“Document Maintenance and Archive”
Dissertation submitted
In Partial fulfillment for the
Post Graduate Programme in Business Management
By
Sonal Kumari
Roll No: GJU09148
Batch: July 2009-2011
Under the Guidance of
Reporting Boss: Mr Neeraj Kumar Singh
Designation: Assistant Manager
Company Name: Dish TV Ltd.
NSB SCHOOL OF BUSINESS
B-II/1, MCIE, Delhi-Mathura Road, New Delhi
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B-II/1, MCIE, Delhi-Mathura Road, New Delhi
CERTIFICATE
This is to certify that the summer project report title
“Document Maintenance And Archive ” is a
bonafide work done by Ms. Sonal Kumari, Roll
No.: GJU09148 of Batch July 2009 – 2011,
Submitted to NSB School of Business, New Delhi in
partial fulfillment of the requirement for the award of
Post Graduate Diploma In Business Management, and
that the report represents independent and original
work on the part of the candidate.
Prof.
Alok Satsangi
Corporate
Relations Cell
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The basic principle is to keep normal employee records such as payroll, any disciplinary
warnings and evaluations separate from information that could be used to illegally
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discriminate against an employee. Most company managers will have access only to the
employee personnel file. If the company is ever sued for discrimination, it is much easier
to mount a defence when you can show that the managers making employment decisions
about promotions, salary increases, training, etc. did not even have access to protected
information such as the employees race, national ancestry, citizenship status, and age.
Under federal law, there need to be 3 separate sets of employee files. The confidential file
will contain any and all medical information on the employee, because under the
Americans with disabilities Act or ADA, this info cannot be the basis of employment
decisions like promotions, raises, training, termination, etc. This includes even doctors
notes for a one-day absence. Many companies would also keep credit reports and test
scores in this file. Only HR employees with a genuine need to see this information should
have access to it. Generally, even the employees immediate supervisor should not see it.
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Federal I-9 forms should be kept in a different file, especially if your company keeps the
recommended copies of the supporting documents. These should never be co-mingled
with the other employee records because they contain information on citizenship, race,
color, age and national ancestry that can be used for illegal discrimination.
The personal file will contain all other information on the employee, and is the one that
most managers will have access to.
And by the way, it is not enough for these to just be separate folders within the same
files. The confidential files and I-9 files should actually be kept in different file drawers
and if at all possible, in separate file cabinets with different keys from the personnel files.
Only the HR director or another responsible person should have the keys to confidential
files, and access needs to be strictly on a need-to-know basis. Some states have additional
laws on employee information and files.
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Purpose
This policy describes the types of files that contain employment records for
administrators, the type of record and information typically contained in each file, who
has access to files, conditions for release of information, and record retention. As we all
know data maintenance is pretty important for the future purpose because we need it time
to time for different purposes.
Data maintenance is done by HR personnel. They take care of all the employees too.
They care about each and every work is going without any interruption in a firm. If any
employees have any issues related to his/her work, wages or any other thing then he/she
has to tell HR department and HR department will take care of it. File maintenance is
also part of it and is maintained by each and every firm.
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Types of Documents
If a firm hire new employee then the firm need to get some documents from employee for
their future purpose. The following descriptions of certain terms used in this policy are
intended to provide guidance in understanding the policy, but are not comprehensive or
definitive. These terms are subject to legislative revision and judicial interpretation.
• Education Records- Any records, other than directory information (e.g., name
and address), directly related to a student, including employment records for
student employees.
• Medical Records- Any documents pertaining to the medical history, diagnosis,
prognosis, or medical condition of a patient that is generated and maintained in
the process of medical treatment.
• Investigatory Records- Applies primarily to the records of a police department,
but also includes some records of administrative investigation. Ex- ID proof like
voter id card or passport.
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• Intellectual Property Records- Most research-related information, other than
financial or administrative data, that has not previously been publicly released,
published, or patented.
• Department Personnel Files- Department personnel files are kept and
maintained in an employee’s department and contain employment-related records
that may duplicate and/or augment records in the official personnel file. In
addition to records filed in the official personnel file, a department personnel file
may include records such as time sheets, leave requests, anecdotal notes, letters of
instruction, performance plans, summaries of professional development activity,
and committee participation. An employee or a supervisor may submit documents
for the department file.
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Educational Records
Under education records we need to maintain a database of all the certificates of
employee’s educational qualifications.
Ex-
1. Matriculation Mark sheet
2. Matriculation passing certificate
3. Intermediate mark sheet
4. Graduation mark sheet
5. Post-Graduation mark sheet
6. Any other extra qualification if candidate has
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Identity Proof
Identity proof is must to give by an employee and it is one of most common document
which used to be missing as firm never bothered about the identity of their employee. But
due to many unwanted activities now firm are concentrating on it.
Identity proof is of two types-
1. Photo ID Proof-
Photo identity proof can be any of the government identity card which has
photograph of the candidate.
