HRIS Personnel Records Checklist
The more questions to which you answer “yes,” the better your computer system is able to handle personnel records.
Records maintained
Do you have a computer system for the following personnel records:
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Yes |
No |
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Beneficiaries of benefits plan? |
❒ |
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Cost of benefits plan? |
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Date employees admitted into benefits plan? |
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Date of termination? |
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Employee anniversary dates? |
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Employee eligibility for benefits? |
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Employees covered by other health plans? |
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Employees exempt from overtime? |
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Employees not exempt from overtime? |
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Employees’ attendance? |
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Employees’ education? |
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Employees’ schedules? |
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Employees’ skills? |
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Expiration dates of employee work permits? |
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Highly compensated employees? |
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Hours worked per week? |
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I-9 forms completed? |
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Leased employees? |
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Marital status? |
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Number of dependents? |
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Overtime? |
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Part-time employees? |
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Participants in benefits plan? |
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Promotions? |
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Reason for termination? |
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Rehire classification? |
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Spouses and dependents covered by other health plans? |
❒ |
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Terminated employees entitled to 401(k) distribution? |
❒ |
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Terminated employees entitled to COBRA notice? |
❒ |
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Total number of employees? |
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Training? |
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Transfers? |
❒ |
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Turnover? |
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❒ |
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Withholding from employee paychecks? |
❒ |
❒ |
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Confidentiality
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Yes |
No |
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Is one person responsible for information system security? |
❒ |
❒ |
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Are passwords and user identifications (IDs) required to gain access to your computers? |
❒ |
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Are the passwords changed at least quarterly? |
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Are passwords a minimum number of random combinations of letters and numbers? |
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Is the area in which you keep your computers secured from unauthorized entry? |
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Is access automatically limited if the user is idle or away from the keyboard for a period of time? |
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Does your system record which user ID and password are used to gain entry into the system? |
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Does the system reflect what programs are run or data are accessed with respect to a particular user ID and password? |
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Are there varying levels of user access so that individuals have access only to information they need in order to perform their duties? |
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Does the first screen that appears when your computer system is accessed state that the information in it is confidential? |
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Do you require employees with access to the computer system to execute confidentiality statements? |
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If your system allows remote access, have you taken steps to block unauthorized access? |
❒ |
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Emergency planning
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Yes |
No |
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Are certain individuals designated to be on call in the event of a computer failure? |
❒ |
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Do you arrange for access to other computer systems in the event yours is not working? |
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Do you maintain a duplicate set of your computer records in a safe off-site location? |
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Is ID required to gain access to the computer records maintained off-site? |
❒ |
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Do you maintain a master list of the backup media stored off-site? |
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Audit
Do you:
| Back up information on your computer system at least daily? |
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Place newly created backup media in an off-site storage area? |
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Use state-of-the-art virus protection software and update virus definitions at least daily? |
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Have virus scans set to run automatically on a daily basis? |
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Automatically search all e-mails and attachments as well as information downloaded from the Internet for viruses? |
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Search for viruses on any media before transferring the information to your hard drive? |
❒ |
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Do you annually review your contingency plans for computer failure? |
❒ |
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Efficiency
Do you review:
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Yes |
No |
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The components of the computer system for its efficiency? |
❒ |
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The adequacy of the computer programming at least annually? |
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The adequacy of the computer hardware at least annually? |
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Do you provide training for employees on the use of the computer system? |
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Do you encourage employees to be cross-trained on the use of the different types of databases in your system? |
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Do you have an individual on-site who can troubleshoot when there are problems with the computer system? |
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Do you have a computer system configured so that even if one or more workstations fail, another can be used? |
❒ |
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Compliance with Laws
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Yes |
No |
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Is your computer system adequate to handle compliance with: COBRA? |
❒ |
❒ |
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Immigration laws? |
❒ |
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Wage and hour laws? |
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OSHA? |
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Workers’ compensation claims? |
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Any affirmative action plan? |
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FMLA |
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Employee Retirement Income Security Act? |
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Discrimination laws? |
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Is your computer used to analyze the results of your affirmative action plan? |
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Is your computer system designed to aid you in auditing your compliance with discrimination laws? |
❒ |
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HRIS systems and recordkeeping—one more thing for comp and benefits managers to cope with. Meanwhile, “Maintain internal equity and external competitiveness and control turnover, but still meet management’s demands for lowered costs.” “No more cost increases for health care.” Heard those before?
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As far as the records checklist, has anyone consolidated some of these? It’s so easy to get overwhelmed.