http://policies.iu.edu/policies/categories/human- resources/employment/records.shtml 1. Indiana University creates and maintains human resource records for its Academic, Staff and Temporary employees, Retirees, and COBRA participants to fulfill legal requirements, fiscal requirements, and administrative needs. It is necessary to have a well defined management, retention, and disposal policy to ensure that these complex and sometimes competing requirements and needs are satisfied. 2. The purpose of this policy is to establish accountability for human resource records management and retention, to reinforce safeguards against unauthorized or accidental disclosure of confidential records, to establish the length of time certain categories of human resource records are to be maintained and stored, and to establish appropriate records disposal practices. Policy Statement 1. It is the policy of Indiana University to comply with applicable laws and best practices with regard to the management, retention, and disposal of its human resource records in order to document its management decisions; provide historical references of employee, participant, and university- initiated transactions and events; demonstrate regulatory compliance; and enhance its operational efficiencies. 2. Indiana University’s Human Resource Records a. Indiana University’s human resource records are the collection both paper and electronic communications and documents related to the employment of an employee stored under the person’s name or identification number, including but not limited to: forms, letters, memos, reports, lists, e-mails, etc. The records serve as the historical record of information pertaining to an employee from date of hire to separation, and contain some pre-employment and post-employment information. b. There are four categories of records that make up the human resource records: i. Personal records includes records related to personally-identifiable information, such as name,
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1. Indiana University creates and maintains human resource records for its Academic, Staff and Temporary employees, Retirees, and COBRA participants to fulfill legal requirements, fiscal requirements, and administrative needs. It is necessary to have a well defined management, retention, and disposal policy to ensure that these complex and sometimes competing requirements and needs are satisfied.
2. The purpose of this policy is to establish accountability for human resource records management and retention, to reinforce safeguards against unauthorized or accidental disclosure of confidential records, to establish the length of time certain categories of human resource records are to be maintained and stored, and to establish appropriate records disposal practices.
Policy Statement
1. It is the policy of Indiana University to comply with applicable laws and best practices with regard to the management, retention, and disposal of its human resource records in order to document its management decisions; provide historical references of employee, participant, and university-initiated transactions and events; demonstrate regulatory compliance; and enhance its operational efficiencies.
2. Indiana University’s Human Resource Records a. Indiana University’s human resource records are the collection both paper and
electronic communications and documents related to the employment of an employee stored under the person’s name or identification number, including but not limited to: forms, letters, memos, reports, lists, e-mails, etc. The records serve as the historical record of information pertaining to an employee from date of hire to separation, and contain some pre-employment and post-employment information.
b. There are four categories of records that make up the human resource records: i. Personal records includes records related to personally-identifiable
information, such as name, date of birth, home address, emergency contact, social security number, etc.
ii. Personnel records include records covering employment, position classification, wage or salary, employee relations, performance management, training, organizational development, attendance and paid time-off usage, etc.
iii. Benefits program records include records covering benefit plan enrollments in such plans as health care, retirement, investments, tuition benefit, and voluntary plans, as well as beneficiaries in these plans where applicable.
iv. Medical records include all medical certifications, physician statements, and related information that describe the health and medical history or condition of an employee or an employee’s family members. These include ADA and FMLA forms and correspondence, disability documents, claims for medical services, doctors’ notes, workers’ compensation records, injury or illness reports, and drug screening results. (Not an inclusive list.) They do not include attendance reports from such systems as TIME or ePTO that simply record what category of paid time-off to which an absence from work is charged.
c. University Human Resource Services, the campus Human Resources Office, and the employing school or department maintain the university’s human resource records
in paper and/or electronic files. Paper records containing confidential information are kept in locked offices or cabinets or drawers with access controlled by the keeper of the record. Electronic records containing confidential information are maintained in a secure environment per University Information Technology Services policies.
d. Under the Health and Insurance Portability and Accountability Act (HIPAA) and the Americans with Disabilities Act (ADA), employers are required to protect medical records as confidential information to be kept separate from other business records. Medical records are not to be maintained with other human resource records, although they may be stored in the same locked cabinet.
e. A supervisor may keep records related to an individual employee to track work in progress and performance related information, and typically includes documents of ongoing work such as notes of conversations, assignments, and status reports. A supervisor’s records maintained by employee name or identification number are considered part of the official university human resource records.
f. Grievances and complaints filed by or against an employee, and notes, statements, and other information gathered as part of an investigation of a workplace incident, grievance, or complaint are to be maintained separately and are not considered part of an employee’s personnel records.
g. As a public institution, Indiana University’s human resource records are subject to the provisions of Indiana Code 5-14-3, Access to Public Records. Under this law, none of the University’s human resource records have to be produced except for:
i. The name, compensation, job title, business address, business telephone number, job description, education and training background, previous work experience, or dates of first and last employment of present or former employees of the university;
ii. Information relating to the status of any formal charges against theemployee; and
iii. The factual basis for a disciplinary action in which final action has been taken and that resulted in the employee being suspended, demoted, or discharged.
h. Any request citing Indiana’s Access to Public Records law shall be sent to the University Counsel’s office for their attention, before any response is made. Any court subpoena for records referenced in this policy shall be sent to the University Counsel’s office for their attention before any response is made. (This section applies to any request citing Indiana’s Access to Public Records law and court subpoenas for records received by any unit at the University.)
i. All records that are part of an employee’s human resource records shall be made available to the employee or his/her representative.
3. Safeguards Against Unauthorized or Accidental Disclosure a. Until the human resource records are properly disposed, each department of the
university is accountable for securing and maintaining its human resource records regardless of format or location.
b. Each department is accountable for ensuring that employees and others are granted access to confidential human resource records only if such access is essential to the performance of their duties. Further, each department must ensure that those granted access are trained and employ reasonable safeguards to protect the confidential records.
