General Disposal Authority for Human Resource Management Records RD

Transcription

1 epartment of Culture and the Arts Government of Western Australia State Records Office of Western Australia General isposal Authority for Human Resource Management Records R This GAHR supersedes the previous edition (R 99002) Published by the State Records Commission 2012

2 General isposal Authority for Human Resource Management Records Copyright is reserved by the State Records Commission All rights reserved. 2

3 General isposal Authority for Human Resource Management Records ACKNOWLEGEMENTS... 5 INTROUCTION Background Legislative Requirements Reproductions of Records uplicates or Copies of State Records estruction of Source Records That Have Been Successfully igitized estruction of Records That Have Been Microfilmed Electronic Records atabases Websites (Internet and Intranet) Photographs and Audiovisual Records Records Relating to Aboriginal People Premier s Circular 2003/ Amalgamations of State Organizations USE OF THE AUTHORITY isposal of State Records Scope and Arrangement of this Authority Notes Relating to Specific Classes Policy Compensation Claims and Injury / Accidents / isease Personnel / Personal Files Industrial (Enterprise) Agreements Management of Human Resources Records Recommended Methods of estruction of State Records Significant Records EFINITIONS OF TERMS USE IN THE AUTHORITY AGREEMENTS AUTHORIZATIONS CLAIMS

4 General isposal Authority for Human Resource Management Records COMPLIANCE CONFERENCES AN SEMINARS COUNSELLING ISCIPLINE EMPLOYMENT CONITIONS AN EQUAL EMPLOYMENT OPPORTUNITY ESTABLISHMENT GRIEVANCES INUSTRIAL NEGOTIATION LEAVE OCCUPATIONAL SAFETY AN HEALTH PAYROLL PERFORMANCE PLANNING AN APPRAISAL PERSONAL FILES POLICY PROCEURES RECRUITMENT RISK ASSESSMENT SEPARATIONS SURVEYS TRAINING AN EVELOPMENT VOLUNTEERING WORK EXPERIENCE INEX

5 General isposal Authority for Human Resource Management Records Acknowledgments The original GAHRM and its revised editions were developed in consultation with a number of key State Government agencies and their assistance is gratefully acknowledged. Introduction 1 Background The State Records Office of Western Australia is responsible for advising and assisting public officers in matters of records management including creation, maintenance, security and disposition of State records. The previous policy used for the management of personal files was set by the Public Service Commission in This policy specified that the service card of an officer was to be retained indefinitely but personal files could be destroyed 2 years after the resignation or retirement of the officer, providing that no contentious action was proceeding. Personal files of permanent heads and others who might be of historical significance were to be sent to the State Records Office. However, with the introduction of new Occupational Health, Safety and Welfare legislation, a greater awareness of human resource management issues, and precedents set in other states and the Australian Public Service, the requirement for the establishment of a new consistent statewide approach to the retention and disposal of human resource management records became evident. The original General isposal Authority for Human Resource Management Records (GAHRM) was developed for this reason. The GAHRM, having been approved by the State Records Commission on the recommendation of the State Records Advisory Committee, is the official and continuing authority for the disposal of human resource management records created or received by Western Australian State government organizations. This GAHRM covers human resource management records common to most State government organizations in Western Australia, thereby providing consistent disposal decisions across State government. 5

6 General isposal Authority for Human Resource Management Records The original GAHRM was developed by the State Records Office (formerly the Public Records Office) of Western Australia in 1994 and was revised in This 2012 edition has been fully revised to incorporate new human resource management activities that have arisen since 1999 and ensures that every record category has a unique reference number. Under the State Records Act 2000, every State and local government organization must have a Recordkeeping Plan (RKP) approved by the State Records Commission. For State government organizations, this GAHRM, along with the State Records Office s General isposal Authorities for Financial and Accounting Records, Administrative Records, and Source Records, is the disposal component of the RKP alongside individual organizations functional Retention and isposal Schedules. This GAHRM does not apply, and is not to be used by local governments. Local governments should use the General isposal Authority for Local Government Records for disposal of their human resource management records. This GAHRM is to be used by State Government organizations, hereafter called State organizations. 2 Legislative Requirements 2.1 Freedom of Information (FOI) The Freedom of Information Act 1992 (FOI Act) prescribes rights and procedures for access to documents held by State organizations. If a request for access under the FOI Act has been lodged, all records relevant to the request, regardless of whether they are due for destruction, must be identified and preserved until action on the request and on any subsequent reviews by the Information Commissioner or the Supreme Court are completed. FOI requests that are identified as State archives must contain copies of the records that were the subject of the requests. 2.2 Investigations and Inquiries If an Investigation or Inquiry is in progress (or likely or imminent), all records relevant to the Investigation or Inquiry must be identified and preserved until the action and subsequent actions are completed. 6

