Section 1, Part 5. Human Resources Management Function (Function-based arrangement)

Transcription

1 Retention Guidelines for Common Administrative Records of the Government of Canada Section 1, Part 5 Human Resources Management Function (Function-based arrangement) Final Version, December 11, 2006

2 Table of Contents Section 1 - Introduction 1.1 General 1.2 Disposition 1.3 Scope 1.4 Offices of Primary Interest and Offices of Collateral Interest 1.5 Personal Information 1.6 Retention Period Guidelines 1.7 Guidance Section 2 General Retention Guideline Human Resources Management Function 2.1 Policy and Procedure records 2.2 Routine records 2.3 Personnel (employee) File Section 3 Exceptions to General Retention Guideline 3.1 Staffing Recruitment and Promotion Probation Deployments, Assignments and Secondments Recourse Employment Equity (as it relates to Staffing) Staffing Bilingual Positions 3.2 Training and Development Training and Development Development of Supervisors, Managers, and Executives 3.3 Performance Assessment Performance Assessment 3.4 Occupational Safety and Health Occupational Safety and Health Employee Assistance Programme (EAP) Working Conditions 3.5 Staff Relations Collective Bargaining Designation Process Recourse Disciplinary and non-disciplinary Demotion or Termination of Employment Strikes

3 3.5.6 Union Dues Check Off Transfer of Pregnant Employees Values and Ethics Code for the Public Service 3.6 Compensation and Benefits Compensation - Terms and Conditions Compensation - Salary Administration Policy Compensation - Rates of Pay Compensation - Special Assignment Pay Plan Compensation - Retirement Planning Compensation - Employee Services Compensation - Pay Administration Benefits - Life Insurance Benefits - Health Insurance Benefits - Sick Leave and Long-Term Disability Insurance Benefits - Compensation for Work-Related Injury or Death Benefits - Maternity Benefits 3.7 Human Resource Planning and Utilization Human Resource Planning Human Resource Utilization 3.8 Classification Classification System Classification Delegation Classification - Training and Accreditation Classification Grievances 3.9 Official Languages Service to the Public (Communications with the Public) Language of Work Equitable Participation Programme Management 3.10 Employment Equity Employment Equity Provision of services for Employees with Disabilities 3.11 Special Programmes Work Force Adjustment Termination of Employment Due to Alternative Delivery Situations Awards including Incentive Award Plan, Award Plan for Inventors and Innovators, Scholarships Workplace Day Care Centres Executive Group

4 Section 1 - Introduction 1.1 General The following guideline provides guidance to institutions regarding the establishment of minimum retention periods for those common administrative records which support the Human Resources Management Function of the Government of Canada. This guideline should be used in accordance with instructions contained in the General Introduction to the Retention Guidelines for Common Administrative Records of the Government of Canada, and in conjunction with Multi-Institutional Disposition Authority (MIDA) 98/005, Human Resources Management Function. 1.2 Disposition Nothing in this guideline should be seen as constituting an authority or requirement to dispose of records. For direction regarding the disposition of common administrative records related to the Human Resources Management Function, institutions should consult the Library and Archives Canada s Multi-Institutional Disposition Authority (MIDA) 98/005, Human Resources Management Function. 1.3 Scope This guideline applies to all common administrative records (i.e. administrative records which are common to or shared by all federal government institutions) which are collected, created or received by institutions in support of the administration of the Human Resources Management Function of the Government of Canada, regardless of how the records are organized or controlled within each institution. The Human Resources Management Function encompasses the functions, sub-functions, processes, activities, and transactions of administrative business concerning the management of human resources commonly conducted in and across all federal government institutions to facilitate the application of operational policies and the delivery of programmes and services. The main legislation underpinning the Human Resources Management Function includes the Financial Administration Act, the Public Service Employment Act, the Public Service Modernization Act 3, and the Public Service Labour Relations Act 4. The Human Resources Management Function includes the following eleven (11) sub-functions: staffing; training and development; performance assessment; occupational safety and health; staff relation; compensation and benefits; human resources planning and utilization; classification; official languages; employment equity; and special programmes. In applying this retention guideline, institutions should take care to ensure that: * the records are not operational in nature; * the records are not of a mixed operational and administrative character; * the records do not support an administrative function uniquely or specifically assigned to an Office of Primary Interest (OPI) or Office of Collateral Interest (OCI) (See definition of OPI and OCI below); * the records are not otherwise excluded from the application of MIDA 98/005 by virtue of the definitions and scope statement contained in the Appendix I of MIDA 98/005. * the records are not dated earlier than * all administrative actions have been completed for a record before applying the applicable retention guidance. 1.4 Offices of Primary Interest and Offices of Collateral Interest This retention guideline does not apply to those records of Offices of Primary Interest (OPI), Offices of Collateral Interest (OCI) and central agencies that are collected, created or received in the pursuance of their mandated role in administering a Human Resources Management Function on behalf of the Government of Canada. Examples of such government bodies include the Treasury Board Secretariat, and the Public Service Commission, and any other institution mandated to perform, in full or in part, a Human Resources Management function on behalf of the Government of Canada. (See Appendix I, MIDA 98/005, Section B Scope of Authority. This retention guideline, however, does apply to such organizations when those records are collected, created or received in support of human resources management functions and activities that are common to or shared by all federal government institutions. 1.5 Personal Information The retention of personal information contained in records that has been used by a federal institution in the course of its business is governed by Section 6 of the Privacy Act, and Section 4 and 7 of the Privacy Act Regulations.

