Documentation procedures yk

J A N UA RY 2 2 , 2 0 1 41 : 4 5 P M

H U M A N R E S O U R C E M A N A G E M E N T F O R A B O R I G I N A L A N D N O R T H E R N C O M M U N I T I E S

Y E L L O W K N I F E , N W T

L I S A P E C K H A M

Documentation: Understanding the benefits and

implementing procedures

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Learning objectives

Why documentation procedures matter

Benchmarks in employee documentation

Documenting incidents with potential legal exposure

Records management

Employee files

Access and protection of employee documents

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Expectations have changed!

www. processexcellencenetwork.com

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Why documentation procedures matter

Cornerstone of the role of Human Resources in any organization

Required to inform and justify a wide range of decisions

It is the law

Can help to create and implement new policies and procedures

Creates a historical document

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Human resources

By definition, human resources policies are systems of codified decisions designed and implemented to support administrative personnel functions, performance management, employee relations, and resource planning

Can assist in creating and maintaining the optimal organizational culture

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Decision making

Documented policies, procedures, and information is required in order to make decisions that impact the overall functioning of the organization Hiring Budgets and allocation of resources Salary increases and additional incentives Terminations Development of new policies and procedures Performance evaluation and management

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It’s the law!

Employee information including name, address, SIN, start date, hours worked, written agreements regarding overtime, vacation time records, payroll information, and leave information

Documentation related to health and safety incidents

Information regarding efforts to meet a duty to accommodate

Performance management documentation

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Policies and procedures

In order to get buy in and participation from management and employees in adopting new policies and procedures, there must be documentation that supports why it is required and how it will help

Accurate documentation can help guide the creation of policies and procedures to ensure they are effective and relevant

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Historical documents

Order and efficiency

Daily operations

Promotion and public relations

Strategic planning

Litigation

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Benchmarks in employee documentation

Understanding benchmarksSetting and communicating benchmarksDocumenting employee performance

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Understanding benchmarks

Benchmarks are the established and communicated standards that the organization requires the employee to meet on a regular basis

An employee’s ability to meet the established benchmarks is the foundation of performance evaluation

Benchmarks can be set in several areas Productivity Quality Service Attitude

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Setting benchmarks

Internal Competitive

Functional Generic

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Communicating benchmarks

Gather data

Design process

based on data

Revise goals based

on new process

Implement new

procedures

Monitor results

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Documenting employee performance

Timely documentation of incidents, deficiencies, and significant accomplishments Build an employee performance file on EVERY

employee and document positive performance and performance concerns

Confirm the facts

Relevant supporting documentation

Written correspondence

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Documentation and legal exposure

Payroll and benefits information

Performance management

Health and Safety

Harassment complaints

Accommodation

Certifications

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Documentation and legal exposure

DatedSigned where applicableAccessibleLegibleFactual Clearly indicate where supporting and

referenced documentation can be foundDuplicated and secured

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Records management

Understanding records management

Internal records management

External records management

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Understanding records management

Records management involves identifying, classifying, prioritizing, storing, securing, archiving, preserving, retrieving, tracking, and destroying records

Records are created or received by an organization in compliance with legal obligations or in the transaction of business Can be tangible documents like a driver’s license or

correspondence or digital information such as data, website content, and electronic mail

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Internal records management

Requires a dedicated staff member or department, depending on the size of the organization

Standardized across the organization with one point of contact who can easily obtain requested records

Abide by clear and well documented records management policies

Can be a combination of physical and digital records management

Be able to meet all applicable audit standardsShould be audited on a regular basis

Practices, systems, technologies, and facilities

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Not the way to do it!

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External records management

Reduces costs associated with staffing, software, and storage

Provides up to date expert knowledge on compliance regulations

Can improve organizational efficiencyCan provide offsite data backup and recoveryDocument management

Scanning, retrieving, organizingHighly secure

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Employee files

ApplicationResume and cover letterInterview notesTesting resultsReference check notesSigned offer letterJob descriptionEmergency contactsSocial Insurance numberSigned TD1 formOrientation checklist

Relocation agreements and supporting documentation

Benefit enrolment formsGarnishee or court ordersSigned confirmation of

receiving and reviewing employee handbook

Disciplinary action notes

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Employee files

Updated informationWritten evaluationsRaises, promotions, and commendationsWarnings and disciplinary actionEmployment status up to dateMost recent version of employee handbook

reviewedChange in name or addressMost current employment contract

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Employee files

Do not include information that is not directly related to the employee’s qualifications and

performance. This includes:Medical recordsUnsubstantiated criticism, rumors, or

accusationsReference to race, sex, religionReference to the employee’s private life

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Employee files

PIPEDA has established 10 privacy principles for the collection, use, disclosure, and retention of personal information. These

are good standards to follow in any province.• Accountability• Identifying purpose• Consent• Limiting collection• Limiting use, disclosure, retention• Accuracy• Safeguards• Openness• Individual access • Challenging compliance

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Access and protection of employee documentation

Employee access

Employer access

Third party access

Securing records

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Employee access

Current and former employees have the right to access their own employment records

Records management policies should outline the process for accessing employee records

Records management process should outline criteria that must be met to preserve the integrity of the file Cannot be removed from the area files are kept Employee can not remove or add anything to the file Employee must be accompanied by a Human

Resources professional when viewing the file

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Employer access

Records management policies should outline the process for allowing organization employees to access employee records How and why Human Resources professionals can

access employee records Other employees in the organization that can access

employee records This is permitted if accessing employee records is

necessary for the performance of the employee’s job

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Third party access

External human resources functions providerDuring the legal acquisition of a businessWorkers’ Compensation BoardsBenefits providersLabour relations and union representativesLawyersProvincial and national

government bodiesRevenue Canada

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Securing records

Privacy The right to privacy is met when an individual has the

opportunity to exercise some degree of control over personal information by consenting to, or withholding consent, for the collection, use, and/or disclosure of information

Confidentiality Every organization has an obligation to protect information

from unauthorized access, use, disclosure, modification, loss or theft.

Security Organizations must employ physical, administrative, and

technical safeguards to ensure employee records remain secure

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Questions?

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