INTRODUCTION In the social and human services field, an organization's workforce is its greatest asset. Since staff and volunteers perform the tasks and provide the services that fulfil the organization's mission, it is incumbent upon Human Resources Management to develop and implement strategies, plans, and programs necessary to attract, motivate, develop, reward, and retain the best people to meet the organization's goals and objectives. The significance of Human Resources Management is that the capacity to attract and retain a stable, qualified workforce is the foundation for achieving positive results for the people the organization serves. Human Resources Management also holds important implications for risk management. Sound, consistently applied human resources practices help reduce the risk of employment litigation and costs. Sound practices help protect another of the organization's most important assets: its reputation in the community. Interpretation: The term "workforce" covers full-time, contractual, and temporary employees as well as volunteers. The use of these terms is governed by the following guidelines: a. Direct service, clerical, professional, or management volunteers are considered to be part of an organization's personnel and will be included in the accreditation self-study; b. If the organization does not use volunteers in its management, direct service, or any other ongoing activity, standards that only refer to volunteers do not apply to the organization; and c. COA will not consider occasional or "casual" volunteers in its evaluation of an organization's compliance. For example, a volunteer who is present a few times to assist in addressing direct mail campaign envelopes or a similar activity has no ongoing role. In contrast, a volunteer custodian, cook, or secretary who works on a regularly scheduled basis has an ongoing role and will be considered in evaluating an organization's human resource practices. Note: Please see Volunteers, Interns, and Consultants: Applicability of COA Standards to Non-Employee Personnel - Private, Public, Canadian for additional assistance with this standard. Note: Please see CA-HR Reference List for a list of resources that informed the development of these standards. Table of Evidence Page 1
Self-Study Evidence - Describe how your organization manages its human resources: Does your organization have a separate HR department? If not is there a dedicated HR position, or is human resource management the responsibility of an individual with additional non-hr responsibilities? Does your organization outsource some of its human resources functions? If so which ones? - Describe any challenges that your organization may have faced with regard to recruiting and/or retaining qualified staff. Has your organization implemented any solutions that have proven effective (e.g., there is a shortage of MSW's in your area, or funding cuts have made it difficult to pay for direct service staff with advanced degrees for your foster care program...)? - Provide any additional information that would increase the Peer Team's understanding of how your organization's human resource practices contribute effectively and efficiently to consumer satisfaction and positive - A list of administrative and management personnel that includes: a. name; b. title; c. degree held and/or other credentials; d. FTE; e. length of service at the organization; and f. time in current position. Please organize the list by department - An organization chart that includes all the organization's departments or divisions and programs On-Site Evidence No On-Site Evidence On-Site Activities No On-Site Activities Page 2
(FOC) CA-HR 1: Work Environment The organization provides an equitable work environment that is supportive of organizational productivity, diversity, and stability. Table of Evidence Self-Study Evidence - A description of the process the organization uses to monitor labour laws to ensure that personnel practices comply - Discrimination policy - Harassment policy On-Site Evidence - Nepotism policy On-Site Activities - Interview: a. CEO b. HR Director c. Supervisory personnel d. Direct service personnel e. Persons served CA-HR 1.01 The organization does not unlawfully discriminate against any person or category of persons. Related: CA-RPM 1, CA-RPM 2.01 (FP) CA-HR 1.02 Policy prohibits personnel from engaging in any form of harassment, as defined by applicable legislation, regulations, and/or contracts. Related: CA-RPM 1, CA-RPM 2.01 Interpretation: Implementation of the standard requires appropriate training for staff and volunteers on the organization's harassment policy. The policy should normally allow personnel to bypass any person in the reporting Page 3
