Notesale: Turn your study into money

Document Preview

Extracts from the notes are below, to see the PDF you'll receive please use the links above

---

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
...

A basic concept in Records Management is the records life cycle
...

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
...

Creation of employee records starts as early as appointment
...

2-Maintenance & Use: The next phase of the life cycle is the maintenance and use of the record
...

Employee files should be stored in a secure location and be kept strictly confidential
...
Several categories of
records must be maintained according to specific requirements
...
These records include:
•

Pre-employment documents
...


•

Employment documentation
...


•

Separation of employment documents
...


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
...
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
...
Consumer-related credit information, credit reports, and personal or
financial data should be maintained confidentially

•

Immigration forms
...


•

Documents related to complaints and investigations
...


3-Disposition: The final stage of the records lifecycle is disposition
...
However, if the record has a permanent
retention period, its disposition would be to transfer it into archival storage
...

Employers must ensure that all records are maintained, either in hard copy or electronically, for the
minimum period of time required
...
Retention
questions upon business closure should also be addressed by the internal policy with consultation
to state laws
...
Records related to pending claims or litigation should be retained until the matter is fully
resolved
...
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
...
, employers must securely dispose of this information as
recommended:

✓ Destroying or erasing electronic files so that consumer information cannot be read or be
reconstructed
...

✓ Hiring a certified contractor specialized in document destruction after performing due
diligence of the company's operations and security policies
...
This category includes personal information such as the employee’s full
name, social security number, address, and birth date
...

Hiring Documents
...
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
...
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
...
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
...
This category includes documents related to compensation and benefits
information, such as beneficiary forms, payroll records, and time cards for prior year(s)
...
It is a good idea to keep information
related to an employee’s termination on file should a dispute later arise

---