2019/00258111
Personnel Management
This is an accurate reproduction of the authorised records authority content, created for accessibility purposes
2019
Introduction
The National Archives of Australia (National Archives) has developed this records authority to set out the requirements for keeping or destroying records for the function of Personnel Management.
This records authority is based on the identification and analysis of the business of Personnel Management. The records authority sets out those records that need to be retained as national archives and specifies the minimum length of time that temporary records need to be kept. This records authority gives agencies 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.
As changes in circumstances may affect future records management requirements, this authority may occasionally be amended by the addition of new classes and the variation of existing classes. The National Archives will notify agencies of any such changes.
Application of this Authority
- The National Archives is progressively reviewing and retiring the Administrative Functions Disposal Authority (2010) and AFDA Express (March 2010) and will periodically issue revised functions that will ultimately comprise the revised version of AFDA Express Version 2. To aid agencies with implementation of the revised AFDA Express Version 2 functions, the National Archives will generally permit agencies the option of using either the existing AFDA functions or the newly issued revised functions until 1 July 2019 (by which time all revised functions are expected to be have been issued).
- This authority supersedes:
- classes 1690-1700; 1702-1703; 1705-1708; 1710-1717; 1720-1739; 1741-1746; 1748-1760; 1763-1771; 20962-20971; 21133 in the PERSONNEL function of the Administrative Functions Disposal Authority (2010);
- classes 20304-20308; 20310-20313 in the PERSONNEL function of AFDA Express (March 2010);
- classes 1962-1979; 1981-2000; 2011-2021 in the STAFF DEVELOPMENT function of the Administrative Functions Disposal Authority (2010); and,
- classes 20338-20339 in the STAFF DEVELOPMENT function of AFDA Express (March 2010).
The superseded records classes cannot be used to sentence records after 1 July 2019.
- This authority should be used in conjunction with records authorities issued to agencies for their core business and other General Records Authorities issued by the National Archives.
- This records authority is to be used to determine how long records must be kept. Records are matched to the relevant core business and records class in the records authority.
- Where the minimum retention period has expired and the records are not needed for agency business they should be destroyed as authorised in this records authority.
- Records that have not reached the minimum retention period must be kept until they do.
- Records that are identified as Retain as National Archives (RNA) are to be transferred to the National Archives of Australia for preservation.
- The Normal Administrative Practice (NAP) provision of the Archives Act 1983 gives agencies permission to destroy certain types of records without formal authorisation. This usually occurs where records are duplicated, facilitative or for short-term use only. NAP does not replace arrangements in this records authority but can be used as a tool to assist in identifying records for destruction together with this records authority 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 a NAP policy is available from the National Archives' website at www.naa.gov.au.
- Records that are reasonably likely to be needed as evidence in a current or future judicial proceeding or are subject to a request for access under the Archives Act 1983, the Freedom of Information Act 1982 or any other relevant Act must not be destroyed until the action has been completed:
- Records subject to a disposal freeze must not be destroyed until the freeze has been lifted. 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.
- 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 records authority can still be applied, provided the records document the same core business. The information must be accessible for the period of time prescribed in this records authority. There is a 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.
- In general, retention requirements indicate a minimum period for retention. Agencies may extend minimum retention periods if there is an administrative need to do so, without further reference to the National Archives. Where an agency 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.
- 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.
- 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.
- Advice on how to use this Authority is available from your agency's 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 information management matters, please contact National Archives' Agency Service Centre.
Authorisation
Person to whom notice of authorisation is given:
Heads of Commonwealth institutions under the Archives Act 1983.
Purpose:
Authorises arrangements for the disposal of records in accordance with paragraph 24(2)(b) of the Archives Act 1983.
Determines records classed as 'retain as national archives' in this Records Authority to be part of the archival resources of the Commonwealth under section 3C of the Archives Act 1983.
Application:
All records relating to the following general administrative business area: Personnel Management.
This authority gives permission for the destruction, retention or transfer to the National Archives of Australia of the records described. This authority will apply only if these actions take place with the consent of the agency responsible for the administrative business documented in the records.