4. Human Resource Records Retention Schedule a. The Human Resource Records Retention Schedule is a comprehensive list of human
resource records covering areas such as benefits, classification and compensation, employee relations, employment, and organizational development.
b. The Records Retention Schedule lists each record, provides a brief description of the record, the primary record value, the highest level of data classification, and
identifies the retention period and the disposal method. These terms are defined in the Definition section of this policy.
c. Human resource records which have been retained beyond the stipulated retention period should be disposed of in accordance with the method in the schedule as early as practicable.
5. Suspension of the Human Resource Records Retention Schedule a. When litigation involving the university or its employees is filed or threatened, the
university has a duty to preserve all records that pertain to the issues involved. Once aware that litigation exists or is likely to be filed, University Counsel will inform the affected departments, who will disseminate this information to the appropriate employees and provide direction as to what records are to be preserved and by what method. So-called “litigation holds” override the records retention schedule that may otherwise call for the disposal of relevant records.
b. No university employee who has been notified by University Counsel may alter or destroy a record that falls within the scope of the litigation-hold notification.
c. Any university employee who becomes aware of litigation or threatened litigation prior to receiving a litigation-hold notification from University Counsel shall inform University Counsel immediately and shall suspend the records retention schedule until specific instructions are received.
Procedures
1. Access to human resource records a. Access to human resource records should be restricted to those whose job duties
necessitate access and to those with designated authority to review the records, such as a supervisor, department manager, or a human resource representative.
b. Upon request, a university employee or his/her designated representative will be provided with timely access to all of the employee’s human resource records, including personnel records, benefit program records, and medical records. The determination of timeliness must reflect any policy or practical deadlines that the employee, representative, or university must meet. Units that need assistance regarding the content of records that can be disclosed should seek advice from a campus HR office.
c. The designated representative must present a written authorization signed by the employee that clearly and specifically describes the records the representative may inspect or copy.
d. If the designated representative is a union representative of the employee, the inspection will occur during times when the designated representative is authorized by university policies to conduct union business and in a manner that corresponds with departmental and university human resource record-keeping policies and practices.
e. At no time during the examination of the employee’s records shall the records be out of the direct supervision of the university record keeper.
f. Contact the campus Human Resources Office to obtain the guidelines for accessing Staff personnel records.
2. Access to confidential information a. Employees whose jobs provide access to human resource records shall follow the
policies and procedures specific to their position for confidential information found in the human resource records and not release it to any person who does not have authorization to receive it. Employees shall not use such confidential information of other employees for personal reasons.
b. Members of the public, which includes persons employed by the university, have access only to the information contained within human resource records that is designated as public information under the Indiana Access to Public Records law.
c. All human resource records shall be made available to the affected employee or his/her representative.
3. Retention of human resource records a. Each human resource record is to be retained for the retention period contained in
the Records Retention Schedule for that record. b. Confidential medical records are to be maintained separately from other human
resource records. c. In departments, when there is a change in supervisors, any personal records and
personnel records as defined in the Policy Statement above, including paper, electronic, and email records, that the supervisor has maintained on his/her employees are to be retained for the duration of the retention period in the Records Retention Schedule and made available to the new supervisor.
d. When a Staff employee transfers to another department within the University, the human resource records located in the original employing department are to be sent to the campus Human Resources Office to be combined with the human resource records maintained in that office.
e. When a Staff employee terminates employment with Indiana University, the human resource records in the employing department are to be sent to the campus Human Resources Office to be combined with the human resource records maintained in that office and retained for the retention period contained in the Records Retention Schedule.
4. Disposal of human resource records a. When the required retention period for a record expires, the senior officer of the
responsible office (UHRS, the campus HR Office, or the employing department) shall initiate and authorize the process for the records disposal.
b. In the event of any dispute regarding the authorization of disposal of the records, disposal will be halted pending review and final determination by the Vice President and Chief Financial Officer in consultation with University Counsel.
c. Records are be disposed of in accordance with the methods specified in the Records Retention Schedule.
Definitions
1. A record is information or knowledge on a specific subject and preserved in a typed, written, or electronic format.
2. A file is a collection of related records stored together in paper or electronic formats. 3. Primary Record Value in the Human Resource Records Retention Schedule refers to
one of four levels: a. Administrative: This is a form or work document that has value as a record of
an active transaction or work document currently in use. b. Legal: This is a form or work document whose use, retention, and /or
dissemination are covered by federal or state laws and/or regulations and university policies.
c. Audit: This is a form or work document whose primary value is aligned with fiscal matters. It may be thought of as a fiscal version of a legal record.
d. Historical: This is a form or document that lets us understand what the department/school/university did in the past. There are less of these types of documents than the other value categories.
4. Level of Data Classification in the Human Resource Records Retention Schedule refers to one of four levels, from most sensitive to least sensitive:
a. Critical: Inappropriate handling of this data could result in criminal or civil penalties, identity theft, personal financial loss, and/or invasion of privacy.
b. Limited access/restricted: Because of legal, ethical, or other constraints, this data may not be accessed without specific authorization, or only selective access may be granted.
c. University-internal: This data may be accessed by all eligible employees of the university, without restriction, in the conduct of university business; should be the default classification for all data.
d. Public: Few restrictions on this data, general public may be granted access.
Taking a Strategic Approach to Managing HR Records: How to Shift Resources to Support HR Initiatives
By Alan Brotman, Iron Mountain
Human Resource (HR) departments, much like other functional areas within an organization, face increasing pressure to accomplish more with less. This includes becoming more efficient when handling HR records and employee transactions, both of which continue to grow at unprecedented rates and contain private information requiring secure storage and careful handling.
Human Resource departments must also comply with more stringent regulatory obligations than ever before, in particular those related to the storage and handling of employee records as well as those with broader business continuity and disaster recovery requirements. These state and federal workforce regulations (as well as international ones) are forcing HR professionals to keep more HR records. Together, these issues have challenged HR executives to securely store documents in a cost-effective and compliant manner while maintaining easy access to them.
