Higher Education: Everything You Need to Know About Workforce Management
Chapter 4: Secure Your Files with a Document Management Solution
Many universities and colleges are still storing hard copies of extremely sensitive faculty and staff documents. Others may store digital files in a third-party system or, worse, on an individual’s computer. These standard document management solutions are neither secure, nor are they generally well organized.
Not having an electronic document management solution can lead to costly errors uncovered during an audit or legal action.
This situation offers the perfect illustration of how a higher ed institution can benefit from a document management solution that allows people in the organization to upload and store faculty- and staff-related documents. Whether it’s performance reviews, direct deposit information, I-9’s, FMLA records or other important staff records, storing them in a central, secure location is essential.
Without a document management system, it’s easy for managers to become overwhelmed by keeping track of staff-related documents and paperwork. That’s when documentation is lost or hard to find, which creates serious issues if audits occur. When a documentation process and system are in place, organizations save time, money, and stress.
The Importance of Document Management
There are several risks for HR and Payroll departments if the organization doesn’t maintain faculty- and staff-related files in a secure location that provides easily accessible digital files.
In terms of operations, there are issues related to space and document retention when organizations use paper files or disorganized digital methods to store faculty- and staff-related files. Whether it’s the space for multiple filing cabinets, offsite storage, or maxed out hard drives, copies of staff files consume a lot of space. These file storage issues only grow as your workforce changes, and the number of current and former faculty and staff files increases.
In terms of data security, if you’re using paper documents or unencrypted files, you’re at risk of a confidential data breach. Faculty- and staff-related documents contain highly sensitive information, including bank accounts, social security numbers and performance management details.
Some institutions opt to store staff documents in a third-party system offsite. While this may solve the security issues, it has negative impacts on syncing systems and having immediate access to records in the same system where your workforce management tools and processes already exist.
Easy access to documents during an audit
While having integrated document management is key for smooth operations and record retention, having documents readily available in the event of an audit is essential to avoid stress, legal issues and costly fines. An audit can happen at any time, and colleges and universities are expected to have certain documents organized and readily available for all employees.
Federal agencies typically don’t provide much advance notice of an audit; the amount of time administration must gather documentation depends on the auditor. For an institution without a document management system in place, an auditor’s arrival creates stress and panic as teams scramble to locate required records, data and forms. Three common faculty- and staff-related audits that organizations encounter include:
FMLA audit: The Department of Labor (DOL) can audit institutions at any time; often, the reason for an audit is due to an worker complaint. The DOL’s Wage and Hour Division has consistently received more than 1,000 Family Medical Leave Act (FMLA) complaints per year for decades. As part of the audit, the DOL will review the FMLA process step-by-step and request to see all relevant forms and documentation.
I-9 audit: The Department of Homeland Security conducts these audits to confirm staff members’ eligibility to work in the United States. As part of this process, hiring practices are reviewed, and verification is required for all staff members. If Forms I-9 are incomplete or missing, employers can be fined between $100 and $1,000 for each failure .
Wage and hour audit: The focus of these investigations by the DOL is anything related to pay and covered by the Fair Labor Standards Act (FLSA). For example, they may be auditing overtime pay compliance, exempt vs. nonexempt classification or minimum wage compliance. In addition to interviewing staff, the DOL will request records and documents for their review. The maximum penalty for violations of the FLSA’s minimum wage and overtime provisions is $2,014, assessed on a per-employee basis.
In addition to investigating based on staff complaints, SHRM reports that the DOL “has also targeted employers in low-wage industries for wage and hour violations, particularly in the areas of agriculture, daycare, food service, garment manufacturing, guard services, healthcare, hotels and motels, janitorial services and temporary help.”
Storage space, record retention, security and audits are all impacted when organizations don’t have an integrated document management system in place for their faculty- and staff-related files. Be sure you’re keeping the files you need and that you’re storing them according to legal guidelines. Before the costs and time spent on these issues quickly spiral out of control, administrators and HR leaders must examine how an integrated platform can help protect their organization.
The Benefits of Integrated Document Management
From a practical standpoint, many institutions have already found that moving to electronic staff file management is beneficial. A system can be maintained effectively and efficiently when a plan is in place for implementation, monitoring and retention. Accessibility, data security and consolidation are three of the primary benefits of integrating document management with your workforce management solutions.
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Rather than sifting through a stack of file folders, when documents are stored electronically, you can use categories and tags for easy sorting within the system. Attaching these to each employee profile makes it easy to locate any file you need quickly. If you experience an FMLA audit, for example, you could pull all records related to FMLA. This type of access makes an internal or external audit much more efficient and less stressful.
