Standards for Canadian organizations

2020 Edition

Human Resources (CA-HR) 5: Personnel Records

The organization maintains a personnel record for each employee.
2020 Edition

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Purpose

The organization’s human resources practices attract and retain a competent and qualified workforce that contributes to service recipient satisfaction and positive service delivery results and supports the achievement of the organization’s mission and strategic goals.
Note: See CA-RPM 5: Security of Information for more information on appropriately limiting access to personnel records to protect confidentiality.

Note: Please see the Personnel Records Checklist for additional guidance on this standard.
1
The organization's practices fully meet the standard, as indicated by full implementation of the practices outlined in the CA-HR 5 Practice standards.
2
Practices are basically sound but there is room for improvement, as noted in the ratings for the CA-HR 5 Practice standards.
3
Practice requires significant improvement, as noted in the ratings for the CA-HR 5 Practice standards.
4
Implementation of the standard is minimal or there is no evidence of implementation at all, as noted in the ratings for the CA-HR 5 Practice standards.
Self-Study EvidenceOn-Site EvidenceOn-Site Activities
  • Procedures for maintaining personnel records
  • Procedures regarding access to personnel records
No On-Site Evidence
  • Interviews may include:
    1. HR Director
    2. Supervisors
    3. Relevant personnel
  • Review personnel records

 
Fundamental Practice

CA-HR 5.01

Personnel records are updated regularly and contain:
  1. identifying information and emergency contacts;
  2. application for employment, hiring documents including job postings and interview notes, and reference verification;
  3. job description;
  4. compensation documentation, as appropriate;
  5. pre-service and in-service training records;
  6. health information or reports for annual physical examinations, appropriate to the job position or when required by law; and
  7. performance reviews and all documentation relating to performance, including disciplinary actions and termination summaries if applicable.

Interpretation

An organization may maintain records in separate files according to its own record keeping system as required by law or regulation. For example, EAP, health records, immigration status documentation, grievance, and complaint and response documents must be kept separately from other personnel records to protect privacy, in compliance with relevant legislative, regulatory, and/or contractual requirements.
1
The organization's practices reflect full implementation of the standard.
2
Practices are basically sound but there is room for improvement; e.g.,
  • With few exceptions, the organization complies with the standard, but a few records reviewed on newly hired personnel have not yet been completed; or
  • Documentation in a few records needs updating.
3
Practice requires significant improvement; e.g.,
  • Many personnel records did not include all the relevant elements; job descriptions, pre- and post-service training, interview notes, questions, etc.; or
  • Documents in many records are outdated or missing.
4
Implementation of the standard is minimal or there is no evidence of implementation at all; e.g.,
  • Personnel records are consistently incomplete or missing required documentation; or
  • There is evidence that personnel records are not appropriately maintained, e.g., different record components are not separated.

 

CA-HR 5.02

Personnel may review, add, and correct information contained in their records.
1
The organization's practices reflect full implementation of the standard.
2
Practices are basically sound but there is room for improvement; e.g.,
  • Personnel report that they are able to make additions or corrections, but procedures need some clarification.
3
Practice requires significant improvement; e.g.,
  • Personnel are uncertain about procedures, and there is no evidence of management’s effort to clarify the issue.
4
Implementation of the standard is minimal or there is no evidence of implementation at all.