5 Section 4. (1) of the Privacy Act Regulations states that personal information that is used for an administrative purpose (i.e. the use of the information in a decision making process that directly affects that individual) must be retained for a minimum of two (2) years unless the individual consents to its earlier disposal: 4. (1) Personal information concerning an individual that has been used by a government institution for an administrative purpose shall be retained by the institution Resources Management Function" table for additional information. 1.7 Guidance For advice and assistance regarding the retention guidelines, please contact the Information Management Centre, Library and Archives Canada at (819) or by at imgi@lac-bac.gc.ca (a) for at least two years following the last time the personal information was used for an administrative purpose unless the individual consents to its disposal; and (b) where a request for access to the information has been received, until such time as the individual has had the opportunity to exercise all his rights under the Act. Guidance on the retention for records that contain personal information and have been subject to an Access to Information request is provided in Section 7 of the Privacy Act Regulations, which states; 7. The head of a government institution shall retain for a period of at least two years following the date on which a request for access to personal information is received by the institution under paragraph 8(2)(e) of the Act (requests made by an investigative body specified in the regulations) (a) a copy of every request received; and (b) a record of any information disclosed pursuant to such a request. In establishing retention periods for records containing personal information that are generated in support of the Human Resources Management Function, federal institutions should ensure that the Privacy Act and Privacy Act Regulations are applied. The requirements of the Privacy Act and Privacy Act Regulations are compulsory, and must be adhered to. 1.6 Retention Period Guidelines When records are covered by an existing MIDA the retention information offered takes the form of retention guidelines expressed in months, calendar years and fiscal years. In the absence of specific retention guidance and unless specified otherwise, the five year retention period for policy and procedures, the two year retention period for routine records, and the retention periods associated with Personnel (employee) files should be applied to similar records related to each sub-heading/activity listed in this function. Please refer to the General Retention Guideline provided at the beginning of the "Human

6 Section 2 General Retention Guideline - Human Resources Management Function General Retention Guideline 2.1 Policy and Procedures 5 years after superseded Routine 2 years 2.3 Personnel (employee) File: The legal consent for the disposition and retention of civilian personnel or employee files is authorized via MIDA 98/005 Human Resources Management Function, Appendix 1 Terms and Conditions, Section C. Authorization to Destroy. Personnel or employee files shall be retained by the current employing institution for the duration of employment in organizations listed under the schedule of the Privacy Act plus five (5?) 6 years. They should then be transferred by the institution to the Library and Archives Canada, Federal Records Centre (FRC) in Manitoba. Library and Archives Canada will destroy the personnel file when the individual turns eighty (80) years of age provided that two years have elapsed since the last administrative action. This is a Retention and Disposal Standard governed by the Privacy Act, the Public Service Employment Act and prescribed by Treasury Board that must be adhered to. See Treasury Board s publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 901, Employee Personnel Record for additional information on this standard bank. For help regarding the transfer of Personnel files see the Guidelines for the Transfer of Civilian Personnel Files located on LAC s website. Note that Military personnel files are not addressed by these retention guidelines. The legal consent for the disposition and information on retention of military personnel files are covered under the Institutional Specific Disposition Authority 85/012. Following the expiry of their retention period they should be transferred to the Ottawa Federal Records Centre. NOTE: In the absence of specific retention guidance and unless specified otherwise, the five year retention period for policy and procedures and the two year retention period for routine records should be applied to similar records related to each sub-heading listed in the table below. Retention periods should always be interpreted and applied after all administrative actions are completed. i.e., 2 years after all administrative actions are completed Any activities, sub-functions or sub-headings that fall outside the General Retention Guideline for policy and procedures, routine and personnel will be identified in the table below. * Request for Client Feedback Currently, the Comptrollership Function suggests a standard retention period of 6 fiscal years for financial transaction records such as vouchers, invoices, claims etc... This retention is applied after all administrative actions have been completed. In the Retention Guidelines for Common Administrative Records of the Government of Canada (2000), there appear to be inconsistencies in the original retention guidance cited for similar records in various financial activities and subfunctions. For example, 3 fiscal years retention guidance is cited for Loans and Advances to

