File management is key to managing the ever increasing forms, letters, documents, agreements, that flow within the organization. Learn how to do this effectively.
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1. F E B R U A R Y 2 4 , 2 0 1 5
8 : 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
2. Disclaimer
2
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.
4. 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
4
5. Records Management
Understanding records management
Internal records management
Physical and electronic filing
External records management
www.ufv.ca
5
6. 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Creates a historical document
6
7. 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
7
8. Documentation and Legal Exposure
Dated
Signed where applicable
Accessible
Legible
Factual
Clearly indicate where supporting and referenced
documentation can be found
Duplicated and secured
8
9. 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
9
11. 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
11
12. 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
12
Do’s and Don’ts for Meeting Minutes
14. Historical Documents
Order and efficiency
Daily operations
Promotion and public
relations
Strategic planning
Litigation
14
Source: http://www.uic.edu/depts/lib/specialcoll/pdf/DTIA.pdf
15. File Management
15
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.
16. Types of File Management
16
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
17. Analyzing Physical and Electronic Files
17
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?
18. Classifying Physical and Electronic Files
18
Primary classification describes the broadest and
fundamental purpose of the file
Administrative
Organizational
Program
Case
Secondary classification
Committee files
Personnel
Payroll
Purchase
Planning
Finance
19. Filing Physical Files
19
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
20. Naming Electronic Files
20
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
21. 5 Tips for Effective Filing Systems
21
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
23. Advantages to Centralized Filing
23
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
24. Advantages to Decentralized Filing
24
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
26. Disadvantages
26
Multiple copies of confidential information
Costs of having several secure locations
Too easy for someone to access information
27. 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
27
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: FOIP, Revenue Canada
29. 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
29
31. Documentation and Legal Exposure
Payroll and benefits information
Performance management
Health and
Safety
Harassment
complaints
Accommodation
Certifications
31
32. Discussion – Keeping files
32
What do you keep now?
Where do you keep it?
How long do you keep it?
How do you get rid of it?
33. 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
33
34. 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
34
35. 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
35
Adapted from: http://www.nolo.com/legal-encyclopedia/what-keep-employee-personnel-files-30240.html
36. 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
36
Adapted from: http://www.nolo.com/legal-encyclopedia/what-keep-employee-personnel-
files-30240.html
37. 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
37
38. 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
38
39. Access and Protection of Employee
Documentation
Employee access
Employer access
Third party access
Securing records
39
40. 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
40
41. 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
41
42. 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
42
43. 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
45. What are Records
45
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
46. Benefits of keeping files organized
46
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
47. Consequences of not keeping good records
47
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.
48. What to keep
48
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
49. How to keep records
49
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
50. Additional records for corporations
50
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
51. Where to keep files
51
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
52. Keeping Files
52
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
53. Tax Files
53
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
54. Exceptions
54
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.
56. Disposal of Records
56
How do you currently dispose of records?
How old is the oldest record you have seen?
Inactive
Active
57. Disposal of Records
57
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
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.
Some records are permanently useful, either to the organization itself or to 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 the story of the organization’s past and becomes the basis for understanding its history.
Order and efficiency – Having a system in place guarantees that records are filed in a logical, orderly fashion to facilitate retrieval.
Daily operations – Daily operations frequently require the use of noncurrent records. For example, a report outlining the organization's achievements is significantly easier to produce when documentation is properly maintained.
Advertising, promotion, and public relations – Organizational archives are useful in advertising, promotion, and public relations. Being able to discuss, document, and illustrate past activities lends an organization credibility in its current efforts. Successful programs developed and implemented five, ten, or twenty years ago demonstrate the organization's credibility, strength, and longevity.
Strategic planning – Likewise, the existence of documentation gives a real boost to strategic planning. Current employees can look back at their group's history to learn which efforts were successful or unsuccessful in the past, and why. Knowledge and understanding of previous errors, as well as previous successes, can determine future strategy. Documentation reveals which activities were advantageous to the organization and its intended beneficiaries. Current areas of interest are compared with past efforts and evaluated in terms of their potential for the future.
Litigation – Documentation is useful for legal purposes. In legal proceedings, the documentation generally contains accurate, unbiased, and readily available information for a legal strategy that is beneficial to the organization.
Source: http://www.uic.edu/depts/lib/specialcoll/pdf/DTIA.pdf
In order to create an effective and efficient filing system, the above questions should be addressed. The organization should understand what records are created, why they are created, and how they are used. The goal for any filing system is that it works seamlessly within the functional and operational requirements of the office.
These are common primary classifications.
Administrative files: document the internal administration and operation of an office
Organizational files: document the relationship of an office with other offices and departments within the organization as well as with external organization and partners
Program files: document basic activities and program specific information
Case files: document a specific event, project, person, transaction
Within the primary classifications, files should be sorted into their secondary classifications. Secondary classifications are a group of records that are created, used, and filed as a unit because they relate to a particular subject or function, result from the same activity, or have a particular physical form. This slide lists common secondary classifications.
Primary and secondary classifications should be used as tools to facilitate the organization and filing of records. Classifications can be whatever is meaningful to that particular organization.
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.
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.
These are types of documentation that an organization may be requested to provide to a court of law.
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.
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.
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.