Personnel Records Retention and Destruction

Human Resources (HR) retains and destroys personnel records in accordance with federal, state and local laws governing records retention. When federal, state and local laws have different retention schedules, HR complies with the longer of the three schedules.

The following outlines HR’s operating procedures for personnel records retention and destruction of documents when retention periods have passed.  Both employee record information and government compliance reports maintained by HR are subject to the retention and destruction policies which follow.

Employee information records are maintained in segregated files as noted:

• I-9 forms.

• Medical records.

• Health and safety records.

• General employees’ personnel records.

• Payroll records. 

• Government compliance reports are maintained in reverse chronological sequence and filed independent of employee information.

The following records are maintained in electronic format only:

• I-9 forms.

• Payroll Direct Deposit Authorization forms.

• Tax withholding forms (W-4s, K-4s, etc.)

• Records for non-employees (applications, emergency contact information, acknowledgements, etc.)

• Records of safety training.

• FMLA and associated doctor’s notes.

• Doctor’s notes not associated with Workers Compensation matters.

• OSHA logs (300, 301, etc.) 

SDSs are maintained in electronic format with a paper backup that can be delivered to a site as soon as possible.  All records other than those listed herein are maintained in paper format.

Electronic records will be stored on the G: drive of a cloud.  Only HR and administration personnel with a business need-to-know have access to this drive.  Information Systems staff has processes in place to ensure that the data remains confidential.

Information Systems staff is responsible ensuring that the files are backed up from the server onto storage devices, usually daily.  Differential off site backups take place Monday through Thursday at 11:00 p.m. E.S.T. Full local backup for each week take place on the last business day of the week.

All paper personnel records and confidential employee data maintained by HR will be destroyed by shredding after retention dates have passed; this pertains to all personnel records and application materials. Personnel records and confidential employee data will never be discarded without shredding. Any employee found negligent in protecting these records will be subject to disciplinary action.

All electronic records and confidential data maintained by HR will be destroyed by HR initially deleting them from the file server after retention dates have passed.  When they receive the weekly backup tape from the previous week, Information Systems staff reuses the two-week-old backup tape so that the tape can be overwritten.  When reallocating storage media, Information Systems staff  uses a commercially available disk sanitizing solution such as DBAN to ensure that deleted records cannot be recovered by a third party.  This pertains to all personnel records and application materials.  Any employee found negligent in protecting these records will be subject to disciplinary action.

HR will interface with the head of Information Systems periodically but no less than twice annually to review and ensure that HR electronic records relating to employee information and compliance reports are properly purged.

When litigation against NKY Health or its employees is filed or threatened, the law imposes a duty to preserve all documents and records that pertain to the issues. As soon as General Counsel is made aware of pending or threatened litigation, a litigation hold directive will be issued to the legal custodians. The litigation hold directive overrides any records retention schedule that may have otherwise called for the destruction of the relevant documents, until the hold has been cleared by General Counsel. No employee who has been notified by General Counsel of a litigation hold may alter or delete an electronic record that falls within the scope of that hold. Violation of the hold may subject the individual to disciplinary action, as well as personal liability for civil and/or criminal sanctions by the courts or law enforcement agencies.

6/8/2023

• Added Revision Log.

3/6/2024

Updated Retention section as follows:

• Changed "K Drive" to "G Drive" 

• Changed server to cloud

• Deleted who grants access