Ex- Passport, Voter identity card, Permanent Account Number Card.
2. Address Proof-
This proof is unavailable if candidate is not a localite. Candidate feels great
difficulty in getting address proof if he/she is not localite.
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Medical Records
Medical certificates are for any kind of emergency. If employee meets an accident then
treatment can be given on the basis of his/her medical history. An employee needs to
submit his/her medical fitness certificate and medical history if he/she has any.
This is for their betterment because accident can occur anytime and anywhere. So if
his/her medical history is available then there will be no problem for doctors to give
him/her treatment.
He/she might be allergic to some medicine and if doctors come to know about this at the
initial stage of the treatment then there will be no problem and if they don’t know about
his/her allergic part then case can goes worst.
So firms ask for medical fitness certificates and medical history at the time of joining.
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Investigatory Records
These records are to check candidates’ social status. This is to check whether he/she has
been involved in any kind of forgery or any other criminal activity. This checking is
necessary to check how genuine the employee is.
This is normally done by a third party. Firm gives contact to a third party and they make
sure about this activity and get them the information whatever it is.
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Department Personnel Records
Department personnel files are kept and maintained in an employee’s department and
contain employment-related records that may duplicate and/or augment records in the
official personnel file. In addition to records filed in the official personnel file, a
department personnel file may include records such as time sheets, leave requests,
anecdotal notes, letters of instruction, performance plans, summaries of professional
development activity, and committee participation. An employee or a supervisor may
submit documents for the department file.
Once candidate is hired all the above written documents are submitted by him then some
other documents are started to be maintained by the firm like attendance record,
performance record, salary record etc. These records are needed for future purpose in
promotion, wage increment etc.
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2. LEAVE AND ATTENDANCE FILES:
2.1 Separate leave and attendance files will be established for each employee at the
time of his/her initial hire and will be actively maintained during his/her tenure.
These records will include all documentation required in SCDC Policy/Procedure
ADM-11.08, "Employee Leave." (3-ACRS-1C-14, 3-4065)
2.2 The Division Director of Human Resources or designee will be responsible for the
maintenance of all leave and attendance files for all members of the Director's staff,
Division Directors, Wardens, and Human Resource Managers, and for all employees
located in the Central Office/Annex Buildings. (There is one exception; leave and
attendance files for employees who are assigned to the Training Academy will be
maintained at the Training Academy.) All other active employee files will be maintained
by the Human Resource Manager or designated record keeper at the institution or area
where the employee is permanently assigned. The record keepers in these areas will be
responsible for coordinating leave record activity with the Division of Human
Resources. Exceptions are as follows: Administrative Lieutenant, Training Academy.
2.3 When an employee transfers to another location, his/her leave and attendance file will
be transferred.
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3. PAYROLL FILES:
3.1 Separate payroll files will be established for each employee at the time of his/her
initial hire and will be actively maintained during his/her tenure. Payroll records
will include information regarding the employee’s benefits and all documentation
required by SCDC Policy/Procedure ADM-11.03, "Employee Compensation," and
SCDC Policy/Procedure ADM-11.31, "Position Classification." (3-ACRS-1C-14, 3-
4065)
3.2 The Division Director of Human Resources or designee will be responsible for the
maintenance of active payroll files for all SCDC employees.
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4. MEDICAL FILES:
4.1 Separate medical files will be established for each employee at the time of his/her
initial hire and will be actively maintained during his/her tenure. Medical files will
include documentation regarding the employee’s tuberculosis screening, pre-
employment physical, emergency data card, etc. (3-ACRS-1C-14, 3-4065)
4.2 The Division Director of Human Resources or designee will be responsible for the
maintenance of all medical files for all members of the Director's staff, Division
Directors, Wardens, and Facility Human Resource Managers, and for all employees
located in the Central Office/Annex Buildings with two exceptions: medical files for
employees who are assigned to the Training Academy will be maintained at the Training
Academy and medical files for employees who are assigned to the Division of
Construction and Maintenance, and the Division of Transportation will be maintained in
the Division of Construction and Maintenance and the Division of Transportation. All
other active medical files will be maintained by the Human Resource Manager or
designated individual at the institution or location where the employee is permanently
assigned. The record keepers in these areas will be responsible for coordinating medical
record activity with the Division of Human Resources.
4.3 When an employee transfers to another location, his/her medical file will be
transferred.
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5. TRAINING FILES:
5.1 Training files will be maintained electronically in the CRT. The Division of Training
and Staff Development will be responsible for updating the electronic file. (NOTE: Prior
to July 1, 1997, training files were maintained manually.)
5.2 Individual training files established on employees hired prior to July 1, 1997, will be
stored at the individual work location and moved when the individual transfers from one
work location to the next. (NOTE: These files will not be updated after July 1, 1997.
Rather, any additional training the employee receives will be recorded as stated above in
5.1.)
