General Disposal Authority for Human Resource ...The original General Disposal Authority for human resource management records was compiled by the State Records Office (formerly the

State Records Office of Western Australia (Formerly the Public Records Office of Western Australia)

General Disposal Authority for

Human Resource Management Records

RD 99002 Fully revised and published by the State Records Office in 1999.

Published 1999 1

© Copyright is reserved by the State Records Commission 2006. All rights reserved. One copy may be produced of this Authority to be used as a working copy. Otherwise no part of this Authority may be used, stored, reproduced or transmitted in any form or by any means, electronic, mechanised, photocopying, recording or otherwise, except under the terms of a licence authorised by the State Records Commission of Western Australia. An electronic version may also be purchased from the State Records Office of Western Australia under a licence agreement with the State Records Commission of Western Australia.

Published 1999 2

Contents Page Preface 6 Acknowledgments 7 Introduction 8 1. Background 8 2. Legislative Requirements 8 3. Microfilming or Microfiching of Records 9 4. Microfilming Temporary Records 9 5. Microfilming of Records of Archival Value 9 6. Microforms as Evidence 10 7. Electronic Records 11 8. Records Relating to Aboriginal People 11 9. Further Information 12 Use of the Authority 13 1. Disposal of Records 13 2. Scope and Arrangement of the Authority 13 3. Notes Relating to Specific Classes 14 4. Management of Human Resource Records 15 5. Recommended Methods of Destruction 15 6. Definition of Terms Used in the Authority Tables 16 General Disposal Authority Tables 17 1. Compensation 17 1.1 Policy 17 1.2 Claims 17 1.2.1 Claims - Injury/Accident/Disease 17 1.2.2 Claims - Property Loss/Damage 17

Published 1999 3

Contents Page General Disposal Authority Tables cont. 1.3 Rehabilitation 18 1.3.1 Rehabilitation - Individual 18 1.3.2 Rehabilitation - Group 18 1.4 Surveys 18 2. Establishment 19 2.1 Policy 19 2.2 Restructuring 19 2.3 Vacancies 19 2.3.1 Vacancies - Position Descriptions 19 2.3.2 Vacancies - Senior Executive Service 20 2.4 Variations 20 3. Industrial Relations 21 3.1 Policy 21 3.2 Agreements 21 3.3 Claims 22 3.4 Disputes 22 3.5 Enterprise Bargaining 22 3.6 Industrial Action 23 3.7 Surveys 23 4. Occupational Health and Safety 24 4.1 Policy 24 4.2 Accidents and Hazards 24 4.2.1 Accident Notification 24 4.2.2 Asbestos 24 4.2.3 Asbestos - Personal History 24 4.2.4 Grievances/Complaints 25 4.2.5 Hazardous Substances 25 4.3 Committees 25 4.4 Health Promotion 25 4.5 Inspections 26 4.6 Risk Management 26 4.7 Surveys 26

Published 1999 4

Contents Page General Disposal Authority Tables cont. 5. Personnel 27 5.1 Policy 27 5.2 Allowances 27 5.3 Authorisations 27

5.4 Counselling 27 5.5 Discipline 28 5.6 Employment Conditions 28 5.6.1 Clothing 28 5.6.2 Fellowships 28 5.6.3 Relief/Acting 28 5.6.4 Secondments 28 5.7 Evaluation 29 5.7.1 Equal Employment Opportunity (EEO) 29 5.7.2 Honours 29 5.8 Grievances 29 5.9 Leave 29 5.10 Performance Management 29 5.10.1 Performance Appraisal 29 5.10.2 Performance Monitoring 30 5.10.3 Substandard Performance 30 5.11 Personal 30 5.11.1 Personal History Summary Information 30 5.11.2 Personal Files of CEO's 30 5.11.3 Personal Files 31 5.11.4 Indexes/Registers 32 5.11.5 Police Clearances 32 5.11.6 Criminal History Records 32 5.12 Recruitment 32 5.12.1 Employment 32 5.12.2 Employment Schemes 32 5.12.3 Interview Notes 32 5.12.4 Mass Recruitment 32

Published 1999 5

Contents Page General Disposal Authority Tables cont. 5.12.5 Student Vacation Employment Records 33 5.12.6 Work Experience Programmes 33 5.12.7 Volunteers 33 5.13 Rosters 33 5.14 Salaries 33 5.14.1 Attendance Books and Time Sheets 33 5.14.2 Deductions 33 5.14.3 Group Certificates 33 5.14.4 Payroll 33 5.14.5 Salary Packaging 33 5.15 Separations 34 5.16 Surveys 34 6. Staff Development 35 6.1 Policy 35 6.2 Conferences 35 6.3 Surveys 35 6.4 Training 35 6.4.1 Course Information 35 6.4.2 Examinations 35 6.4.3 Study Assistance 36 6.4.4 Staff Awareness Programmes 36 6.4.5 Traineeships 36 Index 37

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Preface Under Section 30 of The Library Board of Western Australia Act 1951-1983, public officers may only destroy or dispose of any public record or class of public record in accordance with an approved retention and disposal authority. The original General Disposal Authority for human resource management records was compiled by the State Records Office (formerly the Public Records Office) of Western Australia, in 1994, in fulfilment of its responsibilities under Sections 22 to 33 of The Library Board of Western Australia Act 1951-1983. The original Authority was developed using the results of a survey of a number of State Government agencies with input being provided by appropriate officers, including Human Resource Managers and Records Managers. A number of relevant consultations and seminars were also conducted during its formulation and revision. It has been approved by the Standing Committee on Public Records and endorsed by the then Public Service Commission. The schedule was revised in 1996 and forms the basis for long term planning and management of the lawful disposal of records. The Authority was the first of a number of General Disposal Authorities (GDAs) developed for State Government agencies by the State Records Office. GDAs are continuing authorities for the disposal of administrative or general records which document an agency's routine internal operations. They cover records common to most State Government agencies thereby eliminating the necessity for each agency to prepare its own authority for general records, and providing consistency throughout the State Government in disposal activities and decisions. This 1999 edition has been fully revised to conform with Keyword AAA file titling thesaurus language.