7 Employees (journal vouchers) under Accounts Payable (Expenditures), Accounting and Control of Expenditures however, 6 fiscal years retention guidance is cited for vouchers and journal vouchers (credit to advances, loans and investments ) under the same sub-function of Accounts Payable (Expenditures). As well, the GIMO team is questioning whether there are any legislative or institutional policies in place which bolster the need to apply the same retention as that of the original financial transaction records (6 fiscal years) to any of the common administrative records that support or document a financial action identified in either of the functions in this guide. For supporting references, please see Treasury Board's 1996 Policy on Electronic Authorization and Authentication Appendix A, Guidelines, iii Audit, which states that The electronic authorization and authentication system and processes should be designed to ensure complete auditability. The audit trail should include delegation matrices, user profiles and all the electronic authorization and authentication data and files required to reconstruct the sequence of events and the transactions processed and Treasury Board s Policy on Internal Audit (takes effect on April 1, 2006 and will replace the 2001 Policy on Internal Audit) which under section 5. Policy Requirements, 5.5 states that Deputy heads of all departments are responsible for: under 5.5.3, "Ensuring that the audit committee receives all of the information and documentation needed or requested to fulfill its responsibilities, subject to applicable legislation." With these two considerations in mind, GIMO puts forward the query as to whether a standard retention of 6 fiscal years should be applied to all financial transaction records (supporting and originals) that fall below a "6 fiscal years" period. Institutions and regions are requested to review and provide their comments/feedback on those activities and sub-functions whose retention guidance state periods that are shorter than 6 fiscal years to ensure they meet current institutional needs and financial/legal obligations.

8 Section 3 Exceptions to the General Retention Guideline Human Resources Management Function: 3.1 Staffing Function/Description Retention Guidance 7 Always apply the General Retention Guideline unless specified otherwise This sub-function generally encompasses the business processes and activities which produce records created in the course of identifying human resource needs in a federal institution. Inventories of candidates are developed and maintained based on the organization s anticipated human resources requirements, candidates are selected and appointed as these requirements materialize and, therefore, the staffing sub-function includes more specifically recruitment and promotion; probation; deployments, assignments and secondments; recourse of public service employees; employment equity (as it relates to staffing); and staffing of bilingual positions Recruitment and Promotion Includes records relating to all aspects of initial hiring and subsequent promotion, including delegated staffing, establishing qualifications, priorities, appointments from within the public service, recruitment from outside the public service, area of selection, assessment, selection, and appointment. Advertising of job openings 1 year Appointments - Indeterminate, term and acting appointments 5 years from the last administrative action 8 Co-operative programs (with universities, colleges, etc..., work experience, winter works, etc ). Inventories (Personnel inventory systems such as the Management Resource Information System (MRIS), Human Resources Information System (HRIS), etc ) - individual positions Until superseded or obsolete Oaths or solemn affirmations (records regarding the administration of oaths or solemn affirmations in appointment situations) 9 Passports and visas (routine correspondence, applications for the purpose of staffing, etc.) Staffing process requests, competition posters, candidates applications (solicited and unsolicited), rating board assessments, examination papers and test results, employment offers, etc. 2 years 2 years following the expiry of the eligibility list for a staffing action or two yrs after the last administrative action, whichever is later. This retention is governed by the Privacy Act and must be adhered to. See Treasury Board s publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 902, Staffing, for additional information on this standard bank. Unsolicited applications not considered when staffing a position 6 months 10