This article outlines these pain points and how HR executives can successfully manage their records, allowing more time for focusing on more strategic initiatives. When it comes to managing information, HR departments face several pain points.
HR Departments Generate a lot of Paper
During a typical tenure with a company, an employee generates a multitude of documents, not including benefit forms, such as a job application, resume, confidentiality agreement and electronic signature consent agreement—documents that on average amount to nearly 20 pages. Multiply this by the number of employees, whose predominately paper records need to be generated, indexed, maintained and archived by an organization, and it is easy to see how records management presents a major challenge to the productivity of any HR department.
Documents Contain Private Employee Information that Needs Protecting
In addition to managing the sheer volume of records, corporate HR managers must ensure the privacy of employee records, regardless of their format or storage location. Large volumes of HR records containing private and other sensitive data require rigorous and consistent security controls. Implementing a system that ensures efficient information access without compromising security poses a daunting task for companies with distributed HR records. For example, faxing records or transporting them by courier could result in privacy breaches and/or lost documents along what should be a controlled chain of custody.
Most of the Documents are Regulated Since HR documents contain private employee information as well as some of an organization’s most sensitive information, several state and
federal laws exist to protect this data and ensure its privacy. These regulations apply to the protection of both paper and electronic record, and many specify the type of record that companies must keep and for how long.
Documents are Stored across Multiple Locations
Organizations often create, manage and store Human Resource records across distributed locations. These practices are particularly true for multi-national organizations. Mergers and acquisitions can create further records management hurdles for organizations because they require the incorporation of distributed HR records, both active and inactive. These pain points cause several challenges and distract HR professionals from their principle duties and responsibilities.
Security
Corporate HR managers bear the responsibility for managing risk for employee records, no matter the location or format of those records, whether they are paper or electronic. The large volumes of these HR records – which contain private, sensitive data like social security numbers, dates of birth, phone numbers, addresses, and the like - demand a rigorous and consistent approach to security and access controls. These requirements present a significant challenge: Implementing a records management system that is efficient without compromising security (risking non-compliance penalties) across a distributed HR records environment.
Storage Cost
Most HR departments realize the productivity and cost challenges presented by HR records management. It’s estimated that a typical 10,000 employee company handles more than one million employee-related transactions a year, at a cost of between $10 and $50 per transaction.1 Most of these transactions involve an HR record. Storage space required for these files drive costs, either in leasing additional space or occupying existing real estate that could be repurposed for revenue-generating functions.Compliance
The cost requirements of managing large volumes of HR records are exacerbated by a growing number of data privacy regulations and other laws that help increase the volume, type and access requirements for these records. Additionally, distributed record locations and the concurrent need for controlled, authorized access further complicates compliance. Many regulations specify what records organizations must keep and for how long. For example, the Fair Labor Standards Act (FLSA) and Equal Pay Act (EPA) require employment contracts be kept for three years. Other laws stipulate that companies place certain records on “legal hold” for their role in litigation. Easy, Central Access
It goes without saying that organizations need fast access to information for meeting everyday business needs. But having quick access to records also goes hand-in-hand with responding to compliance audits and information requests during legal challenges. Many HR organizations have difficulty creating in-house operations that achieve this level of access without driving up capital costs related to labor, real estate and security .To solve their challenges, HR professionals should consider digitizing HR records and partnering with a vendor who can manage both their paper and electronic records.
Digitizing HR Records
For many companies, the solution to managing large amounts of sensitive information is to begin to digitize their information. In doing so, these organizations seek to control costs, comply with regulations and create central access. The Association for Information and Image Management (AIIM) surveyed businesses on their prime drivers for digitizing paper records and found that efficiency and productivity, followed by concerns about compliance were the strongest motivators.
Partnering with Experts in Hybrid HR Records Management
Hybrid records management services require expertise in managing physical and digital records . Given the complexity of creating and managing a hybrid system, outsourcing the effort may prove the most cost-effective approach. Increasingly, companies are turning to outside partners , who have invested in the latest digital technology and facilities so they don’t have to themselves. Additionally, some of these vendors have a global footprint and may already be storing a company’s physical HR records. These experts can help companies adopt best practices for HR records management and demonstrate consistent, standardized processes when required.
Approaches to Hybrid HR Records Solutions
The experienced service provider can design a comprehensive, economical program for HR records management that combines the right physical records storage and management services with specific, document conversion services that meet the HR department’s secure access requirements. With one provider responsible for both archived and active physical file management, there are significant efficiencies that translate into cost savings.If the provider has a global footprint, standard operating procedures can ensure consistent best practices for records management across the company. The provider analyzes the records where conversion is most cost-effective for the company and can then devise a strategy for making the transformation. There are a number of scanning conversion strategies described below, but the rule of thumb should be: scan what you need only when you need it. Some will also choose to scan large segments of their HR records archive based on their business requirements and cost structure. The experienced provider can advise on the best document conversion strategy.
• Image on demand: A provider can scan records as they are requested.• Selective scanning: A provider can use predictive tools and scan those records with a high likelihood of retrieval.• Abstract scanning: A provider can scan a small subset of high value images within a larger record.• Full digital conversion: A provider can categorize which back-file records need to be scanned and stored in their entirety and which do not. In addition to helping HR departments find the right approach to back-file conversion, the service provider should also help the customer optimize the process for active file scanning and storage in a “day-forward conversion.”In some situations, active records can remain onsite at company headquarters to allow remote access over the Internet and, presumably, also be backed up by the IT department as part of the company’s overall business continuity and disaster recovery strategy. Alternatively, records can be stored in the service provider's hosted digital document repository with 24/7 access via the Internet.