7 General isposal Authority for Human Resource Management Records 2.3 Legislation The retention and disposal of State records falls primarily under the provisions of the State Records Act State organizations wholly or partly administer a range of legislation in the conduct of their business. Each State organization s RKP is to contain details about legislation affecting recordkeeping. State organizations need to be mindful of legislation associated with human resource management within the public sector, including but not limited to the following: Industrial Relations Act 1979 and associated Regulations; Minimum Conditions of Employment Act 1993 and associated Regulations; Occupational Health and Safety Act 1984 and associated Regulations; and Public Sector Management Act 1994 and associated Regulations. 3 Reproductions of records 3.1 uplicates or Copies of State Records uplicates or copies of State Records are defined as exact copies of original records, that is, where no annotations have been made and where the original record forms part of the State organization s recordkeeping system. Such records may be destroyed once the originals have been captured into the recordkeeping system and when they are no longer needed for reference purposes (see exception at and item 16.4 in the body of this GA). State organizations may also choose to either digitize or microfilm records with a view to keeping the microfilm or digitized version as the master record as per 3.2 and estruction of source records that have been successfully digitized The General isposal Authority for Source Records (GAS) authorizes, under certain conditions, the destruction of source records that have been successfully digitized. Source records must be digitized in accordance with the digitization specifications set out 7

8 General isposal Authority for Human Resource Management Records within the GAS. The digitized record must then be retained for the period specified in this GAHRM. For more information, refer to the GAS on the State Records Office s website at estruction of records that have been microfilmed State government archival value records that have been microfilmed by the State Records Office to approved ISO and Australian Standards may be destroyed in accordance with the GAHRM. State organizations interested in this service must apply to the State Records Office, using the relevant form, available on the State Records Office s website at State organizations may microfilm records which have a temporary value. However, a case-by-case series-based approval is required to destroy original records following microfilming if these original records are not to be retained for the minimum period specified in this GAHRM. 4 Electronic Records An electronic record is any record communicated and/or maintained by electronic equipment along with associated metadata (e.g. directory trees, indices, document properties, and software information such as executable files relating to the software and data files necessary in order to run the software program) to give meaning to the record. Electronic records must be appraised in the same way as paper-based records. Electronic records are subject to the provisions of this GAHRM in the same way as paper files, cards and microfilms. With the fragility of the media (magnetic tape, disks, optical disks etc.) on which electronic records are stored, and the frequent introduction of new hardware and software, special care must be taken to ensure the preservation of electronic records for as long as they are required. Organizations are responsible for ensuring that electronic records are accessible for as long as they are required and for managing the migration process to new hardware and software platforms whenever these are upgraded. State organizations are advised that backup tapes should be retained and re-used or destroyed in accordance with the State organization s risk management policies and procedures, Recordkeeping Plan and the State Records Office s Guideline on Sanitizing igital Media and evices. 8

9 General isposal Authority for Human Resource Management Records For further information please see the State Records Commission Standard 8: igital Recordkeeping and the State Records Office s Guideline on Sanitizing igital Media and evices. 4.1 atabases Many organizations will create and manage databases for functional and administrative purposes. Generally such databases, particularly those employed for administrative purposes, will be maintained with the intention of holding current data, with historical data being amended, overwritten or deleted. If there is a business or evidential requirement for certain types of information to be retained within databases, then this data must be retained for as long as it is required in accordance with an approved General isposal Authority or the organization s approved Retention and isposal Schedule. The data may either be retained in the database, or (if required for reasons of system or storage efficiency) in an alternative format, such as hard copy, magnetic storage, nearline storage or optical storage. Organizations are to ensure that processes are in place (e.g. policies and procedures) to ensure data integrity and to regulate the retention and disposal of data in databases in accordance with the subject to which the data relates. Consequently, organizations will need to ensure the data is successfully migrated to new hardware or software platforms whenever these are upgraded. 4.2 Websites (Internet and Intranet) Most organizations create and maintain websites (internet and intranet sites) which can contain informational and / or transactional web pages. Organizations are to ensure that processes are in place to capture and maintain relevant records and associated metadata for as long as they are required, as well as providing adequate audit trails. Various methods may be employed in accordance with the types of records, in capturing and preserving web-based resources and records of web based activity. These include, but are not limited to: snapshot pictures taken at regular intervals; copying the website with each significant change; keeping copies of web pages that are new or have been changed; and 9

