Business Records System Action Plan

Company: Moraine Park Technical College Users of Action Plan: Moraine Park Technical College Staff

L 6: Records Life Cycle Action Plan Amanda Volzke, Stephanie Rayeske, Victoria Lewis

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Personnel Files

Types of Records

Format of File

Location Retention Period Security Classification

Disposal Method

Agency Interaction

Background Consent Form

Paper/Electronic File

Paper – HR Office Electronic – online application file No Copies Maintained

Non-‐selected applicants: Electronic -‐ 5 years from date of application; Paper -‐ retain until employee leaves department Selected applicants: Electronic -‐ 5 years Post termination: Paper -‐ retain until employee leaves department

Internal Paper – Shred Electronic – Delete

Legal

Background Checks

Paper/Electronic File

Paper – HR Office Electronic – online application file No Copies Maintained

Non-‐selected applicants: Electronic -‐ 5 years from date of application; Paper -‐ retain until employee leaves department Selected applicants: Electronic -‐ 5 years Post termination: Paper -‐ retain until employee leaves department

Limited Access/ Restricted

Paper – Shred Electronic – Delete

Legal

Employee Agreement -‐ Original

Paper HR Office 10 years post termination Limited Access/Restricted


Legal

Employee Agreement – Copies

Paper/Electronic Department Until employee leaves department

Limited Access/Restricted


Legal



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Employee Evaluation Forms -‐ Originals

Paper/Electronic HR Office 5 years post termination Limited Access/Restricted


Legal

Employee Evaluation Forms -‐ Copies

Paper/Electronic Department Until employee leaves department



Legal

Resignation Letter

Paper/Electronic HR Office 10 years post termination

Consequences for not keeping copies of personnel files: If you cannot access your personnel files, you loose vital information about your

employees. Any information you have about background checks and employee evaluations will be lost. The evaluations are not replaceable unless you have a digital or paper copy.



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Applications

Types of Records

Format of File

Location Retention Period Security Classification

Disposal Method

Agency Interaction

Advertisements for New Hire

Electronic/Paper postings

HR office/ electronic posting file – no copies maintained

5 years Public – everyone Recycle All Departments

Applications received by Applicants

Electronic/Paper Paper -‐ HR office Electronic – Online Application File

Non-‐selected applicants – 5 years from date of application Selected applicants -‐ 5 years post termination

Limited Access/ Restricted

Shred/ Electronic deletion

Legal

Hiring/Interview Notes

Paper/Electronic HR Office No Copies Maintained

5 years from date of interview



Legal

Consequences for not keeping copies of application files: If you lose access to your application files, you lose access to potential employees. You

won’t have any of their contact information. If you don’t have access to your hiring notes and you interviewed a lot of applicants, it may be very difficult to remember details about the job applicant.



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Benefits

Types of Records

Format of File

Location Retention Period

Security Classification

Disposal Method Agency Interaction

Vacation Time Paper/Electronic HR-‐ Employee File

10 years post termination

Restricted/Limited Access

Shred and/or electronic deletion

Legal

Employee Manuals stating employee benefits

Paper/Electronic HR – Forms File

Continue to update forms as they change and develop

Public – Everyone Recycle and electronic deletion of old versions as updates come in

All Departments

Healthcare Paper/Electronic HR-‐ Employee File




Legal

Retirement Paper/Electronic HR-‐ Employee File




Legal

Tuition Reimbursements

Paper/Electronic HR-‐ Employee File




Legal

Consequences for not keeping copies of benefits files: Benefits records are important to the company and to the employees. Benefits are

complicated and it’s not possible to remember all the details. There may be discrepancies between Human Resources and the employees without proper documentation.



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Medical

Types of Records Format of File Location Retention Period


Disposal Method

Agency Interaction

American Disabilities Form – Original Document

Paper HR – Employee File


Restricted/limited access


Legal

American Disabilities Form – Copies

Department Employee Medical File

Department Until employee leaves department



Legal

Medical Leave Documentation

Paper/Electronic HR – Employee File No Copies Maintained

5 years Restricted/limited access


Legal – insurance -‐

Consequences for not keeping copies of medical files: Medical records are important records pertaining to the employees. Medical leave

documentation can be retrieved, but it requires some effort on the employee, who may lose confidence in the company.



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Legal

Types of Records

Format of File

Location Retention Period


Disposal Method

Agency Interaction

Grievances Paper/Electronic HR Office – Grievance file

Indefinite Restricted/limited access

N/A Legal

Terminations – Other than resignations

Paper/Electronic HR Office 10 years post termination



Legal

Substance Abuse Paper/Electronic HR Office – Substance Abuse File




Legal

Consequences for not keeping copies of legal files: Copies of legal files must be saved in order to protect the company from legal issues. If an

employee is terminated but there are no records of it, you lose that information.



