The State of HR Records Management

Christina Miller

Records Services Division, Office of the Secretary of State

• Program governed by RSMo 109• Work with all state agencies• Retention schedules• Off-site storage of records• Consultants

Disclaimer: We are not lawyers. All discussions about laws and regulations are friendly advice developed

through our research and practices concerning records management issues. For legal advice

about specific issues you have please confer with your agency legal counsel.

Who we are

• Records Services Division’s [selected] RM duties under RSMo. 109.230:

• (1) Establish standards, procedures, and techniques for effective management of records;

• (2) Make continuing surveys of paperwork operations and recommend improvements …

• (3) … establish standards for the preparation of schedules which provide for the retention of state or local records of continuing value and for the prompt and orderly disposal of state or local records …

• (6) Establish standards and formulate procedures for the transfer, safeguarding and servicing of records;

• (8) Obtain reports from agencies as required for the administration of the program;

Who we are

Records are created for business and legal reasons.

Records management is about ensuring :• Government can conduct business efficiently• Supporting management decision making• Providing protection from disaster• Meeting legislative and regulatory

requirements• Providing protection and support in litigation• Maintaining positive public relations with

customers• Maintaining organizational memory

Why manage records?

“Record” defined by RSMo. 109.210(5)

"Record", document, book, paper, photograph, map, sound recording or other material, regardless of physical form or characteristics, made or received pursuant to law or in connection with the transaction of official business.

A Brief Introduction to Records Management

Applies to all state agencies Includes the basic records

maintained Administrative Legal Fiscal Human Resources IT Property and Facilities

Agency specific retention schedules

Missouri General Retention Schedule

Laws• Include but are not limited to:– Americans with Disabilities Act (ADA)– Age Discrimination in Employment Act

(ADEA)– Fair Labor Standards Act (FLSA)– Family and Medical Leave Act (FMLA)– Lilly Ledbetter Fair Pay Act– Health Insurance Portability and

Accountability Act (HIPAA)– Occupational Safety and Health Act

(OSHA)

Laws

• Examples– ADA requires personnel records be kept for

1 year from date of last action (termination) to include application, job advertisements, promotion/demotion, payroll info, etc.

– FLSA requires time sheets, wage tables and other payroll documentation for 2 years

– FMLA requires the same records for 3 years when dealing with FLMA leave

• GRS takes all these into consideration when setting retention periods

Basic records to be kept• Employee’s full name and social security number• Address• Birth date (if younger than 19)• Sex and occupation• Time and day of week when workweeks begins• Hours worked each day• Total hours worked each workweek• Basis on which wages are paid• Regular hourly pay rate• Total daily or weekly straight-time earnings• Total overtime earnings for the workweek• All additions to or deductions from the employee’s wages• Total wages paid each pay period• Date of payment and the pay period covered by the payment• Different or additional requirement exist for certain

“types” of employees

Official Record – 75 years after separation from employment Summary cards

Supervisor/office copy – 3 years after separation from employment

Personnel Files should contain Application materials, offer letters, employment

agreements, signature pages for policies/handbooks, performance documentation (evaluations, disciplinary documents, official awards or recognition)

Personnel Files should not contain Unofficial awards/recognition, personal notes and cards Health information

If you don’t need it, don’t put it in the personnel file

Personnel Files

Health/Medical information needs to be kept in a separate, locked confidential file

Includes: Applications for insurance (when health questions are

asked) Doctor notes (including any filed for FMLA leave)

Supervisors should never maintain health information in their file.

Retention is going to be based on the type of information and the reason it was collected FMLA– 3 years after separation of employment Worker’s Comp Claim – 5 years after resolution of claim Hazardous Waste exposure – 30 years after separation of

employment

Health Information

Grievance files – End of Fiscal Year in which grievance resolved + 3 years

I-9 files – separation of employment + 3 years GRS requires these be maintained separate from

personnel file

Personnel Performance Planning and Appraisal Evaluations – End of Fiscal Year in which completed + 5 years

Time and Attendance Files (official record) – End of State Fiscal Year + 3 years

Time and Attendance Files (office copy) – End of State Fiscal Year + 1 year

Workers Compensation Claim Files – resolution of claim + 5 years

Other HR Records

Other HR Records

• Incident files – retention depends on type of incident–No claim filed – End of State

Fiscal Year + 10 years– Claim filed – becomes part of

claim file–Hazardous exposure – Separation

of employment + 30 years

Resources

• FMLA – 29 CFR 825.500 – Recordkeeping• FLSA – 29 CFR 516 – Records to be kept by

employers• OSHA Recordkeeping page

– http://www.osha.gov/recordkeeping/index.html

• U.S. Department of Labor Recordkeeping page– http://www.dol.gov/compliance/topics/

recordkeeping.htm

• Records Management Division– http://www.sos.mo.gov/records/recmgmt/resources.asp

• ARMA International– www.arma.org

Contact Information

Christina MillerElectronic Records Archivist573-751-7299christina.miller@sos.mo.gov

Records Analyst Agency Assignmentshttp://www.sos.mo.gov/records/recmgmt/

contact.asp