Published 1999 7

Acknowledgments The original Authority was developed in consultation with a number of key State Government agencies and their assistance is gratefully acknowledged. Special thanks are due to Worksafe Western Australia (formerly the Department of Occupational Health, Safety and Welfare) for their generous assistance with staff resources for the project.

Published 1999 8

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 public records.

In the past the retention period for human resource management records for public sector employees has varied from agency to agency depending on individual retention and disposal practices followed. The previous policy used for the management of personal files was set by the Public Service Commission in 1957. 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. This Authority was developed for this reason.

2 Legislative Requirements ■ Retention and Disposal

Public sector agencies collect a variety of information about their staff members, especially those who are employed for many years. The retention and disposal of these records falls primarily under the provisions of The Library Board of Western Australia Act 1951-1983. Section 30 (2) of The Library Board of Western Australia Act 1951-1983 prohibits public officers from destroying records unless such destruction is in accordance with an authorised retention and disposal authority. Destruction of public records in accordance with this Authority conforms to the above requirement.

■ Freedom of Information (FOI) An agency which destroys records according to an approved retention and disposal authority does not contravene the terms of the Freedom of Information Act 1992. The Freedom of Information Act prescribes rights and procedures for access to documents held by Government agencies. If a request for access under the Act has been lodged, all files relevant to the request, regardless

Published 1999 9

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.

■ Investigations and Inquiries

If an investigation or inquiry is in progress, all records relevant to the investigation or inquiry must be identified and preserved until the action and subsequent actions are completed.

3 Microfilming or Microfiching of Records Microfilm or microfiche must be capable of clear reproduction for the specified retention period of the records recorded on the microfilm or microfiche. The accountable officer or authority shall:

• ensure that processed microfilm or microfiche is clearly identified in respect of records recorded on the microfilm or microfiche.

• cause to be kept and maintained a register of microfilm or microfiche produced containing the identification and contents of each microfilm or microfiche.

• implement effective safeguards for the safe custody and storage of microfilm and microfiche.

4 Microfilming Temporary Records

Agencies 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 those original records have not been retained for the minimum period specified in this schedule. This schedule does not give approval to microfilm and destroy hardcopy correspondence.

5 Microfilming of Records of Archival Value

In case of permanent records, failure to film to archival standards will result in a refusal to allow destruction of the original record, regardless of the format of the original record.

LISWA offers a microfilming service to approved ISO and Australian Standards to State and Local Government agencies for their archival value records. The records must be covered by an approved retention and disposal schedule. The agency must provide properly prepared records according to the State Records Office Standard No. 3 ‘Guidelines for Microfilming Public Records’.

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Agencies interested in this service must apply in writing to the State Records Office in the first instance. Approval for the destruction of permanent value records will only be given by SCOPR where microfilming has been done in accordance with these guidelines.

There are a number of ISO and Australian Standards applicable to the production of archival quality records onto microfilm. Archival quality microfilm must be silver halide on polyester base, and must be filmed and processed in accordance with the following standards:

AS1203-1996 Microfilming of Engineering Documents (35mm), Standards Association of Australia. ISO 5466:1996(E) Photography - Processed safety photographic films - Storage practices. International Standards Organisation ISO 10602:1995(E) Photography - Processed silver gelatin type on poly(ethylene telephthalate) base black and white film for archival records - Specifications for stability. International Standards Organisation.

To maintain quality control, the processing agency is required to monitor the density and resolution of the film, and to ensure that processing removes residual chemicals in quantities greater than those set in Standard ISO 4332;1986E. There are other Standards which apply to such things as newspapers and COM (Computer Output Microfilm). Standards are reviewed periodically, so agencies are advised to check Standards before embarking on a microfilm program.

6 Microforms as Evidence

Microfilms and microfiche provide an effective and efficient means of retaining records. They permit savings in storage space and associated costs, ease of access and handling and speedy retrieval of information. However, accountable officers and authorities wishing to retain records on microfilm or microfiche should be aware of the requirements of the Evidence Act 1906 concerning the admissibility in evidence of reproductions of documents. All microfilming must be produced in accordance with the Evidence Act.

Of particular significance is section 73R of the Evidence Act. This provides that unless expressly stated or otherwise, where an act, law or duty requires a document to be preserved or kept for a longer period of time than three years, it is sufficient compliance with such requirement, that instead of preserving or keeping the document that is over three years old, to preserve or keep a negative thereof, made by an appropriate machine, together with an affidavit or statutory declaration. However, as yet no machine has been approved by the Attorney General's Office.

Published 1999 11

The absence of an approved machine does not of itself render records stored on microfilm or microfiche as inadmissible evidence.

7 Electronic Records

Electronic records are subject to the provisions of this Authority in the same way as files, cards and microforms. Depending on the agency's information technology framework, information held in electronic form may be kept in the current database form, on backup electronic media such as tapes or disks, or as hard copy.

An electronic record is any record communicated and maintained by means of electronic equipment along with associated metadata (eg. directory tree or index, and software information such as appropriate 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 should be appraised in the same way as paper-based records.

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. Agencies 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. For further information please see State Records Office of Western Australia, Policies and Standards Manual, and in particular, Public Records Policy: 8, Policy for the ongoing management of electronic records designated as having archival value.