Lastly, more comprehensive service providers also offer temporary or permanent hands-on assistance for managing offsite and onsite records, active or inactive.Conclusion:
Many HR professionals are struggling to protect and manage increasing amounts of employee data in a manner that complies with mounting state and federal regulations. As a solution, more are beginning to digitize HR records and outsource to a vendor capable of managing both paper and digital data. The result of this approach is allowing HR professionals to maintain rapid access to employee data while keeping labor and storage costs more manageable. And with the peace of mind knowing that information is properly managed, HR pros can focus on more strategic initiatives.
Alan Brotman is a 20-year veteran of Iron Mountain and the Information Management industry. As part of Iron Mountain’s Document Management Solutions group, Alan works with customers from every industry to help them transition to electronic records. During his career, spanning management consulting, information technology and document management, Alan has helped HR professionals save money and time with managing their paper and electronic HR records.1. Mullers-Patel, Katharina, PhD., “Human Capital Management: How Top Organizations Drive Company Profits Efficiently”, 2007 ASUG/SAP Benchmarking Study.
What is HR System?
Technology is everywhere in our world. We see it every day in activities such as banking, shopping, flying,
entertainment, or communicating. We live with technology and we are surrounded by it. We cannot escape its influence
and how it shapes our lives. But work organizations are also as dependent on technology as we all are for our daily
activities. Organizations use technology for manufacturing, sales, production, marketing and, yes, for human resources
actions and interventions.
HRIS (Human Resources Information System) or HRMS (Human Resources Management System) is a new world order
for managing human resources in organizations. A world where scientists and practitioners in the
industrial/organizational psychology field have much to say and much to offer in order to promote the effectiveness and
optimization of HR technologies and services. And so, the motivation behind this page is to provide practical advice to
those who compose, manage, and develop human resources in work organizations.
What is a Computerized Human Resources System?
HRIS (Human Resources Information System) or HRMS (Human Resources Management System) is An integrated system designed to
provide information used in HR decision making.
Computers have simplified the task of analyzing vast amounts of data, and they can be invaluable aids in HR management, from payroll
processing to record retention. With computer hardware, software, and databases, organizations can keep records and information better,
as well as retrieve them with greater ease.
* * * * * * * * * * * * * * * * * *
Remind me with the three roles of HR management in organizations
HR management has three roles in organizations; administrative, operational, and strategic roles:
So, how can HR professionals allocate their efforts to contribute value for the organization?
There has been a mismatch between the way HR professionals have allocated their efforts and what contributes value for the
organization. The greatest amount of time and costs of HR management are concentrated at the administrative level. However, HR
management adds the greatest value at the strategic level, and the administrative activities produce a limited value for the organization.
* * * * * * * * * * * * * * * * * *
How can HRIS contribute value to the organization?
An HRIS serves two major purposes in organizations:
1. HR Administrative and Operational Role:
The first purpose of an HRIS is to improve the efficiency with which data on employees and HR activities is compiled. Many HR activities
can be performed more efficiently and with less paperwork if automated. When on-line data input is used, fewer forms must be stored,
and less manual record keeping is necessary. Much of the reengineering of HR activities has focused on identifying the flow of HR data
and how the data can be retrieved more efficiently for authorized users. Workflow, automation of some HR activities, and automation of
HR record keeping are key to improving HR operations by making workflow more efficient.
2. HR Strategic Role:
The second purpose of an HRIS is more strategic and related to HR planning. Having accessible data enables HR planning and managerial
decision making to be based to a greater degree on information rather than relying on managerial perception and intuition. For example,
Organisations need data as a point of reference or to be able to retrieve information whenever it is needed. For example each organisation has to keep accurate records or information of their employees in order to be able to use this information for planning ahead for the business. Also accurate records of employees are kept in order to help the organisation make precise decisions whenever queries arise in relation to each employee on a case by case basis.
Organisations also need data as a legal requirement. For instance in order to be able to make accurate tax returns to the government then the organisation will need to store certain data for each employee. Also for payroll purposes personal details of employees need to be kept. Other reasons organisations keep data is to make it available to employees such information like the organisation structure, company policy and the HR Handbook which is may be useful as a point of reference for employees as well.
Types of data to be collected.
1. Sickness Records: This type of data/report may be collected periodically (monthly or quarterly) and compared or analysed against each employee’s attendance records. This helps the human resources to manage the attendance record of the organisation accurately and inform line managers of the constant attendance offenders in order to discourage further occurrences or for long term sicknesses that need the company’s support.
2.Another type of data that may be useful for the human resources department of an organisation is the contact details for each employee especially home addresses. This is essential if a correspondence needs to be sent out to each employee, such as contracts, payslips, pensions or leave information. It is important for each employee to receive the appropriate communication and not to be ignored.
One method of storing data is electronically. This is the method of inputting data or information
For a variety of reasons, including equal opportunities monitoring, equal pay audits, recruitment planning, assessing skills balance, and to assess their performance against targets such as the percentage of women in management roles (often woefully few).
To show compliance with Equal Employment Opportunity employment laws
In a synopsis of no more than 500 words explain: • Why an organization needs to collect and record HR data. You should give at least two reasons. (AC1.1) • Legal requirements relating to the recording, storage and accessibility of HR data. (AC2.2)Previously, organizations tend to depend on the cultural cliché that Human Resources is merely a department or subdivision. Although it does acknowledge that it deals with people; this dealing tends to be difficult. During these times, this is no longer the attitude. Most companies have established HR solutions and systems that help in meeting the organizational goals and aide in making informed decisions.
First of all, part of the whole HR plan is being able to identify the ultimate goal of the organization. From the perspective of Human Resources, the most essential factor to be considered in this regard is the organization’s work force; hence, the collection and recording of employee personal data, leaves and absences, salary information and the likes.
