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Documentation:
Understanding the benefits and
implementing procedures
JANUARY 22, 2014
1:45PM
HUMAN RESOURCE MANAGEMENT FO...
Learning objectives
2

 Why documentation procedures matter

 Benchmarks in employee documentation
 Documenting inciden...
Expectations have changed!
3

www. processexcellencenetwork.com
Why documentation procedures matter
4

 Cornerstone of the role of Human Resources in any

organization

 Required to in...
Human resources
5

 By definition, human resources policies are systems

of codified decisions designed and implemented t...
Decision making
6

 Documented policies, procedures, and information is

required in order to make decisions that impact ...
It’s the law!
7

 Employee information including name, address, SIN,

start date, hours worked, written agreements
regard...
Policies and procedures
8

 In order to get buy in and participation from

management and employees in adopting new
polic...
Historical documents
9

 Order and efficiency
 Daily operations
 Promotion and public

relations
 Strategic planning
...
Benchmarks in employee documentation
10

 Understanding benchmarks
 Setting and communicating benchmarks
 Documenting e...
Understanding benchmarks
11

 Benchmarks are the established and

communicated standards that the organization
requires t...
Setting benchmarks
12

Internal

Competitive

Functional

Generic
Communicating benchmarks
13

Gather data

Monitor
results

Implement
new
procedures

Design
process based
on data

Revise ...
Documenting employee performance
14

 Timely documentation of incidents, deficiencies, and

significant accomplishments
...
Documentation and legal exposure
15

Payroll and benefits information
Performance management

Health and
Safety

Harassmen...
Documentation and legal exposure
16

 Dated
 Signed where applicable
 Accessible
 Legible
 Factual
 Clearly indicate...
Records management
17

 Understanding records management
 Internal records management
 External records management

www...
Understanding records management
18

 Records management involves identifying,

classifying, prioritizing, storing, secur...
Internal records management
19

 Requires a dedicated staff member or department,








depending on the size of t...
Not the way to do it!
20
External records management
21

 Reduces costs associated with staffing, software, and






storage
Provides up to d...
Employee files
22

 Application

 Orientation checklist

 Resume and cover letter  Relocation agreements
 Interview n...
Employee files
23









Updated information
Written evaluations
Raises, promotions, and commendations
Warnings a...
Employee files
24

Do not include information that is not directly related
to the employee’s qualifications and performanc...
Employee files
25

PIPEDA has established 10 privacy principles for the collection,
use, disclosure, and retention of pers...
Access and protection of employee
documentation
26

 Employee access
 Employer access
 Third party access
 Securing re...
Employee access
27

 Current and former employees have the right to

access their own employment records
 Records manage...
Employer access
28

 Records management policies should outline the

process for allowing organization employees to
acces...
Third party access
29

 External human resources functions provider
 During the legal acquisition of a business
 Worker...
Securing records
30

 Privacy
 The right to privacy is met when an individual has the
opportunity to exercise some degre...
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
 ...
Contact us
34

#517-7620 Elbow Drive SW
Calgary, AB T2V 1K2
403-264-5288
www.hylton.ca
800-449-5866
info@hylton.ca

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Documentation procedures yk

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

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Documentation procedures yk

  1. 1. Documentation: Understanding the benefits and implementing procedures JANUARY 22, 2014 1:45PM HUMAN RESOURCE MANAGEMENT FOR ABORIGINAL AND NORTHERN COMMUNITIES YELLOWKNIFE, NWT LISA PECKHAM
  2. 2. 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
  3. 3. Expectations have changed! 3 www. processexcellencenetwork.com
  4. 4. 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
  5. 5. 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
  6. 6. 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
  7. 7. 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
  8. 8. 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
  9. 9. Historical documents 9  Order and efficiency  Daily operations  Promotion and public relations  Strategic planning  Litigation
  10. 10. Benchmarks in employee documentation 10  Understanding benchmarks  Setting and communicating benchmarks  Documenting employee performance
  11. 11. 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
  12. 12. Setting benchmarks 12 Internal Competitive Functional Generic
  13. 13. Communicating benchmarks 13 Gather data Monitor results Implement new procedures Design process based on data Revise goals based on new process
  14. 14. 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
  15. 15. Documentation and legal exposure 15 Payroll and benefits information Performance management Health and Safety Harassment complaints Accommodation Certifications
  16. 16. 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
  17. 17. Records management 17  Understanding records management  Internal records management  External records management www.ufv.ca
  18. 18. 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
  19. 19. 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
  20. 20. Not the way to do it! 20
  21. 21. 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
  22. 22. 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
  23. 23. 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
  24. 24. 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
  25. 25. 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
  26. 26. Access and protection of employee documentation 26  Employee access  Employer access  Third party access  Securing records
  27. 27. 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
  28. 28. 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
  29. 29. 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
  30. 30. 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
  31. 31. Questions? 31
  32. 32. THANK YOU! 32 Thank you for the opportunity to present to you today!
  33. 33. 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
  34. 34. 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

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