process who is also the alleged harasser. Types of harassment that are, or may be, prohibited by law include harassment on the basis of age, gender, sexual orientation, colour, race, creed, national origin, ancestry, religious and political persuasion, marital status, political belief, physical or mental disability, pregnancy, or retaliation. CA-HR 1.03 Organizational policy: a. prohibits preferential treatment; and b. addresses nepotism with regard to hiring, supervision, and promotion. Related: CA-ETH 2 Interpretation: This standard permits the hiring of relatives, provided that relatives are qualified and do not work within the same hierarchy of supervision. For example, implementation of this standard may be demonstrated through a supervisory structure where a third party, such as an advisory group member or consultant assumes responsibility for the day-to-day supervision of a related staff member's work. Interpretation: The policy includes a neutral mechanism to interpret and review any nepotism allegations. Page 4
(FOC) CA-HR 2: Human Resources Planning The organization assesses the type and number of personnel needed to accomplish its mission, goals, objectives, and desired outcomes. Interpretation: Human resources planning should occur in conjunction with strategic planning (CA-GOV 6), budget development (CA-FIN 5), and training and professional development (CA-TS 1 and CA-TS 2). Note: Please see Workforce Assessment and Planning Tip Sheet - Private, Public, Canadian, Network for additional assistance with this standard. Table of Evidence Self-Study Evidence No Self-Study Evidence On-Site Evidence - Assessment of workforce needs - Analysis of workforce composition - EEO plan (as necessary) - Documentation of actions taken On-Site Activities - Interview: a. CEO b. HR Director c. Supervisory personnel CA-HR 2.01 The organization assesses its workforce as part of annual planning and prepares for future needs by: a. comparing the composition of its current workforce, including number of staff, volunteers, skills, and demographics, with projected workforce needs; and b. determining how to close gaps when possible, through recruiting, training or outsourcing. Related: CA-GOV 7.03 Page 5
CA-HR 2.02 The organization analyzes employment patterns, and when the diversity characteristics of personnel do not generally reflect those of its defined service population, the organization is committed to developing and implementing a plan that: a. establishes goals for recruitment, training, and promotion; and b. includes timetables for correction. Interpretation: All organizations are expected to analyze employment patterns. If the analysis indicates that the organization's employment patterns are not reflective of the community, the organization needs to develop a plan that includes the elements in the standard. Note: Please enter demographic information on the organization's personnel on the Community Demographic Profile. Page 6
(FOC) CA-HR 3: Recruitment, Selection, and Deployment The organization recruits enough qualified personnel to meet the demand for services. Related: CA-MS 2.02 Table of Evidence Self-Study Evidence - Recruitment and selection policies/ procedures (CA-HR 3.04) - Policy and procedures regarding background checks On-Site Evidence - Job descriptions (CEO, CFO, Directors and sample of direct service personnel) - Personnel records - Relevant portion of governing body minutes - Copies of attorney, administrative agency or court opinions that indicate the organization's recruitment practices comply with applicable laws and regulations with regard to protected characteristics - Policy and procedures describing the use of volunteers On-Site Activities - Interview: a. CEO b. HR Director c. Supervisory personnel d. Students, as applicable e. Direct service personnel f. Volunteers g. Personnel responsible for recruitment and supervision of volunteers CA-HR 3.01 Job descriptions and selection criteria: a. state the qualifications, job expectations, accountability, essential functions, and responsibilities for each position or group of like positions; b. include sensitivity to the service population's cultural and socioeconomic Page 7
characteristics; and c. are reviewed and updated regularly. CA-HR 3.02 Recruitment and selection procedures include: a. notifying personnel of available positions; b. verifying references and credentials of personnel and independent contractors; c. providing candidates selected for interviews with a written job description; d. giving successful candidates the opportunity to speak with currently-employed staff whenever possible; e. retaining hiring records in accordance with legal, regulatory, and/or contractual requirements; and f. using standard interview questions that comply with employment and labour laws. Related: CA-TS 1.03, CA-MS 4.01 Interpretation: Credentials include education, training, relevant experience, competence in required role, references of former employers, and professional and/or provincial/territorial registration, licensing, or certification for the respective disciplines, if any. The retention of hiring records, which can include postings or other advertisements, applications, and interview notes, shows consistency in recruitment and hiring decisions. (FP) CA-HR 3.03 Screening procedures include appropriate, legally permissible, and mandated criminal record and child abuse registry reviews for new staff, consultants, independent contractors, volunteers, and student interns who will: a. work in residential programs; b. provide direct services to, or be alone with, children, the elderly, or other persons who are vulnerable or at risk; or c. work with sensitive or confidential information such as personnel files and case records. Related: CA-MS 4.01, CA-SVE 12.07, CA-YD 16.06 Page 8
