E10. Human Resources Files

E10.1 Introduction
E10.2 Policy statement
E10.3 Procedures
   E10.3.1 Storage
   E10.3.2 Employee personal files
   E10.3.3 Administrative files and registers
   E10.3.4 Vacancy files
   E10.3.5 Closed files
   E10.3.6 Others

E10.1 Introduction

E10.2 Policy statement

The University will maintain human resources files in accordance with the USQ Records Disposal Policy.

(Approved by Council June 1998)
(USQ Records Disposal Policy approved by the Vice-Chancellor May 2005)

E10.3 Procedures

E10.3.1 Storage

All Human Resources files are to be stored in a secure location and maintained in accordance with the Human Resources Records Management Manual.

E10.3.2 Employee Personal Files

E10.3.2(a) A personal file will be maintained for every employee appointed to the University through the formal recruitment and selection process, and will contain copies of the following:

• Application for employment,
• Letter of appointment,
• Letters varying conditions of employment,
• Materials which the employee has specifically provided for inclusion on file, eg. testimonials,
• Records of formal disciplinary warnings or disciplinary actions, probation and performance reports,
• All other correspondence referring to the employee.

E10.3.2(b) Casual and fixed term employee records will be maintained in the form of the appropriate Casual or Fixed Term Employment form, and will be retained within Human Resources, for a minimum retention period of ten years, after last action.  Refer General Retention and Disposal Schedule for Administrative Records issued September 2004 by Queensland State Archives.

Files for continuing employees will be retained for the designated retention period as per the General Retention and Disposal Schedule for Queensland Universities, issued June 2005.

E10.3.2(c) A computer based record of employment information will also be maintained containing personal details, records of current and past University appointments, and leave details.  Access to this information is provided to authorised administrative employees of each Faculty, and to Deans.

E10.3.2(d) The employee concerned will have access to their personal records. In the case of the personal files the material will not be removed from the area where it is held, except with the approval of the Executive Director, Human Resources.  The employee concerned may, however, obtain a copy of the material held on either their personal file or the computer based file in accordance with existing 'administrative access arrangements'.  Requests for other documents (hard print or electronic) relating to an employee may be accessible, subject to the Freedom of Information (FOI) process.

E10.3.2(e) Any employee requiring access to their personal file is to make application to the Executive Director, Human Resources.  Access to personal files will be granted on presentation of suitable identification.

E10.3.2(f) Separate files (to which the employee concerned will not have access) will be kept for the following:

i. Confidential reports from referees will be kept on a temporary file until an  appointment to a position has been made.  The temporary files of unsuccessful applicants will then be destroyed in accordance with the designated retention period in the General Retention and Disposal Schedule for Administrative Records (Ref 3.4.59).

ii. Information obtained by the University from an outside person or organisation regarding the employee. This information may include reports of a medical nature required by superannuation schemes or the University.  In cases where the contents of the medical report are likely to affect the staff member's employment, the staff member will be made aware of the information on the report.

iii. Communications which relate to actual or likely litigation involving the University or an employee.

iv. Communications that involve the State Ombudsman.

E10.3.2(g) Access to personal files will be available to Category 4 Delegates and above from the area where the employee is employed, or the Delegate's nominee, with the employee's permission.

E10.3.2(h) Employees of Human Resources will be responsible for maintaining files on employees and for providing information to authorised employees.  Confidentiality of information will be maintained at all times in accordance with USQ policy and the Queensland Public Sector Privacy Guidelines.  Information Standard No 42: Information Privacy (IS42) refers.

E10.3.2(i) Any person from outside the University making inquiries regarding the information held on an employee's file is to be referred to Human Resources.  Human Resources will only release requested employee information to third parties upon receipt of written consent from the employee in the form of a completed Release of Employee Details form.

E10.3.2(j) Employees are to notify Human Resources of changes to information held on file, such as change of address and educational qualifications, as they occur.

E10.3.2(k) Information relating to leave entitlement may be obtained from HR Employee Self Service (ESS), Faculty Administrators or Human Resources.

E10.3.2(l) When an employee leaves the employment of the University the personal file of the employee will be held for the retention period specified in the General Retention and Disposal Schedule for Queensland Universities, issued June 2005, and then be destroyed.  Summary information required to satisfy State or Federal legislation or University requirements may be retained for a longer period.

E10.3.3 Administrative files and registers

Human Resources Administrative files are those files raised by the Central File Area, by catalogue heading number, for the day-to-day operational matters of Human Resources.  All administrative files are to remain within Human Resources and accessed by Human Resources employees only, unless specifically authorised for release by the Executive Director, Human Resources.

E10.3.4 Vacancy files

Human Resources Vacancy Files are those files created for positions advertised by the University.  Once a vacancy has been filled the vacancy file is forwarded to the Human Resources Central File Area for storage in accordance with the Human Resources Records Management Manual.  Vacancy files will be retained and disposed of in accordance with the General Retention and Disposal Schedule for Queensland Universities.

E10.3.5 Closed files

Closed files are those personal, administrative, vacancy or position files where all action has been finalised or where cessation of employment has occurred.  They will be recorded as being closed and stored in accordance with the Human Resources Records Management Manual either within the Central File Area or Archive Store.

E10.3.6 Others

A Correspondence Register is to be maintained by the Central File Area for the recording of all incoming and outgoing correspondence for Human Resources.