8 Records Relating to Aboriginal People

Key recommendations of the ‘Bringing Them Home Report’ relate to the need for the identification, preservation, indexing, management and access to records relating to Aboriginal individuals, families and/or communities in accordance with established privacy principles.

The report recommends:

that no records relating to Indigenous individuals, families or communities or to any children, Indigenous or otherwise, removed from their families for any other reason, whether held by government or non-government agencies, be destroyed. (Recommendation 21)

In accordance with the Premier’s Circular to Ministers No. 14/98 agencies are to take necessary steps to identify and preserve any such records held in any format within their record collections.

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Records which fall within this category are not to be destroyed and should be the subject of consultation with the State Records Office.

9 Further Information

For further information about the General Disposal Authority for Human Resource Management Records, please contact the State Records Office on (08) 9427 3371.

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Use of the Authority 1 Disposal of Records Case by case authorisation by the State Records Office for destruction of records in accordance with the provisions of this Authority is not necessary. Files requiring long term storage of more than 10 years (eg. personal files) may be transferred to the Intermediate Records Repository in Dianella (space permitting), or to commercial repositories. Microfilming or transfer to optical media may also be considered. It is the agency’s responsibility to ensure that the information on these records is accessible for as long as it is required. The number of years specified in the Authority as the agency retention period for archival records destined for transfer to the State Records Office (see "Recommended Custody" column) is the minimum requirement. Agencies may hold files longer than the stated period depending upon their estimated retrieval rates. 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 a permanent record, should be referred to the State Records Office for evaluation. 2 Scope and Arrangement of the Authority This Authority deals with six functional areas : ■ Compensation ■ Establishment ■ Industrial Relations ■ Occupational Health and Safety ■ Personnel ■ Staff Development Within each of the broad areas described above, each one has been further divided into a number of sub-areas or classes using terms (activity descriptors) from the second tier of the hierarchical structure documented in Keyword AAA (1998): a thesaurus of general terms, produced by the State Records of New South Wales (formerly the Archives Authority of New South Wales). Whilst some agencies may have different titling conventions, the areas and classes cover the broad spectrum of human resource management records found in agencies.

Published 1999, Amended May 2001 14

3 Notes Relating to Specific Classes Policy Each of the six functional areas has a policy class. Records of policies developed internally by each agency are to be retained permanently as archives. It is essential that all files dealing with policy statements and 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. Compensation - Claims - Injuries/Accidents/Disease (1.2.1) This class refers to duplicate copies of records, file notes and routine correspondence created by agencies when lodging claims with RiskCover. These copies may be destroyed 7 years after the claim is finalised. It is anticipated that the records of agencies such as RiskCover and WorkCover, relating to workers compensation, will be retained until 71 years after the employee’s date of birth or 6 years after retirement, whichever is later, or 6 years after death. Personnel - Personal Files (5.11.3) The contents of personal files as listed in section 5.11.3 of the Authority will vary depending upon the employing authority. The former Administrative Instruction 203 - Conditions of Appointment and Administrative Instruction 725 - Employee Personnel Records have been repealed and are replaced within each agency by “Approved Procedures and Guidelines” and “Best Practice Guidelines” respectively. In all cases, the disposal actions refer to the main file, not to the duplicate or subsidiary files maintained for current convenience, eg. in a local branch or section. Duplicate and/or subsidiary files should be destroyed when the officer separates from service. Workplace Agreements It is anticipated that registered copies of Workplace Agreements for State Government employees under State awards and lodged with the Commissioner for Workplace Agreements, will be retained permanently as archives. Workplace Agreements for State Government employees under Federal awards are registered with the Office of the Employment Advocate. Industrial (Enterprise) Agreements It is anticipated that Industrial Agreements for State Government employees under State awards, registered with the WA Industrial Relations Commission, will be retained permanently as archives. Industrial Agreements for State Government employees under Federal awards are certified by the Australian Industrial Relations Commission.

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4 Management of Human Resource Records When managing records under the provisions of this Authority the effective 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 put into 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 strategic automated records management system. 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. Consideration should be given to the handling of the records whether in paper, microform or electronic format. Often these files 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 ■ disciplinary investigation or action

5 Recommended Methods of Destruction of Public Records When public records are scheduled for destruction it must be done completely so that no information is retrievable. It is recommended that hard copy (paper) public records due for destruction should only be destroyed by shredding, pulping or trommelling. Burning or burying of public 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.

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6 Definition of Terms Used in the Authority Tables Abolition of Position The abolition of a position also includes re-designation or re-classification of positions. Action Completed Refers to when a file or volume is closed as a result of being full, or as a result of an activity ceasing for a substantial length of time. Agency Any government department, office, bureau or part thereof and any statutory authority or local government body which maintains its own records keeping system. Disposal Action The final disposition is set according to whether or not the record is of archival value and will be either Archive or Destroy. ■ Archive - a record or record series that has been identified as having archival value and is to be transferred to the PRO for

permanent retention.

■ Destroy - a record or record series not regarded as having permanent (archival) value. It should be noted that there will be

different retention periods within this series.

Electronic Record An electronic record is any record communicated and maintained by means of electronic equipment. An electronic record may be defined as any information that is input into a computer system, and processed, modified, stored and accessed via that system. Electronic records may include data files and databases, machine readable indexes, word processing files, electronic spreadsheets, electronic mail and electronic messages, internet and intranet systems, as well as other text or numeric information, along with associated metadata to give meaning to the record. Electronic records should be appraised in the same way (or for the same values) as paper-based records. Public Record Any record which has been produced, received or kept by any government or semi government agency, or local authority irrespective of the form in which the information is recorded. Library materials, however, are explicitly excluded from this coverage. Public records can contain information in any media and document the functions and operations of an organisation. Such records include files, registers, plans, maps, microforms, computer records, video tapes, film and photographs etc.