Interpretation: The organization should not use criminal records and child abuse registry to deny employment to qualified individuals unless the nature of the conviction is related to the job duties. The organization should consult with legal counsel about any concerns regarding the appropriate use of background information. Interpretation: Due to the nature of services provided credit counselling organizations are required to conduct criminal history record checks on all staff and volunteers. The child abuse and registry checks are not applicable. Note: For more information, please see Volunteers, Interns, and Consultants: Applicability of COA Standards to Non-Employee Personnel - Private, Public, Canadian. CA-HR 3.04 An organization that recruits and selects personnel with specific cultural traits or other characteristics establishes that such selectivity is: a. legally permissible; b. reviewed and approved by the organization's governing body, as applicable; and c. appropriately considered a bona fide occupational requirement. Interpretation: When recruitment and hiring criteria include consideration of specific protected characteristics, such as gender, religion, and ethnic origin, the organization should seek legal advice as to whether these characteristics are bona fide occupational requirements that are critical to the organization's normal operation. In addition, an organization under religious auspices should seek legal advice to confirm that it may require staff and volunteers to belong to a specific religious affiliation if knowledge of and commitment to the values of the religious tradition are necessary to accomplish the activities of the organization. NA The organization does not recruit and select personnel with specific cultural traits or other characteristics. CA-HR 3.05 Organizations that deploy volunteers to provide direct services specify their roles, responsibilities, and accountability. Related: CA-RPM 2.01, CA-TS 3.05, CA-HR 5 Page 9
NA The organization does not use volunteers to provide direct services. Page 10
(FOC) CA-HR 4: Satisfaction and Retention The organization promotes a high level of personnel satisfaction and retention. Interpretation: The organization can consider factors that have been associated with staff and volunteers satisfaction and retention, including: role clarity, recognition of staff and volunteer contributions, satisfaction with salary and benefits, reasonable workload, autonomy, opportunities for advancement, and career development. The organization should also take the opportunity to retain high performing staff and volunteers by providing support, opportunities, and resources to prepare personnel within the organization to assume leadership roles. Note: Please see Staff Turnover Rate Worksheet - Private, Public, Canadian for additional assistance with this standard. Table of Evidence Self-Study Evidence - Personnel grievance procedures - Aggregated personnel satisfaction and retention information On-Site Evidence - Meeting minutes and/or schedules - Methods/protocols employed by the organization to obtain personnel participation/input and for providing feedback to personnel about their recommendations/ suggestions - Grievance reports - Relevant minutes related to retention rates and improvement action, if necessary On-Site Activities - Interview: a. CEO b. Governing Body c. HR Director d. Personnel at all levels CA-HR 4.01 The organization promotes open communication and collaboration among Page 11
disciplines and personnel by: a. holding regular team, divisional, and organizational meetings, as appropriate to the organization; and b. providing feedback to personnel about their suggestions and recommendations. Related: CA-FPS 11.08, CA-YD 17.10 CA-HR 4.02 The organization encourages initiative, creativity, and innovation and rewards and recognizes the contributions of personnel. Related: CA-TS 1.02, CA-CCI 8.02 CA-HR 4.03 The organization annually establishes personnel satisfaction and retention goals and measures: a. rate of personnel turnover; and b. personnel satisfaction. Related: CA-YD 17.07 CA-HR 4.04 The organization takes action to address identified personnel satisfaction and retention concerns. Interpretation: The organization can be alert to Work/Life policies and practices that have been shown to increase staff and volunteer productivity, job satisfaction, and retention, including: flexible work options and personal and family support. CA-HR 4.05 The organization establishes personnel grievance procedures which include: a. the right to file a grievance without interference or retaliation; Page 12
