General Disposal Authority 6 - General Administration: Human Resources

General Administration: Human Resources

Ref. No.

Function/ Activity/ Description

Examples of records

Disposal Action

 

HUMAN RESOURCE FUNCTIONS

 

 

 

Matters relating to conditions of employment and administration of personnel at the university including Consultants. Also includes employment policies and matters relating to safety and accident prevention procedures and arrangements within the university. 
For policies see: 
General Disposal Authority 4: General Administration: Corporate Administration.

 

 

1.0.0

ATTENDANCE (working hours)

These are details of and reports on attendance at work gathered by electronic, computerised or manual means.

 

 

1.1.0

Attendance records

Attendance books

Destroy after 6 years

 

 

Regulations and operation of the flexible working hours system

Retain current regulations only. 
Destroy obsolete regulations.

 

 

Flexitime Sheets (manual system)

Destroy after 6 years

 

 

Flexitime Adjustment Sheets (automatic system)

Destroy after 6 years

1.1.1

Reporting on attendance

 

 

 

 

Absentee Lists 
Daily / Weekly / Monthly

Destroy when administrative action completed

 

 

Late Attendance Cards 
Cards which record late attendance in those departments/statutory bodies which are not operating on a flexible hours system

Destroy after 1 year

 

 

Reports of infringements of flexitime

Place onPersonal file

 

 

Computer Generated Attendance Reports 
These are reports generated to monitor staff attendance

 

 

2.0.0

ARRANGEMENTS

 

 

2.1.0

Records of arrangements for social events and personnel functions

Correspondence
Circulars

Retain for 3 months, thendestroy

 

3.0.0

AGREEMENTSAND AWARDS

Agreements made between Management and Unions and Industrial Awards

 

 

3.1.0

Copies of agreements made between Management and Unions, and awards covering Public Service personnel.

Delegations 
Delegation register

Retain current agreements / awards only in office. All other copies can be destroyed. However, it is recommended that ONE master set of all agreements / awards which incorporates superseded agreements / awards is kept as University Archives.

3.2.0

Awards

 

 

3.2.1

Records of awards for significant recognition of service for employees

Nominations

Record of presentation

Retain general file for 10 years. Also place this information on relevant personal file.

 

4.0.0

DISCIPLINE

 

 

4.1.0

Records relating to disciplinary actions taken against employees, including allegations, investigations, charges, formal inquiries, punishment and appeals.
NB There may be some discipline matters that need to be retained beyond 5 years - for example if a discipline matter leads to dismissal. Such records should be retained for the same period as the personal files.

Case file 
Reports 
Investigations
Counselling

Retain for 10 years,?? thendestroy

4.1.2

Records of allegations of misconduct which are investigated and are unsubstantiated
NB Some disciplinary matters may be retained for longer than 5 years, i.e. any criminal matters

Case file 
Reports 
Investigations

Retain for 5 years, thendestroy

 

5.0.0

DISCLOSURE OF INTEREST

 

 

5.1.1

Register of employee's interests, including declarations, benefits and contacts; relating to conduct and pecuniary interests to ensure impartiality

Registers 
Gifts received 
Forms 
Declarations

Retain for 10 years after superseded, thendestroy

 

6.0.0

EMPLOYMENT CONDITIONS

 

 

6.1.1

Records of employment conditions, policy and entitlements, including work practices, allowances, leave, code of conduct

Attendance conditions 
Leave entitlements 
Manuals/circulars

Retain for 10 years after superseded, then destroy. Master sets to be kept asUniversity Archives.

 

7.0.0

EMPLOYMENT SCHEMES

 

 

7.1.1

Records relating to the implementation of employment schemes targeting groups or individuals to reduce unemployment, such as:
Unemployed persons schemes

Needs analysis

Reports

Retain for 5 years, thendestroy

 

8.0.0

EQUAL EMPLOYMENT OPPORTUNITY

 

 

8.1.1

Records of EEO management plans

EEO management plan

Retain for 10 years in office after superseded then destroy. Master copies required asUniversity Archives.

