Records Authority 2011/00607716

National Childcare Accreditation Council
Personnel Records

23 November 2011

This is an accurate reproduction of the authorised records authority content, created for accessibility purposes.

Introduction

The National Childcare Accreditation Council (NCAC) and the National Archives of Australia have developed this Records Authority to set out the requirements for destroying specified personnel records. It represents a significant commitment on behalf of NCAC to understand, create and manage the records of its activities.

This Authority takes into account the NCAC's legal and organisational records management requirements, and the interests of stakeholders, the agency and the National Archives of Australia.

This Authority gives the NCAC permission under the Archives Act 1983, for the destruction of the temporary records described after the minimum retention period has expired. Retention periods for these temporary records are based on: an assessment of business needs; broader organisational accountability requirements and community expectations, and are approved by the National Archives of Australia on the basis of information provided by the agency.

As changes in circumstances may affect records management requirements, all amendments must be approved by the National Archives.

Application of this authority

  1. This Authority is to be used to sentence records. Sentencing involves the examination of records in order to identify the individual disposal class to which they belong.  This process enables sentencers to determine how long records need to be kept. Advice on sentencing is available from the National Archives.
  2. This Authority should be used in conjunction with general records authorities such as:
    • the Administrative Functions Disposal Authority (AFDA) and/or AFDA Express issued by the National Archives to cover business processes and records common to Australian Government agencies;
    • encrypted records; and
    • source records that have been copied.
  3. The Normal Administrative Practice (NAP) provision of the Archives Act 1983 gives agencies permission to destroy certain records without formal authorisation. This usually occurs where records are duplicated, facilitative or for short-term use only. NAP does not replace arrangements agreed to in this Authority but can be used as a tool to assist in identifying records for destruction together with an agency's Records Authority or Authorities, and with AFDA and AFDA Express. The National Archives recommends that agencies develop and implement a Normal Administrative Practice policy. Advice and guidance on destroying records as a normal administrative practice and on how to develop an agency NAP policy is available from the National Archives' website at www.naa.gov.au
  4. Where the method of recording information changes (for example from a manual system to an electronic system, or when information is migrated from one system to a new system) this authority can still be applied, providing the records document the same core business. The information must be accessible for the period of time prescribed in this Authority. The NCAC will need to maintain continuing access to the information, including digital information, for the periods prescribed in this records authority or until the information is transferred into the custody of the National Archives.
  5. In general, retention requirements indicate a minimum period for retention. The NCAC may extend minimum retention periods if it considers that there is an administrative need to do so, without further reference to the National Archives. Where the NCAC believes that its accountability will be substantially compromised because a retention period or periods are not adequate, it should contact the National Archives for review of the retention period.
  6. From time to time the National Archives will place a freeze on some groups of records relating to a particular topic or event which has gained prominence or provokes controversy. While the freeze is in place no records relating to the topic or event may be destroyed. Further information about disposal freezes and whether they affect the application of this Authority is available from the National Archives website at www.naa.gov.au
  7. Records which relate to any current or pending legal action, or are subject to a request for access under the Archives Act 1983 or any other relevant Act must not be destroyed until the action has been completed.
  8. Records in the care of agencies should be appropriately stored, managed and preserved.  Agencies need to meet this obligation to ensure that the records remain authentic and accessible over time.  Under Section 31 of the Archives Act 1983, access arrangements are required for records that become available for public access including those records that remain in agency custody.
  9. Appropriate arrangements should be made with the National Archives when records are to be transferred into custody. The National Archives accepts for transfer only those records designated as national archives.
  10. Advice on how to use this Authority is available from the NCAC records manager. If there are problems with the application of the Authority that cannot be resolved, please contact the National Archives.

Contact information

For assistance with this authority or for advice on other recordkeeping matters, please contact National Archives' Agency Service Centre.

Queen Victoria Terrace
Parkes ACT 2600

PO Box 7425
Canberra Mail Centre ACT 2610

Email: recordkeeping@naa.gov.au
Website: www.naa.gov.au

Authorisation

Person to whom notice of authorisation is given:

Denise Taylor
Chief Executive Officer
National Childcare Accreditation Council
Level 3
418a Elizabeth Street
Surry Hills NSW 2010

Purpose:

Authorises arrangements for the disposal of records in accordance with Section 24(2)(b) of the Archives Act 1983.

Application:

Personnel Records.

This authority gives permission for the destruction of the records described. This authority will apply only with the consent of the agency currently responsible for the business documented in the records described.

Signature of Margaret Chalker, Assistant Director-General, Government Information Management, National Archives of Australia, dated 23 November 2011

Margaret Chalker
Assistant Director-General
Government Information Management
National Archives of Australia

Classes

Personnel Records

The core business of managing National Childcare Accreditation Council (NCAC) employees who are not employed under the Public Service Act 1999. Includes activities related to:

  • engaging individual staff members
  • employment conditions
  • performance appraisal and dispute resolution
  • incidents resulting in employees sustaining workplace injuries
  • establishment of, and changes to, organisational structure
  • implementation and coordination of preventative health and safety measures in the workplace
  • overall relationship between NCAC management and employees
  • developing staff skills and abilities.

Note: this core business is to be used by the National Childcare Accreditation Council instead of AFDA/AFDA Express Personnel.

Class no Description of records Disposal action
56280

Personnel records of all employees, either kept in a consolidated format (as 'Personal files') or as separate records, including:

  • Recruitment related records such as:
    • application forms
    • referee checks
    • working with children checks.
  • Salary related records, including administrative records, such as:
    • group certificates
    • payroll deduction authorities
    • employee pay history
    • management of special salary packaging including Fringe Benefits Tax (FBT)
    • superannuation deductions
    • bank account details
    • tax file number (TFN) declaration
    • pay authority.
  • Leave entitlement records such as:
    • consolidated leave history
    • leave used to calculate entitlements for superannuation or long service leave (eg parental leave, leave without pay exceeding 5 days in a calendar year);
    • all other leave (eg sick leave, recreation leave, study leave).
  • Awards given to individuals or teams in recognition of achievements;
  • Attendance records such as timesheets.

Also includes records documenting:

  • payment of allowances such as higher duties;
  • formal grievances lodged by an individual employee and considered either internally within the organisation and/or by an external body.
  • counselling of employees including personal counselling, career counselling, work performance counselling;
  • investigations conducted by either the organisation or an external body into misconduct or criminal activity;
  • handling of infringements incurred by an employee;
  • separation of ongoing employees including resignations, voluntary redundancies, dismissal and retrenchment.
  • Records documenting occupational health and safety (OH&S) training provided to staff, such as manual handling training, includes the OH&S training register.
  • Accident/incident reports and supporting documentation of death, serious personal injury etc to employees and the public within the workplace. Includes accident registers.
  • Workers compensation records where a claim has been submitted.

Note: copies of workers compensation records are also held by insurer.

Destroy 7 years after last action.
56281
  • Records documenting performance management schemes, including copies of performance agreements.
    Note: original signed agreements kept by staff.
  • Records documenting staff attendance at internal and external courses, including course evaluations made by staff after attending a course.
Destroy 2 years after completion of end-of-cycle review or course.
56298

Records documenting travel and accomodation arrangements for employees attending work related events such as training or conferences.

Destroy 1 year after travel.
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