MARC H 24 , 20141 – 2 :30PM & 2 :45 – 4 :15PM

2014 KAIN AIWA C HILDR EN ’S S ERVIC ES C O RPO RATIO N C O N FEREN C E

LIS A PEC KHAM

Best practices for documentation, minute

taking, and filing

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Disclaimer

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.

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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

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Expectations have changed!

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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Creates a historical document

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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

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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Historical documents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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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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How not to take meeting minutes!

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Purpose of meeting minutes

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

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Before the meeting begins

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

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Sample minutes template

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Do’s and Don’ts for meeting minutes

Do write and distribute minutes as soon as possible after the meeting

Do be neutralDo record topics discussed, decisions made, and

outstanding action itemsDo summarize accurately and succinctly Don’t record information that is hearsay or

gossipDon’t record exhaustive details of the meetingDon’t include information that might embarrass

someone

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After the meeting

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

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Creating a record for meeting minutes

All documents related to the meeting should be kept together and archived Meeting agenda Minutes Supporting documentation such as handouts or follow

up correspondenceRecords 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

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Records management

Understanding records management

Internal records management

Physical and electronic filing

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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File management

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.

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Types of file management

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

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Analyzing physical and electronic files

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?

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Classifying physical and electronic files

Primary classification describes the broadest and fundamental purpose of the file Administrative Organizational Program Case

Secondary classification Committee files Personnel Payroll Purchase Planning

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Retention schedules

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

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Filing physical files

Arrangement Alphabetic Chronological Numerical Serial

Centralized filing Files are maintained in one central location and are

accessible to multiple employeesDecentralized filing

Files are located dependent on proximity to the primary users

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Naming electronic files

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

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5 tips for effective filing systems

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 workflow5. Filing systems should help to efficiently

manage document life cycles

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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 form

Orientation checklistRelocation agreements

and supporting documentation

Benefit enrolment formsGarnishee or court

ordersSigned confirmation of

receiving and reviewing employee handbook

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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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