9 3.1.2 Probation Includes material on all appointments from outside the public service relating to an employee s probationary period, such as explicit standards and expectations, notice of rejection, and documentation relating to the performance levels of the employee. Place on Personnel (employee) file Deployments, Assignments and Secondments Includes records on all aspects of deployments, assignments, and secondments, such as letters stating new job, departmental policies and procedures on deployment, the Record of Staffing Transaction, complaints about deployment and reviews of complaints, and documentation notifying employees of their right to refer complaints to the Public Service Commission Exchanges, deployments, assignments, loans, secondments 3 years after arrangement ceases Transfers and postings - individual cases Place on the employee s Personnel file 12 Unsolicited applications not considered when staffing a position 6 months Recourse Includes records on all aspects of appointments that are appealed, once the necessary documentation has been provided to the PSC Appeals Directorate, and on the application of the Treasury Board Policy on Harassment in the Workplace Appealed appointments 14 - individual cases 5 years from the last administrative action 15 Personal harassment - matters dealing with complaints of personal harassment - individual cases 2 years after the most recent administrative activity in relation to an individual case. Such information must be retained as a separate record and not placed on the complainant's Employee Personnel Record. This retention is governed by the Privacy Act and must be adhered to. See Treasury Board s publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 919, Harassment, for additional information on this standard bank Employment Equity (as it relates to Staffing) Includes records on all aspects of employment equity, as it relates to staffing, such as documents on broad training and development programmes, employee services, central agency supporting activities, and recruitment programmes, and documentation on specific programmes and services, including the Management Trainee

10 Program, the Career Assignment Program, the Interchange Canada Program, the Diversity Management Technology Centre, Technology Assisted Diversity, job accommodation, career progression towards executive levels, and all employment equity programmes related to staffing Staffing Bilingual Positions Includes records on all aspects of staffing bilingual positions, such as documentation relating to imperative and non-imperative staffing (including non-imperative deployments), language proficiency assessments (including Second Language Evaluation tests in relation to staffing), recourse, special submissions to exempt employees from language training (excludes training and development), and related policies and procedures. Individual Cases when staffing is considered 2 years following expiry of the eligible list for a staffing action or two years after the last administrative action 3.2 Training and Development This sub-function includes material on all aspects of training and development, including plans based on human resource requirements, and all documentation related to employment equity, courses, schedules, cost, granted leave, TB policies and standards and servicewide training goals, management training, communications training, language training, health and safety training, employee orientation, professional development training for trainers, and operational or inhouse training; and all documentation such as audits, annual management reports, and departmental reports on training produced according to Training Information System (TIS) requirements. NOTE: Training records (participation and achievement) on individuals to be placed on the Personnel (Employee) file Training and Development Includes records on all aspects of training and development, including plans based on human resource requirements, and all records related to employment equity, course, schedules, cost, granted leave, TB policies and standards and service-wide training goals, management training, communications training, language training, health and safety training, employee orientation, professional development training for trainers, and operational or in-house training; and all documentation such as audits, annual management reports, and departmental reports on training produced according to Training Information System (TIS) requirements. Classification Training and Accreditation - Includes records relating to all aspects of training classification specialists, including minimum requirements and departmental criteria, course information (e.g., Introductory Course in Classification), and written assessments of participants performance individual cases 2 years after completion of the particular training and development undertaken by an employee. Participation and achievement records are placed on the employee s

11 Occupational Safety and Health Training Personnel File. This retention is governed by the Privacy Act and must be adhered to. See Treasury Board s publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 905, Training and Development for additional information on this standard bank. CPR Certificates 1 year after training 17 First Aid Certificates 3 years after training 18 For Emergency Wardens Regarding dangerous substances (i.e. handling or being exposed to hazardous substances; installing, operating, maintaining or repairing pipes, valves, safety devices etc., used for transferring hazardous substances) 2 years after training 2 years after employee ceases to handle, be exposed to the hazardous substance; or to install, operate, maintain, or repair pipes etc. for transferring the dangerous substance. Participation and achievement records are placed on the employee s Personnel File. Official Languages Training Information concerning course enrôlement, attendance, applications, qualifications, etc. Language examination, exemption and training records Other Training and Development undertaken by Employee (not including language, classification, occupational safety and health and Supervisor/Manager/Executive training) 2 years after last date of documentation. This retention is governed by the Privacy Act and must be adhered to. See Treasury Board s publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 906, Official Languages, for additional information on this standard bank. Place on the Personnel (Employee) file. See Treasury Board s publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 906, Official Languages for additional information on this standard bank. 2 years after completion of the particular training and development undertaken by an employee. Participation and achievement records are placed on the employee s Personnel File. This retention is governed by the Privacy Act and must be adhered to. See Treasury Board s publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 905, Training and Development for additional information on this standard bank Development of Supervisors, Managers, and Executives Includes records related to all aspects of planned and continuous learning of present and future managers, including documentation on departmental policy; career development plans; participation in larger investment developmental programmes and activities, such as Interchange Canada Program, self-funded leave, and Management Trainee Program. Individual Cases (does not include language training) 2 years after completion of the particular training and development undertaken by an employee. Participation

