documentation procedures yk
Post on 21-Oct-2014
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DESCRIPTION
How to document workplace procedures, HR Policies, legal, morale, workplace, records, efficiency, liability, ease of use, public vs. private, access.TRANSCRIPT
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Creates a historical document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
www.ufv.ca
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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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THANK YOU!
Thank you for the opportunity to present to you today!
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