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Action Plan FILE FORMAT FOR ALL TYPES OF RECORDS: All electronic files are to be kept in PDF Format. When saving the documentation in Microsoft

Office 2010, safe as a PDF into the appropriate file using the correct naming structure for the document.

PROJECT MANAGEMENT TOOLS: Task lists and calendar reminders are used to assist in assuring that documentation gets followed up with in

appropriate manner. The timeline for these tools vary.

SUPPLIES/TECHNOLOGY/EQUIPMENT/SOFTWARE: All paper files are stored in locked filing cabinets according to their security classification. Only authorized personnel have keys for these cabinets ensuring maximum protection. All electronic files are stored in the central database in

the Human Resource folder. The Human Resource Folder has restricted and limited access via password protection/firewall protection. Only authorized personnel can access these files based on their security classification. Electronic files are also backed up to a deeply password protected offsite storage facility.

SECURITY: Access to human resource records is restricted to those whose job duties necessitate access and to those with designated authority to review

the records, such as a supervisor, department manager, or a human resource representative. Each document has been given a security classification:

a. Limited access/restricted: Because of legal, ethical, or other constraints, this data may not be accessed without specific authorization, or only selective access may be granted.

b. University-internal: This data may be accessed by all eligible employees of the university, without restriction, in the conduct of university business; should be the default classification for all data.

c. Public: Few restrictions on this data, general public may be granted access

Passwords are held in strictest of confidence and may not be shared with others. Passwords are changed regularly at 6 week intervals.



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IMPORTANCE OF MAINTAINING EFFICIENT HUMAN RESOURCE RECORDS: Moraine Park Technical College creates and maintains human resource records for its employees to fulfill legal requirements, fiscal requirements, and administrative needs. The purpose of this policy is to establish accountability for human resource records management and retention, to reinforce safeguards against unauthorized or accidental disclosure of confidential records, to establish the length of time certain categories of human resource records are to be maintained and stored, and to establish appropriate records disposal practices. Until the human resource records are properly disposed, each department of the university is accountable for securing and maintaining its human resource records.

FOLDER STRUCTURE/FILE NAMING: Folders are organized alphabetically according to their subject. Files will be named according to the date they were created or updated by adding the date to the end of the file name. Files based on individual employees are named starting with their last name and arranged alphabetically. See folder structure screen capture on the right side of this page.

CONSEQUENCES FOR NOT KEEPING COPIES: Copies of records must be kept in a separate location

from the originals to serve as a back up if the computers or network crashes. If copies of records are not saved and there is loss in data, vital records cannot be restored.

FILE CONVERSION: As stated earlier, files must be in PDF format. To convert Microsoft Word documents into

PDFs, go to File Save & Send Create PDF.

FIVE TIPS TO MAINTAIN RECORDS SYSTEM:

1. Create a policy for your department that spells out who can see which records, when, where, how, and how

often. Make sure the policy is in accordance with state and federal laws. 2. When employees want to view their personnel records, have them make an appointment. You want them to

handle personnel file folders only in your presence to ensure they don’t add or take anything out of the file.

3. When you give an employee’s personnel file to someone outside the HR department, make sure it’s on a need-‐to-‐know basis. And keep track of who requested it, when you delivered it and when it was returned.



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4. File all pertinent documents that come into your office in a timely manner. 5. Whenever you’re in a personnel file folder, take a few minutes to make sure all documents are up to date. Before you dispose of any material from a

personnel folder, check your state’s employee record retention laws.

JUSTIFY EFFICIENCIES:

Using the above procedures, all documents will be filed alphabetically and have a date from when they were created or last updated. We have reminders set up to ensure that every employee is purging at the correct times and is destroying the correct documents that have reached their disposal period.



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Work Cited Acas (2009). Personal Data and Record Keeping. Acas. Retrieved from http://www.acas.org.uk/media/pdf/c/a/Acas_Personnel_data_record_keeping-‐accessible-‐

version-‐July-‐2011.pdf

GNeil. (n.d.). Clear the Clutter with Organized, Efficient Recordkeeping. HRdirect.

Javaid, Usman. (2010, January 6). How to Convert Word 2010 Document Into PDF/XPS Format. Addictivetips. Retrieved from http://www.addictivetips.com/microsoft-‐office/how-‐to-‐convert-‐word-‐2010-‐document-‐into-‐pdfxps-‐format/

University of Portsmouth. (2012). University Secretary: Records Management. University of Portsmouth. Retrieved from http://www.port.ac.uk/departments/services/universitysecretary/recordsmanagement/

Business Records System Action Plan

Documents

Transcript of Business Records System Action Plan