Guide Staff filling

CONTENTS

1.   Staff Files

2.   Restricted ACCESS Files

3.   Confidential Files

4.   Promotions Files

5.   Workers’ Compensation Files

6.   Executive Staff & Deans

1.   Staff Files

A central staff file is made up for the following staff members:

• Visiting professors
• Fixed term appointments
• Permanent appointments
• Honorary appointments

Documents relating to these staff members should be forwarded to Central Records/Human Resources for filing as soon as possible to ensure complete records.

1.1   Filing

Use the following list as a guide to what should and should not be filed on the staff file. Please place documents on file directly or send documents to Human Resources or Central Records for filing.

If you have any questions call Central Records on x3019.

Do File On Staff Files

Do Not File on Staff Files

1.2   Access

Staff files are highly confidential records relating to staff members. It is essential that staff feel confident that information relating to them is treated in an appropriate manner, with due attention paid to the need for non-disclosure of file contents outside normal University business transactions. Failure by a staff member to comply with the access policy may result in disciplinary action.

Broadly speaking, staff with the authority to access staff files encompasses:

• Human Resources
• Executive Management
• Staff in direct line of supervision; and
• Other staff as authorised by Human Resources

For a complete listing of authorised staff see:

• Access to and Use of Personal Files

1.3   Disposal

Under the State Records Act 2000 staff files relating to a person’s employment and/or service are to be destroyed 71 years after the employee’s date of birth or 6 years after retirement whichever is the later, or 6 years after death (GDA RD99002 5.11.3).

2.   Restricted ACCESS Files

Where it is not appropriate for documents to be placed on the staff files a separate highly confidential case file is created. Files falling into this category include:

• Confidential files
• Promotions files
• Workers’ compensation files
• Executive staff & faculty dean files

The case file is related to the original staff file, ensuring that all documentation pertaining to a particular staff member can be easily located. Security of personal information is important; if you have any queries or concerns please contact the University Archivist on x7234.

3.   Confidential Files

Documents relating to confidential health matters, grievances, misconduct, serious misconduct, complaints, harassment and allegations (including substandard performance) should be filed on a separate confidential file.

1.4   Filing

It is particularly important to file documents relating to an ongoing process or issue (eg. performance management), in instances where there is a commitment by one or all parties (eg. to improve performance in particular areas) and if there is potential for an issue to recur (repeated misconduct can constitute serious misconduct).

Please send documents to Central Records or Employee Relations for filing. Examples of documents that should be placed on a confidential file include:

• Complaints, allegations, reports, investigations, responses, notes of meetings/conversations, formal correspondence – whether in paper or electronic form (eg. email) – where records relate to the following:
• Misconduct or serious misconduct eg. fraud, theft, misappropriation of funds, assault, willfully disobeying a regulation, order, or lawful instruction made or given, or repeated actions of misconduct;
• Harassment, including sexual harassment;
• Unsatisfactory work performance and/or inefficiency (actual or alleged);
• Grievances;
• Other complaints and/or allegations against staff;
• Confidential medical and/or psychological problems.

When filing documents on restricted files please note existing University policies and procedures:

Performance Issues

Statements about a staff member’s unsatisfactory work performance (actual or alleged) may NOT be placed on the file without the staff member having sighted and signed the statement and being provided with a copy of the statement. The staff member may also require that their written reply shall also be placed on file.

For more information see:

• Selection of Material to be Placed on File
• Procedures for Managing Unsatisfactory Performance and Misconduct: All Staff Other Than Academics

Grievances

Under the terms of the Academic Staff Agreement a report on any staff member involved in a grievance shall NOT be placed on the staff member’s official staff file unitl the staff member has been provided with a copy and has been given the opportunity to answer such a report in writing. Any such answer shall be filed with the report.

Also, reports relating to any staff member involved in a grievance shall NOT be filed on any school file.

