Case Study: Avoiding a $100,000 Fine for Missing HR Records

A professional services company was rapidly expanding both their core operations and their national sales force. All of their existing HR records were being maintained in paper format by the Human Resources Director. Records were supposed to be filed in folders by Employee name, except I-9 forms which were supposed to be maintained together in a separate folder.

As part of the growth strategy, the company had recently acquired a few other companies who each had their own manual process for maintaining HR records in paper format. Top this off with the fact that the company had moved physical locations several times in recent years, and the HR manager position had turned over several times over the last few years.




As a result of the moves and acquisitions, all of the company’s HR records were in boxes stacked in the HR manager’s office. The current HR manager recognized the need to organize and audit these records. At the time the company had 90 employees, so the manager first set out to collect and verify they had complete I-9 forms for all of their employees. She was shocked when she could only find I-9 forms for 40 of their 90 employees, not to mention I-9 forms from former employees that they still had to maintain.

All existing I-9’s were verified, scanned, and uploaded to InfoPreserve’s Vault. For any employees missing I-9’s, employees were required to complete and return new I-9’s which were scanned and uploaded immediately upon receipt.

Now, when HIM records are needed, they are found almost immediately by using InfoPreserve’s advanced search capabilities. A lengthy “real world” search through boxes and boxes of paper is no longer required.

All records can be securely retrieved from any computer in the facility. Any new HIM records already in digital format are ingested into the Vault without ever being printed, and new paper records are immediately ingested into the Vault to make them immediately searchable.

With the most critical area of record keeping addressed, the CEO and CFO have initiated projects to organize and ingest both HR records and financial records. Thanks to the flexibility of a SaaS platform, instead of trying to tackle all of their records management issues at once, they continue to implement solutions over time without affecting their day-to-day operations.



You might think “my company is too small to get audited” but you’d be mistaken. Ask yourself, if your company were to get audited and fined, could your company afford to pay a fine of $50,000 or $100,000 not to mention the disruptions it would cause to your business?

InfoPreserve’s PreservationVault, a private Cloud-based platform that offers comprehensive capabilities to manage digital files, can quickly and easily solve the problems in maintaining and retrieving your important HR records.

Our SaaS platform provides an almost immediate ROI from increased productivity and provides an easy-to-use framework for compliance with government-mandated record-keeping, significantly reducing the risk of fines and penalties.

The advantages of our platform are:
• No upfront capital costs – SaaS model grows at your pace.
• Simple implementation with quick ROI.
• Implement to your schedule, addressing your most critical needs first.
• Easy upload – designate any folder as a “watched folder” to automatically upload any files saved to that folder.
• Eliminates lengthy search – find information based on content, meta-data, and user-generated tags.
• Access anytime from anywhere via secure Internet connection
• Designed for business with full access controls and audit trails.
• We provide the highest level of security for your information.
• Comprehensive information lifecycle management – keep records for only as long as you need them.

We enable file sharing and collaboration with detail reporting tools for compliance and auditing requirements, all in a secure environment.

If you are ready to start managing your unstructured data using InfoPreserve’s PreservationVault, contact us through our website or call 585-542-4183. We’ll perform a complimentary audit of your current document and file management set up and business needs to diagnose how to maximize PreservationVault’s full capabilities.

Get in touch with us.