HR data collection is imperative to be able to establish a point of reference for the company to be able to measure against it (i.e. employee salary details, salary bell curve he falls in to assess salary review and increments); monitor progress and development (history of performance appraisals and assessment; SMART objectives to be able to consistently conduct accurate performance review periodically); develop and implement initiatives for generic cases (solutions for case to case employee-related complaints/issues/concerns); identify analyzed information to aide the organization in making ultimate sound-decisions both beneficial to the organization and its employees. These are just few of the many explored reasons why an organization needs to collect and record data.
Five Ways High-Performance Organizations Use HR AnalyticsMining masses of data for performance-improving insights is at once the biggest challenge and greatest opportunity
presented by big data. While this is true for every function in the enterprise, the wake-up call for HR should have been
answered well before now. In fact, i4cp's most recent research on the analytical practices and capabilities of HR
organizations suggests that most are woefully unprepared to do little more with a rapidly rising ocean of data than drown
in it. While many HR organizations are proficient at collecting and measuring activities, few have the ambition or ability to
measure outcomes or identify the factors that most affect results.
i4cp's new report, HR Analytics: Why We're Not There Yet, pinpoints the reasons for these shortcomings and
highlights differences in the strategies and practices of high-performing organizations (HPOs) and low-performing
organizations (LPOs) in addressing five key factors driving effective usage of HR analytics - ambition, skills, data
accuracy, HR leadership's role and level of sophistication.
1. HPOs use HR data to plan and perform better; LPOs seem content to merely report it.
HPOs take a more calculated approach, using data for strategic, long-term planning over twice as much as
LPOs (96% compared to 47%). Far more HPOs (91% compared to 59%) rigorously assess the ROI of
initiatives and programs. Not only is the use of data to make business decisions the marker of an astute
organization, it underscores that HPOs are focused on far more than simply reporting. HPOs actively seek
information that improves the effectiveness of their planning and the performance of their programs and
processes. Low-performing companies do little more than meet minimum requirements necessary for business.
2. Turning data into information is the most pressing analytics challenge and HPOs are better equipped
to meet it.
A common challenge cited by HR practitioners is the difficulty in determining what the data that is gathered
actually means. This was the top data collection obstacle cited by all survey respondents. As Sue Suver, Head
of Global HR at U.S. Steel pointed out, "Data is great if you have it. But without people who know what to do
with it, you're still stuck." Sifting through an expanse of big data to pinpoint trends or uncover stories is a
difficult and time-consuming task. It requires analytical and interpretive skills, which more than half of
respondents from low-performing companies said they seriously lack compared to little more than a third of
those from HPOs. Their experience suggests that companies that can transform data into information, and
information into profitable action, will reap a competitive advantage.
3. HPOs take full advantage of processes, automation and standards to ensure data accuracy while LPOs
rely mostly on manual checking.
Twice as many HPOs reported using company-wide standard definitions as a method for guaranteeing data
accuracy. Both HPOs and LPOs check data reliability, but HPOs use automated processes (68% compared to
38%) to a greater extent, which not only reduces errors, it frees up employee time for more pressing tasks. The
most difficult task of all is setting data standards in the first place. Data councils, which convene
stakeholders to set policy around activities such as data collection, standards, and security, are pivotal
because they enable enterprise solutions and ensure organization-wide consistency.
4. HPOs' HR leaders are highly engaged in using analytics to drive performance; LPOs are content to
supply data to the executive team.
More than twice as many HPOs have HR leaders receiving workforce data than LPOs (81% compared to
33%), which suggests a more robust, analytics-savvy HR department in more successful companies. i4cp's
study indicates that HPOs are moving more aggressively toward the performance advisor role identified in
i4cp's 2012 report, The Future of HR: The Transition to Performance Advisor. HPOs are also using people-
How can HR use big data to inform people strategy?
The fact the recent HR Tech Europe Spring conference in London focused not on technology but on data tells you just how important the issue is becoming for organisations. Why now? Because the volume of data, the velocity (speed at which it is created) and variety (of data points) are growing exponentially and the speed of technology adoption is accelerating significantly.There are 1.8 zettabytes of data being produced a year – that's 1.8 trillion gigabytes – and this is doubling every two years. And we have 30% adoption of mobile in just five years.Technology analyst John Sumser says the "scale and speed" at which data is being created requires HR to re-examine how it operates and, in particular, how HR teams make decisions.For HR teams, data provides a big opportunity. By understanding broader business requirements and asking the right questions, HR teams can start to collect data that can show the impact of people policies and investment on the business.And by analysing data over time HR will be able to predict future people needs and design and develop the right interventions before there is a problem.Fortunately for the HR function, it has been collecting people data for many years so it is well placed to use this data to make better business decisions.
But simply owning that data doesn't mean it has value. Used badly, data can hide business critical information.For example, aggregated people data – say absence rates – provides a company wide figure but within that there could be pockets of extreme high and low absence that would provide something concrete to act on.In fact, digging deeper into data can reveal the most surprising – and potentially contrary – insights. Recent research from Leadership IQ has discovered that in 42% of organisations, low performers are actually more engaged than high performers. It seems counter-intuitive to say that your least productive performers are the most engaged – and it is.Any business would hope their most productive performers were the most engaged.It was only by putting together these two data sets – appraisal data and engagement data – that the research identified these new and startling insights.The research goes against the perceived wisdom that high engagement correlates with better business performance. It also tells us that we need to be open to insights the data can provide.If we are not, then the data becomes a threat. Can we reasonably base our decisions on instinct and experience alone only for the evidence to tell us something completely different?No. HR teams must use data to provide evidence.But first HR teams must get their house in order by taking the following steps:
Make sure the HR strategy is fully aligned with the business strategy. Only then can you start to understand where the people agenda fits in.
Look at the data you currently collect and see what insights it provides to support the business strategy. Identify the gaps in your data, stop collecting data that is not useable and start collecting the data you need to
help solve current and future business challenges. Bring siloed information together to provide greater insight and value.
