what is in your employee files? disclaimer: “i have no relevant financial relationships with the...

What is in your Employee Files?

www.shadylaw.net

Disclaimer: “I have no relevant financial relationships with the manufacturers of any commercial products and/or provider of commercial services discussed in this CME activity. I do not intend to discuss an unapproved/investigative use of a commercial product/device in my presentation.”

Employee File

Ideal fileHas 5 components:

– Employment– Benefits– Payroll– Performance Reviews– Training

Employee File

May also want to add a Miscellaneous

Category

Employee File

Employment– This should contain application for

employment– Employee Information Form– Employee Non-Disclosure Agreement

This may also be called confidentiality agreement

Employee File

Should also contain– Job descriptions– Any new hire paperwork– Direct Deposit forms etc.– Employee Handbook Acknowledgement– Offer letters– Record of any property assigned to

employee

Employee File

Attendance RecordsEmployment Records

– Date of Hire– Job Changes– All Pay Changes

Employee File

If employee separates from company a separation form should be included

Exit interview documentation Tax forms

Employee File

Benefits– Retirement Plan– Vacation Request– Change in benefit plans– Keep medical information in a separate file

Employee File

Payroll– Payroll Change Form– Payroll Information– Paperwork related to Garnishment– Employee Time Cards or Sheets

Employee File

Performance Review– Employee Appraisal Form– Any disciplinary action– Disciplinary documentation– Letters, Notes, etc. relating to performance

(whether good or bad)

Employee File

Training – Orientation Checklist– Any documentation of continuing education– Documentation of in house training such as

OSHA, HIPAA, etc.

Employee File

Any other forms you find a need for in your practice

Investigative forms such as report of harassment, Corporate Compliance, or HIPAA violation

Employee Files

Be consistent in how you set up files Every file should look alike This includes everyone from employed MDs

to the receptionist Should all be under lock and key Limited access only

Employee File

Medical Files should always be kept separate from Personnel File.

Employee Files

You are employed as office administrator of a very large practice. You have 25 employees in this office and 15 in a satellite office in a nearby town and 20 in another neighboring town. An employee wants a FMLA form. Do you have to provide one?

Employee File

Dr. GoodHearted asks to see Mrs. GoodforNothing’s employee file because she wants to add a letter to it. The letter is a compliment. What do you do?

Employee File

Dr. FeelGood has 5 employees and you are the office manager. You set up all the files and do not put an I-9 in the file. You know all your employees and none are illegal aliens

Employee File

You are an office administrator for a small practice. Dr. Whiney is an employed physician. He wants to look at his personnel file. Do you allow him to take a peek?

Employee Files

Your health insurance plan changed and you have a new summary plan document. Where should you put it?

Employee File

You are an office manager for small practice called Kids R Us. The physician assistant gets upset with a nurse and demands to see her employee record. Do you allow her?

Contracts

Employment contracts Two types Physician and Non Physician

Contracts

Non physician regular employment law applies

Contracts

Non Compete: Must be in writing Ancillary to an employment agreement Must protect legitimate business interest Reasonable cope of activities prohibited Reasonable as to the geography and time

covered

Contracts

Not against public policy Valuable consideration

Legitimate Business Interest

What Gives the Employee a “Leg Up” in Competing?

Access to confidential information Patient lists Training

Contract

Scope of Activity Limited to nature of employer’s business Limited to the nature of employee’s job The “in any capacity” problem Visionair,Inc. v. James, _NCApp._,606SE2nd

359(2004)

Contracts

Geography and time must be considered together

North Carolina “blue-penciling” rule

Contracts

Not enforced when fail to prove patients are located sufficient to justify the reach

Impose worldwide covenant Covers areas where no established patients

located

Contracts

Public Policy Restraint of Trade Legitimate business interest Choice of law provisions

Valuable Consideration

Commencement of employment Execution of a new noncompete

Contracts

All apply for physicians and more Courts like Cost-sharing agreements Formula with reasonable estimate of damage Cost Share is computed and everyone

agrees

Contracts

North Carolina Courts interpreted this as not being covenant not to compete

Does not come under strict scrutiny Liquidated the damages

Employee File

Questions?

Thank you!