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F E B R U A R Y 2 4 , 2 0 1 58 : 4 5 A M - 1 0 : 1 5 A M
2 0 1 5 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 Archiving Files
Disclaimer2
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.
Expectations Have Changed!
www. processexcellencenetwork.com
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Learning Objectives
Record management overview
File management
What you need to keep
How you need to keep it
How long you need to keep it
Where to keep files
Employee files
Financial files
Destroying Files
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Records Management
Understanding records management
Internal records management
Physical and electronic filing
External records management
www.ufv.ca
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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Creates a historical document
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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
Source: http://en.wikipedia.org/wiki/Records_management
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Documentation and Legal Exposure
Dated
Signed where applicable
Accessible
Legible
Factual
Clearly indicate where supporting and referenced documentation can be found
Duplicated and secured
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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 standards
Should be audited on a regular basis Practices, systems, technologies, and facilities
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Not the Way To Do It!10
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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Do DO NOT 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
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Do’s and Don’ts for Meeting Minutes
How NOT to Take Meeting Minutes! 13
Historical Documents
Order and efficiency
Daily operations
Promotion and public
relations
Strategic planning
Litigation
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Source: http://www.uic.edu/depts/lib/specialcoll/pdf/DTIA.pdf
File Management15
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.
Types of File Management16
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
Analyzing Physical and Electronic Files17
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?
Classifying Physical and Electronic Files18
Primary classification describes the broadest and fundamental purpose of the file Administrative
Organizational
Program
Case
Secondary classification Committee files
Personnel
Payroll
Purchase
Planning
Finance
Filing Physical Files19
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
Naming Electronic Files20
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
5 Tips for Effective Filing Systems21
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
Advantages of Centralized Filing22
Thoughts?
Advantages to Centralized Filing23
There is greater control over the files
Uniformity and consistency is easier to maintain
All important information is located in a central location
All information regarding a specific subject is located in a central location
The need for duplicate files is eliminated
Storage of records requires less equipment and space
Advantages to Decentralized Filing24
There is less chance of folders being misfiled into the wrong secondary classification series
Limited access to a record series leads to greater security and confidentiality
The record series is physically located closer to the user
Disadvantages to Centralized Filing25
What can you come up with?
Disadvantages26
Multiple copies of confidential information
Costs of having several secure locations
Too easy for someone to access information
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
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Retention Schedules28
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: FOIP, Revenue Canada
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
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Employee Files30
Documentation and Legal Exposure
Payroll and benefits information
Performance management
Health and Safety
Harassment complaints
Accommodation
Certifications
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Discussion – Keeping files32
What do you keep now?
Where do you keep it?
How long do you keep it?
How do you get rid of it?
What to Keep
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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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
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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
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Adapted from: http://www.nolo.com/legal-encyclopedia/what-keep-employee-personnel-files-30240.html
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
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Adapted from: http://www.nolo.com/legal-encyclopedia/what-keep-employee-personnel-files-30240.html
Employee Files
PIPEDA has established 10 privacy principles for the collection, use, disclosure, and retention of personal information. These
are good standards to follow anywhere in Canada.• Accountability• Identifying purpose• Consent• Limiting collection• Limiting use, disclosure, retention• Accuracy• Safeguards• Openness• Individual access • Challenging compliance
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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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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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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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How long do we keep them?43
The entire employee file should be kept while the employee is active, longest employee on record?
Inactive employee files should be kept secured but conveniently located for a minimum of two years
Inactive employee files should be kept for six to ten years and must be kept in a secure location
Financial Files44
What are Records45
Records are accounting and other financial documents that should be kept in an organized way
Records were traditionally kept in paper format, but many now keep electronic records
Records include ledgers, journals, vouchers, financial statements and accounts, and income tax and excise tax records. You must keep the supporting documents
Benefits of keeping files organized46
Identify the sources of income
Remind you of expenses you can deduct and tax credits you can claim
Make it easier for you to determine your taxes owing;
Provide you with information on the past and present financial position
Help you make good business decisions
Assist with getting loans and funding
Can prevent problems if you get audited
Consequences of not keeping good records47
Government may disallow expenses that you are unable to support
Government may impose penalties if you:
Do not keep adequate records
Do not provide CRA officials with access to your records, when requested
Do not give information to CRA officials, when asked.
What to keep48
Sales invoices
Purchase receipts
Contracts
Guarantees
Bank statements including deposit slips and cancelled cheques
Purchase orders
Work orders
Delivery slips
General correspondence in support of any transaction
Cash register slips, credit card receipts
How to keep records49
Books, records, and supporting documents produced and kept in paper format
Books, records, and supporting documents produced on paper, and then converted and stored in an electronic format
Electronic records and supporting documents produced electronically
Additional records for corporations50
Records of Internet business activities
Meeting minutes of the directors of a corporation
Meeting minutes of the shareholders of a corporation
Any record of a corporation containing details about: the ownership of the shares of the capital stock of the corporation
any transfers of these shares
General ledger or other books of final entry, in paper or electronic format, containing the summaries of the year-to-year transactions of the corporation
Any special contracts or agreements necessary to understand the entries in the general ledger or other books
Where to keep files51
Financial files should be kept within the finance department
Must be kept secured
Can be moved offsite once they have not been accessed for at least two years
If moved offsite they still need to be secured
Keeping Files52
Most records are kept for six years from the date of tax filing
Active records should be kept on site and convenient in a secure location
Old records can be kept off site in a storage facility as long they are secured and when accessing the records it is done by two people who have access
Tax Files53
Tax files, as stated by CRA, only have to be kept for six years from year end filing
Most organizations keep tax files, including payroll, income tax and GST records indefinitely
Supporting documents do not have to be kept for more than six years
Again, many corporations keep files for six to ten years depending on policy
Exceptions54
Records and supporting documents concerning long-term acquisitions and disposal of property, share registry and other historical information that would have an impact on the sale, liquidation or wind-up of a business must be kept indefinitely.
More information55
For more detailed information please go to
www.cra-arc.gc.ca/
Disposal of Records56
How do you currently dispose of records?
How old is the oldest record you have seen?
Inactive
Active
Disposal of Records57
Electronic records on your pc, can be deleted and then wiped by IT department
Electronic records on USB or other storage device can be deleted and/or destroyed
Hard copy files should be shredded and disposed of
Internally
3rd party
Questions?58
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