--- name: employee-records description: 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 records requests, ensuring GDPR/CCPA compliance, conducting file audits, or migrating HR records systems. Triggers on phrases like "employee file", "personnel records", "document retention", "I-9 audit", "records management", "data privacy", "employee documentation", "file audit", "records request", "HRIS data". --- # 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 - **HRIS migration**: map all fields, dual-run 1 cycle, validate completeness, maintain old system read-only for retention period - **Global records**: comply with data residency (EU data in EU); translate forms; local legal review of retention policies - **Union environments**: separate union files (grievances, CBA docs); union rep access per negotiated terms - **M&A**: transfer records with privacy compliance; obtain consent where required; audit transferred records - **Litigation holds**: suspend destruction immediately; communicate to all custodians