12 and achievement records are placed on the employee s Personnel File. This retention is governed by the Privacy Act and must be adhered to. See Treasury Board s publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 905, Training and Development for additional information on this standard bank. 3.3 Performance Assessment This sub-function encompasses the business processes and activities which produce records created in the course of identifying human resource needs in a federal institution. More specifically, the performance of employees in their assigned tasks is evaluated based upon regularly established objectives. Performance evaluation supports the identification of training requirements and the enabling of future career moves Performance Assessment Includes records relating to all aspects of performance assessment, including departmental policies and procedures, and related documentation, such as employee objectives and expected results, and formal performance assessments Individual appraisals 5 years. 19 See Treasury Board s publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 912, Performance Reviews and Employee Appraisals, for additional information on this standard bank. 3.4 Occupational Safety and Health This sub-function encompasses the business processes and activities which produce records created in the course of identifying human resource needs in a federal institution. More specifically, it ensures the provision of a safe working environment for employees, including monitoring of injury on duty, injury prevention programmes, and the administration of the Employee Assistance Program Occupational Safety and Health Includes records relating to all aspects of occupational safety and health, including documentation on the Canada Labour Code, Labour Canada (Human Resources and Skills Development Canada (HRSDC)), and Health Canada directives (including the Public Service Health Program), occupational safety and health programmes, TB policies and standards, training, employee assistance services, monitoring (including inspection reports, investigation reports, testing reports, statistical reports, annual management reports, and multi-year human resources plans), cost, advice, research and special studies. Monitoring - Accidents, Injuries, and Illness NOTE: Prior to the destruction of any records dealing with Occupational Safety and Health inspection, investigation and testing reports, institutions should consult Part II of the Canada Labour Code and supporting Occupational Health and Safety Regulations, as well as existing TB Directives,

13 Standards and procedures governing Occupational Safety and Health. Where there are inconsistencies, the longest retention period should be used. Where retention periods have not been specified, legal counsel should be consulted prior to destruction of the records First Aid Treatment records Injury or illness investigation reports including related correspondence and supervisor s Accident Investigation Report. Injury or illness investigation reports and related correspondence and supervisor s Accident Investigation Report concerning exposure to hazardous substance. 10 years. 20 Records are retained by institutions in the appropriate responsibility centre. See Treasury Board s publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 907, Occupational Safety and Health for additional information on this standard bank. 10 years. Records are retained by institutions in the appropriate responsibility centre. 21 See Treasury Board s publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 907, Occupational Safety and Health for additional information on this standard bank. 30 years. 22 Records are retained by institutions in the appropriate responsibility centre. See Treasury Board s publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 907, Occupational Safety and Health for additional information on this standard bank. Inspection, investigation and testing reports into accidents, occupational injuries and illness affecting personnel that involve: - airborne chemical agents, dangerous substances 3 years after testing - boilers, pressure vessels, piping systems 10 years after inspection - hazardous occurrences involving damage to boilers, pressure vessels, piping systems and elevating devices, rendering them unserviceable 10 years after occurrence - material handling equipment, motor vehicle operator s daily record 1 year after report signed - regarding elevating devices, dangerous substance, confined spaces, protecting equipment, hazardous occurrences, meetings and drills for evacuation plans 2 years after signing submission or test Employee Assistance Program (EAP) Includes records relating to all aspects of the EAP, including policies and directives, Code of Ethics, assessments of the programme, contracts for outside services, advice, medical diagnosis, referrals, training, monitoring (including statistics and summaries, and audits) Individual cases 2 years after the date of the client's most recent contact with EAP. This retention is governed by the Privacy Act and must be adhered to. See Treasury Board s publication Info Source: Sources of Federal Employee

