29. Human Resources Management

Transcription

1 29. Human Resources Management The function of managing the University s workforce and its relationship with individual employees. Employees mean people employed directly by the University either permanently or on fixed-term contracts. Please note: for employing temporary staff through employment agencies, use the appropriate section of 35: Procurement. The original copy of the records in this section will be held by the, Payroll Office, Finance and staff in Schools and Departments, where indicated. In order to reduce duplication, Schools and Departments only need to keep copies of the following records for a short time for reference purposes: Any information relating to health issues or occupational health service referrals; Any information relating to grievance/disciplinary proceedings; Probation forms and associated documentation (upon the conclusion of a probationary period); Information relating to promotion or regrading (upon conclusion of the annual exercise or after receipt of the decision on applications for promotion out-with the annual exercise); Copies of references; Copies of recruitment application forms; Information relating to Disclosure Scotland checks and Information relating to participation in industrial action. An asterisk (*) after a retention period and citation denotes statutory retention periods, which should be regarded as minimum retention periods. The retention of records containing personal data must comply with the provisions of the Data Protection Act Human Resources Management: page 1 of 13

2 Ref Description Retention Ownership Reason Action Please see 0. General relating to all University strategies, policies and procedures Workforce Planning The activities involved in identifying the workforce competencies and numbers required to implement the University s strategic plan and determining how to meet these requirements. Analysing the size, composition, structure and competencies of the University s workforce; Reporting on the composition of the University s workforce to the statutory authorities; Developing job specifications for new posts; Conducting job evaluation exercises to determine grading and remuneration and Reviewing existing job specifications and re-evaluating jobs. Records of the assessment and analysis of workforce requirements, and the Current year + 3 identification and evaluation of 1973 c.52 Archive options for meeting these requirements Management succession plans Superseded + 5 Archive Records of developing and Superseded + 5 evaluating job specifications 29.7 Workforce Recruitment The activities involved in recruiting employees to fill new or vacant positions. Authorising recruitment; Advertising vacancies; Handling enquiries about vacancies; Processing employment applications and Reviewing and responding to unsolicited employment applications. 29. Human Resources Management: page 2 of 13

3 Records of internal authorisation for recruitment recruitment process with the terms of c.65 Records of the advertising of vacancies Enquiries about vacancies and requests for application forms Records of the handling of applications for vacancies: unsuccessful applications Records of the handling of applications for vacancies: successful applications recruitment process + 2 recruitment process recruitment process c c.50 The retention period is also dictated by immigration rules 1975 c c c c c c Human Resources Management: page 3 of 13

4 Records of summary statistical information about job applicants (for example, ethnicity/gender analyses) Best practice Records of management analyses of recruitment effectiveness (for example, use of advertising media) Unsolicited applications for Current year + 1 year recruitment employment process 29.8 Workforce Induction The activities involved in developing and implementing induction programmes for new RGU employees. Developing general and job-specific induction programmes and Administering induction programmes to ensure that all new employees complete the required programme. Records of the development, overall delivery and assessment of induction programmes for new employees (For records of individual employees induction programmes see Employee Contract Management: 29.14) Records of administering induction programmes Completion or end of programme + 1 year Please note: RGU does not currently hold these records 29.9 Workforce Training and Development The activities involved in providing training and development opportunities for RGU employees. 29. Human Resources Management: page 4 of 13

5 Identifying and analysing workforce training and development needs; Evaluating ways of meeting these needs; Developing/selecting training and development programmes/events; Monitoring take-up of training and development opportunities and events; Collecting and analysing feedback on training and development programmes and Measuring the impact of training and development programmes/events on the workforce and on business performance. Records of summary information on workforce training and development needs Records of developing training and development programmes to meet defined needs Individual feedback on training and development programmes Records of anonymised workforce feedback on training and development programmes Records of management analyses of the impact of training and development programme + 5 analysis of feedback programmes Workforce Performance Management The activities involved in monitoring employee performance of the University s workforce as a basis for developing reward schemes and dealing with general performance issues. Collating and analysing staff performance assessments and Reviewing and responding to the cumulative results of staff performance assessments. 29. Human Resources Management: page 5 of 13

6 Records of developing workforce performance assessment systems Records of summary anonymous results of employees performance assessments Records of management analyses of the impact of workforce performance assessment systems Life of system + 5 Current year + 3 Final 1 - RGU: Master Retention Schedule (MaRS) November 2008 Archive Please note: RGU does not currently hold these records Archive Archive Workforce Remuneration & Reward Management The activities involved in developing and implementing workforce pay structures and reward schemes. Records of developing the Current year + 10 Archive remuneration structure Records of pay reviews Archive Records of special reward schemes (for example, merit reviews) scheme + 5 Archive Workforce Welfare Management The activities involved in monitoring employee welfare and ensuring compliance with legislation. Providing support services (for example, occupational health services) for RGU staff. Records of developing workforce schemes and services (for example, occupational health and counselling services) Records of monitoring hours worked by employees, as required by S.I. 1998/1833 Date of record + 2 * Best practice Archive S.I. 1998/1833* 29. Human Resources Management: page 6 of 13

