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Documentation procedures yk

Documentation procedures yk



How to document workplace procedures, HR Policies, legal, morale, workplace, records, efficiency, liability, ease of use, public vs. private, access.

How to document workplace procedures, HR Policies, legal, morale, workplace, records, efficiency, liability, ease of use, public vs. private, access.



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  • Definition adapted from http://en.wikipedia.org/wiki/Human_resource_policies
  • The laws in Canada require that all employers document certain pieces of information. Records must be maintained for a certain period of time (this can vary across different industries and is based on the type of information collected) and must be readily available for inspection. Having this information documented can help to prevent issues such as misunderstandings, hearsay, or an inability to terminate an employment contract due to lack of proof that the contract has been frustrated.
  • All organizational policies and procedures should be designed to influence and determine major decisions and actions. Procedures are the specific methods used to uphold policies during the day to day operation of the organization. Adapted from: http://www.businessdictionary.com/definition/policies-and-procedures.html
  • Some records are permanently useful, either to the organization itself orto other interested parties. When properly retained, organized, and preserved, these records become an organization’s archives. They reflect the values,activities, and goals of the organization. This body of records tells thestory of the organization’s past and becomes the basis forunderstanding its history. Order and efficiency – Having a system in place guarantees that recordsare filed in a logical, orderly fashion to facilitate retrieval. Daily operations – Daily operations frequently require the use ofnoncurrent records. For example, a report outlining the organization'sachievements is significantly easier to produce when documentation is properly maintained. Advertising, promotion, and public relations – Organizational archivesare useful in advertising, promotion, and public relations. Being able to discuss, document,and illustrate past activities lends an organization credibility in its currentefforts. Successful programs developed andimplemented five, ten, or twenty years ago demonstrate the organization'scredibility, strength, and longevity.Strategic planning – Likewise, the existence of documentation gives a realboost to strategic planning. Current employees can look back at theirgroup's history to learn which efforts were successful or unsuccessful inthe past, and why. Knowledge and understanding of previous errors, aswell as previous successes, can determine future strategy. Documentationreveals which activities were advantageous to theorganization and its intended beneficiaries. Current areas of interest arecompared with past efforts and evaluated in terms of their potential for thefuture.Litigation – Documentationis useful for legal purposes. In legal proceedings,the documentation generally contains accurate,unbiased, and readily available information for a legal strategy that isbeneficial to the organization.Source: http://www.uic.edu/depts/lib/specialcoll/pdf/DTIA.pdf
  • Employee performance documentation is rendered almost meaningless in the eyes of the law, the organization, and the employee if it is not documented in direct reference to the established and communicated benchmarks.
  • Sources: http://www.qualitydigest.com/feb/bench.html and http://www.orau.gov/pbm/presentation/kendall.pdfInternal: The process of comparing one particular operation within your organization with another. “The left hand knowing what the right hand is doing." Internal benchmarking is by far the easiest, both to research and to implement. Competitive: The process of comparing an operation with that of your direct competitors or a comparable organization. This is the most difficult type of benchmarking to carry out successfully as it relies heavily on inside knowledge of another organization’s operations. It is typically used most successfully in product sales driven companies.Functional: The process of comparing an operation with that of similar ones within the broad range of your industry. Functional benchmarking is relatively easy to research and implement. Generic: The process of comparing operations from unrelated industries (i.e., ones often used by a wide variety of industries). An example would be a film library using the warehousing techniques of another industry to improve storage efficiency. The advantage of this type of benchmarking is that the problems of competition do not apply, increasing the access to information, and reducing the possibility of legal problems. Generic benchmarking can inspire creative solutions and performance management guidelines.
  • Setting and communicating performance benchmarks is a key component of successful performance management documentation. Without this documentation, performance documentation is less meaningful and may not withstand legal scrutiny.
  • Take time on a regular basis to document performance raves or concerns on each employee. Failure to document the good and the bad can have legal implications and organizations can be accused of “being out to get a particular employee”. Report the facts including the date, employees involved, the details of the incident, and observations. Avoid including ambiguous details and qualitative judgments. Document facts based on employee reports, manager reports, eyewitness reports, photos, reports, emails, and any other documentation that reports facts surrounding an event. Draft written correspondence about the event that includes the above mentioned facts, supporting documentation, and a summary of all conversations with the employee regarding this event. In the written correspondence, refer objectively to related performance benchmarks. Have the employee review the correspondence and sign the document confirming they have read, understood, and agree with the statement of facts.
  • These are types of documentation that an organization may be requested to provide to a court of law.
  • To ensure that employer documentation can be useful in a court of law, organizations must ensure that all relevant documentation meets the above minimum considerations.
  • Source: http://en.wikipedia.org/wiki/Records_management
  • Source: http://www.patrina.com/wp-content/uploads/2012/08/data-compliance-carl-cartoon.jpg
  • Records management is one area where many organizations find it is more efficient and effective to contract to an external provider. Some organizations do a combination of both internal and external records management.
  • A new employee file should include all the information listed above. The organization must ensure that this information remains confidential and secure. It is helpful to include a checklist of the required information at the beginning of each employee file. This can provide “at a glance” confirmation of the documents that are included in the file and documents that remain outstanding. For organizations in the Yukon, Nunavut and the Northwest Territories the collection of employee information is subject to PIPEDA because all private sector activity is under federal jurisdiction in the territories. PIPEDA applies to personal information that is collected, used or disclosed in the course of commercial activity. PIPEDA also states "personal information does not include the name, title, or business address or telephone number of an employee of an organization.“ Source:http://hrcouncil.ca/hr-toolkit/employee-records.cfm
  • Employee files should be reviewed on a regular basis to ensure the documents are accurate, up to date, and complete. This can be done annually at the same time as the employee’s performance review. Document any changes, additions, and removals made to the file. Adapted from: http://www.nolo.com/legal-encyclopedia/what-keep-employee-personnel-files-30240.html
  • Adapted from: http://www.nolo.com/legal-encyclopedia/what-keep-employee-personnel-files-30240.html
  • There may be instances where a third party can legally access some part of an employee’s records. It is critical that the organization’s records management plan details the circumstances in which a third party can access certain aspects of an employee’s records. This access must be in compliance with applicable privacy and release of information guidelines.