14 Information, Main Book Standard Personal Information Bank PSE 916, Employee Assistance, for additional information Working Conditions Includes records relating to all aspects of working conditions, including clothing directives; workplace fitness programmes; smoking in the workplace; HIV and AIDS; general directives and standards; procedures, guides and advisory notices. 3.5 Staff Relations This sub-function generally encompasses the business processes and activities which produce records created in the course of identifying human resource needs in a federal institution. More specifically, it relates to the management of relationships between labour and the employer which includes negotiating and interpreting collective agreements and other understandings with recognized labour representatives, including designation activities, grievance and recourse processes, and processes related to discipline and nondisciplinary demotion and termination of employment. Strikes also form part of the staff relations sub-function Collective Bargaining Includes records on all aspects of negotiating collective agreements, their interpretation, and administration, including certification; managerial or confidential positions or exclusions; and collective bargaining. Individual Collective Agreements 1 year after expiry of the agreement Designation Process Includes records relating to all aspects of the designation process, including departmental reviews of positions, negotiations between departments and unions, referrals of positions in dispute to the Designation Review Panel, and PSLRB decisions; and all supporting documentation, such as notifications of positions to be designated, and reviews and updates of designation records Recourse Includes records relating to all aspects of recourse concerning processes and decisions relating to staff relations, including appeals and conflict of interest, notably the following: grievance process; adjudication. 24 Adjudication - Individual cases Alternate Dispute resolution - Individual cases 3 years following date of resolution or date of decision by the Public Service Labour Relations Board. See Treasury Board s publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 910, Grievances, for additional information on this standard bank. 3 years after decision made or case withdrawn

15 Anti-discrimination complaints Individual cases Appeals and Grievances - Individual cases Mediation - Individual cases 2 years after last administrative use 3 years following date of resolution or date of decision by the Public Service Labour Relations Board. See Treasury Board s publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 910, Grievances, for additional information on this standard bank. 3 years after decision made or case withdrawn Disciplinary and Non-Disciplinary Demotion or Termination of Employment Includes records relating to all aspects of discipline and nondisciplinary demotion or termination of employment, including: discipline (development and maintenance of, amendment to, codes of discipline; disciplinary actions, including background and supporting documentation); non-disciplinary demotion or termination of employment (such as documentation sent to employees stating reasons for demotion or termination of employment and the right to grieve, and supporting documentation). Individual cases, including documentation related to disciplinary action Strikes The time limit for disposal is that specified in applicable collective agreements or a minimum of two (2) years following the date of disciplinary action, provided no further disciplinary action has been recorded in the meantime. In cases where a disciplinary action has been rescinded, the onus is on the institution to ensure that the documentation of the action concerned is immediately destroyed. Note that notices of disciplinary action may be attached to the Employee Personnel Record. This is a Retention and Disposal Standard governed by the Privacy Act and prescribed by Treasury Board that must be adhered to. See Treasury Board s publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 911, Discipline, for additional information on this standard bank. 25 Includes records relating to strikes, such as documentation on planning for strikes, steps to take when a strike is expected, steps to take when a strike is imminent, information on the operational impact of a strike, number of employees on strike and at work, material on picketing of government premises, strike logs, and other detailed information; documentation of a legal nature, including prosecutions, back-to-work injunctions, affidavits, and supportive relevant documentary material such as objects, documents, and evidence from witnesses Union Dues Check Off Includes records relating to all aspects of deduction and remittance of union dues, including starting and stopping dues, deductions, changing dues deductions, completing and distributing required forms, collecting arrears and overpayment refunds, and related

16 documentation, such as applications for exemptions, pay input documents (or requests for refund forms), and PSAC payroll identification form Transfer of Pregnant Employees Includes records relating to the transfer of pregnant employees, such as policy implementation, complaints and grievances Values and Ethics Code for the Public Service 26 Includes records related to the Code (Values and Ethics Code for the Public Service), such as employee certification forms, confidential reports, and documentation related to divestment of assets or curtail activities, exit arrangements, as well as all departmental reports and audit and evaluation reports on the Code s application. Individual cases Retained by employing institution to which the Certification Document and Confidential Report were submitted for duration of employment plus 2 years. This retention is governed by the Privacy Act and must be adhered to. See Treasury Board s publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 915, Values and Ethics Code for the Public Service, for additional information on this standard bank. 3.6 Compensation and Benefits This sub-function generally encompasses the business processes and activities which produce records created in the course of identifying human resource needs in a federal institution. More specifically, it ensures that pay, pension, and benefits standards and practices are established that will provide a fair standard of compensation for work performed Compensation - Terms and Conditions Includes records relating to all aspects of terms and conditions of employment, such as pay, leave, overtime, bilingualism bonus, delegation, discipline, retirement, death benefit, casual and seasonal employees, and any reviews and audits, as well as terms and conditions of employment for employees living outside of Canada, including reviews and monitoring of related regulations and directives. Celebrations and holidays - Government observance of 1 year 27 Leave and Holidays (Annual, casual, furlough, maternity, overtime, retirement, sick, special and other types of leave) - Leave forms 2 years after expiry of fiscal year (leave forms are not be filed on Employee Personnel files; however, the annual record of attendance and leave may be attached to the Employee Personnel Record). This retention is governed by the Privacy Act and must be adhered to. See Treasury