Even if a staff member has the administrative rights to access sensitive employee information doesn’t mean they need access to all data about that employee. For example, payroll employees don’t need access to staff performance reviews. Managers don’t need access to direct deposit info or W-4 info. With a secure, organized solution, you can control access to documents by role or other factors.
When faculty and staff document management is part of your workforce management platform, you don’t have to bother with switching systems or pushing data sync before accessing a file. The most current information you need exists within the same system. Management can access documents directly within their workforce management solution, making the data readily accessible for all departments.
Maintaining documents within the existing workforce management solution saves money by consolidating systems and minimizes time wasted on administrative work. As part of a cloud-based solution, your HR and Payroll teams will also have access to necessary files regardless of their location.
In addition to the benefits of digital document management, there are important legal considerations to keep in mind. As with any new technology,colleges and universities should consult with legal counsel regarding any requirements.
There are a variety of document management options in the marketplace. As you consider adding this beneficial tool to your workforce management processes, it’s crucial to work with a provider that understands your business and offers a tool that meets your needs.
A Vital Addition to the Workforce Management Toolbox
As part of our experience delivering industry-leading workforce management solutions and payroll integrations for clients, we witnessed first-hand the struggle colleges and universities face when they don’t have an efficient document management system for their faculty and staff records. Our customer service team received many calls from clients who faced audits but didn’t have easily accessible digital copies of their most essential employee records.
We’re committed to providing clients with the tools they need to be successful, which is why our growing workforce management portfolio now features streamlined, secure document storage that benefits your entire institution.
TCP allows you to store and manage documents in a way that’s designed for the sensitive nature of confidential HR-related documents. Our approach is built on customizable categories, streamlined FMLA uploads and extensive permission configurations.
Customizable categories
Customizable categories can be as specific or generic as an institution deems necessary. It’s possible to configure it to simple categories such as HR or Payroll, or you can make it more complex based on your needs. For example, you might choose to establish categories by document type, such as performance reviews, audits or leave requests. Everything is customizable based on your needs and set-up, so you don’t have to worry about modifying your processes and policies to meet the system’s requirements.
Streamlined FMLA uploads
Streamlined FMLA uploads enable institutions to upload all necessary FMLA files to both the worker’s profile and FMLA cases. With three to ten documents required per FMLA request, this can save considerable time. Uploading directly onto the faculty or staff member’s profile allows you to store and track workforce-specific documentation where that staff member’s information already exists. Uploading to an FMLA case ensures that all the necessary materials for an FMLA case are located in one place. This is useful for auditing purposes and ensuring that all the required documentation is successfully filled out and tracked. Regardless of the need, with streamlined uploads FMLA information is easy to find and accessible in both locations. If you experience an audit, this easy access will be of great importance to locate files that may help you avoid fines.
Streamlined FMLA uploads ensure all the necessary files for an FMLA case
are located in one place.
Extensive user permissions
Extensive user permissions allow institutions to configure a hierarchy when it comes to managing faculty and staff documents. You can restrict permissions so managers may only view document categories relevant to them, and you can even grant access regarding viewing, uploading, downloading, or deleting documents. This ensures that document integrity is secure. Additionally, TCP’s solution offers SOC-2 compliance to ensure the data is secure and encrypted.
An integrated workforce management solution can offer standardized, centralized document management and storage capabilities that make it easy to find what you need when you need it. Adding document management capabilities to your existing workforce management platform provides an even more powerful and holistic solution for your institution.
Removing the Document Management Dilemma
Instead of drama and dilemmas related to staff documents, organizations can save time, money, and stress with the right platform in place. TCP believes that Document Management is a crucial part of workforce management. It’s the third pillar in our robust platform, which includes Scheduling, Absence/ Leave Management, Document Management, Labor Tracking/Costing, and Mobile.
Document Management is a new feature in TCP’s TimeClock Plus platform explicitly designed to help organizations store sensitive data while also making it easy to locate and track faculty- and staff-related documents in the system.
During this era of extensive workforce change, HR needs to switch to digital employee files. As a function, HR is charged with managing the most documents in an organization and protecting a high volume of sensitive information. But merely uploading documents is just one part of the equation. How HR works with files once they’re digital determines whether going paperless translates to productivity gains. This type of solution reduces the administrative burden and allows HR to be more flexible and agile in meeting business needs. Your faculty and staff trust you keep their sensitive data safe. Is your institution doing enough to protect this information?
Next Chapter: "Gain Valuable Workforce Insight with Labor Tracking and Job Costing"