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Ref No Description of Records Disposal Action

Recommended Custody

1

1.1

1.2

1.2.1

1.2.2

COMPENSATION Records dealing with the provision of compensation to employees for accidents, injury or disease arising out of, or in the course of, their employment. (See also 4. Occupational Health and Safety). Policy Internal policies and procedures. External policies and procedures. Claims Claims - Injury/Accident/Disease Original records concerning claims for compensation for accident/injury/disease held by RiskCover or WorkCover or equivalent. Duplicate copies of records, file notes and routine correspondence submitted to RiskCover and WorkCover or equivalent. (See note re: RiskCover and WorkCover on p.14) Claims - Property Loss/Damage Records relating to claims for reimbursement for loss or damage to clothing or personal effects.

A

D

D

D

D

6 years after action completed


71 years after employee’s date of birth or 6 years after retirement,

whichever is later, or 6 years after death

7 years after claim is finalised

7 years after claim is finalised

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Recommended Custody

1.3

1.3.1

1.3.2

1.4

Rehabilitation Rehabilitation - Individual Rehabilitation case management files maintained in an agency for individual employees. Rehabilitation - Group Records relating to files maintained for employees in group cases Surveys Raw data.

D

D

D





6 months after collated and/or audited

Published 1999 19


Recommended Custody

2

2.1

2.2

2.3

2.3.1

ESTABLISHMENT Records relating to the number of positions in an agency and the organisation and structure of those positions. Includes charts, reports and proposals to create, abolish and reclassify positions. Policy Internal policies and procedures. External policies and procedures. Restructuring Records relating to reviews and restructures affecting major functional sections of the agency or the agency as a whole. Includes amalgamations, classification, corporatisation, organisational charts, privatisation, redeployment and retraining. Records relating to reviews and restructures affecting only particular sections of the agency and having little effect on the overall functioning of the agency. Vacancies Records relating to the activities associated with managing positions in the organisation that are currently unoccupied, and with the recruitment of staff for positions. Vacancies - Position Descriptions Records relating to advertising and appointment to vacant positions. Includes duty statements, selection criteria, interview reports, appeal notices etc.

A

D

A

D

D

D





1 year after action completed


Published 1999 20


Recommended Custody

2.3.2

2.4

Vacancies - Senior Executive Service Records relating to Senior Executive Service appointments including job description, selection criteria, advertisements, etc. Variations Records relating to positions (not persons) detailing rationale for creation, duty statements, selection criteria and classification information. Retain selected samples permanently.

A

D

A


2 years after abolition of position


Published 1999 21


Recommended Custody

3

3.1

3.2

INDUSTRIAL RELATIONS All matters relating to the management or study of the relations between the agency as employer and unions or associations and employees. Includes negotiations conducted to obtain determinations, agreements or awards, industrial disputes settled within the organisation or by an external arbitrator, and reports of the state of industrial relations within an organisation. Policy Internal policies and procedures. External policies and procedures. Agreements Records, including correspondence with the Industrial Relations Commission (IRC) and the Department of Productivity and Labour Relations (DOPLAR) and unions or associations, relating to cases presented to the IRC to determine awards where the agency is a major participant in negotiations. Records relating to other cases presented to the IRC. Copies of awards, agreements, determinations etc kept for information purposes. Records relating to liaison with employees, staff bodies and unions on significant issues such as: * advice concerning changes to working arrangements * notes of meetings * information regarding union policies, newsletters etc.

A

D

A

D

D

D





When reference ceases




Recommended Custody

3.3

3.4

3.5

Claims Claims lodged specific to the department or authority or legislation it administers. Disputes Records of disputes of a landmark or precedent-setting nature, involving agency staff and unions notified under relevant legislation or to the department or agency. Records relating to other disputes. Enterprise Bargaining (See also page 14). Records relating to industrial (enterprise) agreements applying to the agency: • of a precedent-setting nature; • affecting a majority of the agency‘s employees; or • which make innovative/contentious changes to working

conditions. Records relating to situations where enterprise bargaining has not resulted in an industrial agreement. Copies of other agreements and material kept for information purposes. Records of Workplace Consultative/Negotiating Committees

A

A

D

A

D

D

A






2 years after action completed or 2 years after expiry of agreement,

whichever is longer




Recommended Custody

3.5 cont

3.6

3.7

Registered copies of Workplace Agreements held by Commissioner for Workplace Agreements. Agency copies of agreements. Industrial Action Records relating to major industrial action (strikes, go-slows etc) involving agency staff and which have a substantial impact on the agency. Records relating to minor cases of industrial action (eg. industrial action related to short-term or easily resolved disputes) Surveys Raw data.

A

D

A

D

D






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Recommended Custody

4

4.1

4.2

4.2.1

4.2.2

4.2.3

OCCUPATIONAL HEALTH AND SAFETY Records relating to the implementation and coordination of occupational health and safety and associated legislation throughout the agency. Includes safety policy and the monitoring of safe work practices, procedures and preventative measures. Policy Internal policies and procedures. External policies and procedures. Accidents and Hazards Accident Notification Records providing proof of notification of an accident or hazardous situation, including accident and incident registers (see also 1. Compensation) Asbestos Records relating to use, presence, neutralisation and removal of asbestos from buildings, plant and workplaces (including ships, aircraft, locomotives etc.) Also includes files dealing with safety precautions and advice on health risks caused by exposure to asbestos. Asbestos - Personal History Asbestos registers and files maintained on staff and contractors which document exposure or potential exposure to asbestos.

