounting
• Department ID # -78303 (Yankee’s main operation #)
• Major Description –A/P, A/R, Fixed Assets
• Minor Description –2004 (D- M)
• Create Date – 04/09/2005
• Destroy Date – 04/09/2012

Field & Corp.

The box must have the bar code and number neatly attached. The corresponding bar code must then be placed on the transmittal sheet.

Closing Venues:

Venues that close must follow the same procedures as outlined above. If there are questions as to correct labeling of the boxes, be sure to contact the appropriate corporate department for answers BEFORE shipping.
NOTE: No boxes will be accepted by the storage management company unless the paperwork is properly completed and the correct bar code is attached to the box.

Litigation Hold Policy

Litigation Hold Policy Document
There are circumstances where the normal and routine destruction of records must be suspended according to Federal and State requirements and Centerplate’s record retention policies.  Present and future records that are potentially relevant to pending or reasonably anticipated litigation or other investigation or legal proceeding must be preserved until the legal hold is released by the Legal Department.  A “legal hold” is a directive to cease destruction and preserve all relevant records, regardless of form, related to the nature or subject of the legal hold.
This policy and the related procedures apply to all Centerplate employees and cover all records, regardless of form (electronic or written), that are in the custody or control of Centerplate or any of its employees.
All Centerplate employees in possession or control of records that are the subject of a legal hold are responsible for the preservation of such documents.

Policy / Process

Any Centerplate employee who becomes aware of any litigation, threat of litigation, other legal action, or an investigation by any administrative, civil or criminal authority, through the receipt of notification or other information identifying the possibility of legal action or upon receipt of a summons and complaint, must immediately notify the Legal Department.  The Legal Department will determine whether to initiate a legal hold and identify the Centerplate employees subject to the legal hold.
The Legal Department or Corporate HR will notify affected Centerplate employees that a legal hold has been initiated.  The notice will inform affected employees of their obligation to identify and preserve all records that may be relevant to the legal hold.
Upon notice of a legal hold, affected Centerplate employees must do the following:

• Immediately suspend deletion, overriding, or any other destruction of electronic records encompassed by the legal hold that are in their custody or under their control.  This includes electronic records wherever stored, including, but not limited to, on hard drives of Centerplate work station desktops, laptops, or computers at their home, on portable hard drives, flash drives, DVDs, CD-ROMs, memory sticks, zip disks, diskettes, audio tapes, video tapes, digital cameras, archives, code libraries, backup tapes, voicemail messages, PDAs and/or any other storage devices or electronic media.  Electronic information must be preserved so that it can be retrieved at a later time and the information must be preserved in its original electronic form.  It is not sufficient to make a hard copy.  Also, any drafts of any documents should be preserved, unaltered, and a copy of such draft should be made prior to completing any work-in-progress.  Affected Centerplate employees are encouraged to contact the Help Desk (864-248-2026) with any questions concerning suggested methods for preserving electronic records.
• No effort should be made to collect or retrieve any electronic data absent specific instructions to do so, as such efforts could alter the metadata of such documents.  Rather, relevant documents should be preserved for collection pursuant to protocols approved by the Legal Department.
• Preserve any new electronic information that is generated after receipt of the legal hold notice that is relevant to the subject of the notice.  This should be done pursuant to the instructions in the legal hold notice.
• Preserve hard copies of documents under their control.  Steps should be taken to identify all relevant paper files and to ensure the retention of such files.  Affected Centerplate employees may make hard copies of electronically stored information; however, as outlined in item (i) above, the information must be preserved unaltered in its original electronic form.

Centerplate employees subject to a legal hold must immediately acknowledge receipt, understanding, and compliance with a legal hold by e-mail and returning a signed copy of the legal hold notice to the Legal Department.  Any Centerplate employee subject to a legal hold should consult the Help Desk (864-248-2026) for assistance in securing and preserving their records.
The Legal Department will notify the Chief Information Officer or their designee of a legal hold and provide the following information including, but not limited to:

• Official notification of the legal hold;
• The identity of all affected Centerplate employees whose electronic accounts must be preserved, including user names, if known;
• The identity of the unit employing each individual subject to the legal hold notice, if known.

The Chief Information Officer or their designee must immediately acknowledge receipt, understanding, and compliance with the legal hold by e-mail and returning a signed copy of the legal hold notice to the Legal Department.
If affected Centerplate employees separate from employment during the course of a legal hold, their immediate supervisor, under the supervision of the General Manager, LOB VP, SVP or Directors, must take possession of any and all records under the control of the separated employee and notify the Legal Department.
Once notice of a legal hold has been issued, the Legal Department will continue to monitor compliance with this policy.
Employees who violate this policy and procedure are subject to disciplinary action up to and including dismissal.
The Legal Department will determine and communicate to affected Centerplate employees when a legal hold may be lifted and records no longer preserved.