b. a description of how grievances are filed, to whom, and who will make a final determination; c. written notification of the resolution within a specified timeframe and an explanation of any further appeal, rights, or recourse; d. processes for review, including a third-party review of the final determination; e. documenting responses and actions taken within the prescribed timeframe; and f. maintaining a copy of the notification of resolution in the personnel record. Related: CA-YD 17.07 Interpretation: Regarding element (d), the third-party review refers to at least one level of review that does not involve the person about whom the complaint has been made or the person who reached the decision under review. If a grievance is raised against the CEO, then the grievance will go directly to the governing body. Interpretation: The organization needs to determine the timelines for handling grievances. Page 13
(FOC) CA-HR 5: Human Resource Practices Human resource practices are equitable, consistently applied, and in compliance with applicable legal, regulatory, and/or contractual requirements. Related: CA-HR 3.05 Table of Evidence Self-Study Evidence - Table of Contents for Personnel Manual - Procedures for conducting an annual audit of human resource practices On-Site Evidence - Reports from the most recent HR audit including documentation of corrective action, as needed - Personnel Manual - Personnel records - Review and analysis reports of compensation/benefits On-Site Activities - Interview: a. CEO b. Governing Body regarding CEO c. HR Director d. Supervisory personnel e. Personnel at all levels (FP) CA-HR 5.01 The organization conducts an annual audit of its human resource practices that ensures: a. compliance with applicable legal, regulatory, and/or contractual requirements; and b. human resource practices support achievement of the organization's mission and strategic goals. Related: CA-RPM 1, CA-RPM 2.01 Interpretation: Organizations must be prepared to justify how the audit Page 14
process ensures compliance with applicable legal, regulatory, and/or contractual requirements. This should include consultation with third-party human resource professionals such as attorneys, human resource vendors, and professional associations, as needed given the organization's internal expertise. Interpretation: Applicable legal, regulatory, and/or contractual requirements include, but are not limited to, those governing fair employment practices, use of contingent workers, compensation and benefits, maintenance of personnel records, retention of hiring records, background checks, and collective bargaining. The major federal laws in Canada that govern employer-employee relations include, but are not limited to: all chapters of the Canada Labour Code, the Fair Wages and Hours Labour Act, the Canadian Human Rights Act, the Employment Equity Act, the Employment Insurance Act, and implementing regulations for all of these statutes. Typically, provincial, territorial, or municipal law or regulation, when more stringent, supersedes federal regulation. Organizations are expected to review and monitor their compliance with laws and regulations of the three levels of government (federal, provincial/territorial and municipal). Research Note: Evidence suggests that employment related complaints, charges, and lawsuits are on the rise, making human resource practices a significant source of liability risk for organizations. Small and mid-sized organizations are increasingly seeking out third-party professionals such as attorneys, human resource vendors, and professional associations as a matter of best practice to ensure their compliance with applicable laws and regulations. Note: See CA-HR 5.04 for more information on reviewing the organization's use of contingent workers, including independent contractors, leased workers, volunteers, and temporary employees. CA-HR 5.02 All staff receive, and confirm in writing, receipt of an up-to-date employee policies and procedures manual that articulates current: a. conditions of employment; b. benefits; c. rights and responsibilities of employees; and d. other important employment-related information. Related: CA-ETH 2, CA-TS 2.01, CA-ETH 4, CA-ETH 5 Page 15
Interpretation: Policies and procedures can be written or electronic and address: a. conditions of employment, including employee benefits, leaves of absence, including layoffs and termination of employment; b. emergency and safety procedures; c. employment equity policies; d. nepotism and favouritism protections; e. grievance procedures; f. insurance protections; g. performance appraisal system; h. promotions; i. professional development; j. standards of conduct; k. wage policy; and l. working conditions. CA-HR 5.03 Total compensation and benefits are reviewed regularly in relation to industry practices. Related: CA-GOV 6.05 Interpretation: Total compensation and benefits are reviewed on a regular basis but no less than once every three to four years. CA-HR 5.04 To ensure compliance with legal, regulatory, and/or contractual requirements, the organization annually reviews its use of contingent workers, including independent contractors, volunteers, contractual, temporary, and relief workers, with respect to legal, regulatory, and/or contractual requirements. Related: CA-RPM 1, CA-RPM 2 NA The organization does not use contingent workers, including independent contractors, volunteers, contractual, temporary, and relief workers. Page 16