A

D

D

A

D




Transfer to State Records Office when reference ceases



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Recommended Custody

4.2.4

4.2.5

4.3

4.4

Grievances/Complaints Complaints and reports (not held on personal file) about occupational health and safety matters; including complaints/objections to: * having to undertake hazardous duties * the working environment hazards of - noise, dust, chemicals, heat etc. Hazardous Substances Assessment reports prepared under regulation 5.15, and reports of monitoring risks associated with hazardous substances under regulation 5.22 of the Occupational Safety and Health Regulations 1996. * held as part of personal file * held on a separate file Committees Agenda, minutes, safety reports and working papers of Occupational Health and Safety committees as prescribed in Section 37 of the Occupational Safety and Health Act 1984. Health Promotion Medical or dental records where not kept on a personal file and excluding compensation or rehabilitation files.

D

D

D

A

D


71 years after date of birth or 6 years after date of retirement or 30

years after action completed, whichever is latest





Published 1999 26


Recommended Custody

4.5

4.6

4.7

Inspections Inspections and investigations and reports relating to significant accidents or incidents and hazards identified at the workplace. Reports of other inspections. Records relating to remedial action undertaken as a result of inspections, audits or other action. Risk Management Appointment of health and safety representatives, first aid officers, fire wardens and records of fire and evacuation rehearsals etc. Surveys Raw data.

A

D

D

D

D






Published 1999 27


Recommended Custody

5

5.1

5.2

5.3

5.4

PERSONNEL Records relating to all persons employed in the agency from all divisions/sections/branches and all classifications. Policy Internal policies and procedures. External policies and procedures. Allowances See General Disposal Authority for Financial and Accounting Records for records of payment of allowances. Records dealing with allowances eg. shift work, higher duty, property, overtime, on call, expenses which are not policy files. Authorisations Authority or delegation of certain personnel to undertake a function or task. Counselling Records (not held on personal file and not associated with Performance Appraisal) made by professional counsellors.

A

D

D

D

D






Published 1999 28


Recommended Custody

5.5

5.6

5.6.1

5.6.2

5.6.3

5.6.4

Discipline Records of investigation or where action is taken, in respect to breaches of discipline: * held as part of personal file * held on a separate file Employment Conditions Clothing Records dealing with clothes collectively - footwear, uniforms etc. Routine matters only. Fellowships Correspondence regarding fellowship schemes and nominations. Relief/Acting Records relating to relieving or acting arrangements including applications, records of interview etc. Secondments Records of employees seconded to or from other agencies.

D

D

D

D

D

D








Published 1999 29

Ref No Description of Records Disposal

Action Recommended Custody

5.7

5.7.1

5.7.2

5.8

5.9

5.10

5.10.1

Evaluation Equal Employment Opportunity (EEO) Equal employment opportunity case files relating to EEO including complaints, meetings and internal instructions. Honours Documentation regarding various honours and award schemes. Include nominations not proceeded with. See personal file for a major honour bestowed on an individual. Grievances Records of formal grievances lodged by employees, including discrimination or harassment. Informal Resolution. Records of grievances lodged by employees, which do not result in formal proceedings, including discrimination and harassment. Leave Leave application forms. Annual leave, sick leave, leave without pay etc. Performance Management Performance Appraisal Employee assessment reports, action plans, counselling on work performance, career paths etc.

D

D

D

D

D

D







Published 1999 30



5.10.2

5.10.3

5.11

5.11.1

5.11.2

Performance Monitoring Documents and reports where formal action is taken in respect to breaches of agreed performance standards. Substandard Performance Documents and reports where formal action is taken in respect to substandard performance. Substandard Performance documents and reports where no formal action is taken in respect to substandard performance. Personal [see also Asbestos under 4. Occupational Health & Safety] Personal History Summary Information Records relating to appointment, classification, leave, superannuation, award coverage, qualifications etc. Personal Files of CEO’s Personal files of CEO’s, members of the SES and those who have achieved distinction either in a work related or personal area.

D

D

D

A

A






6 years after action completed Alternatively, following microfilming to approved standards, the original

may be destroyed and the microform format transferred to the

State Records Office.


Published 1999 31



5.11.3

Personal Files Personal files of permanent, temporary and contract employees including certified record of citizenship, academic qualifications, letter or contract of appointment and details of such items as: * the authority (Act) for the appointment * the category and term of appointment * the job held by the employee * if the employee is a Senior Executive Service member * the employee’s start date in the public sector * the employee’s start date in their current job * the industrial award or agreement under which the employee is employed including the salary scale within the award or agreement * whether the employee is appointed on a part-time or full-time basis * the employee’s current work location * performance appraisals and counselling reports (if not on a separate file) * exit interviews * medical reports * complaints relating to occupational health and safety (if not on a separate file) * redeployment * leave – extraordinary requests only eg. sabbatical (if not on a separate file) * salary packaging expression of interest * details of individual salary packaging arrangements (if not on a separate file) * travel arrangements * police clearances The above represent examples only of those items which may be included in a personal file.

D



Published 1999 32



5.11.4

5.11.5

5.11.6

5.12

5.12.1

5.12.2

5.12.3

5.12.4

Indexes/Registers Agency indexes and registers of file numbers and titles in either electronic or hard copy format maintained for personnel records, not being part of an agency’s central registry system. Police Clearances Where not held on the personal file. Criminal History Records Records revealing serious criminal histories of applicants for employment. Recruitment Employment Correspondence and enquiries about potential employment. Employment Schemes Records relating to employment schemes including correspondence with and submissions to employment agencies / funding / selection of participants. Interview Notes Informal notes taken by the interview panel to be used temporarily eg. memory prompts. Mass Recruitment Records relating to entry level mass recruitment including duty statements, selection criteria, advertisements, applications, assessments, nominations and interview reports.