7 29.13 Workforce Relations Management The activities involved in managing the University s relationship with its workforce. Final 1 - RGU: Master Retention Schedule (MaRS) November 2008 Developing and implementing mechanisms for communicating with, and consulting, the workforce, Conducting workforce surveys and Reviewing and responding to the results. Records of the design of survey workforce surveys and /consultation + 5 consultations Identifiable individual responses to workforce surveys and consultations Records of summary anonymous results of workforce surveys and consultations Records of grievances raised by staff (which do not relate directly to their own contracts of employment), the official response, action taken and the outcome analysis of responses survey + 5 Last action on case c Employee Contract Management The activities involved in managing the University s contractual relationship with individual employees. Maintaining complete and accurate records of individual employees recruitment, induction, performance, discipline, training and development, occupational health and welfare, leave, pensions and termination and Providing employment references for current and former employees. 29. Human Resources Management: page 7 of 13

8 initial application for employment Supporting documentation (for example, references) for an employee s initial application subsequent applications for other jobs internally contract of employment Records of changes to an employee s terms and conditions of employment Job descriptions of positions held by an employee Records of induction programmes attended by an employee This forms part of the personal file held by HR HR hold applicant details for 3 months after the post has closed unless the applicant is successful in which case it forms part of their personal file Duration of This forms part of personal file induction + 1 year 1973 c.52 Must comply with terms of 1998 Must comply with terms of Human Resources Management: page 8 of 13

9 identified training and development needs, and the action taken to meet those needs Records for job-specific statutory/regulatory training requirements for an employee, and the training provided to meet those requirements Records of routine assessments of an employee s performance, and any consequent action taken Records of disciplinary proceedings against an employee, where employment continues Records of grievances raised by an employee which relate directly to his/her own contract of employment, the official response, action taken and the outcome action + 5 Expiry of certification OR superseded + 6 Superseded + 3 These records are retained on file as per disciplinary policy, although in some serous cases are retained for 6 after employment has ceased 1973 c Human Resources Management: page 9 of 13

10 remuneration and rewards (for example, bonuses, merit awards and long service awards) Records of administering an employee s contractual holiday entitlement absence due to sickness Records of authorising and administering special leave (for example, compassionate leave and study leave) ABS forms Records of authorising and administering statutory leave entitlements (for example, parental leave) Minimum: CTY + 3 * Recommended: CTY + 6 Current year + 1 year employment + 40 Current year + 1 year Current year + 1 year Held in personal file until the end of S.I. 1991/584* 1970 c.41 Payroll Office Schools Departments Finance Schools Departments 1992 c.4 IR CA30 Best practice S.I. 1999/ Human Resources Management: page 10 of 13

11 Records of entitlements to and calculations of Statutory Maternity Pay Records of employee s basic personal details (for example, address, next of kin and emergency contacts) Records of pre-employment health screening of an employee: employees exposed to hazardous substances during employment Records of pre-employment health screening of an employee: other employees Records of the issue of personal protective equipment/other special equipment to an employee Records of major injuries to an employee arising from accidents in the workplace termination of employment by voluntary resignation, redundancy, retirement (including on medical grounds) or dismissal CTY + 6 Superseded employment + 40 employment + 40 Payroll Office 1992 c.4 S.I. 1986/1960 S.I. 2002/2675 S.I. 2002/2676 S.I.2002/ c c.52 Archive Archive 29. Human Resources Management: page 11 of 13

12 References provided in confidence in support of an employee s application(s) for employment by another organisation Held in personal file until end of Final 1 - RGU: Master Retention Schedule (MaRS) November Industrial Relations Management The activities involved in managing the University s relationships with trades unions and labour organisations representing its workforce. Managing recognition and de-recognition of trade unions and Managing communication and consultation with bodies conducting collective bargaining on behalf of the workforce. Records of the University s recognition/derecognition of trades unions (De)recognition c.52 Archive 1973 c.52 Records of agreements with trades unions Records of routine communications with trade union representatives, including minutes of meetings Records of consultations/negotiations with trade unions on specific issues agreement + 10 Current year + 20 Last action on issue + 20 Chartered Institute of Personnel and Development recommendation ( Retention of personnel and other related records (2006)) 29. Human Resources Management: page 12 of 13

13 29.16 Pension Schemes Administration The activities involved in administering the University s involvement with external pension schemes of which its staff are members Records of relationships with pension schemes to which all or part of the workforce belongs Records of routine communications with the pension schemes relationship Human Resources Management: page 13 of 13