That may sound simple but it will take a confident HR director to say that some of the data they have been collecting historically has little impact on the business.Director of the Centre for HR Excellence at Henley Business School, Nick Holley, says HR is quite possibly sitting on employee data that is not necessarily the data required to answer today's key business questions. He says HR teams will need to have self-confidence to admit that data collected in the past was not useful.With an aligned HR strategy and clarity on the people data that exists, HR teams can start to find answers to pressing business questions and start to relate these to people issues.By asking the right questions of the business the HR team can start to identify the data it will require to help answer them.The upshot is that HR teams will need the skills and capabilities to collect, analyse data and share meaningful insights from it to help the business develop.Those skills might not be available within the HR team but they are likely to exist somewhere in the business. So in looking to build big data capabilities, HR teams should consider who else in the business could help them.Big data provides an opportunity to start small – working on individual projects – and build up. This in turn will enable organisations to build up data reporting capabilities.These small steps now will lead to a significant impact on the business in the future.Jeremy Langley (pictured) marketing and business development director, Lumesse
Recording and Analysing InformatonThis briefing note aims to review the organisation’s approach to collecting, storing and using HR data, looking at the reasons for collecting the data, the types of data collected, the methods of storing such data and two items of UK legislation relating to this.
There are many reasons why HR data needs to be collected within the organisation. Information on employees needs to be kept up to date, such as addresses, next of kin details and medical records. Apart from the obvious reasons for this (if something were to happen to the employee whilst in work), the employee wouldn’t feel very valued within the organisation if important information of theirs were sent to the wrong address because the HR department did not have the correct information or failed to keep it up to date.
Monitoring certain data is also important, recording absence for example. It is essential to know who is there/ not there and the reasons for this. Absence costs the organisation money and managing the data is essential to help this. If certain department has a lower sickness rate, why is this? How could we improve absence figures?
The collection of such data also supports HR practices and helps maintain a level of professionalism. During recruitment, for example, the HR department would support the management by providing information on individuals such as references and qualifications or a previous disciplinary they may have had. This type of qualitative data would show
whether or not a perspective employee could fulfil the role etc.
Quantitative data; statistics such as sales figures, overtime arrangements and budgets could highlight areas of concern. A particular department could be underperforming in their sales figures. Overtime may have to be cut in order to save money. This information would be analysed and passed onto management so action could be taken.
There are two main methods of storing data and records. Electronic methods (computer hard drive, USB etc0 have
satisfy legal requirements provide relevant information in decision making and for consultation requirement record contractual arrangements and agreements keep contact details of employees provide documentation in the event of a claim against the organisation
The most important reason for collecting the HR data is to meet the legal requirement. In case of Government Department (e.g. Inland Revenue) demanding information on the number of employees, how many hours they work, their salaries etc X is obliged to provide these data. Furthermore, HR records contain information that can protect the organisation from claims (employee discriminated against or unfairly dismissed). Mainly though the HR data is collected in order to enable the organisation to make decisions related to the organisation and/or employees e.g. human resources planning. …
Types of data that is collected within the X and how it supports the HR practice
Within X there are many different types of data which is collected. Generally these fall into the following 3 ranges: employee records, company data and statutory records.
Personal data is a type of data which consist of the following information: employee name, address, telephone number, next of keen etc. It enables HR to contact employees in case of last minute changes (over the phone) or any contractual changes (letters).
Payroll data consist of a ‘basic pay’ and any ‘additional payments’. It allows HR to e.g. identify who is due for annual increment (X policy) through pay history monitoring as well as incorporate additional payments to the basic (contractual) salary e.g. honorarium or simply monitor number of...
Human Resources department holds a substantial amount of information on employees and should maintain accurate and up to date records to satisfy legal requirements. Working time regulations and the national minimum wage act require specific records relating to hours of work and pay. Data also provides the organisation with information to make decisions. Knowledge and information enable an organisation to make good decisions. Access to accurate, factual and dependable information can be used for arguments and influence, which can help individuals with their ability to achieve.Some of the data that we currently hold on employees are the statement of particulars (contracts of employment). It is a legal requirement to provide written statements of particulars of employment. Employment problems are less likely to arise when all parties are clear about agreements. Records are needed for reference purposes in case of disputes and for defence if for example claims are made to an employment tribunal. Employment protection rights demand that organisations keep records, to protect themselves from claims that an organisation has discriminated against or unfairly dismissed an employee.
Health & Safety demands that records are kept for accident reporting, Exposure to hazardous substances and training records for training that has been provided. Employers must be able to demonstrate responsible management of health & safety and should be able to provide documentation in the event of a claim.The Storage systems currently used in the organisation are a Paper Based system and Payroll computerised system. We hold individual employee wallets in a lockable, fire resistant cabinet. The benefits to this system are that all data is easily accessible by all members of staff with permission to access HR Records for current employees. Each employee wallet contains;* Emergency Contact* Absence/Sickness Records
Recording, analysing and using HR information
Activity 1
Further to your request for the review of the organisation’s approach to collecting, storing and using HR data please see the briefing note below.
There are a variety of reasons why an organisation needs to collect HR data, these could be to satisfy legal requirements, provide relevant information in decision making and for consultation requirement, recording contractual arrangements and agreements, keep contact details of employees, provide documentation in the event of a claim against the organisation.
Government departments’ including HMRC can demand information from the business on how many people are employed, what they are paid, what they have been paid over a number of years and how many hours they have worked. The working time regulations and national minimum wage act each require specific records relating to hours of work and pay details.
An organisation collects absence data, which is collected and inputted into a HR system, once the data is in the system we can pull off reports which can show trends in sickness, by division or department and analyse the data to see if there are any patterns and look at trigger levels.
An organisation can collect Performance Appraisals and use the data from these forms to see how many appraisals were completed by division or department and see if there are any learning and development needs within the organisation.
There are many methods of storing records they can be stored in filing cabinets which make for ease of access when trying to look at a paper trail on something, records can be on an online database which makes the information easily accessible and you can pull data off the database and create reports which can be run to show certain figures, e.g. sickness, training records, etc.