17 Board s publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 903, Attendance and Leave, for additional information on this standard bank Compensation - Salary Administration Policy Includes records relating to all policies directed at specific groups of employees, including reviews and audits of the application of these policies Compensation - Rates of Pay Includes records relating to rates of pay, including rates of pay for excluded and unrepresented employees. Casuals and seasonals (rates of pay, statements of hours worked, etc.) Compensation - Special Assignment Pay Plan Includes records relating to the SAPP such as documentation concerning special recruitment, special projects, training and development, and pre-retirement projects; quotas; individuals taking on special assignments, rationale for the assignment, dates and possible extension of the assignment Compensation Retirement Planning Includes material relating to retirement planning programmes, policies, activities, including interdepartmental arrangements, and retirement documentation provided to employees Documentation concerning a specific employee Leave forms Place on the Personnel (employee) file. 2 years after expiry of fiscal year (leave forms are not be filed on Employee Personnel files; however, the annual record of attendance and leave may be attached to the Employee Personnel Record). This retention is governed by the Privacy Act and must be adhered to. See Treasury Board s publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 903, Attendance and Leave, for additional information on this standard bank Compensation - Employee Services 28 Includes records relating to all employee services such as travel and accommodation, taxis, and relocation guarantees. Individual travel, accommodation and use of taxis 29 Individual relocation guarantees 30

18 3.6.7 Compensation - Pay Administration Includes records relating to pay administration such as documentation on collective agreements; terms and conditions of employment; pay rate selection; pay rate change; additions to basic pay; deductions form pay, including mandatory deductions such as pension and voluntary deductions; recovery of amounts due to the Crown; parttime, casual, and seasonal employees; and terminations of employment. Hours of work and overtime - Regular, compressed and flexible hours of work, overtime authorization, reports of overtime performed, time off, etc Income Tax - Statements of personal exemptions and deductions Salaries and wages - Documentation concerning a specific employee Superannuation individual cases 2 years after superseded 2 years after expiry of fiscal year Place on the Personnel (Employee) file Benefits - Life Insurance Includes records relating to life insurance plans and policies for employees, including those excluded from collective bargaining, such as documentation on the insurer, the Board of Trustees, legislative authorities, pay, and eligibility Benefits - Health Insurance Includes records relating to all aspects of health insurance, such as all documentation on programmes concerning the following; general health care, supplementary coverage for employees in Canada, comprehensive coverage for employees serving outside Canada, all Executive Group provincial health insurance, and eye and dental care Benefits - Sick Leave and Long-Term Disability Insurance Includes records relating to all aspects of sick leave and long-term disability insurance. Leave forms - Sick Leave 2 years after expiry of fiscal year (leave forms are not be filed on Personnel (employee) files; however, the annual record of attendance and leave may be attached to the Employee Personnel Record). This retention is governed by the Privacy Act and must be adhered to. See Treasury Board s publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 903, Attendance and Leave, for additional information on this standard bank Benefits - Compensation for Work-Related Injury or Death Includes records relating to all aspects of work-related injury or death, including employment injury benefits (workers compensation), provincial benefits, injury-on-duty leave, and related plans. 13 years 32