Documentation procedures yk Documentation procedures yk Presentation Transcript

  • Documentation: Understanding the benefits and implementing procedures JANUARY 22, 2014 1:45PM HUMAN RESOURCE MANAGEMENT FOR ABORIGINAL AND NORTHERN COMMUNITIES YELLOWKNIFE, NWT LISA PECKHAM
  • Learning objectives 2  Why documentation procedures matter  Benchmarks in employee documentation  Documenting incidents with potential legal exposure  Records management  Employee files  Access and protection of employee documents
  • Expectations have changed! 3 www. processexcellencenetwork.com
  • Why documentation procedures matter 4  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
  • Human resources 5  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
  • Decision making 6  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
  • It’s the law! 7  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
  • Policies and procedures 8  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
  • Historical documents 9  Order and efficiency  Daily operations  Promotion and public relations  Strategic planning  Litigation
  • Benchmarks in employee documentation 10  Understanding benchmarks  Setting and communicating benchmarks  Documenting employee performance
  • Understanding benchmarks 11  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
  • Setting benchmarks 12 Internal Competitive Functional Generic
  • Communicating benchmarks 13 Gather data Monitor results Implement new procedures Design process based on data Revise goals based on new process
  • Documenting employee performance 14  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
  • Documentation and legal exposure 15 Payroll and benefits information Performance management Health and Safety Harassment complaints Accommodation Certifications
  • Documentation and legal exposure 16  Dated  Signed where applicable  Accessible  Legible  Factual  Clearly indicate where supporting and referenced documentation can be found  Duplicated and secured
  • Records management 17  Understanding records management  Internal records management  External records management www.ufv.ca
  • Understanding records management 18  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
  • Internal records management 19  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 standards Should be audited on a regular basis  Practices, systems, technologies, and facilities
  • Not the way to do it! 20
  • External records management 21  Reduces costs associated with staffing, software, and     storage Provides up to date expert knowledge on compliance regulations Can improve organizational efficiency Can provide offsite data backup and recovery Document management  Scanning, retrieving, organizing  Highly secure
  • Employee files 22  Application  Orientation checklist  Resume and cover letter  Relocation agreements  Interview notes  Testing results  Reference check notes  Signed offer letter  Job description     Emergency contacts  Social Insurance number   Signed TD1 form and supporting documentation Benefit enrolment forms Garnishee or court orders Signed confirmation of receiving and reviewing employee handbook Disciplinary action notes
  • Employee files 23        Updated information Written evaluations Raises, promotions, and commendations Warnings and disciplinary action Employment status up to date Most recent version of employee handbook reviewed Change in name or address Most current employment contract
  • Employee files 24 Do not include information that is not directly related to the employee’s qualifications and performance. This includes:  Medical records  Unsubstantiated criticism, rumors, or accusations  Reference to race, sex, religion  Reference to the employee’s private life
  • Employee files 25 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
  • Access and protection of employee documentation 26  Employee access  Employer access  Third party access  Securing records
  • Employee access 27  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
  • Employer access 28  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
  • Third party access 29  External human resources functions provider  During the legal acquisition of a business  Workers’ Compensation Boards  Benefits providers  Labour relations and union representatives  Lawyers  Provincial and national government bodies  Revenue Canada
  • Securing records 30  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
  • Questions? 31
  • THANK YOU! 32 Thank you for the opportunity to present to you today!
  • About us 33 Our services  Employer benefit plans   Travel insurance   Health spending  accounts   Salary grids  Policy review and writing   Pension plans Employee wellness Employer of choice Charitable giving Charitable tax information Employee mental health
  • Contact us 34 #517-7620 Elbow Drive SW Calgary, AB T2V 1K2 403-264-5288 www.hylton.ca 800-449-5866 info@hylton.ca facebook.com/pages/CG-Hylton/173971246061425 twitter.com/HyltonYYC