Making the HR online database accessible via e-HR means that employees can access their own HR record and update some of their personal details i.e
ssignment 2: Recording, Analysing and Using Human Resource Information (3RAI).
Task1
This assignment is based around a retail organisation. This organisation is in the fashion sector, primarily selling ladies fashion (although it does have some lines for men and children). The organisation has 34 stores, primarily based in the Midlands and South of the UK. It tends to employ significant number of students during the holiday period (to help cover staff holidays) and it always employs a number of temporary workers in the busy weeks leading up to Christmas.
Answer the following questions (total of 1000 words):
1. Why does this organisation need to keep employee records (identify at least two reasons?)
Two reasons as to why the above mentioned organisation would need to keep employee records are as follows;
1) To satisfy legal requirements – There are numerous legal requirements regarding the recording of employee records. The key legal requirements that this or any organisation or Human Resources (HR) department would need to be aware of are; Storing records for the Inland Revenue, The Working Time Regulations 1998, The National Minimum Wage Act 1998 and the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (RIDDOR). This list is not exhaustive.
[1]According to Martin et al ‘there is an extensive body of legislation that regulates and controls the management of personal data and information. HR records have to satisfy a number of legal principles’.
2) To provide information to support the organisation in its decision making – By keeping employee records the above mentioned organisation can support the organisation in its decision making in various ways. For example as this organisation tends to employ a significant number of students during the holiday period they would be able to look at records from previous years and perhaps re-employ students who had a good previous record in
Activity 1
Reasons why organisations need to collect HR Data.
It is important for organisations to collect and retain HR data as this will be key for strategic and HR planning. It will also help to have all the information necessary to make informed decisions, for the formulation and implementation of employment policies and procedures, to monitor fair and consistent treatment of staff, to contribute to National Statistics and to comply with statutory requirements.
The key organisational reason for collecting information is to meet legislative and regulatory requirements. Organisations need to demonstrate compliance with the following:
Minimum wageWorking timeTime off for trainingEqualityHealth and Safety
Organisations need to keep accurate records of their employees in order to be able to use this information for planning ahead for the business. Also accurate records of employees are kept in order to help the organisation make precise decisions whenever queries arise in relation to each employee on a case by case basis. Organisations need to collect data in order to comply with regulations such as minimum wage, working time directive and health and safety.
It is also important to keep and track training and performance records on employees to enable management to assess productivity and performance, to help the employee develop with personal development plans, and to help them work to their full potential.
It is also useful to keep and maintain records is for Tax purposes, National Insurance and Pension related information.
It is a legal requirement for organisations to retain data. They need this to be able to make accurate tax returns to the government then the organisation will need to store certain data for each employee. Also for payroll purposes, personal details of employees need to be kept. Other reasons organisations keep data is to make it available to employees, such as information like the organisation structure
It’s vital to keep your Human Resources department running smoothly, yet the documents, files and information associated with each employee can be staggering - and the filing, organization and storage requirements to manage all of this information almost unbearable.
The solution to this dilemma is our Human Resource Document Management (HRDM) software. It lets you store, track and retrieve every detail and document associated with your employees –past, present and future. The advanced SQL design, using our own WinOcular object management engine, makes it the perfect complement to your existing HRMS thus ensuring a comprehensive and seamless fit with your existing information systems. Stand-alone, or integrated, HRDM is the leading tool for organizing and maintaining documents related to your employees.
How it works:
WinOcular consolidates all different types of information into electronic form and then allows for fast, multi-user retrieval. The easy-to-use queries take the effort out finding the information later on. Whether the item of information is an image of an application form or a computer printout from the employee profit-sharing statement, all of this information is organized, managed and archived with the Human Resources Document Management system.
Records for each employee include their name, social security number, department, hire date, termination date and employment status.
You organize your documents into unique Folders. Example folders include: Resumes, Medical records, Licenses and Certifications, Performance appraisals, Drug tests, Insurance, etc. You may create as many folders as appropriate for your needs.
Quick Benefits:
All Human Resource records are integrated into one database Multi-user access Clerical time required to scan and index items is less than half of that required to
manually file and retrieve folders of information Eliminates the burden of paper storage Simplifies Searching for Documents Folders cannot be misfiled or lost Guards against misfiled, misplaced or lost documents Documents secured by document sensitivity and user access levels Designed for Image Archiving technology: DVD, CD-ROM and Network Access
Storage
HRDM gives you control over the Document Management process by providing these primary functions
Data Organization –Locate your Objects (images, scanned documents, .doc files, etc) in unique folders
High-volume scanning tools – Designed for ease of use with automated data capture and batch functionality
Attachments –Link files and documents to employee documents
Image Annotation –highlight or redact areas of each document
Workflow Routing –Distribute files to others and log each step of the process
Fast-Find and Search tools – The innovative Query-maker makes it easy for even computer novices to create, save and re-use advanced SQL searches
Security – Ensure privacy with enhanced user access levels and document sensitivity profiles
Combined Computer Resources, Inc. has applied years of experience to develop a Human Resources Document Management solution that works the way you need it to work. Every stage of the process has been streamlined to reduce effort and maximize your time.
Our client services team will help you plan the implementation, offer suggestions wherever appropriate and work to ensure that you get the results you expect from a premium product.
The HR details:
Organizing your files, scanned documents and other employee information:
HRDM allows you to build folders to organize all of your data objects (Images, documents, etc). These are completely user-definable –but might typically include the following:
Medical Files
Insurance
Performance evaluations
Correspondence
Training
Certificates, Transcripts & Diplomas
Resumes
Military records
As many, or as few, as you need, you can add more at any time!
