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Filing, documentation, and effective meetings

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Filing systems, electronic records, how to document meetings,

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Filing, documentation, and effective meetings

  1. 1. M A R C H 2 4 , 2 0 1 4 1 – 2 : 3 0 P M & 2 : 4 5 – 4 : 1 5 P M 2 0 1 4 K A I N A I W A C H I L D R E N ’ S S E R V I C E S C O R P O R A T I O N C O N F E R E N C E L I S A P E C K H A M Best practices for documentation, minute taking, and filing
  2. 2. Disclaimer 2 The information presented to you today is considered to be general best practices for organizations across Canada. The information is not intended to provide legal counsel or legal advice.
  3. 3. Learning objectives  Why documentation procedures matter  Documenting incidents with potential legal exposure  Effective minute taking  Filing systems and records management  Employee files  Access and protection of employee documents 3
  4. 4. Expectations have changed! www. processexcellencenetwork.com 4
  5. 5. Why documentation procedures matter  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a wide range of decisions  It is the law  Can help to create and implement new policies and procedures  Creates a historical document 5
  6. 6. Decision making  Documented policies, procedures, and information are 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 6
  7. 7. 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 7
  8. 8. 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 8
  9. 9. Historical documents  Order and efficiency  Daily operations  Promotion and public relations  Strategic planning  Litigation 9
  10. 10. 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 10
  11. 11. Documentation and legal exposure Payroll and benefits information Performance management Health and Safety Harassment complaints Accommodation Certifications 11
  12. 12. Documentation and legal exposure  Dated  Signed where applicable  Accessible  Legible  Factual  Clearly indicate where supporting and referenced documentation can be found  Duplicated and secured 12
  13. 13. How not to take meeting minutes! 13
  14. 14. Purpose of meeting minutes 14  Confirm decisions that were made  Record agreed upon actions to be taken  Record person responsible and timeline for action  Provide a record of meeting events to persons unable to attend  Serve as a record of the meeting’s procedure and outcome
  15. 15. Before the meeting begins 15  Create a template to record essential details and notes  Template should include  Date, time, location of meeting  Purpose of the meeting  Name of the person chairing the meeting  Attendees and regrets  Assigned action items  Decisions made
  16. 16. Sample minutes template 16
  17. 17. Do’s and Don’ts for meeting minutes 17  Do write and distribute minutes as soon as possible after the meeting  Do be neutral  Do record topics discussed, decisions made, and outstanding action items  Do summarize accurately and succinctly  Don’t record information that is hearsay or gossip  Don’t record exhaustive details of the meeting  Don’t include information that might embarrass someone
  18. 18. After the meeting 18  Set aside time to ensure minutes are distributed to attendees, guests, and people who were unable to attend  Ensure supporting documents discussed are also distributed  Ask for feedback to ensure minutes were useful and understood  Schedule notification to send out reminder for next meeting  Follow up on action items
  19. 19. Creating a record for meeting minutes 19  All documents related to the meeting should be kept together and archived  Meeting agenda  Minutes  Supporting documentation such as handouts or follow up correspondence  Records should be stored securely and in a place that can be easily accessed by meeting attendees  Physical copies can be kept in collection of binders  Electronic copies can be kept on a shared drive
  20. 20. Records management  Understanding records management  Internal records management  Physical and electronic filing  External records management www.ufv.ca 20
  21. 21. 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 21
  22. 22. 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 standards  Should be audited on a regular basis  Practices, systems, technologies, and facilities 22
  23. 23. Not the way to do it! 23
  24. 24. File management 24 File management is a series of tools, procedures, and policies designed to organize and file documents so information can be easily located and retrieved when required.
  25. 25. Types of file management 25  Effective physical file management includes  Analyzing and classifying records  Determining retention schedules  Appropriate arrangement  Centralized filing  Decentralized filing  Electronic file management  Analyzing and classifying records  Determining retention schedules  Naming files
  26. 26. Analyzing physical and electronic files 26  Who creates the file?  Who accesses or uses the file and how often?  What is the size of the file?  How long is the file current?  Is the file confidential?  What are the legal requirements for retaining the file?
  27. 27. Classifying physical and electronic files 27  Primary classification describes the broadest and fundamental purpose of the file  Administrative  Organizational  Program  Case  Secondary classification  Committee files  Personnel  Payroll  Purchase  Planning
  28. 28. Retention schedules 28  All physical and electronic files should have a clearly documented and displayed retention schedule  Depending on the type of file, the retention schedule may be determined by  The organization  External stakeholders  Example: WCB, Insurance company  Legal requirements  Example: applicable privacy legislation, Revenue Canada
  29. 29. Filing physical files 29  Arrangement  Alphabetic  Chronological  Numerical  Serial  Centralized filing  Files are maintained in one central location and are accessible to multiple employees  Decentralized filing  Files are located dependent on proximity to the primary users
  30. 30. Naming electronic files 30  Appropriately and consistently named files ensures electronic files are stored accurately within classifications and retention schedules  Having an organization wide electronic file naming policy can help to improve the efficiency of the filing system  Electronic file names should fit logically with corresponding physical files
  31. 31. 5 tips for effective filing systems 31 1. Filing systems should support organizational needs 2. Filing systems should guarantee reliable document capture 3. Filing systems should provide secure access for sensitive and confidential documents 4. Filing systems should optimize workflow 5. Filing systems should help to efficiently manage document life cycles
  32. 32. External records management  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 32
  33. 33. Employee files  Application  Resume and cover letter  Interview notes  Testing results  Reference check notes  Signed offer letter  Job description  Emergency contacts  Social Insurance number  Signed TD1 form  Orientation checklist  Relocation agreements and supporting documentation  Benefit enrolment forms  Garnishee or court orders  Signed confirmation of receiving and reviewing employee handbook 33
  34. 34. Employee files 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 34
  35. 35. Employee files 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 35
  36. 36. 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 36
  37. 37. Access and protection of employee documentation  Employee access  Employer access  Third party access  Securing records 37
  38. 38. 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 38
  39. 39. 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 39
  40. 40. Third party access  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 40
  41. 41. 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 41
  42. 42. Questions? 42
  43. 43. THANK YOU! Thank you for the opportunity to present to you today! 43
  44. 44. About us Our services  Employee 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 44
  45. 45. Thank you! #517-7620 Elbow Drive SW Calgary, AB T2V 1K2 403-264-5288 www.hylton.ca 800-449-5866 lisa@hylton.ca facebook.com/pages/CG-Hylton/173971246061425 twitter.com/HyltonYYC 45

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