19 Benefits -Maternity Benefits Includes records relating to all aspects of maternity benefits, including documentation on the supplemental unemployment benefit plans, parental benefits, maternity leave without pay, sick leave, vacation leave, and compensatory leave. 3.7 Human Resource Planning and Utilization This includes material pertaining to the programmes and activities related to the identification of future human resource requirements and the development of plans to meet those requirements. Resources are monitored and utilized in planning in the form of feedback to employees and management, allowing adjustments in resource allocations to take place over a period of time Human Resource Planning Includes records relating to all aspects of human resource planning, including documentation leading to the determination of departmental and service-wide objectives, all levels of plans addressing human resource considerations, from individual career management to corporate level Multi-Year Human resource Plans, and related documentation such as analyses, studies, reviews, and audits. Performance Measurement (corporate measures) Reports and statistics Studies, Surveys and Systems (may include Personnel management surveys, studies and systems) 3 years 3 years 3 years after study/survey has ceased or system has been implemented Human Resource Utilization Includes all records relating to the utilization of resources for planning purposes, such as documentation on performance, attendance, leave, and FTE utilization. Attendance and Punctuality registers, reports etc Reports and Statistics 2 years after fiscal year expires 3 years 3.8 Classification This sub-function encompasses the business processes and activities which produce records created in the course of identifying human resource needs in a federal institution. More specifically, job classification, or evaluation, involves the analysis of functions resulting in the formulation of an organization structure and its positions. Classification actions are initiated and reviewed, and classification standards, policies, and procedures are developed and implemented. Employees may grieve classification decisions. The classification sub-function is based on Treasury Board policies relating to the classification system, classification delegation, training and accreditation, and classification grievances.

20 3.8.1 Classification System Includes records relating to discrete occupational groups, occupational categories, relative salaries, pay rates, classification standards, notices of standard classification review, problems encountered in the application of the classification standards, data relating to the conversion of positions, and information on the development, review, and promulgation of classification standards Classification Delegation Includes records relating to the delegation to deputy heads and their delegates to make classification decisions, such as their responsibilities for internal audit and review procedures, triennial review assessing the quality of classification decisions, job description (classification decision) approval and certification of effective date of duties, quarterly reports on corrective action, reviews prior to the reclassification of occupied position, annual reports on classification monitoring, triennial reports on the review of a sample of classification decisions against established performance targets; quarterly inputs to Treasury Board Secretariat positions information system; internal audit reports on the management of classification. Position Files (work descriptions) 1 year after superseded or obsolete Classification - Training and Accreditation 33 Includes records relating to all aspects of training classification specialists, including minimum requirements and departmental criteria, course information (e.g., Introductory Course in Classification), and written assessments of participants performance Classification Grievances Includes records relating to classification grievance, including reviews of grievances, recommendations, and management s replies to classification grievance, as well as documented methods and time frames and decisions prepared as part of the monitoring of this policy. Individual Case files 3 years following the date of resolution or date of decision by Public Service Labour Relations Board Official Languages This sub-function encompasses the business processes and activities which produce records created in the course of identifying human resource needs in a federal institution. More specifically, official languages policies and guidelines flow from the legal obligations imposed on the Treasury Board and federal institutions by the Official Languages Act 35 and its pursuant regulations. Policies cover such areas as service to the public, language of work, and equitable participation, and the programme management measures to ensure that the policies are respected and successfully implemented.

21 3.9.1 Service to the Public (Communications with the Public) Includes records on all aspects of service to the public in both official languages, including directives on the application of provisions of legislation, and actual communication with the public in various forms, such as signs, advertisements, information booklets sent to all citizens, publications, reports, documents on health, safety, or security, information sessions and consultations, participation or hosting of a national or international event; and particular agreement with Treasury Board on the application of provision of legislation, as well as reviews and reports of the success of the application Language of Work Includes records on all aspects of ensuring that the language of work meets the requirements of the Official Languages Act, such as rules and directives for designated bilingual or unilingual regions, the right to grieve in either official language, the right to have performance appraisals in the official language of choice; and including the provision of bilingual personal and central services (including information technology services), and work manuals and forms Equitable Participation Includes records on all aspects of equitable participation of members of the two official language groups, including policies and procedures Programme Management Includes records on all aspects of managing official languages programmes, including documentation on the identification of functions or positions classified to reflect linguistic operational needs, departmental and Treasury Board requirements for communication with the public, language of work, and equitable participation, as well as translation; documentation which represents official languages legislation in the staffing process and in access to language training for employees; and documentation on administrative measures put in place to ensure policies are respected. Position files (determining the linguistic profile of positions) 1 year after superseded or obsolete. NOTE: Language examination exemption and training records to be placed on Personnel (Employee) file Employment Equity This includes material pertaining to the programmes and activities that ensure equitable representation and distribution in the Public Service of Aboriginal people, members of visible minority groups, persons with disabilities and women. May include such information as: the monitoring of employment equity performance, progress reports, a record of employees who have been provided with attendant or other specialized services; the nature and the cost of specialized services; statistical data in order to enable the development of policies, programs and practices that are sensitive and responsive to the multicultural reality of Canada; etc