8.2.0

Planning (disability plans)

 

 

8.2.1

 

Records relating to the development of the agency's disability plan

Destroy 5 years after action completed

8.2.2

 

Copies of disability plans.

Master set required asUniversity Archives

8.2.3

Records of the implementation of access to employment and disability plans

 

Retain for 10 years, thendestroy

 

9.0.0

ESTABLISHMENT

 

 

9.1

Variation of posts

Variation of posts and establishment, including new positions, regarding, abolition of positions

Retain on personal file or position file. If the post is created preserve asUniversity Archives. Otherwise, destroy after 10 years

9.2

Job descriptions / Duty statements

Statements of Duties

Current Statements of Duties to be retained on relevant post and personal file.

 

 

Post Specification Forms

The duties involved in a particular job, employment conditions, allowance and desirable qualities which the employer sees as prerequisites for the position

File on relevant post file.

9.3

Personnel case records - permanent personnel
Records of personal history

Employment applications - successful 
Summaries of service 
Offer of appointment 
Resume 
Position description/duty statements 
Separation 
Allowances 
Promotion and increments 
Long service leave entitlement 
Medical examination reports 
Superannuation instructions 
References supplied 
Termination notices 
Evidence of education qualifications 
Completion of mandatory training 
Summary training records

Retain for 70 years from date of birth or 7 years after separation or resignation, whichever is the longer, then destroy

9.4

Personnel case records - temporary personnel
Records of personal history, including personnel employed under short-term employment schemes

See above

Retain for 15 years, then destroy

9.4.1

Summary records of all university employees including:
Registration or identification number 
Name 
Date of birth 
Address, contacts 
Date appointed 
Status and position description, and dates held 
Salary rates 
Allowances

Staff service cards 
Staff registers and data

Required asUniversity Archives

9.5.0

Grievances

 

 

9.5.1

Records of significant cases, resulting in changes to University policy

 

Required asUniversity Archives

9.5.2

All other cases

 

Retain for 20 years, then destroy

 

10.0.0

Industrial Relations

 

 

10.1

Precedent setting cases
Records of advice, interpretation of awards and entitlements; major industrial disputes, actions (strikes) undertaken by employees where industrial action has substantial impact on council or results in significant changes to policy

Legal advice 
Union correspondence

Required asUniversity Archives

10.2

All other cases
Records of advice in other cases not involving a precedent or changes to policy and procedures

 

Retain for 20 years, thendestroy

10.3

Awards and Agreements
Records of industrial awards and agreements

Awards and agreements

Master sets required asUniversity Archives

10.4

Claims
Records of claims and their status

 

Required asUniversity Archives

 

11.0.0

LEAVE
Records which document the various types of leave requested and taken by personnel

Summarised record of leave in a computerised or manual form.

 

 

 

Leave Forms (including manual leave cards and their computer equivalent).

As forPersonal files*

 

 

Leave Registers
Any manual register or its computer equivalent of leave taken which is not the Leave Form noted above.

Destroy after 10 years

 

 

Leave Balances

Destroy after 6 years

11.1

Accident

Accident Leave Applications

Destroy after 6 years

11.2

Adoption

Adoption Leave Applications

Destroy after 6 years

11.3

Career break

Career Break Applications

Place on Personal File

11.4

Concessional

Concessional Leave Applications

Destroy after 6 years

11.5

Compassionate

Compassionate Leave applications

Destroy after 6 years

11.6

Examination

Examination Leave Applications

Destroy after 6 years

11.7

Extended

Extended Leave Applications

Place onPersonal file

11.8

Force majeure

Force Majeure applications

Destroy after 6 years

11.9

Leave of absence

Leave of absence applications

Place on Personal File

11.10

Maternity

Maternity Leave Applications

Destroy after 6 years

11.11

Parental

Parental Leave Applications

Destroy after 6 years

11.12

Returns

Monthly Leave Returns

 