Authorised by:
Linda Macfarlane
Assistant Director-General (Acting)
National Archives of Australia
18 June 2019
Personnel Management
The function of managing the organisation's workforce, including all employees and volunteer workers. Employees include Senior Executive Service (SES), ongoing (formerly known as permanent), non-ongoing (formerly known as temporary), and those working under employment schemes, such as scholarships, fellowships, traineeships, apprenticeships and similar relationships. Includes encouraging workers to develop their skills, knowledge and capabilities (through activities, programs and events) to maximize their potential and increase their productivity. Also includes the management of heads of agencies and statutory appointees (other than members of tribunals, governing bodies and advisory bodies).
Note: Before using this function agencies that employ staff under legislation other than the Public Service Act 1999 should check their own enabling legislation and other regulatory directives for major variations from the Public Service Act in scope and conditions of employment. In cases where the variations differ greatly this function is not applicable and should not be used. For example, agencies that undertake exceptional high volume recruitment of short term casual staff to meet unique functional objectives (such as census collection or staffing elections), may require separate records authority coverage to meet the unique retention requirements involved in such recruitment. Similarly this function cannot be used for highly specialised internal staff training programs that are central to an agency's functions, such as basic training for Defence force personnel or academy training for Australian Federal Police recruits. In such circumstances relevant classes must be included under the agency's own records authority.
The core activities include:
- managing recruitment of personnel to the Australian Public Service (APS), including ongoing, non-ongoing and SES employees, and employment scheme participants such as those working under scholarships, fellowships, traineeships, apprenticeships and similar relationships. Includes applying for approval to fill vacancies, advertising vacant positions, and the handling of applications, interviews, selection and appointment;
- managing engagement of volunteers, including students undertaking work experience placements;
- managing recruitment campaigns and career and employment schemes run by an agency (such as graduate employment schemes), including associated marketing and promotion;
- negotiating and establishing employment agreements and contracts with individual employees, including statutory individual contracts (eg Australian Workplace Agreements) and individual flexibility arrangements;
- managing conditions of employment for individual employees;
- administering employee salaries, including managing superannuation contributions, salary packaging and taxation arrangements and obligations;
- managing allowances, including overtime, higher duties, first-aid, clothing, training and travelling allowances;
- managing temporary or permanent transfers or redeployment of employees, either between positions within the agency or between agencies;
- arranging the movement of personnel as a result of appointment, transfer or redeployment, including expenses for removal, storage or relocation of personal and household effects, travel and temporary accommodation;
- managing attendance of employees and administering leave, including unauthorised leave;
- managing insurance policies and claims relating to personnel management;
- supporting performance management frameworks, including establishing individual performance agreements and conducting performance reviews;
- managing employee award schemes, including selecting recipients and conferring awards, honours and prizes on individuals and teams, in recognition of achievements and excellence;
- handling and resolving grievances raised by an individual employee, whether considered internally or referred to an external body, including complaints relating to discrimination, work environment, work distribution, peers, supervisors or subordinates, or access to training, promotion or higher duties opportunities;
- handling infringements by an employee, including breaches of the agency's rules;
- undertaking disciplinary actions in relation to misconduct (eg a breach of the Code of Conduct) or criminal activity, including investigations (conducted by either the agency or an external body), charges, formal inquiries and punishments. Includes investigations and inquiries into alleged or actual incidents of child sexual abuse;
- managing appeals and reviews of agency decisions, including reviews of recruitment decisions and disciplinary actions;
- managing separations of employees from the APS, including by resignation, retirement, dismissal, death, redundancy, and retrenchment;
- developing and implementing personnel management programs, schemes and projects, including health and wellbeing programs (eg health screening, immunisation), study assistance schemes to support staff development, staff mobility schemes, and programs to encourage safe work practices;
- providing counselling and assistance to personnel, including financial counselling of staff on separation and counselling relating to disciplinary matters;
- administering rehabilitation of workers and return to work assistance, where not related to a compensation case;
- overseeing personnel security requirements, including the security classification of personnel, performing security checks (vetting) and issuing security passes to employees;
- supporting staff social clubs and activities, including sponsorship provided by the agency;
- handling internal enquiries, complaints, and feedback, including seeking and using staff suggestions and conducting general staff surveys;
- arranging and attending internal and external staff development conferences, seminars, training courses (including online training) and other educational events;
- preparing and presenting speeches for training and professional development purposes; and
- developing, delivering and reviewing staff training programs and courses where the agency is not a registered training organisation, including creating training content and arranging formal assessments and examinations.
