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Paperless HR: Going Green While Staying In Compliance
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Paperless HR: Going Green While Staying In Compliance
Kathryn Carlson
Product Director, HR Management
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Copyright © 2011 TK Carsites. All rights reserved. www.tkcarsites.com.
Paper, Paper Everywhere!
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Each employee generates on average 100 HR transactions per year at an average cost of $10 per transaction in administrative processing and storage costs*
– KPA CONFIDENTIAL –
*Iron Mountain Document Management & ASUG/SAP Benchmark Study
Paper, Paper Everywhere!
During the employee lifecycle the average employee file will have between 25-32 pages
Why It Matters
“Litigation is the ultimate test of the adequacy of an employers record keeping practice” Attorney
“Where is that darn file” HR Manager
“What do you mean you have no record” Auditor
5– KPA CONFIDENTIAL –
The Golden Rule
Keep applicant records for one year and employee records for duration of the employee relationship plus 7 years
Exceptions:
Pension and welfare benefit plan records must be kept 6 years after termination of the employment relationship
Safety and toxic chemical exposure records must be kept for 30 years after termination of the employment relationship
_6– KPA CONFIDENTIAL –
Three Types of Records
Employee Records (Personnel File)
Medical Records
I-9 Records
Personnel File - Hiring
• Job Posting– Clear description of the job essential functions
• Job Applications– Have each applicant complete and sign an
application– Employment at will statement on all applications– Statement of truthfulness and accuracy and that
false information or omission will be ground for rejection or termination
– Background checking authorization– Arbitration Agreement
8– KPA CONFIDENTIAL –
Personnel File- Hiring
• Interview Records– Ask only job related questions– No statement that undermine the “at will status”– Use standard forms to record answers
• Offer Letters– Confirms compensation and conditions of
employment– No statement that undermine the “at will status”
9– KPA CONFIDENTIAL –
Personnel File- Hiring
• Background Checking &Fair Credit Reporting Act– Notice and Disclosure Form– Adverse Action Letter– Copies of all reports– Keep any drug testing reports separate (with
medical records)
• Confidentiality Agreements
• Employee Handbook Acknowledgements
10– KPA CONFIDENTIAL –
Personnel File - Employment Relationship
• Notices of commendations or awards• Written warnings or documentation of oral
warnings• Performance appraisals• Attendance and absence records• Any signed acknowledgement of policies• Training records
Tip: Keep both positive and negative information in the file but no medical records
11– KPA CONFIDENTIAL –
Personnel File - Employment Relationships
• Payroll and Compensation Records– Retain for at least 4 years– Do not include full Social Security #– Explanation of gross wage and total hours worked plus
any deductions– Leave Tracking (no medical information please)
• Benefit Records– Retain for 6 years (ERISA)– Reasonable notice when cancelling any benefit program
(30-60 days)
12– KPA CONFIDENTIAL –
Medical File-Employment Relationships
• Medical Records– Separate File– ADA accommodations– Drug testing results– Physicals– Workers’ Compensation– OSHA reports– FMLA
• Leave Request• Some states may require payment of accrued leave at termination
13– KPA CONFIDENTIAL –
Termination
• Reductions in Force– Document selection criteria– Adverse impact analysis– WARN notice
• Terminations– Releases– 21 days to consider and 7 days to revoke– COBRA
14– KPA CONFIDENTIAL –
Medical File-Employment Relationships
• Medical Records– Separate File– ADA accommodations– Drug testing results– Physicals– Workers’ Compensation– OSHA reports– FMLA
• Leave Request• Some states may require payment of accrued leave at termination
15– KPA CONFIDENTIAL –
I-9 Records
Two folders or binders
Active Employees Inactive Employees
Tip: You can purge the inactive employees to reduce paper
5 Reasons to go “paperless”
• Improved Management
• Increased HR Manager Productivity
• Lower Administrative Costs
• Improved Control and Compliance
• Less Risk
17– KPA CONFIDENTIAL –
Electronic Security
• Quality systems ensure storage complies with regulations such as HIPAA, EEOC and the Personal Data Privacy and Security Act but imperative that both the data and the physical systems are secure
• Ask to see provider’s security protocols and confirm redundancy and business continuity plans.
The Cloud – where HR records would like to be…
Common Mistakes
• Failing to keep complete records• Keeping complete records but including
inaccurate information or “smoking guns”• Poor storage practices • Not limiting physical access• Keeping medical information in the same files
20– KPA CONFIDENTIAL –
Best Practices
• Establish policies for retention and access• Maintain separate files for medical records and I-9
forms• Review physical access controls and data access
on an bi- annual basis• Keep all paper files in a secure area (locked,
limited access)• Shred all document prior to disposal• Only use electronic systems that have
documented physical and data access security standards
21– KPA CONFIDENTIAL –
Lovely isn’t it?
Contact Information
23– KPA CONFIDENTIAL –
The recorded webinar and presentation slides will be emailed to you today including your local representative’s contact information.
www.kpaonline.com
866-228-6587
Questions and Answers
Contact Information
25– KPA CONFIDENTIAL –
The recorded webinar and presentation slides will be emailed to you today including your local representative’s contact information.
www.kpaonline.com
866-228-6587