10 General isposal Authority for Human Resource Management Records maintaining a log of changes to the website. Please contact the State Records Office for advice on retention requirements for website records. 5 Photographs and Audiovisual Records Audiovisual records (including photographs, videotapes, films and audio tapes) are to be treated in the same manner as any other record format, and are to be sentenced in accordance with the subject matter to which they relate. The content of audiovisual records must be considered in relation to: Their subject matter; and ocumentary material that relates to their creation and use. A photograph, tape or other audiovisual record should be viewed as part of a larger set of records, that is, those records that document why it was taken and how it was used. isposition of audiovisual material must be consistent with these records. Organizations should note that correct handling and care of audiovisual materials is necessary to preserve them for as long as they are required. The State Records Office may be contacted for advice on protecting and handling the various formats. 6 Records Relating to Aboriginal People 6.1 Premier s Circular 2003/02 The Premier s Circular to Ministers No. 2003/02 requires that: records relating to Indigenous individuals, families or communities or to any children, Indigenous or otherwise, removed from their families for any reason, whether held by government or non-government agencies, be brought to the attention of the Family Information Records Bureau (FIRB) and reflected in agency Recordkeeping Plans. 10

11 General isposal Authority for Human Resource Management Records State organizations should identify whether they hold records that fall within the ambit of the Premier s circular and notify the FIRB accordingly. 7 Amalgamations of State Organizations In the event of two or more State organizations being amalgamated, it is vital that the organizations records be maintained as evidence of their existence and accountable practices. To enable ease of access as well as maintain the integrity of those records, records of the subsumed organization or organizations (where the original organization will cease to exist) should be transferred into the custody of the new agency. The original series of records must be retained so that no alterations can be made, and should be retained as distinct from the records that document the current ongoing activities of the new agency. 8 Use of the Authority 8.1 isposal of Records Case by case authorization by the State Records Office for destruction of records in accordance with the provisions of this GAHRM is not necessary. The number of years specified in the GAHRM as the agency retention period for archival records destined for transfer to the State Records Office (see "Recommended Custody" column) is the minimum requirement. Organizations may hold files longer than the stated period, up to a period of 25 years before they are to be transferred to the State Records Office, as per Section 32 of the State Records Act Archives in the custody of State organizations must be retained in accordance with the State Records Office s irections for keeping hardcopy State archives awaiting transfer to the State Records Office, available at When files are being reviewed by the Records Manager or a disposition officer, prior to destruction or transfer to semi-active storage, any records that appear to be of interest as an archival record should be referred to the State Records Office for evaluation. 11

12 General isposal Authority for Human Resource Management Records 8.2 Scope and Arrangement of the Authority This GAHRM applies to human resource management records in all formats that are created or received by Western Australian State organizations. Local governments should use the General isposal Authority for Local Government Records for disposition of their human resource management records. The main body of the GAHRM covers records relating to specific human resource management activities and transactions based on terms from Keyword AAA (1998): a thesaurus of general terms, produced by the State Records of New South Wales. Whilst some agencies may have different titling conventions, the areas and classes are intended to cover the broad spectrum of human resource management records found in organizations. 8.3 Notes Relating to Specific Classes Policy Records of policies developed internally by each State organization are to be retained permanently as archives. It is essential that all files dealing with policy statements and the background to their development are separate and identifiable from other administrative and functional records. This will ensure such records are discrete and available for archival retention, not interwoven with operational issues which in most cases are of short term value. Records of external policies may be destroyed after the prescribed retention period in the GA for Administrative Records Compensation Claims and Injuries/Accidents/isease This class refers to duplicate copies of records, file notes and routine correspondence which may be created by agencies when lodging claims with RiskCover (or equivalent organization). These copies may be destroyed 7 years after the claim is finalized, providing the original records have been forwarded to Riskcover to be retained in accordance with Riskcover s approved functional Retention and isposal Schedule. 12

13 General isposal Authority for Human Resource Management Records Personnel / Personal Files The contents of personal files as listed in category 16 of this GAHRM may vary depending on an organization s human resources management policies and practices. Organizations are subject to various legislative requirements for public sector management, which includes the Public Sector Management (General) Regulations 1994, and in particular Regulation 25 which sets out the minimum details about each employee to form part of the personnel record. In addition, Regulation 25 stipulates matters concerning the transfer of personnel records when an employee moves from one State government organization to another. These requirements apply regardless of the format of the personnel record. In all cases, the disposal actions refer to the main file (whether in hard copy or digital format, or both), not to any duplicate files or records maintained for reference purposes, e.g. in a local branch or section. uplicate files may be destroyed when the officer separates from the organization Industrial (Enterprise) Agreements Industrial Agreements for State government employees under State awards, registered with the WA Industrial Relations Commission, are to be retained permanently as archives. Industrial Agreements for State government employees under Federal awards are certified by the Australian Industrial Relations Commission. 8.4 Management of Human Resource Records The effective management of human resource management records, including disposal of records no longer required and the control of access to those records retained, can only be achieved if proper records management policies and procedures are in place. Such policies and procedures will lead to greater productivity for an agency with savings in terms of both time and resources. Accordingly, Records Managers and Human Resource Managers are encouraged to consult with each other regularly in order to ensure that this is achieved. It is also recommended that all human resource files be included in an agency's records management system with appropriate access controls. This will result in the efficient retrieval of information, reliable tracking of file movements, and enhanced security, as well as providing a variety of reporting mechanisms. 13