Scanning Optimizations:
Combined Computer Resources, Inc. recognizes that the less work it requires to enter and update scanned images, the more effective your system will be. To this end, we have overcome the major challenges associated with high-volume scanning with the following four innovations:
Optimized OCR windows
Batch optimizations for automatic indexing by document type, category type and scan date
On-screen view and data update
Multiple-image select and define
The OCR functions allow you to capture specific windows of data and then automatically process the pages based on that info, the Batch optimizations let you run high-volumes of pages through the scanner and have pre-set information assigned to each document. The on-screen viewing tools let you see the scanned document and manually enter additional information –never forcing you to refer to the original document. Finally, the Multi-image select tools let you view thumbnails of the documents, select any number of them and then assign similar information –all with the click of a mouse. AttachmentsEach Object (Images, scanned documents, files, etc) can have additional information attached to them. Thus, when looking up records, you’ll find not only the employee information based on your query, you’ll also find all the additional objects that have been attached to them. In other words, an image of an employee's evaluation may have a word processing document attached to it with information for future reference. Image AnnotationHRDM lets you add approval stamps, highlight sections of a document with yellow notes fields, or redact areas of images by hiding them with black or white boxes. These
annotations ensure that important sections receive the attention they need while private information is securely blocked from unauthorized viewers. All annotations include public and private access flags to manage the secured viewing rights. DistributionYou can route objects to individual users or a distribution list of users for further action. HRDM automatically logs every event with a time and date-stamp, ensuring an accurate tracking and event history. When users receive the object, they can view, annotate or revise the object as necessary–with the distribution manager function logging every activity. This user-initiated workflow provides an effective way to track and review progress on projects and assignments. Fast Find and SearchRecognizing that school administrators and Principals are busy people who need information quickly and with a minimum of hassle, CCR, Inc. has developed an advanced, yet easy-to-use SQL query tool. Advanced searches are as easy as point-and-click. In just a few moments, you can find every type of information for any employee –and all the files, images, documents and data that are linked to their record. The relational database makes mining the data easy, and will save you time and effort. Additionally, users can save their searches publicly for others to use, or as private tools for themselves. They can even store the results of a search, publicly or privately, and refer back to that information at any time. SecurityMultiple levels of security protect sensitive documents and files from unauthorized viewers. Each user has a security access level and each document has a sensitivity level. Depending upon the access level of the user, they will see only the list of documents that is appropriate for their security access level. Your system administrator controls all user names, passwords, security access levels and document sensitivity levels.
Technical Features:
Variable user defined index fields by subject type Field validation for critical index fields User defined Subject & Document types Powerful queries using index fields in conjunction with Word-In-Text searching Save queries for use at a later time Compatible with ALL Image, file and document formats including word processing
& text formats Microsoft Windows® NT, 2000 and XP operating environments SQL compliant database High Speed Image printing Document archival to File Server, Tape, CD-ROM, DVD-ROM, DVD-RAM or other
How to Give an Effective Presentation for Turnover Reporting
Every state-of-the-company address should include a presentation about employee turnover. Turnover presentations generally are done by a human resources leader or someone with human resources expertise. However, equally important as the actual number of employees who leave the organization is an assessment of why turnover occurs and ways to reduce turnover and increase retention. An effective presentation provides facts, figures, analyses and solutions.
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Step 1
Assemble your turnover data and information and organize the data according to month, department or job role. Construct a multimedia presentation and distribute copies of your spreadsheets and other visuals to meeting participants so they can follow your presentation and
have a take-away from the presentation. The information you present during your presentation may be helpful to department leaders who want something tangible they can refer to when making job assignments, as well as staffing and employment decisions.
Step 2
Calculate monthly, quarterly and annualized turnover. Explain how annualized turnover can be astonishing at first glance for some employers; however, when you look at monthly or quarterly figures, it puts the annualized rate into perspective. For example, if your organization has 20 percent turnover in January, at that point, the projected annualized turnover is also 20 percent because you have just one month's figures. However, if your turnover rates for the first three months of the year are 20 percent, 5 percent and 3 percent, respectively, your annualized turnover drops to 9.33 percent (add 20, plus 5, plus 3, and divide by 3, which equals 9.33). This is the result of significantly lower turnover rates in the second and third months of the quarter, which affect the annual turnover rate. This quarterly turnover rate is a lot easier to digest than a projected annualized turnover rate of 20 percent.
Related Reading: How to Expand on Reasons for High Turnover Rates
Step 3
Prepare analyses of your turnover according to department, position and business sector. Doing so enables meeting participants to recognize patterns that may exist along departmental lines or within leadership roles. A red flag for many human resources practitioners is supervisors and managers whose departments routinely experience high turnover rates in comparison with other departments or company leaders. Some companies even hold employees in leadership roles accountable for improving employee retention rates in the areas they supervise. High turnover in specific departments, month after month, can be an indicator of ineffective leadership.
Step 4
Compare your organization with industry competitors, businesses with similar characteristics or to employment trends in your area. Giving your meeting participants a glimpse of what turnover is like for other companies puts into perspective where your organization ranks. For example, the food and beverage industry typically is known for its high turnover rates. Therefore, if you have data that illustrate a turnover rate that's lower than the industry average, your company must be doing something right to retain its workforce.
Step 5
Show what turnover costs your organization. Cost-to-hire estimates are particularly relevant in presentations on company turnover. For many employers, turnover is an enormous expense. Companies that don't really appreciate the value of programs designed to retain employees see the expense of those programs in a new light when they realize how much it costs to replace employees. Whenever possible, substantiate your presentation with quantitative data.
Step 6
Discuss solutions to employee turnover. Based on your analysis, devote part of your presentation to discussing how the company can reduce high turnover or what the company is doing to maintain low turnover. Reporting numbers is fine; however, providing solutions makes for a more effective presentation. For presentations to small groups, encourage open dialogue about the company's turnover rate. If your presentation is for a large audience, construct a list of questions you anticipate and give the list of questions and answers to meeting participants. Assign a human resources staff member to field questions that participants may have later.