The performance of the core business is supported by general activities such as:
- developing and implementing policies, procedures, strategies and frameworks;
- providing and receiving advice;
- establishing, managing and participating in committees, meetings, working groups and other bodies;
- planning and reporting;
- negotiating, establishing, managing and reviewing agreements and contracts supporting the personnel management function, including memoranda of understanding;
- establishing and maintaining registers and summary information;
- fulfilling compliance requirements, including fiscal, legal, regulatory and quality standards and requirements;
- delegating powers and authorising actions;
- evaluating and reviewing;
- planning, conducting and facilitating audits;
- making administrative arrangements to support undertaking work related activities, such as events, training courses, trips and visits (eg venue hire, accommodation and travel arrangements); and
- identifying, assessing and managing risks.
Cross references to AFDA Express records authority
For managing the acquisition of goods and services to support the personnel management function, including tendering and contracting-out arrangements, use PROCUREMENT.
For managing financial transactions supporting the personnel management function, including financial transactions relating to the payment of salaries and allowances, use FINANCIAL MANAGEMENT.
For appointments of agency employees as representatives to community or government organisations, use EXTERNAL RELATIONS.
For establishing and implementing preventative work health and safety measures to support agency personnel and accident/incident reports retained for work health and safety purposes, use WORK HEALTH & SAFETY.
For workers compensation insurance and compensation claims of employees, volunteers or work experience workers who have sustained injuries at work, including rehabilitation of workers in connection with a compensation case, use COMPENSATION.
For establishing the structure of the agency, including the identification of positions, classifications and duties, use ESTABLISHMENT.
For negotiations with staff and union representatives on establishing a certified agreement, use INDUSTRIAL RELATIONS.
For records covering grievances lodged by a number of employees, use INDUSTRIAL RELATIONS.
For developing and executing contracts under seal or deeds, including signed joint venture contracts under seal, use CONTRACTS UNDER SEAL/DEEDS.
Cross references to other records authorities
For personnel records of individual members of an agency's governing bodies (such as boards, trusts, councils, committees, etc), with the exception of agency ex officio members, use General Records Authority 27 - Governing Bodies.
For personnel records of individual members of statutory and non-statutory advisory bodies supporting the agency's core business, with the exception of agency ex officio members, use General Records Authority 26 - Advisory Bodies.
For personnel records of individual members of tribunals, use the Tribunals Records Authority 2011/00681744.
For investigations into allegations of misconduct by the agency head, use the records authority of the agency with legislative responsibility for the management of such matters (currently the Australian Public Service Commission).
For the transfer of Personal Security Files between Commonwealth and State and Territory agencies, use the General Records Authority for the Transfer of Custody and Ownership of Personal Security Files (PSFs).
For receiving and managing public interest disclosures, use General Records Authority 39 – Public Interest Disclosure.
For providing and administering agency funding for scholarship and fellowship programs, use General Records Authority 28 – Grant Management.
For developing and delivering accredited training as a registered training organisation (RTO), to internal and external participants, use General Records Authority 33 – Accredited Training.
Class no |
Description of records |
Disposal action |
---|---|---|
62627 |
Records documenting:
Excludes summary records documenting exceptional high volume recruitment of short term casual staff, employed by agencies to fulfil unique functional objectives (such as census collectors, or election staff).
Note: Evidence collected or seized may include relevant correspondence, transcripts, attendance records, rosters, surveillance footage, medical treatment and counselling records, and other supporting documentation. [For work health and safety investigations, reports and other actions taken to address child sexual abuse disclosures, allegations or complaints that involve the organisation or members of the organisation's workforce, including employees and volunteer workers, contractors, visitors and members of the general public, use WORK HEALTH & SAFETY.For support, redress and remedial action (including counselling, compensation claims, and mediation) for individuals who have made allegations of child sexual abuse involving the organisation or members of the organisation's workforce, including employees and volunteer workers, contractors, visitors and members of the general public, use COMPENSATION.]