 

 

1) Where leave forms are maintained

Destroy once checked againstLeave Card

 

 

2) Where leave returns take the place of leave forms

Destroy after 6 years

11.13

Rosters

Leave Rosters

Retain current roster only

11.14

Sabbatical

Letters of application and award/rejection of leave

Place on personal file for permanent preservation asUniversity Archives

11.15

Secondment

Application forms and related documents

Place on personal file for permanent preservation asUniversity Archives

11.16

Short

Short Leave Applications

Destroy after 6 years

11.17

Sick

Sick Leave Applications

Destroy after 6 years

11.18

Special

Special Leave Applications

Place on Personal file for permanent preservation asUniversity Archives

11.19

Study time

Study Time Applications

Place on Personal file for permanent preservation asUniversity Archives

11.20

Without pay

Leave Without Pay Applications

 

 

 

1) Applications for leave without pay for periods less than 6 months

Destroy after 6 years

 

 

2) Applications for leave without pay for periods of more than 6 months

Place on Personal file for permanent preservation asUniversity Archives

 

 

Information relating to the leave of absence/placement/secondment systems available and their administration

Place on personal file for permanent preservation asUniversity Archives

 

 

Records of the administration of leave of absence/placement/secondment schemes

Destroy 7 years after action is superseded

11.21

Extended, study leave, leave without pay, sabbatical and long service leave
Summary records of the administration of leave transactions, leave requests, long term entitlements and potential transfers of entitlements to other employers
Retain in accordance with personal files

Leave registers and summary records

Retain for 10 years, thendestroy

11.22

All other cases
Records of the administration of leave transactions, leave requests, applications and authorisation

Leave requests 
Authorisations

Retain for 10 years, thendestroy

 

12.0.0

Liaison

 

 

12.1

Record relating to liaison with professional associations on matters of major public interest or controversy

Petitions 
Correspondence

Required asUniversity Archives

12.2

Records relating to liaison with professional associations on routine matters

Correspondence
Copies of promotional material 
Newsletters

Retain for 10 years, thendestroy

 

13.0.0

Medical Examinations

 

 

13.1

Records of implementation and administration of medical examinations of employees
NB Medical reports should be managed as part of the personal history record.

 

Place on Personal file and preserve as University Archives

 

14.0.0

Occupational Health and Safety

 

 

14.0.1

Records of notifications of personal accidents or hazardous situations resulting in injuries or compensation claims, or potential injuries 
See RISK MANAGEMENT - Workers compensation claims

 

 

14.0.2

Records of safety policies and procedures, including all instructions relating to safety issues

 

Retain until superseded, thendestroy. Master copies must be kept as University Archives.

14.0.3

Records of health promotion plans, workplace campaigns, first aid planning, implementation of protection and healthy workplace arrangements

 

Retain for 5 years, then destroy

14.1

Precedent setting cases
Records of inspections and investigations, where cases result in significant changes to policies, including remedial action taken, such as:
Major health issues such as unprotected exposure to hazardous substances 
Matters involving major controversy

 

Required asUniversity Archives.

14.1.1

All other cases, including records of remedial actions taken

 

Required asUniversity Archives

14.1.2

Records of the administration of workers compensation, rehabilitation and occupational safety, including safety evaluations and campaigns to reduce injury

 

Required asUniversity Archives

 

15.0.0

Records relating to employee pay history records, such as earning history salary entitlements

Authority sheets 
Deduction authorities 
Disbursements
Allowance

Retain for 10 years

15.0.1

Salary rates registers and allowance payment rates

 

Retain for 10 years then security destroy

15.0.1

Summary records of salary administration and reconciliations, such as overpayments, salary ledgers, including salary system reports used for verifying or reconciliation of transactions