14 General isposal Authority for Human Resource Management Records Human resource management records often contain sensitive information and issues such as storage, security, access and adequate mechanisms to establish an audit trail, should be reviewed regularly. To protect the State's interests in the event of litigation, and to establish an officer's rights and entitlements, it is recommended that as well as maintaining a personal file for each staff member, a separate, name identified file is also created on any of the following matters, as appropriate : workers compensation; rehabilitation case file; grievances; performance appraisal; individual staff development; and disciplinary investigation or action 8.5 Recommended Methods of estruction of State Records When State records are scheduled for destruction it must be done completely so that no information is retrievable. It is recommended that hard copy (paper) State records due for destruction should only be destroyed by shredding, pulping or trommelling. Burning or burying of State records are not acceptable methods of destruction. Electronic records should be destroyed by reformatting, rewriting or degaussing. The use of the delete function in software packages is not sufficient to destroy electronic records, however agencies may choose to make use of electronic file shredding software to ensure the complete destruction of electronic records. For further information, please refer to the State Records Office s Guideline on Sanitizing igital Media and evices. 8.6 Significant records In this GAHRM, each category of records has usually been assigned one disposal action (e.g. Archive or estroy ). However, in some cases it is appropriate to split a category into two, such that some of the records within a category are Archive and some are destroy. 14

15 General isposal Authority for Human Resource Management Records In these cases the term Significant has been used to identify records of archival value and the term Other has been used to identify records that may be destroyed. The value of records may change over time. In assessing records that have reached their minimum retention period and are due for destruction, officers should consider those that may have potential business or historical value, for possible further retention or archiving. Records that appear to be of interest as archival records should be referred to the State Records Office for review and evaluation. 9 efinition of Terms Used in the Authority Abolition of Position The abolition of a position also includes re-designation or re-classification of positions. Action Completed The fourth column in this GAHRM specifies the retention period for which records are to be retained and the action or trigger that begins the retention period. isposal triggers include after last action, which refers to the last date that a matter was noted on the record. This date is used to establish a date for closing the record and effecting the disposal action. isposal Action The final disposition is set according to whether or not the record is of archival value and will be either Archive (A) or estroy (). Archive - a record or record series that has been identified as having archival value and is to be transferred to the State Records Office for permanent retention. estroy- a record or record series not regarded as having permanent (archival) value and will ultimately be destroyed. GAA The State Records Office s General isposal Authority for Administrative Records 15

16 General isposal Authority for Human Resource Management Records GAFA The State Records Office s General isposal Authority for Financial and Accounting Records Recommended Custody The fourth column in this GA specifies the retention period for which records are to be retained and the action or trigger that begins the retention period. Significant Record See section 8.6 of the Introduction State Organization Any government department, office, bureau or part thereof and any statutory authority which maintains its own record keeping system. State Record A record of information however recorded which has been created, received, or kept by a State organization or a State organization employee in the course of the employee s work for the organization. Superseded A superseded record is one that is replaced by the production of a new version or amendment. 16

17 General isposal Authority for Human Resource Management Records Ref No escription of Records 1 AGREEMENTS The establishment and management of binding agreements relating to human resource management Refer to GAA For Workplace Agreements, use INUSTRIAL NEGOTIATION 2 AUTHORIZATIONS Authority or delegation of certain personnel to undertake a function or task isposal Action Recommended Custody 2.1 Authorizations / delegations 7 years after last action 3 CLAIMS Claims and associated provision of compensation to employees and volunteers for accidents, injury or disease arising out of, or in the course of their employment. Includes Industrial Relations Claims. For accident / incident investigation records where no claim has been made, use OCCUPATIONAL SAFETY AN HEALTH For insurance matters not related to human resource management, refer to GAFA 3.1 Claims industrial relations A 5 years after last action 17