A

D

D

D

D

D

D

Transfer to State Records Office when reference ceases


Once application has been withdrawn or when reference

ceases, whichever is the soonest.



On expiry of appeal period


Published 1999, Amended July 2006 33


Recommended Custody

5.12.5

5.12.6

5.12.7

5.13

5.14

5.14.1

5.14.2

5.14.3

5.14.4

5.14.5

Student Vacation Employment Records Work Experience Programmes Volunteers Documentation relating to volunteers (including correspondence, work dates, details of training provided etc.) Rosters Salaries Attendance Books and Time Sheets Deductions Records dealing with deductions from salaries and wages which are not policy records. Group Certificates Payroll Salaries and wages records generated by either manual or computerised systems. Salary Packaging Administration files relating to internal policies, procedures and conditions. Expressions of interest (unsuccessful) Details of individual salary packaging arrangements (where contained within a separate file and not on the personal file)

D

D

D

D

D

D

D

D

A

D

D




Until superseded

7 years after date of last action


5 years after date of last action

7 years after date of audit




Published 1999 34


Recommended Custody

5.15

5.16

Separations Records (not on personal file) relating to any method of leaving an organisation. Includes resignation, retirement, dismissal, death, redundancy or retrenchment of all personnel. Surveys Raw data.

D

D



Published 1999 35


Recommended Custody

6

6.1

6.2

6.3

6.4

6.4.1

6.4.2

STAFF DEVELOPMENT Records relating to the development of staff skills and competencies. Includes identifying and implementing training needs and programs (internal and external) available to staff. Policy Internal policies and procedures. External policies and procedures. Conferences Records relating to the arrangement of or attendance at conferences or seminars. Includes registrations, publicity, travel arrangements and reports of participants. Surveys Raw data. Training Course Information Details of courses, seminars, programs attended by personnel either internal or external to the agency. Includes capability statements by course providers. Examinations To certify competency of staff (eg. keyboard skills). Results would be recorded separately on personal files.

A

D

D

D

D

D







Published 1999 36


Recommended Custody

6.4.3

6.4.4

6.4.5

Study Assistance Records for individual staff members including study assistance, courses attended etc. Staff Awareness Programmes Records relating to health and personal development eg. health and wellness programmes, blood donations, etc. Traineeships Records relating to trainees, assessment reports, course results and related correspondence (separate to personal file).

D

D

D




Published 1999 37

Index Ref. No. academic qualification - personal file 5.11.3 accident registers 4.2.1 accidents - compensation 1 accidents - occupational health & safety 4.2 acting/relief 5.6.3 acting - applications 5.6.3 acting- records of interview 5.6.3 action plans - performance appraisal 5.10.1 advertising - positions 2.3.1 advertising - Senior Executive Service 2.3.2 advice on health risks - asbestos 4.2.2 agendas - occupational health & safety - committees 4.3 agreements 3.2 agreements - associations 3.2 agreements - DOPLAR 3.2 agreements - IRC 3.2 agreements - unions 3.2 allowances 5.2 allowances - expenses 5.2 allowances - on call 5.2 allowances - overtime 5.2 allowances - property 5.2 allowances - shift work 5.2 amalgamations 2.2 appeal notices - positions - vacancies 2.3.1 appeals 2.3.1 applications - acting 5.6.3 applications - recruitment 5.12.4 applications - relieving 5.6.3 appointment details - personal file 5.11.3 appointment details - personal summary information 5.11.1 appointment of fire wardens 4.6 - occupational health & safety - safety

Published 1999 38

Index Ref. No. appointment of first aid officers 4.6 - occupational health & safety - safety appointment of safety representatives 4.6 - occupational health & safety - safety appointment to positions 2.3.1 asbestos 4.2.2 asbestos - advice on health risks 4.2.2 asbestos - neutralisation 4.2.2 asbestos - personal history 4.2.3 asbestos - personal history - exposure 4.2.3 asbestos - personal history - files 4.2.3 asbestos - personal history - registers 4.2.3 asbestos - personnel records 5.11 asbestos - presence 4.2.2 asbestos - removal 4.2.2 asbestos - safety precautions 4.2.2 asbestos - use 4.2.2 assessment reports - trainees 6.4.5 assessments - recruitment 5.12.4 associations - agreements 3.2 associations - industrial relations 3 attendance books 5.14.1 authorisations - delegation 5.3 award coverage - personal history summary information 5.11.1 award schemes - evaluation 5.7.2 awards - industrial relations 3.2 awareness programmes 6.4.4 blood donations 6.4.4 books - attendance 5.14.1

Published 1999 39

Index Ref. No. career paths 5.10.1 CEOs - personal files 5.11.2 certified record of citizenship - personal file 5.11.3 changes to working relations - liaison 3.2 charts - positions 2 claims 3.3 claims - compensation 1.2 claims - industrial relations 3.3 classification - establishment 2.4 classification - personal history summary information 5.11.1 classification - restructuring 2.2 classification information - positions - history 2.4 clothing 5.6.1 clothing - damage/loss 1.2.2 Commissioner for Workplace Agreements 3.5 committees - occupational health & safety 4.3 committees - workplace consultative/negotiating 3.5 compensation 1 compensation - accidents 1 compensation - claims 1.2 compensation - injuries/disease 1 compensation - policy 1.1 competency - examinations 6.4.2 complaints - EEO 5.7.1 complaints/grievances - occupational health & safety 4.2.4 complaints - personnel 5.8 complaints - personal file 5.11.3 conferences 6.2 consultative/negotiating committees 3.5 contract employees - personal files 5.11.3 contract of appointment - personal file 5.11.3 contractors - occupational health & safety 4.2.3 corporatisation 2.2