6. DISCLOSURE OF INFORMATION: All inquiries or requests for information on
active or inactive employees must be made to the Division Director of Human
Resources or designee. Information may be provided as follows:
6.1 Information contained in employee records will be disclosed only to those
managers of the Agency and other employees who have a duly authorized purpose.
This purpose must be in relationship to the conduct of the Agency’s mission and/or
operations. Persons requesting such official employee records must conform to all
safeguarding procedures established by the Division of Human Resources. (3-
ACRS-1C-14, 3-4065)
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6.2 Any person requesting information (other than those specified in Section 6.1 above,
and 6.3 below) may submit a verbal or written request to the Division Director of Human
Resources or designee during regular business hours (8:30 A.M. - 4:30 P.M., Monday
through Friday). If the record is not available at the time a request is made, the Division
Director of Human Resources or designee will notify the requestor in writing within five
(5) working days to advise him/her of the circumstances and to set a reasonable date
when the record will be available. Information that can be released upon request to
persons other than those specified in Section 6.1, above, or 6.3, below, includes the
employee’s:
• date of hire;
• salary range;
• pay band and level;
• job title; and
• work location.
(NOTE: Additional information will only be released upon the written consent of the
employee or if a court of competent jurisdiction orders such disclosure.)
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6.3 The Division Director of Human Resources will approve any official job reference
information released to prospective employers. The following information will be
provided to prospective employers who submit a written request for information on a
current or former employee, with or without the individual’s signed release:
• date of hire;
• salary;
• pay band and level;
• job title;
• work location;
• eligibility for rehire, if applicable; and
• reason that the employee is no longer employed by the Agency, if applicable (e.g.,
resigned, resigned in lieu of termination [with reason for this action], termination
[with reason for termination]).
6.4 The Department of Corrections will approve the release of any information in
accordance with SCDC Policy/Procedure GA-02.04, "Freedom of Information Act
Requests." Such information must only be provided and authorized by the Division
Director of Human Resources or designee.
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7. INFORMATION REVIEW/EXCLUSION/REMOVAL:
7.1 Employees will be permitted to review their official employee files upon verbal
request to the Human Resource Manager or designated liaison to ensure that the file
is current and to check for omissions or inaccuracies. If an employee believes his/her
file contains inaccurate information or if information is missing from the file, the
employee may submit a request for changes to the Employee Relations Branch,
Division of Human Resources. The employee should attach copies of any
documentation that may assist in correcting the file. The Division Director of
Human Resources/designee will review this request and approve or disapprove the
changes. (3-ACRS-1C-15, 3-4066)
7.2 Corrective action forms or documents related to official corrective actions, i.e.,
written warnings, reprimands with action, probation, suspensions, etc., may not be
removed from an employee’s personnel file except as authorized by the Employee
Relations Branch, Division of Human Resources. (See SCDC Policy/Procedure ADM-
11.04, "Employee Corrective Action.")
7.3 Special documentation not generally associated with normal work situations, i.e.,
investigations, outside criminal investigations, etc., will not be placed in the employee’s
file unless specifically designated for inclusion by the Agency Director.
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8.TRANSFERRING FILES: When a file is transferred due to an employee’s
termination, resignation, request for review, or any other purpose, the transfer will be
documented by the sender using SCDC Supply S-22, "File Transmittal Form.
9. INACTIVE EMPLOYEE FILES: When an employee is terminated, resigns, retires,
or leaves the Agency for any other reason, his/her files must be immediately forwarded to
the Division of Human Resources. All files, to include the employee’s personnel, leave
and attendance, training, and medical files must be forwarded by staff of the appropriate
area using SCDC Form 16-5, "Personnel Advice Form." (NOTE: Duplicate files must
not be maintained by the losing area.) Inactive employee files will be maintained by the
Division of Human Resources for the calendar year in which the employee ceases
employment with the Agency. All other inactive employee files will be maintained in
accordance with applicable guidelines established by the State Office of Human
Resources and retention guidelines.
10. AUDITS: The Division Director of Human Resources or designee may conduct both
annual and random audits to ensure that a current and complete employee file exists on
all active employees.
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Employee Master File Maintenance Date- ______________
Company Name- _____________________________
Employee No- ___________ New[ ] Change[ ] Re-Hire[ ]
Employee Name- ____________________________________________
Address- ___________________________________________________
City- _________________ State- __________________ Zip-
________________
Phone No- ___________________ General Ledger# _________________
Social Security# ________________ Hire Date : ____________________
Birth Date: _______________ Term Date: _____________________
Marital status: Married [ ]
Work City: _____________ Live City:
# of Exemptions _____________ School City: ____________
Federal: ____________
____________ Pay Rate: _____________ Hourly [ ] Salary [ ]
State:
Commission [ ]
Name:
Address:
Social Security:
Date of Birth:
Date of Hire:
Exemptions:
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