18 General isposal Authority for Human Resource Management Records Ref No escription of Records 3.2 Workers Compensation Claims - original workers compensation claims, including records relating to injury, accident disease and rehabilitation. For further information, see section of the Introduction For rehabilitation records kept on a separate file, see category Workers Compensation Claims copies held by an originating organization in cases where the original is lodged with Riskcover or equivalent organization isposal Action Recommended Custody 71 years after date of birth or 7 years after retirement, whichever is later, or 7 years after death 7 years after claim finalized 3.4 Volunteers Personal Accident Claims or equivalent accident claim 7 years after claim finalized 3.5 Property loss / damage claims for reimbursement for loss and damage to clothing or personal effects 7 years after claim finalized 4 COMPLIANCE Records associated with compliance with statutory, legislative or other requirements. Refer to GAA 5 CONFERENCES AN SEMINARS For arrangements relating to staff attendance at conferences and seminars, use TRAINING AN EVELOPMENT For planning, development and published proceedings of conferences hosted by the organization, refer to GAA 18

19 General isposal Authority for Human Resource Management Records Ref No 6 COUNSELLING escription of Records isposal Action Recommended Custody The activity of managing the provision of support and counselling services to employees. For records relating to formal performance appraisals, use PERFORMANCE PLANNING AN APPRAISAL 6.1 Counselling records relating to counselling schemes or programs to assist staff. This category does not include individual counselling records. 6.2 Counselling records of counselling provided to individual staff not held on personal file 7 ISCIPLINE The management of the disciplinary process concerning staff of the organization. Includes but is not limited to allegations, investigation, charges, warnings, punishment, appeals and dismissal. Also includes disciplinary action relating to breaches of Code of Conduct or other policy. For grievances registered by employees, use GRIEVANCES 7 years after last action 7 years after last action 7.1 iscipline discipline records not held on personal file 7 years after last action 19

20 General isposal Authority for Human Resource Management Records Ref No escription of Records 8 EMPLOYMENT CONITIONS AN EQUAL EMPLOYMENT OPPORTUNITY The management of the general conditions of employment for all staff (permanent, temporary or contract) and the management of equal employment opportunity. For industrial relations matters, use INUSTRIAL NEGOTIATION For the recruitment of staff, use RECRUITMENT For records relating to discipline of staff, use ISCIPLINE For performance appraisals for individual staff, use PERFORMANCE APPRAISAL For staff grievances, use GRIEVANCES 8.1 Increment, promotion (successful) and probation records For unsuccessful promotion records, see category 8.10 isposal Action Recommended Custody 71 years after employee s date of birth or 7 years after retirement, whichever is later, or 7 years after death 8.2 Signed documentation (e.g. policy acknowledgement) not on personal file 7 years after signatory separates from organization, or 7 years after policy revoked, whichever is later 8.3 Clothing, including records relating to uniforms, badges and protective clothing 7 years after last action 8.4 Equal Employment Opportunity initiatives and case files 7 years after last action 8.5 Flexible work practices proposed and / or implemented throughout the organization 7 years after last action 20

21 General isposal Authority for Human Resource Management Records Ref No escription of Records 8.6 Salary sacrifice schemes successful requests and associated arrangements, not on Personal File For salary packaging arrangements, see category 14.3 isposal Action Recommended Custody 7 years after last action 8.7 Salary sacrifice schemes unsuccessful requests for salary sacrifice by staff 1 year after last action 8.8 Staff social club records 7 years after last action 8.9 Officer exchange or secondment programs 5 years after program ends 8.10 Promotion requests unsuccessful 2 years after last action 8.11 Requests for the provision of staff amenities 2 years after last action 8.12 Working hours - rosters 1 year after superseded 9 ESTABLISHMENT The management of positions, duties and reporting relationships between staff. For vacancy and recruitment records, use RECRUITMENT 9.1 Position history records as described in category selected samples Ten percent of position history files should be retained permanently A 5 years after last action 21

22 General isposal Authority for Human Resource Management Records Ref No escription of Records 9.2 Position history records / position files including but not limited to determination of duty statements, required qualifications, classifications, variations, rationale for creation of positions. Not to be confused with personal files. 9.3 Restructuring Reviews and restructures affecting major functional sections of the agency or the agency as a whole. Includes amalgamations, classification, corporatisation, organizational charts, privatisation, redeployment and retraining. 9.4 Restructuring Reviews and restructures affecting only particular sections of the agency and having little effect on the overall functioning of the agency. isposal Action A Recommended Custody 7 years after position abolished 5 years after last action 5 years after last action 9.5 Reclassification requests - successful 7 years after position abolished 9.6 Reclassification requests - unsuccessful 2 years after position abolished 9.7 Vacant positions - the activities associated with managing positions in the organisation that are currently unoccupied, and with the sourcing of temporary staff for positions For recruitment records, see RECRUITMENT 1 year after action completed 22