CA-HR 6: Performance Review The organization holds both supervisors and supervised personnel accountable for performance and facilitates open, two-way communication as a means to encourage performance improvement. Related: CA-TS 3.03, CA-TS 3.05 Table of Evidence Self-Study Evidence - Performance review forms/templates or description of ongoing review process On-Site Evidence - Personnel records - Performance review procedures - Contract policy and procedures - Contracts On-Site Activities - Interview: a. HR Director b. Supervisory personnel c. Direct service personnel d. Personnel at various levels e. Independent contractors CA-HR 6.01 The organization has a process for providing every full-time and part-time staff and volunteer with an ongoing performance review at regular intervals that involves the staff or volunteer and the supervisor. Related: CA-RPM 2.01, CA-TS 3.03 Interpretation: Performance reviews should be conducted in-person where possible. Casual volunteers do not need to participate in the organization's performance review process. Interpretation: When determining the timelines for the performance review, the organization may consider the qualifications and experience of the worker and the supervisor, and the complexity and intensity of the Page 17
service. Timelines should be communicated to staff and clearly stated in the organization's policies, procedures, and/or employee manual. CA-HR 6.02 The performance review process assesses job performance, recognizes accomplishments, provides constructive feedback, and emphasises self-development and professional growth, in relation to: a. specific expectations defined in the job description; b. organization-wide expectations for personnel; c. objectives established in the most recent review, accomplishments and workload challenges since the last review period, and objectives for future performance; d. professional development objectives; e. recommendations for further training, skill building, and other resources that may contribute to improved job performance; and f. knowledge and competence related to the characteristics and needs of service recipients, if applicable. Related: CA-TS 2, CA-TS 3.03 Research Note: Best practice suggests that adding narratives to the review is more effective in capturing job performance than numerical ratings alone. CA-HR 6.03 The organization promotes a work environment that supports active participation by personnel in the performance review process. Interpretation: All personnel should have the opportunity to sign, obtain a copy of, and provide comments on all written performance reviews. CA-HR 6.04 The organization monitors the quality of services provided by independent contractors. Interpretation: Mechanisms used to monitor quality may include quarterly quality improvement review, evaluation of services, or another assessment performed by a third party. NA Services are not provided by independent contractors. Page 18
CA-HR 7: Personnel Records The organization maintains personnel records. Related: CA-RPM 5, CA-RPM 5.01, CA-RPM 6, CA-MS 8.01 Interpretation: The organization is not required to maintain personnel records for short-term or episodic volunteers who support the organization through administrative, clerical, fundraising, or other functions. Note: Please see Personnel Records Checklist - Canadian and Employee Records Tip Sheet - Canadian for additional assistance with this standard. Table of Evidence Self-Study Evidence No Self-Study Evidence On-Site Evidence - Personnel records - Procedures regarding access to personnel records On-Site Activities - Interview: a. HR Director b. Supervisory personnel c. Personnel at all levels CA-HR 7.01 Personnel records are updated regularly, and contain: a. identifying information and emergency contacts; b. application for employment, hiring documents including job postings and interview notes, and reference verification; c. job description; d. compensation documentation, as appropriate; e. pre-service and in-service training records; and f. 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. The organization complies with this standard as long as all required information is maintained systematically Page 19
and in a manner that complies with legal, regulatory, and/or contractual requirements regarding the required contents of personnel files and confidentiality. In addition, EAP, health records, 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. CA-HR 7.02 Personnel records contain health information or reports for annual physical examinations, appropriate to the job position or when required by law, regulations, and/or contracts. NA The organization does not employ persons in positions where health information or physical examinations are appropriate or required by law, regulations, and/or contracts. CA-HR 7.03 Access to personnel records is limited to authorized personnel on a need-to-know basis. CA-HR 7.04 Personnel may review, add, and correct information contained in their records, in accordance with applicable law, regulations, and/or contracts. CA-HR 7.05 Program personnel who leave the organization voluntarily have the opportunity to participate in an exit interview. Interpretation: This interview enables personnel to address administrative issues related to the transition, as well as to provide feedback on the organization's strengths and weaknesses. Page 20