USA Operations Centers Data for Lawsuits and Subpoenas May 2017

State/Area Exceptions

As this policy is reviewed, please note the following State for which exceptions exist:

See "Human Resources Role" below for State/Area exceptions.

Overview

This policy governs the responsibilities of Joyner employees, Management, and Human Resources when lawsuit-related requests for information or data are received from internal Joyner employees, Legal Services, attorneys retained by Legal Services, or attorneys not affiliated with Joyner, including when subpoenas are served for information or data at Joyner facilities.

It is important to note this policy does not cover:

Requests related to the release of employee information and data to parties outside of Joyner when the request is not related to a lawsuit or other legal proceeding. More information on this topic can be found in the Employment Verification, Government Inquiries and Letters of Reference policy.

The classification and handling of confidential and sensitive employee information. More information on this topic can be found in the Confidential and Non-Confidential Employee Data policy.

Requests by current or former employees (or their designated representative) to review or obtain their employee information. This can be found in the Requests by Employees to Review Human Resources Information policy.

Release of current for former employee information regarding commercial driving information. This can be found in the Commercial Drivers - DOT policy.

General Information

Often requests for data for the purposes of lawsuits, or subpoenas come from parties within or outside of Joyner. When the request involves employee information or data, the Human Resources Department is responsible for reviewing and responding to such requests to ensure proper classification, handling, and use of the employee information and data.

Litigation or Lawsuit Related Requests (Non-Subpoena) Supervisors, Management, and Human Resources may receive requests for employee data related to litigation and lawsuits from varying sources within Joyner. Requests such as these may also be received from outside attorneys not affiliated with Joyner, or current and former employees. These requests are generally due to litigation or lawsuits currently in progress at Joyner.

Subpoenas A subpoena is a process that directs a party to appear at a certain time and place for the purpose of testifying and/or furnishing documents or evidence required in a legal proceeding. If permitted by the requesting counsel, Joyner can comply solely by producing the requested documents, avoiding the need for personal appearance.

Service of a subpoena may be attempted upon virtually anyone, including but not limited to employees, former employees, sales agents, and companies working under contract for Joyner. At the time of delivery, the individual being served (the witness) is provided with the original subpoena. A subpoena is served to the witness by having a copy delivered personally usually by a law enforcement representative, private process server, mail, fax, or as otherwise provided by applicable law. Joyner is required to respond in a lawful manner to a valid subpoena.

Subpoenas generally fall into four categories. These include:

Work-Related Subpoenas Served on Joyner

Work-Related Subpoenas Served on Employees

Non-Work-Related Subpoenas Served on Employees

Subpoenas to Companies Working under Contract with Joyner

Human Resources data and information that is generally sought via subpoenas includes but is not limited to:

Official Employee Files / Memos

Medical Records

Group Insurance Records

Payroll Records

Employee Retirement Plan Records

Voluntary Benefit Plan Financial Records

Performance Records

Credit Union Records

Employee Actions

Subpoenas

Work Related Subpoenas Employees may be served with a subpoena in which they are the named witness and the lawsuit is related to their work at Joyner. For example, Team Manager Bob is served with a subpoena requiring him to appear as a witness at trial in a Joyner-related lawsuit. Bob should accept the subpoena and advise his management immediately.

If the subpoena was issued in a lawsuit in which Joyner entity is a named party and/or the subpoena requires the production of documents (regardless of whether a Joyner entity is a named party), management should fax the subpoena immediately to Joyner's vendor, CSC, using a standard fax cover sheet.

Non-Work Related Subpoenas At times, non-work-related subpoenas may be served on Joyner employees. These are subpoenas of a personal nature and not related to Joyner or Joyner business practices. Examples could include, but are not limited to, situations such as divorce or custody hearings.

Non-work related subpoenas can only be accepted by the individual named in the subpoena. Administrative Services / Security or the facility receptionist will notify the employee that a non-work related subpoena is being served and Joyner will provide a private room if needed.

Lawsuit Related Requests (Non-Subpoena)

Employees should inform their management immediately of any requests sent directly to them requesting information for the purpose of a lawsuit involving Joyner. Management will act on the requests accordingly and provide direction on how to proceed.

Managerial Actions

Lawsuit Related Requests sent Directly to Supervisors (Non-Subpoena) Supervisors and Management may receive a request directly, Legal Services, or be notified by an employee of a request for information due to a lawsuit. Please remember, Joyner may be under court established deadlines to respond to such requests. Supervisors should give these requests their immediate attention.

Processing Subpoena Requests for Employee Information

Any subpoena for Human Resources information or employee data being served should be immediately brought to the attention of Human Resources.

Human Resources Role

Processing Requests (Non-Subpoena) for Human Resources Information for Litigation Purposes Human Resources should copy and provide any information requested directly to the requesting Joyner Counsel/Attorney, Retained External Counsel/Attorney, Litigation Assistant, or HR Litigation Coordinator.

Human Resources information should not be released directly to attorneys not affiliated with Joyner. Contact Legal Services when Human Resources information is requested by a counsel/attorney not affiliated with Joyner.

Accepting and Processing Work-Related Subpoenas Served on Joyner These are subpoenas where a Joyner entity is named as the witness. The employee who is served with the subpoena should take it and contact his or her management immediately. Management should fax the subpoena immediately to Joyner's vendor, CSC, using a standard fax cover sheet.

Please remember: Joyner is under court established deadlines to respond to subpoenas. They must be given immediate attention.

Processing Non-work-related subpoenas At times, non-work-related subpoenas may be served on Joyner employees. These are typically subpoenas of a personal nature and not related directly to Joyner business. Non-work-related subpoenas should not be accepted by anyone other than the individual named on the subpoena.

Administrative Services / Security and/or the Receptionist should notify the employee that a non-work-related subpoena is being served. If the non-work-related subpoena is served by a law enforcement representative or private process server, ask the employee to come to a private conference room if available. Involve Human Resources as needed and the employee's manager as needed.

Some states may require that employers, if contacted by an individual authorized to serve process, permit such person to serve employees in a private area designated by the employer.

Some states have no requirements that Joyner make employees available to accept non-work-related subpoenas at the office.

Human Resources may contact Legal Services with questions regarding non-work-related subpoenas.

Accepting and Processing Subpoenas for Companies Working under Contract with Joyner A subpoena could be served upon a company doing work under contract at Joyner. If a process server appears at any Joyner facility attempting to serve such a company a Human Resources Manager or Representative should be informed. No one at Joyner is authorized to accept a legal process directed to any organization other than Joyner Transportation & Logistic Services, LLC, and its affiliates.

The process server should be directed to contact the contracted company.

Accepting and Processing Subpoenas for Credit Union If Credit Union records are requested, the requesting attorney must be notified that the subpoena should be directed to the Credit Union. Specific questions about the legal aspects of these subpoenas should be directed to Legal Services.

Subpoenas Related to Workers Compensation Request Worker's Compensation Appeals Board Subpoenas for current and former employees should be handled by Risk Management in collaboration with Human Resources, Joyner’s workers compensation carrier and outside counsel hired to represent Joyner in the worker's compensation case. If the subpoena seeks payroll records an email outlining the requested records should be sent to Financial Services – Employee Compensation (FS-EC) through the generic mailbox financial@joynertransportation.com. FSS-EC will return the documents to the individual in HR that requested the records.