23 General isposal Authority for Human Resource Management Records Ref No 10 GRIEVANCES escription of Records isposal Action Recommended Custody The management and resolution of grievances and complaints reported within the organization by employees. For formal grievances relating to occupational health and safety matters, use OCCUPATIONAL HEALTH AN SAFETY 10.1 Formal grievances (not held on personal file) lodged by employees, including discrimination or harassment, that result in formal proceedings. Includes complaints, investigation records, final decisions and actions Other grievances (not held on personal file) lodged by employees, including discrimination and harassment, not resulting in formal proceedings. Includes complaints, investigation records and final decisions and actions. 11 INUSTRIAL NEGOTIATION The management of disputes and negotiations between management, workers and unions. For employment conditions, use EMPLOYMENT CONITIONS AN EQUAL EMPLOYMENT OPPORTUNITY For industrial relations claims, use CLAIMS 7 years after last action 2 years after last action 23

24 General isposal Authority for Human Resource Management Records Ref No escription of Records 11.1 Registered Workplace Agreements / enterprise agreements / industrial agreements lodged with the WA Industrial Relations Commission (or equivalent organization) For further information, see section of the Introduction Agency copies of Workplace Agreements / enterprise agreements / industrial agreements isposal Action A Recommended Custody 5 years after action completed 7 years after expiry 11.3 Records of Workplace Consultative / Negotiating Committees A 5 years after last action 11.4 Enterprise bargaining - records relating to the industrial / enterprise / workplace agreement process applying to the organization: Setting a precedent; Affecting a majority of the organization s employees; or Which make an innovative / contentious change to working conditions. For the final agreement, see category 11.1 A 5 years after last action 11.5 Enterprise bargaining not resulting in an agreement or not covered by category years after last action 11.6 Industrial action / disputes major industrial action (strikes, go slows etc.) and/or disputes involving organization staff, which have a substantial impact on the organization 11.7 Industrial action / disputes minor cases of industrial action (e.g. short term and / or easily resolved disputes) A 5 years after last action 5 years after last action 24

25 General isposal Authority for Human Resource Management Records Ref No escription of Records 11.8 Records relating to liaison with employees, staff bodies and unions on issues such as: advice concerning changes to working arrangements; notes of meetings; and information regarding union policies, newsletters etc. isposal Action Recommended Custody 10 years after last action 11.9 Union right of entry - union right of entry arrangements, including entry notices 7 years after last action Industrial Relations Elections ballots and ballot papers 4 years after last action 12 LEAVE The management of all types of leave for staff throughout the organization Leave applications, listings, updates, associated correspondence and instructions 7 years after last action 13 OCCUPATIONAL SAFETY AN HEALTH The implementation and co-ordination of occupational safety and health (OSH) and the associated legislation and requirements throughout the organization. For records of OSH training conducted by the organization or attended by staff (including contractors), use TRAINING For records of OSH Committees, refer to GAA 25

26 General isposal Authority for Human Resource Management Records Ref No escription of Records 13.1 Inspections and investigations (including reports) relating to significant accidents, incidents and hazards identified at the workplace. The criteria for determining which inspections or investigations are significant is whether they: Relate to a death or permanent disability; or Affect the whole of government function; or Concern or affect State government authority executive activity; or Concern major liabilities or obligations of the State organization; or Relate to the development of legislation, regulations, local laws or policy; or Otherwise (significantly) impact or affect the State organization s functions or structure e.g. proposed changes to organizational functions; or Were precedent setting; or Involved substantial community debate or controversy; or Generated wide community interest; or Caused major changes to organizational policy. For workers compensation, see CLAIMS 13.2 Inspections and investigations (including reports) relating to accidents, incidents and hazards not considered significant under category 13.1 For workers compensation claims, see CLAIMS isposal Action A Recommended Custody 5 years after last action 7 years after last action 13.3 Accident registers 30 years after last action 26

27 General isposal Authority for Human Resource Management Records Ref No escription of Records 13.4 Asbestos includes but is not limited to: Use, presence, neutralization and removal of asbestos from buildings, plant and workplaces; Safety precautions; and Advice on health risks 13.5 Asbestos personal history - records documenting exposure or potential exposure of staff to asbestos 13.6 Hazardous substances (excluding asbestos) and situations reports and other records relating to: Assessment reports which give rise to monitoring or health surveillance; Results of all monitoring; and Reports of health surveillance Hazardous substances (excluding asbestos) and situations registers and other records relating to: Assessment reports which do not give rise to monitoring or health surveillance; and Registers of hazardous substances used in the workplace isposal Action A Recommended Custody 5 years after last action 71 years after date of birth or 7 years after retirement, whichever is later, or 7 years after death 30 years after the completion, or last entry, of the record or report, or last action, whichever is later 7 years after the completion, or last entry, of the record or report, or last action, whichever is later 13.8 Rehabilitation of staff following a workplace accident 71 years after date of birth or 7 years after retirement, whichever is later, or 7 years after death 27

