I-9 FORMS AND PERSONNEL FILES


1-9 Forms contain the most frequently found errors in record- keeping. I-9 forms should not be kept in the personnel file. The best practice is to keep them together in their own location. Dur- ing an audit of your I-9 forms and procedure, verify Section 1 is completed by the employee at the time employment begins. Verify Section 2 was completed by the employer by the end of the third business day, and verify Section 3 was completed (if needed) by the expiration of the foreign national’s work authorization. You also should verify prior 1-9 forms for rehires (within the last three years) have remained valid and the Section 3 rehire date is listed. All employees that have been terminated for more than one year should be removed from the current active file, and all employees should have an I-9 on file. Other areas to double- check when auditing your I-9s include:


EMPLOYEE RELATIONS


 Is there a system for performance evaluations?  Does the system check for effectiveness of the evaluation?  Is quality and quantity of work evaluated?  Is performance tied to compensation?  Are workplace policies flexible?


 Are disciplinary actions for violating workplace policies flexible?


 Is there a process for employees to lodge complaints?


 Are there a variety of individuals to whom employees may lodge complaints (supervisor, HR representative)?


 Is there a whistleblower policy in effect? SAFETY AND SECURITY


 Are safety hazards reported to the appropriate personnel?  Are workplace accidents, injuries and illnesses reported and investigated?


 Are measures in place to prevent intruders from enter- ing the grounds or buildings?


 Is bright, effective lighting installed indoors and outdoors?


 Are measures in place (access badges, traffic control, etc.) to keep unauthorized persons from entering the facility through normal entrances?


 Are employees encouraged to promptly report inci- dents and suggest ways to reduce or eliminate risks?


 Are structures readily accessible to disabled employees?  Are minors prohibited from performing hazardous work?  Are OSHA rules adhered to?


DISCRIMINATION AND EMPLOYEE RIGHTS


 Are employees trained on discrimination issues?  Are supervisors and managers trained in anti-discrimi- natory practices?


 Are employment practices in line with the various anti- discrimination laws?


 Are minors prohibited from working more than their hours allowed by the Fair Labor Standards Act?


 Are effective policies in place that prohibits retaliation against employees who exercise their rights?


WORKERS COMPENSATION


 Are injuries/incidents investigated?  Is follow-up remediation performed where appropriate?


 Are employee’s workers compensation files kept secure and separate from their employee files?


 Is regular contact made with employees out on workers compensation?


 Are return-to-work programs checked for effectiveness?  Is contact made with medical providers?


 Are insurance premiums and competitive quotes reviewed on a periodic basis?


 Is the workplace environment maintained with safety in mind?  Are state (new and existing) requirements monitored? EMPLOYEE SEPARATION


 Do exit interviews take place?  Are separation and COBRA notices provided on time?  Are final paychecks provided on time?


RECORDKEEPING AND OTHER DOCUMENTATION


 Are personnel files current?  Are all appropriate labor posters displayed in a con- spicuous place?


 Have posters been updated?


 Are documents regarding employees kept for their required duration?


April 2013 MODERN CASTING | 27


• Address is not a P.O. Box • Identification is not expired • Employees are not told which specific forms of identification to bring


• All blanks are filled in • Dates are correct. Finally, remember companies may not use e-verify after the third day of hiring.


Personnel files essentially deal with four categories: content, maintenance, retention and access. They should contain the employment application, W-4, resume, copy of health insurance enrollment forms, records of key and other security items, a copy of salary actions, performance reviews and employee notices. I-9 Forms and medical records should be kept separate.


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