For more information see:

• Procedures for the Settlement of Grievances

Where a matter is resolved with minimal documentation and at a relatively informal level documents are filed on the relevant section grievance file. eg. PERSONNEL – GRIEVANCES – [section name]

Where a matter involves extensive documentation or is progressed under the relevant staff agreement, or includes an individual’s medical records a separate confidential file is created for each staff member. On occasion a grievance may generate more than one case file (eg. grievance file, legal services file, ombudsman file). In this instance individual files are related in TRIM and cross-referenced on the file covers.

Eg.

PERSONNEL – GRIEVANCES – Discrimination – [section name] – [Staff member name]

PERSONNEL – PERFORMANCE MANAGEMENT – Unsatisfactory Performance – [section Name] – [Staff member name]

1.5   Access

Access to confidential files is restricted to the following staff:

• Employee Relations & Management Services
• Executive Director (Academic Services) & Registrar
• SDVC
• VC
• Director Legal Services
• Director HR
• Records & Archives

A head of section involved will not automatically be able to see the file, however additional access can be arranged on a case by case basis with the permission of the Director of Human Resources, Manager of Employee Relations, Executive Director (Academic Services) & Registrar, Vice-Chancellor or Senoir Deputy Vice-Chancellor.

1.6   Disposal

Under the State Records Act 2000 grievance files are to be destroyed 7 years after last action (GDA RD99002 5.8, 5.10.3).

Under the State Records Act 2000 medical documents relating to a person’s employment relating to a person’s employment and/or service are to be destroyed 71 years after the employee’s date of birth or 6 years after retirement whichever is the later, or 6 years after death (GDA RD99002 5.11.3).

4.   Promotions Files

Documents relating to academic staff promotion and tenure should be placed on a separate promotions file. Note: the final letter confirming the recommendation for promotion is also placed on the staff file.

1.7   Filing

Please send documents to Central Records or Human Resources for filing. Examples of documents that should be placed on a promotions file include:

• Application for promotion including CV & supporting documentation
• Documents relating to the assessment of the application
• Letter confirming recommendation for promotion
• Appeal documents
• Administrative documents (eg. return of materials to applicant)

1.8   Access

In this instance a file is created for each staff member, with access restricted to the following staff:

• Promotions group (Recruitment Team)(HR)
• SDVC
• Personal assistant to the SDVC
• VC
• Personal assistant to the VC
• Director, HR
• Records & Archives

Eg.

PERSONNEL – PROMOTION (Personnel) – Academic Status Increase Applications – [Staff member name] – [Department Name]

1.9   Disposal

Under the State Records Act 2000 promotions records are to be destroyed 71 years after the employee’s date of birth or 6 years after retirement whichever is the later, or 6 years after death (GDA RD99002 5.11.3).

5.   Workers’ Compensation Files

Documents relating to workers’ compensation matters should be placed on a separate case file.

1.10   Filing

Please forward documents to the Safety and Health Office for filing. Examples of documents that should be placed on a workers’ compensation file include:

• Accident/injury report
• Employer’s report form
• Employee’s report form
• Medical certificates and reports
• Insurance records
• Rehabilitation records

Remember that all forms and certificates are legal documents and may be tendered as evidence should the matter be taken before the Workers’ Compensation Board or District Court.

1.11   Access

In this instance a file is created for each staff member, with access restricted to the following staff:

• Safety & Health Office
• Legal Office
• FOI Coordinator
• University Archivist
• Records Officer
• Records Coordinator
• Classifier

Eg.

OCCUPATIONAL SAFETY AND HEALTH – INSURANCE – Workers Compensation – [Staff member name] – [Department] – [Insurer] – [Case no.] – [date]

1.12   Disposal

Under the State Records Act 2000 workers compensation & rehabilitation files are to be destroyed 71 years after the employee’s date of birth or 6 years after retirement whichever is the later, or 6 years after death (GDA RD99002 1.2.1, 1.3.1).

6.   Executive Staff & Deans

Other restricted files relating specifically to executive staff and the reappointment of faculty deans have been established. Please contact Central Records for more information x3019.

Monique Nielsen

EDMS Project Officer