28 General isposal Authority for Human Resource Management Records Ref No escription of Records 13.9 Complaints / grievances (not held on personal file) about occupational health and safety matters that include complaints/objections to: undertaking hazardous duties; working environment hazards, including noise, dust, carcinogenic substances, chemicals, heat etc; and working in an infectious disease or occupational zoonoses environment Complaints from staff about concerns / objections relating to other OSH matters not included in category Medical and / or dental records of staff not held on personal file. Also includes drug and alcohol testing, fitness for work records containing medical information and preemployment medicals Health promotion and awareness programs for staff including but not limited to: wellness; ergonomics; other healthy lifestyle programs; and blood donations Risk management appointments of representatives promoting OSH (fire wardens, OSH officers, first aid officers) and records of measures taken to promote OSH (e.g. fire evacuation drills) Routine occupational health and safety inspections not relating to accidents. Includes remedial action undertaken to minimise risk of injury isposal Action Recommended Custody 30 years after last action 7 years after last action 15 years after last action 7 years after last action 7 years after last action 5 years after last action 28

29 General isposal Authority for Human Resource Management Records Ref No 14 PAYROLL escription of Records isposal Action Recommended Custody The activities associated with managing the organization s payroll. For salary sacrifice schemes, use EMPLOYMENT CONITIONS AN EQUAL EMPLOYMENT OPPORTUNITY 14.1 Employee earnings refer to GAFA 14.2 Attendance records, including flexi-sheets, timecards, attendance books and registers 14.3 Salary deductions and adjustments details of individual salary packaging arrangements 14.4 Termination / separation payment calculations refer to GAFA 7 years after last action 7 years after last action 14.5 Group certificates organization s copy 6 years after successful audit 14.6 Allowances records dealing with allowances e.g. shift work, higher duty, property, overtime, on call, expenses 7 years after last action 14.7 Overtime requests / directions 2 years after last action 14.8 Control / errors / amendment reports, including salary under and overpayments 2 years after last action 14.9 Staff listings including addresses, contact details and changes of address 1 year after last action 29

30 General isposal Authority for Human Resource Management Records Ref No escription of Records isposal Action Recommended Custody Salary packaging expressions of interest 1 year after last action 15 PERFORMANCE PLANNING AN APPRAISAL The activity of evaluating the performance of staff and their achievements in relation to set goals Appraisals for Chief Executive Officers, eputy CEOs, members of Senior Executive Service (or equivalent, e.g. Harbour Masters), Executive Managers and those who have achieved fame, notoriety or a high public profile Appraisals (if not on personal file) including but not limited to: staff assessment reports; action to be taken; counselling on work performance; and records of other discussions relating to appraisal Substandard performance where formal action is taken relating to a poor performance investigation. Includes records of investigation. A 5 years after last action 5 years after last action 71 years after date of birth or 7 years after retirement, whichever is later, or 7 years after death 15.4 Substandard performance where no formal action is taken 5 years after last action 15.5 Appraisal Programs (i.e. Staff evelopment Systems) working papers 2 years after last action 30

31 General isposal Authority for Human Resource Management Records Ref No 16 PERSONAL FILES escription of Records Personal data is kept on a Personal File for each permanent, temporary and contract employee of the organization. Personal Files typically include the following core information relating to an employee: information relating to the appointment of an employee and confirmation of employment; the employment history of the employee; information relating to the cessation of employment of the employee; name and date of birth of the employee; the title and classification of the office held by that employee; and the term of the employee s appointment. Personal Files may also include the following records, which, if held separately to the Personal File, are covered elsewhere in this GAHRM: awards & honours; application for employment term of employment; complaints relating to Occupational Health and Safety; copies of qualifications and references; counselling or disciplinary instructions; description of position and duty statement; gratuities and allowances details; group certificate; higher duties instructions; increment / promotion / probation records; industrial award or agreement under which employee is employed; letter of resignation, dismissal particulars, exit interviews; medical reports; performance appraisals and review; references or statement of service supplied other organizations; superannuation authorities and transfer of superannuation; and training course assessments or reports For further information, please see section of the Introduction isposal Action Recommended Custody See categories 16.1 and

32 General isposal Authority for Human Resource Management Records Ref No escription of Records 16.1 Personal Files for Chief Executive Officers, eputy CEOs, members of the Senior Executive Service (or equivalent, e.g. Harbour Masters), Executive Managers and those who have achieved fame, notoriety or a high public profile 16.2 Personal Files for other staff Not to be confused with Personal History Cards (see category 19.1) isposal Action A Recommended Custody 5 years after last action 71 years after date of birth or 7 years after date of retirement, whichever is later, or 7 years after death 16.3 Personal Files for employment scheme participants 7 years after leaving the organization 16.4 uplicate Personal Files for all staff retained for reference purposes. Care must be taken to ensure these records are exact duplicates of the original file and contain no additional information 17 POLICY refer to GAA See also part of the Introduction 18 PROCEURES refer to GAA Retain until employee separates from organization 32

