Record Keeping and Documentation

Article supplied by HR Business Assist

Record keeping and documentation are important aspects of effective people management.  While maintaining records can sometimes be time consuming, appropriate documentation may assist employers in clearly communicating expectations, recording decisions, demonstrating compliance with workplace obligations and maintaining consistency across employment relationships.  Good documentation can also assist in reducing misunderstandings by providing a clear record of what was discussed, agreed to and implemented.

Recruitment Documentation

The recruitment process is the first stage of an employment.  Maintaining records throughout recruitment can assist an employer in demonstrating that decisions were made based on business requirements and selection criteria.  Documentation throughout the recruitment process may include but not limited to:

·            Position descriptions;

·            Job advertisements;

·            Applications, resumes and cover letters;

·            Interview notes;

·            Reference check notes;

·            Qualification verification records;

·            Working rights checks;

·            Criminal history or police check records (where applicable);

·            Licence and registration verification records;

·            Medical or pre-employment assessment records (where applicable); and

·            Correspondence with applicants.

Interview notes are particularly important as they may assist employers in documenting responses provided by candidates and recording how applicants were assessed against the requirements of the role.  Similarly, maintaining records of reference checks and pre-employment checks can assist in demonstrating that reasonable steps were undertaken to assess a candidate's suitability.  Additionally, maintaining detailed recruitment documentation may also assist in demonstrating a fair and transparent recruitment process.  

Employment Contracts and Contractor Agreements

Employment contracts are one of the most important documents in the employment relationship as they establish the agreed terms and conditions of employment.  Employment contracts may outline factors including but not limited to:

·            Commencement dates;

·            Employment status;

·            Position title and duties;

·            Hours of work;

·            Remuneration;

·            Leave entitlements;

·            Notice requirements;

·            Confidentiality obligations; and

·            Other employment related terms and conditions.

Providing employees with an employment contract prior to commencement assists in clearly outlining the expectations of both parties and establishing an understanding of the employment relationship.

Additionally, maintaining appropriate documentation with contractors is also important.  Appropriate agreements can help establish clear expectations and reduce uncertainty regarding the working arrangement.

Performance Documentation

Maintaining documentation relating to employee performance can assist in providing a clear history of discussions, achievements and concerns throughout employment.  Performance related records may include but are not limited to:

·            Performance review documentation;

·            Notes from one-on-one meetings;

·            Goal setting and development plans;

·            Records of coaching or mentoring;

·            Training completed; and

·            Follow-up action plans.

Maintaining records of performance discussions may assist employers in demonstrating that concerns were communicated, support was provided and employees were given an opportunity to respond or improve where required.

Training Documentation

Training records form an important part of an employer's documentation framework.  Maintaining records of training may assist in demonstrating that employees have been appropriately instructed and provided with opportunities to develop their skills.  Examples of training documentation may include but are not limited to:

·            Induction records;

·            Workplace health and safety training records;

·            First aid training certificates;

·            Sales training records;

·            Management and leadership training records;

·            Policy acknowledgement forms; and

·            Professional development records.

Training documentation may assist in verifying attendance, tracking qualifications and identifying future learning and development opportunities for employees.

Leave Documentation

Documenting employee leave assists in maintaining accurate employment records and ensuring employee entitlements are appropriately managed.  Leave related records may include but are not limited to:

·            Leave applications;

·            Leave approvals;

·            Leave type being taken;

·            Leave commencement and return dates;

·            Supporting documentation where required;

·            Leave balances utilised; and

·            Remaining leave balances.

Where employees accrue and utilise time off in lieu (TOIL), maintaining clear records of accrual and usage may also assist in ensuring accurate entitlement management.

Variation Documentation

Documentation should also be maintained where employment arrangements change during employment.  Examples may include but are not limited to:

·            Changes to remuneration;

·            Changes to position titles;

·            Updated position descriptions;

·            Changes to employment status;

·            Variations to hours of work; and

·            Changes to reporting structures.

Maintaining clear records of variations ensures both parties understand the new arrangements and provides a record of when changes took effect.

Disciplinary Documentation

Documentation can be particularly important when managing employee relations matters.   Disciplinary related documentation may include but are not limited to:

·            Meeting notes;

·            Investigation records;

·            Show cause correspondence;

·            Employee responses;

·            Warning letters;

·            Performance improvement plans; and

·            Outcome letters.

Appropriate documentation may assist in demonstrating that concerns were addressed fairly, employees were provided an opportunity to respond and decisions were communicated clearly.

Resignation and Termination Documentation

Records are to be maintained when an employee resigns or employment is terminated.  These records may include but are not limited to:

·            Resignation letters;

·            Acceptance of resignation letters;

·            Termination correspondence;

·            Confirmation of employment end dates;

·            Notice periods;

·            Final pay; and

·            Exit documentation.

Maintaining accurate records at the end of employment may assist in ensuring obligations are met and reducing confusion regarding final employment arrangements.

General Documentation

Employers may also benefit from documenting routine workplace interactions and decisions including but not limited to:

·            Meeting notes;

·            Notes following important discussions;

·            Records of agreed actions;

·            Policy acknowledgements;

·            Workplace incidents;

·            Employee requests; and

·            Follow-up communications.

Documenting meetings and conversations can assist in confirming what was discussed, any actions that were agreed upon and assigned responsibilities.  Even where a conversation is informal, maintaining a brief record may be beneficial for future reference.  Documentation is to be be stored appropriately and maintained in an organised manner.  This may involve maintaining physical employee files, digital employee files or utilising a HRIS.   

While documentation can often feel tedious, it is one of the most valuable tools available to employers.  Appropriate documentation can assist in providing clarity, supporting compliance, demonstrating fairness and maintaining accurate employment records throughout the employee lifecycle.

If your business requires assistance developing documentation processes, implementing record keeping procedures or accessing templates, the team at HR Business Assist are happy to assist.

Contact HR Business Assist | P 1300 138 551 | E support@hrbusinessassist.com.au