[For advice, briefs and submissions to the portfolio Minister relating to child sexual abuse incidents and allegations, use EXTERNAL RELATIONS.] |
Retain as national archives |
62628 |
Records documenting developing and reviewing policies, procedures, plans and strategies for addressing child sexual abuse allegations and incidents involving employees or volunteer workers, other than those covered in class 62627. Includes final versions, major drafts, supporting research and results of stakeholder consultations. |
Destroy 100 years after action completed |
62641 |
Records documenting:
Note: The types of employment records covered are listed in class 62629. [For employment records of all ongoing (permanent) and non-ongoing (temporary) employees, and employment scheme participants, where the employee commenced work after turning 18 years of age, use class 62629.]
[For records documenting engagement and management of volunteer workers, including students undertaking work experience placements, where the individual commenced work after turning 18 years of age, use class 62638. For records documenting potential exposure of volunteer workers, including students undertaking work experience placements, to hazardous substances, including asbestos, use class 62630.] |
Destroy 100 years after date of birth of employee |
62629 |
Employment records of all ongoing (permanent), non-ongoing (temporary) and SES employees, heads of agencies and statutory appointees (other than members of tribunals, governing bodies and advisory bodies), and employment scheme participants (eg traineeships, cadetships, apprenticeships, scholarships, fellowships and similar relationships), kept in a consolidated format (as 'personnel files' or employee service history files) or as separate records. Excludes employees who commenced work prior to turning 18 years of age. Includes:
Note: Investigation records retained at the request of the employee may be subsequently removed from the file and destroyed if so requested by the employee, provided the minimum retention period in class 62637 has been satisfied.
[For employment records of all ongoing (permanent) and non-ongoing (temporary) employees, and employment scheme participants, kept in a consolidated format (as 'personnel files') or as separate records, where the employee commenced work prior to turning 18 years of age, use class 62641. For records documenting engagement and management of volunteer workers, including students undertaking work experience placements, where the individual commenced work after turning 18 years of age, use class 62638. For records documenting engagement and management of volunteer workers, including students undertaking work experience placements, where the individual commenced work prior to turning 18 years of age, use class 62641. For collective or enterprise bargaining agreements, use INDUSTRIAL RELATIONS. For investigations into allegations of employee misconduct (other than misconduct relating to child sexual abuse), that result in disciplinary action, use class 62634. For investigations into allegations of misconduct (other than misconduct relating to child sexual abuse) where no follow-up investigation is made (ie where allegations are proved to be frivolous or vexatious), or where allegations are investigated, either by the agency or an external authority, and are proved to be unfounded and the employee has requested the records not be retained, use class 62637. For investigations into allegations of employee misconduct relating to child sexual abuse, use class 62627. For records documenting potential exposure of agency staff to hazardous substances, including asbestos, use class 62630. For records documenting security checks (vetting), use class 62633. For records documenting the development and review of individual employee performance agreements, use class 62635. For routine low level records supporting the payment of salaries, use classes 62636 and 62638.] |
Destroy 75 years after date of birth of employee or 7 years after last action, whichever is later |
62630 |
Records documenting potential exposure to hazardous substances, including asbestos, or records detailing that a worker (including employees, volunteers, work experience students etc) was located at places identified as containing hazardous substances. [For health surveillance of employees who have been exposed to hazardous substances, use WORK HEALTH & SAFETY. For medical examination reports relating to individual employees, use class 62629 and 62641.] |
Destroy in the year 2040 or 75 years after date of birth whichever is later |
62631 |
Records documenting work health and safety (WHS) training provided to agency staff, including managers and health and safety representatives (HSRs). Includes hazardous substance training and training provided to staff working in confined spaces. Includes the agency's WHS training register. [For records of hazardous substance training provided to individual staff (eg certificates of completion) members, use class 62629 and 62641.] |
Destroy 50 years after training is completed |
62632 |
Register of staff security clearances and passes. [For records documenting security checks (vetting), use class 62633. For issuing security passes to employees, use class 62638.] |
Destroy 10 years after last entry |