Published 1999 40

Index Ref. No. correspondence - potential employment 5.12.1 counselling 5.4 counselling - performance appraisal 5.10.1 course providers 6.4.1 courses 6.4.1 create - positions 2 creation - positions - history 2.4 criminal history records 5.11.6 damage 1.2.2 damage - property 1.2.2 damage/loss - clothing 1.2.2 death 5.15 deductions - salaries 5.14.2 delegation - authorisations 5.3 dental - occupational health & safety 4.4 determinations - industrial relations 3.2 development 6 development - policy 6.1 discipline 5.5 discrimination 5.8 discrimination - grievances 5.8 disease - compensation 1.2.1 dismissal 5.15 disputes - industrial action 3.6 disputes - industrial relations 3.4 DOPLAR - agreements 3.2 DOPLAR - industrial relations 3.2 duty statements 2.4 duty statements - positions - history 2.4 duty statements - positions - vacancies 2.3.1 duty statements - recruitment 5.12.4

Published 1999 41

Index Ref. No. EEO 5.7.1 EEO - complaints 5.7.1 EEO - internal instructions 5.7.1 EEO - meetings 5.7.1 employee assessment reports 5.10.1 employees - industrial relations 3 employer - industrial relations 3 employment 5.12.1 employment conditions 5.6 employment schemes 5.12.2 enquiries - potential employment 5.12.1 enterprise agreements 3.5 enterprise bargaining 3.5 equal employment opportunity 5.7.1 establishment 2 establishment - classification 2.4 establishment - policy 2.1 evacuation rehearsals 4.6 evaluation 5.7 examinations 6.4.2 examinations - competency 6.4.2 expenses - allowances 5.2 fellowship schemes 5.6.2 fellowships 5.6.2 fellowships - nominations 5.6.2 fire & evacuation rehearsals 4.6 - occupational health & safety - safety fire warden 4.6 first aid 4.6 footwear 5.6.1 formal grievances 5.8

Published 1999 42

Index Ref. No. go-slows 3.6 grievances 5.8 grievances/complaints - occupational health & safety 4.2.4 grievances - discrimination 5.8 grievances - harassment 5.8 group certificates 5.14.3 harassment 5.8 harassment - grievances 5.8 hazardous duties 4.2.4 - occupational health & safety - complaints hazardous substances 4.2.5 - occupational health & safety hazards 4.5 health promotion - medical and dental records 4.4 health promotion - staff awareness programs 6.4.4 health promotion - wellness programs 6.4.4 higher duty allowances 5.2 history - personal - asbestos 4.2.3 history summary information - personal 5.11.1 honours 5.7.2 honours - nominations 5.7.2 incident registers 4.2.1 indexes/registers - personnel records 5.11.4 individual training 6.4.3 industrial action 3.6 industrial relations 3 industrial relations - agreements 3.2 industrial relations - associations 3 industrial relations - claims 3.3 industrial relations - disputes 3.4 industrial relations - DOPLAR 3.2

Published 1999 43

Index Ref. No. industrial relations - employees 3 industrial relations - IRC 3.2 industrial relations - policy 3.1 industrial relations - unions 3 injuries - compensation 1.2.1 inspections - occupational health and safety 4.5 instructions - EEO 5.7.1 internal instructions - EEO 5.7.1 interview notes 5.12.3 interview reports - positions - vacancies 2.3.1 interview reports - recruitment 5.12.4 investigations - occupational health & safety 4.5 IRC - agreements 3.2 IRC - industrial relations 3.2 leave - application form 5.9 leave - sabbatical - extraordinary 5.11.3 leave - personal history summary information 5.11.1 letter of employment - personal file 5.11.3 liaison 3.2 liaison - changes to working relations 3.2 liaison - notes of meetings 3.2 liaison - staff bodies 3.2 liaison - union policies, newsletters etc 3.2 liaison - unions 3.2 loss - property 1.2.2 mass recruitment 5.12.4 medical- occupational health & safety 4.4 meetings - EEO 5.7.1 members of SES - personal files 5.11.2 minutes - occupational health & safety - committees 4.3

Published 1999 44

Index Ref. No. negotiating committees - enterprise bargaining 3.5 negotiations - industrial relations 3.2 neutralisation - asbestos 4.2.2 nominations - fellowships 5.6.2 nominations - honours/award schemes 5.7.2 nominations - recruitment 5.12.4 notes of meetings - liaison 3.2 occupational health & safety 4 occupational health & safety - accidents 4.2.1 occupational health & safety - committees 4.3 occupational health & safety - committees - agendas 4.3 occupational health & safety - committees - minutes 4.3 occupational health & safety 4.3 - committees - working papers occupational health & safety - complaints 4.2.4 occupational health & safety 4.2.4 - complaints - hazardous duties occupational health & safety 4.2.4 - complaints - working environment hazards occupational health & safety - contractors 4.2.3 occupational health & safety - dental 4.4 occupational health & safety - investigations 4.5 occupational health & safety - medical/dental 4.4 occupational health & safety - policy 4.1 occupational health & safety - risk management 4.6 occupational health & safety - safety 4.6 occupational health & safety 4.6 - appointment of fire wardens occupational health & safety 4.6 - appointment of first aid officers occupational health & safety 4.6 - appointment of safety representative