Payroll reports 
Payroll reconciliations 
Listings of recovered overpayments 
Outstanding advances

Retain for 10 years, then securitydestroy

15.0.3

Transaction records of salary administration and employee entitlements, including data entry forms and updating of payroll systems

Pay schedules,
Copies of payroll sheets, 
Salary cost lists, 
Adjustment advice records,
Copies of salary advices 
Salary deductions 
Superannuation remittances 
Leave calculations 
Periodic salary system reports

Retain for 10 years after audit, then securitydestroy

15.0.4

Salary overtime records of claims and payments

Overtime records

Retain for 10 years, then securitydestroy

 

16.0.0

Performance Appraisal

 

 

16.0.1

Records relating to the administration of personnel performance appraisal schemes

 

Retain for 15 years, thendestroy

16.0.2

Records of performance agreements with individual employees and individual performance reviews and reports

Appraisal reports

Required asUniversity Archives.

 

17.0.0

Planning

 

 

17.0.1

Records of employment plans, succession planning, workforce planning

 

Retain for 10 years, then destroy

 

18.0.0

Recruitment

 

 

18.0.1

Vacancy / recruitment files 
Files relating to the recruitment of staff for positions

 

 

18.1

Advertisements

Advertisements and notification of vacancies

Keep on relevant job file.

18.2

Unsuccessful applications

Completed application forms (including references) for advertised positions submitted by unsuccessful applicants

Destroy 5 years after position filled

18.3

Successful applications

Completed application forms for advertised positions (including references) submitted by successful applicants

 

Preserve on personal file. To be kept asUniversity Archives.

 

19.0.0

Reporting

 

 

19.0.1

Returns, statistical records and related records, such as returns to the Department of Education; Finance or Central Statistics Office.

 

Retain for 5 years, thendestroy

 

20.0.0

Security

 

 

20.0.1

Records relating to administration of personnel security, including identity checking arrangements, issuing identification, reporting of security incidents.
For police checks on potential employees, use personal files.

Security checks

Required asUniversity Archives

 

21.0.0

Separations

 

 

21.0.1

Records of planning and implementation of separations from the University e.g. on the basis of work redesign, redeployments, restructuring.
For individual separations, retain in accordance with personal history records

 

Required asUniversity Archives

 

22.0.0

Suggestions

 

 

22.0.1

Records relating to suggestion schemes for employees and suggestions received

 

Retain for 3 years, thendestroy

 

23.0.0

Superannuation

 

 

23.0.1

Reports and returns of superannuation payments made to schemes

 

Required asUniversity Archives

 

24.0.0

Training and Development

 

 

24.0.1

Records relating to the administration of training for employees through implementation of standards; identification of training needs; evaluation and reporting of programs

 

Retain for 5 years, thendestroy

24.0.2

Records of arrangements to provide training; course descriptions; addresses and presentations

 

Retain for 2 years, thendestroy

24.0.3

Records of individual attendance at training courses, and records of assessments or results

 

Retain for 5 years, thendestroy

 

25.0.0

Travel

 

 

25.0.1

Records of authorisation of travel arrangements

 

Retain for 5 years, thendestroy

25.0.2

Records of arrangements, bookings, requests for travel

 

Retain for 1 year, thendestroy

 

26.0.0

Volunteers

 

 

26.0.1

Records of volunteer co-ordination; training; tasks allocation and supervision

 

Retain for 1 year, then destroy

 

27.0.0

Welfare

 

 

27.0.1

Records of programs for personnel welfare; assistance and counselling schemes

 

Retain for 10 years, thendestroy

27.0.2

Records of counselling and advice provided for individual staff members

Counselling case files

Retain for 5 years, thendestroy

 

28.0.0

Work Experience

 

 

28.0.1

Records relating to the administration of work experience programs, including individual cases of work experience undertaken by students

 

Retain for 1 year, thendestroy

 

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