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Employee Records Life Cycle
Employers generate and receive a significant volume of records, and it is important for
management to make a strong business case for implementing a comprehensive records
management program
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A basic concept in Records Management is the records life cycle
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1-Creation: The first phase of the Records Life Cycle involves records being created, collected or
received through the daily transactions of the Business Unit, School, Preschool or Regional Office
and can include printed reports, emails or even phone messages, documents that detail the
functions, policies, decisions or procedures of the agency
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Creation of employee records starts as early as appointment
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2-Maintenance & Use: The next phase of the life cycle is the maintenance and use of the record
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Employee files should be stored in a secure location and be kept strictly confidential
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Several categories of
records must be maintained according to specific requirements
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These records include:
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Pre-employment documents
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Employment documentation
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Separation of employment documents
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NOTE: Certain employee records should be kept separate from an employee's personnel file to
protect the privacy rights of employees and to insulate employers from liability
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This includes employee medical exams, disability benefits claim forms, notes from
doctors, worker's compensation history, claims and related documents, fitness-for-duty
results, functional capacity assessments, referrals concerning an employee's participation in
the company's employee assistance program, results of drug/alcohol tests, reimbursement
requests for medical expenses, health-related information about an employee's family
members, and any documentation about past or present health, medical condition, or
disabilities
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Consumer-related credit information, credit reports, and personal or
financial data should be maintained confidentially

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Immigration forms
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Documents related to complaints and investigations
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3-Disposition: The final stage of the records lifecycle is disposition
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However, if the record has a permanent
retention period, its disposition would be to transfer it into archival storage
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Employers must ensure that all records are maintained, either in hard copy or electronically, for the
minimum period of time required
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Retention
questions upon business closure should also be addressed by the internal policy with consultation
to state laws
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Records related to pending claims or litigation should be retained until the matter is fully
resolved
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Simply tossing employment records in the
trash creates a significant risk of theft or misuse of employee information that may result in
regulatory investigations, fines, potential civil lawsuits, bad publicity and damage to the employer's
brand
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, employers must securely dispose of this information as
recommended:

✓ Destroying or erasing electronic files so that consumer information cannot be read or be
reconstructed
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✓ Hiring a certified contractor specialized in document destruction after performing due
diligence of the company's operations and security policies
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This category includes personal information such as the employee’s full
name, social security number, address, and birth date
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Hiring Documents
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Included are job advertisements, resumes, employment applications, job
orders submitted to any agency, interview evaluations, reference checks, results of physical
examinations, employment test results, credit reports, validity documentation of tests used
in the selection process, applicant data for candidates not hired, and related information
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This is a broad category that may encompass
documents such as performance evaluations and supervisory or management notes
regarding performance issues; corrective action or disciplinary letters; awards,
nominations, and other commendation letters; promotion records; and records of training
or education
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Any aspect of the employment relationship which is
governed by an agreement between the parties, such as an employment agreement, union
contracts, non-competition agreement, confidentiality or nondisclosure agreement, should
be kept in the personnel file
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This category includes documents related to compensation and benefits
information, such as beneficiary forms, payroll records, and time cards for prior year(s)
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It is a good idea to keep information
related to an employee’s termination on file should a dispute later arise
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g
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Confidential Files: It is a good idea (and in certain instances may be legally required) to
keep certain employee records and information in a confidential file separate from the
personnel file, such as (this list represents some of the key examples of personnel
information which should be kept in a separate file):
✓ Medical records and Workers’ Compensation claims
✓ state leave documents

✓ Documents pertaining to an employee investigation such as a disciplinary action
✓ Background checks
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Be sure to check the applicable laws in your state and consult with an
employment law attorney who knows your state laws to ensure full compliance
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Reducing operating and storage costs
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Reducing litigation risks (justifies termination or reprimands)
Protecting sensitive employee information
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Post-employment reference and engagement

Security of Employment Records
Employers must implement safeguards to protect personal employee information
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Every employer maintains records that are at
risk of theft and misuse; therefore, employers should develop processes that protect this
sensitive employee information
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Employers need to
understand the requirements of the law in the state(s) where their employees work and
define internally what access is permitted in states where there is no regulatory
requirement
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For
example, a statement such as "Access to personnel files will be provided according to state
law" is appropriate
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Employee files are company records,
just like any other files
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This makes it particularly important for supervisors
and managers to prepare performance reviews and internal communications and
complaints in a thorough, accurate and professional manner
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➢ Failing to Implement Documentation Practices
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Employee files should include the job description, application, and
resume, offer of employment and terms of employment
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Train your
human resources manager or other designated employee on documentation
practices
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➢ Not Limiting Access to Employee Records
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Personnel files contain information about employees’ addresses, job
histories, health information and disciplinary actions
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➢ Maintaining Health Records in Personnel Files
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The biggest mistake employers can make regarding
personnel files is not keeping them at all
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Guidelines for Employee Records Policy
Development
An effective workplace records policy is the blueprint for compliance with state laws and
regulations, as well as the practical guidance for consistent and effective records
management and retention
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Definition of "record
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Generally, records
do not include drafts or documents that are works in progress, only final
versions of documents
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Identify the retention period for each category of
documents
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Records related to
pending claims or litigation should be retained until the matter is fully
resolved
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Access
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Laws such
as the Health Insurance Portability and Accountability Act (HIPAA) and
data privacy regulations contain specific provisions for who may access
information and how it may be used
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Storage and format
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Security and privacy
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See Employee Records Confidentiality Policy
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Identify how records will be disposed of once
retention requirements have been met
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Consistent policy implementation and periodic audits
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Periodically audit the policy and practice to ensure that internal
requirements are current and are being followed correctly
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