33 General isposal Authority for Human Resource Management Records Ref No 19 RECRUITMENT escription of Records isposal Action Recommended Custody The process of employing suitable staff to fill positions within the organization. Includes permanent, contract and temporary staff. For agreements and contracts related to recruitment, refer to GAA For records relating to volunteers, use VOLUNTEERS For records relating to work experience, use WORK EXPERIENCE For pre-employment medicals, use OCCUPATIONAL HEALTH AN SAFETY 19.1 Personal History Cards or Personal Summary Information records relating to appointment, classification, leave, superannuation, award coverage, qualifications etc. Not to be confused with Personal Files, see category Applications and recruitment records - Chief Executive Officers, eputy CEOs, members of the Senior Executive Service (or equivalent, e.g. Harbour Masters), Executive Managers and those who have achieved fame, notoriety or a high public profile. Includes advertisements, interview notes and reports and final appointment 19.3 Applications successful applicants for advertised positions, where kept separate to personal file, including student vacation employment records 19.4 Applications (unsuccessful) and recruitment records, including duty statements, selection criteria, advertisements, position descriptions etc Applications unsolicited For general employment enquiries, refer to GAA A A 5 years after last action 5 years after last action 15 years after last action 1 year after last action 6 months after last action 33

34 General isposal Authority for Human Resource Management Records Ref No escription of Records 19.6 Appeals relating to recruitment decisions or promotions, kept separate to personal file isposal Action Recommended Custody 2 years after last action 19.7 Police clearances 7 years after last action 19.8 Criminal history records revealing serious criminal histories of applicants Once application withdrawn or when reference ceases, whichever is later 19.9 Working with children checks 7 years after expiry Employment Schemes including correspondence with and submissions to employment agencies / funding / selection of participants Relief / acting arrangements records relating to the arrangement of acting positions (e.g. higher duties forms) 7 years after last action 3 years after last action Examinations to certify competency 2 years after last action Mass recruitment campaigns records relating to entry level mass recruitment campaigns Interview notes informal notes taken by the interview panel for temporary use e.g. memory prompts 20 RISK ASSESSMENT refer to GAA 1 year after last action On expiry of appeal period 34

35 General isposal Authority for Human Resource Management Records Ref No 21 SEPARATIONS escription of Records isposal Action Recommended Custody The activity of managing the departure of employees from the organization due to resignation, retirement, redeployment, redundancy or termination. For records relating to the dismissal of an employee, use ISCIPLINE For termination payment calculations, use PAYROLL 21.1 Exit interviews 7 years after last action 21.2 Resignations and terminations, including resignation letters 7 years after resignation 21.3 Retirement notices 7 years after retirement 21.4 Redundancy / redeployment / severance and retirement packages / schemes, including lists of staff offered redundancy 22 SURVEYS refer to GAA 23 TRAINING AN EVELOPMENT All types of training to develop the skills and knowledge of staff of the organization. For conferences and seminars presented by the organization, refer to GAA For training of volunteers, use VOLUNTEERS 23.1 Apprenticeships and traineeships awards, subsidy records, insurance, notifications from educational institutions, assessments and results 7 years after last action 7 years after last action 35

36 General isposal Authority for Human Resource Management Records Ref No escription of Records isposal Action Recommended Custody 23.2 Awards and honours schemes, including nominations not proceeded with 5 years after last action 23.3 Training courses, inductions, conferences & seminars - includes records such as: staff attendance records; course information; travel arrangements; reports of participants; and notifications of course details Assessment results to certify competency of staff held separately on Personal File 23.4 Training courses and inductions planning and development, including needs analysis and course materials 7 years after last action 5 years after last action 23.5 Fellowships 5 years after last action 23.6 Study assistance, including subsidies for staff training 5 years after last action 23.7 Training materials (external) to support information delivered in an external training program Retain until reference ceases 36

37 General isposal Authority for Human Resource Management Records Ref No 24 VOLUNTEERING escription of Records isposal Action Recommended Custody Records relating to the coordination, recruitment and welfare of volunteers within the organization. For appointments of volunteer fire control officers (fire wardens), use OCCUPATIONAL HEALTH AN SAFETY 24.1 Volunteers management and coordination, including but not limited to: applications to volunteer; insurance arrangements; working dates; and training provided 25 WORK EXPERIENCE The activity of managing those undertaking unpaid work within the organization for the purpose of gaining experience Work experience and practicums management and coordination, including but not limited to: timetables and/or schedules for work experience programs; participant details; and details of modules completed 7 years after last action 2 years after last action 37