Filing systems, electronic records, how to document meetings,

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. 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. 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. Expectations have changed!
www. processexcellencenetwork.com
4

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 Creates a historical document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. 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. 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. 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. Historical documents
 Order and efficiency
 Daily operations
 Promotion and public
relations
 Strategic planning
 Litigation
9

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. Documentation and legal exposure
Payroll and benefits information
Performance management
Health and
Safety
Harassment
complaints
Accommodation
Certifications
11

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. How not to take meeting minutes!
13

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. 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. Sample minutes template
16

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. 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. 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. Records management
 Understanding records management
 Internal records management
 Physical and electronic filing
 External records management
www.ufv.ca
20

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. 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. Not the way to do it!
23

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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. Access and protection of employee
documentation
 Employee access
 Employer access
 Third party access
 Securing records
37

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. 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. 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. 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. Questions?
42

43. THANK YOU!
Thank you for the opportunity to
present to you today!
43

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. 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