62633 |
Records documenting security checks (vetting) carried out as part of pre-engagement and pre-employment checks, or periodic reviews. [For the transfer of Personal Security Files between Commonwealth and State and Territory agencies, use the General Records Authority for the Transfer of Custody and Ownership of Personal Security Files (PSFs). For an agency's register of security clearances and passes, use class 62632. For issuing security passes to employees, use 62638.] |
Destroy 15 years after separation from the APS or 16 years after the date of the last clearance check on file, whichever is sooner |
62642 |
Employee group certificates |
Destroy 5 years after separation from the APS |
62634 |
Records documenting investigations into allegations of employee misconduct (eg a breach of the Code of Conduct) or criminal activity by either the agency or an external authority, which result in disciplinary action being taken. Includes initial allegation, evidence collected, interview transcripts, reports, findings, referrals to external bodies, appeals, and records of remedial and/or disciplinary action. Excludes investigations relating to child sexual abuse and investigations into misconduct by heads of agencies. [For allegations of misconduct (other than misconduct relating to child sexual abuse) where no follow-up investigation is made (ie where allegations are proved to be frivolous or vexatious), or where allegations are investigated, either by the agency or an external authority, and no conclusion is reached or the allegations are proved to be unfounded and the employee has requested the records not be retained, use class 62637. For allegations of misconduct (other than misconduct relating to child sexual abuse) that are investigated, either by the agency or an external authority, and proved to be unfounded and the employee has requested the retention of the records, use class 62629. For allegations of misconduct relating to child sexual abuse, including those where no follow-up investigation is made, use class 62627.] |
Destroy 5 years after last action (Where the employee reoffends within this period, the 'last action' is taken to be the finalisation of most recent offence) |
62635 |
Records documenting:
[For financial records documenting agency payments to support staff social clubs and activities, use FINANCIAL MANAGEMENT.]
[For workers compensation insurance, use COMPENSATION.]
[For relocation of an agency's business operations, use PROPERTY MANAGEMENT. For any insurance claims made for loss or damage to property resulting from relocation, use class 62638. For managing financial transactions relating to the moving of an employee, use FINANCIAL MANAGEMENT.]
Note: Individual formal assessments and examination results should be kept on the staff member's personnel history file. In such instances, use class 62629 and 62641. [For master set of training materials developed for handling child sexual abuse incidents and allegations, use class 62627.]
[For speeches presented to external stakeholders at agency hosted conferences, seminars, training courses and other events, use EXTERNAL RELATIONS.]
[For conferences, seminars and other events hosted by the agency for external stakeholders, use EXTERNAL RELATIONS. For master versions of unpublished proceedings, speeches and papers from agency arranged conferences to support staff development, use class 62638. For published proceedings of agency-arranged conferences to support staff development, use PUBLICATION.]
[For agency-wide personnel management plans, use class 62638.]
[For infringements which lead to disciplinary action, use class 62634. For the management of driving infringements for personnel using agency vehicles, use ASSET MANAGEMENT.]
[For agreements or contracts covering the employment of individual employees, such as Australian Workplace Agreements and individual flexibility arrangements, use class 62629 and 62641. For collective agreements negotiated in accordance with industrial relations legislation (eg certified agreements made under the Workplace Relations Act 1996; enterprise agreements made under the Fair Work Act 2009), use INDUSTRIAL RELATIONS.]
[For final versions of agency procedures, reports and reviews supporting the personnel management function, use class 62638.] |
Destroy 3 years after action completed |
62636 |
Records documenting taxation declarations for employees. |
Destroy 2 years after separation from the APS |
62637 |
Records documenting investigations into allegations of misconduct, where:
Excludes investigations relating to child sexual abuse and investigations into misconduct by heads of agencies. [For all allegations of misconduct relating to child sexual abuse, including those where no follow-up investigation is made, use classes 62627. For investigations into allegations of misconduct (other than those relating to child sexual abuse), where allegations are proved unfounded and the employee has requested the records be retained, use class 62629 and 62641. For investigations into allegations of misconduct (other than those relating to child sexual abuse) which are proved and result in disciplinary action being taken, use class 62634.] |
Destroy 18 months after action completed |
62638 |
Records documenting:
|
Destroy 7 years after action completed |