HR AI Skill

Employee Records

Manage employee records including personnel files, document retention, data privacy compliance, I-9 management, onboarding documentation, and record lifecycle management. Use when setting up employee files, managing document retention schedules, handling re...

Employee Records Management

Maintain accurate, compliant, and secure employee records throughout the employment lifecycle.

Workflow

  1. Define records management policy: what to collect, how to store, retention periods, access controls.
  2. Set up employee file structure: physical and/or digital, with standardized folders and naming conventions.
  3. Collect onboarding documentation: identity verification, tax forms, employment agreements, disclosures.
  4. Maintain records during employment: update changes, add performance documents, track modifications.
  5. Manage access and privacy: role-based permissions, audit trails, separation of sensitive data.
  6. Process records requests: employee access requests, legal discovery, regulatory audits.
  7. Handle separation records: archive files, process final documentation, initiate retention timer.
  8. Annual audit: file completeness check, retention schedule compliance, data quality review.

Employee File Structure

ADMINISTRATIVE FILE (HR and authorized managers):
  01 - Application and Hiring: resume, offer letter, background check results
  02 - Employment Documentation: agreements, handbook acknowledgment, policies
  03 - Tax and Payroll: W-4, state forms, direct deposit, benefit enrollment
  04 - Compensation History: salary changes, promotions, bonuses, equity grants

PERFORMANCE FILE (HR, direct manager, skip-level):
  05 - Performance Reviews: annual reviews, goal documents, self-assessments
  06 - Development: development plans, training records, certifications
  07 - Recognition and Awards: recognition records, promotions, milestones

DISCIPLINARY FILE (HR and legal only):
  08 - Disciplinary Actions: warnings, PIPs, suspensions, investigation reports
  NOTE: In CA/NY, disciplinary records destroyed after 1 year if no further action

SEPARATE LEGAL FILES (stored separately, HR and legal only):
  09 - I-9 and Immigration: Form I-9, visa documentation (separate per federal law)
  10 - Medical and Accommodation: FMLA, ADA, disability (confidential, separate file)
  11 - Investigation and Complaints: complaint records, investigation reports

Document Retention Schedule

Document Type              Retention Period     Legal Basis
────────────────────────────────────────────────────────────
Application (rejected)     1 year after rejection   EEOC guidance
Personnel file (active)    Duration of employment   General practice
Personnel file (separated) 7 years post-separation  FLSA, state laws
I-9 forms                  3 yrs after hire OR      USCIS regulation
                           1 yr after separation,
                           whichever is LATER
Performance reviews        3 years post-separation  FLSA
Compensation records       3 years minimum          FLSA
Benefits enrollment        7 years post-separation  ERISA
Payroll records            3 years minimum          FLSA
Background check results   Employment + 1 year      FCRA
Training records           Employment + 1 year      Internal policy

NOTE: Litigation hold suspends all destruction for relevant records.

Data Privacy Compliance

Data classification:
  PII: name, address, email, DOB — encrypted, HR access, 7yr retention
  Sensitive PII: SSN, bank account — encrypted + tokenized, payroll only, 7yr
  PHI: medical records, disability — separate secure file, HR case handler only
  Performance data: reviews, warnings — HRIS encrypted, manager + HR access

Access controls:
  - Role-based HRIS permissions
  - Audit log on all record access
  - Manager access: direct reports only, limited fields
  - Employees: self-service portal for own data only

Employee data rights:
  - Right to access: respond within 30 days with complete copy
  - Right to correction: verify and correct inaccurate data
  - Right to deletion (GDPR): legal review, delete permissible data
  - Data portability (GDPR): machine-readable format for EU employees

I-9 Management

I-9 PROCESS:
  1. Employee completes Section 1 on/before first day
  2. Employer completes Section 2 within 3 business days
  3. Acceptable documents reviewed in person (or via authorized video call)
  4. I-9 stored SEPARATELY from personnel file

Acceptable documents:
  List A (identity + authorization): US passport, Green Card, EAD
  List B (identity) + List C (authorization): Driver's license + SS card

E-Verify:
  - Create case within 3 business days of start
  - Resolve within 8 federal days
  - Do NOT terminate on tentative non-confirmation (employee right to contest)

I-9 audit:
  - Quarterly self-audit: random sample of 10 files
  - Annual comprehensive audit for 100+ employee organizations
  - Correct errors properly: line through, initial, date — never erase

Records Request Handling

Internal requests:
  - Managers: direct report data, limited fields
  - Leadership: aggregated data only
  - HR: full access within role scope

Employee self-service:
  - View own records via HRIS portal
  - Cannot view: disciplinary files, investigation notes, manager comments
  - Formal copy request: respond within 30 days

Legal discovery:
  - Notify legal counsel immediately
  - Issue litigation hold
  - Collect per preservation protocol
  - Review for privilege before production

Regulatory audits (DOL, EEOC):
  - Notify legal counsel
  - Pull records per regulatory timeframe
  - Produce only what's requested
  - Maintain production log

Edge Cases