Published 1999 45

Index Ref. No. occupational health & safety 4.6 - fire & evacuation rehearsals on-call - allowances 5.2 organisational charts 2.2 overtime - allowances 5.2 payroll 5.14.4 performance appraisal 5.10.1 performance appraisal - action plans 5.10.1 performance appraisal - counselling 5.10.1 performance management 5.10 performance monitoring 5.10.2 performance standards 5.10.2 performance - substandard - formal action taken 5.10.3 performance - substandard - no formal action taken 5.10.3 permanent employees - personal files 5.11.3 personal 5.11 personal development 6.4.4 personal file - academic qualifications 5.11.3 personal file - appointment details 5.11.3 personal file - certified record of citizenship 5.11.3 personal file - complaints 5.11.3 personal file - contract of appointment 5.11.3 personal files - CEOs 5.11.2 personal files - contract employees 5.11.3 personal files - members of SES 5.11.2 personal files - permanent employees 5.11.3 personal files - salary packaging 5.11.3 personal files - temporary employees 5.11.3 personal history - exposure - asbestos 4.2.3 personal history - files - asbestos 4.2.3 personal history - registers - asbestos 4.2.3 personal history summary information - appointment 5.11.1

Published 1999 46

Index Ref. No. personal history summary information - award coverage 5.11.1 personal history summary information - classification 5.11.1 personal history summary information - leave 5.11.1 personal history summary information - qualifications 5.11.1 personal history summary information - superannuation 5.11.1 personnel 5 personnel - allowances 5.2 personnel - policy 5.1 personnel records - asbestos 5.11 personnel records file numbers & titles - indexes/registers 5.11.4 police clearances - on personal file 5.11.3 police clearances - not on personal file 5.11.5 policy - compensation 1.1 policy - development - staff 6.1 policy - establishment 2.1 policy - industrial relations 3.1 policy - occupational health & safety 4.1 policy - personnel 5.1 positions - abolish 2 positions - advertising 2.3.1 positions - appointment to 2.3.1 positions - charts 2 positions - establishment 2 positions - history 2.4 positions - history - classification information 2.4 positions - history - creation 2.4 positions - history - duty statements 2.4 positions - history - selection criteria 2.4 positions - reclassify 2 positions - reports 2 positions - vacancies 2.3 positions - vacancies - appeal notices 2.3.1 positions - vacancies - duty statements 2.3.1

Published 1999 47

Index Ref. No. positions - vacancies - interview reports 2.3.1 positions - vacancies - selection criteria 2.3.1 potential employment - correspondence 5.12.1 potential employment - enquiries 5.12.1 presence - asbestos 4.2.2 privatisation 2.2 property - allowances 5.2 property - loss/damage 1.2.2 qualifications - personal history 5.11.1 questionnaires - compensation 1.4 questionnaires - industrial relations 3.7 questionnaires - occupational health & safety 4.7 questionnaires - personnel 5.16 questionnaires - staff development 6.3 reclassify - positions 2 records of interview - acting 5.6.3 records of interview - relieving 5.6.3 recruitment 5.12 recruitment - advertisements 5.12.4 recruitment - applications 5.12.4 recruitment - assessments 5.12.4 recruitment - duty statements 5.12.4 recruitment - employment schemes 5.12.2 recruitment - interview reports 5.12.4 recruitment - nominations 5.12.4 recruitment - selection criteria 5.12.4 recruitment - vacancies 2.3 recruitment - volunteers 5.12.7 redeployment 2.2 redundancy 5.15 registers/indexes - personnel - records 5.11.4

Published 1999 48

Index Ref. No. rehabilitation - group 1.3.2 rehabilitation - individual 1.3.1 relief - acting 5.6.3 relieving - applications 5.6.3 relieving - records of interview 5.6.3 remedial action 4.5 removal - asbestos 4.2.2 reports - positions 2 resignation 5.15 restructuring 2.2 retirement 5.15 retraining 2.2 retrenchment 5.15 reviews 2.2 RiskCover 1.2.1 risk management - occupational health and safety 4.6 rosters 5.13 safe work practices 4 safety - occupational health & safety 4.6 safety precautions - asbestos 4.2.2 salaries and wages 5.14.4 salaries - deductions 5.14.2 salary packaging 5.14.5 salary packaging - personal file 5.11.3 salary packaging - policy 5.14.5 secondments 5.6.4 selection criteria - positions - history 2.4 selection criteria - positions - vacancies 2.3.1 selection criteria - recruitment 5.12.4 seminars 6.2 separations 5.15 SES - appointments 2.3.2

Published 1999 49

Index Ref. No. SES - vacancies 2.3.2 SES - personal files 5.11.2 severance packages 5.15 SGIO see RiskCover shift work - allowances 5.2 staff awareness programmes 6.4.4 staff bodies - liaison 3.2 staff development 6 strikes 3.6 structure - establishment 2 study assistance 6.4.3 substandard performance 5.10.3 superannuation - personal history 5.11.1 surveys - compensation 1.4 surveys - industrial relations 3.7 surveys - occupational health & safety 4.7 surveys - personnel 5.16 surveys - staff development 6.3 temporary employees - personal files 5.11.3 time sheets 5.14.1 trainees - assessment reports 6.4.5 traineeships 6.4.5 training 6.4 training and development 6 training courses 6.4.1 training - policy 6.1 training programs 6.4.1 travel 6.2 uniforms 5.6.1 union policies, newsletters - liaison 3.2 unions - agreements 3.2

Published 1999 50

Index Ref. No. unions - industrial relations 3 unions - liaison 3.2 vacancies 2.3 vacancy - positions 2.3.1 vacation employment for students 5.12.5 variations 2.4 volunteers 5.12.7 wellness programs 6.4.4 WCRC see WorkCover WorkCover 1.2.1 work experience programmes 5.12.6 work performance 5.10.1 work practices - safety 4 workers' compensation 1.2.1 working environment hazards 4.2.4 - occupational health & safety - complaints working papers 4.3 - occupational health & safety - committees workplace agreements 3.5 workplace consultative/negotiating committees 3.5