62627

Records documenting:

• work diaries and appointment books of the agency's Chief Executive Officer (or equivalent) containing information about significant issues, decisions, actions or events of public interest or where the individual is subject to intense public scrutiny (eg appointments for meetings that are highly controversial or of public interest; important decisions and actions not recorded elsewhere; evidence of movements that may be subject to investigation). Includes electronic diaries and calendars. Excludes private appointments not related to the performance of official duties;
• summary records consolidating information on the employment or service history of all employees in the agency, including both ongoing (permanent) and non-ongoing (temporary) employees (eg register of employees). Includes summarised information maintained in agency business systems, registers, index cards and summary sheets, such as:
  • name of employee;
  • date of birth;
  • dates of appointment and separation;
  • position titles and dates positions were held;
  • remuneration and allowances; and
  • employment location.

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).

• investigations and inquiries relating to alleged or actual incidents of child sexual abuse resulting from disclosures, allegations, or complaints relating to members of the organisation's workforce, including employees and volunteer workers (eg misconduct case files and supporting documentation). Includes cases referred to external law enforcement agencies and allegations which were not proven. Includes the initiating allegation or complaint, evidence collected or seized, records of interviews conducted, referrals to external bodies, findings, records of legal proceedings, reports, records of disciplinary action, supporting research and appeals and reviews of decisions;

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.]

• developing and reviewing policies, procedures, plans and strategies for addressing child sexual abuse allegations and incidents involving employees or volunteer workers in agencies that provide care for or services to children (eg residential care, welfare services, training or other educational services) as part of their business activities, including under contractual or outsourcing arrangements. Includes final versions, major drafts, supporting research and results of stakeholder consultations;
• master set of training materials developed for employees, contractors and volunteer workers relating to handling child sexual abuse incidents and allegations;
• major internal reviews relating to the process of handling of child sexual abuse incidents and allegations involving employees, contractors or volunteer workers. Includes final review report, major drafts, recommendations, stakeholder consultations and supporting research; and
• receipt or provision of high-level advice relating to child sexual abuse incidents and allegations involving employees, contractors or volunteer workers, including advice provided as part of investigations and inquiries.

[For advice, briefs and submissions to the portfolio Minister relating to child sexual abuse incidents and allegations, use EXTERNAL RELATIONS.]

62628

62641

Records documenting:

• employment records of all ongoing (permanent) and non-ongoing (temporary) employees, 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, where the employee commenced work prior to turning 18 years of age; and

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.]

• engagement and management of volunteer workers, including students undertaking work experience placements, where the individual commenced work prior to turning 18 years of age. Includes personal details and agreed undertakings relating to conditions of engagement and details of work performed.

[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.]

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:

• letters of appointments/promotions and conditions of engagement and letters of acceptance;
• Ministerial instrument of appointment and report from departmental secretary on the vacancy (heads of agencies and statutory appointees only);
• negotiation, establishment and implementation of agreements or contracts with individual employees (eg Australian Workplace Agreements). Includes authorised versions of final agreements;
• details of assigned duties (initial and subsequent variations including higher duties);
• probation and increment reports;
• medical examination reports and heath declarations;
• accident/incident records where an employee is injured;
• identity records and supporting documentation (eg birth certificates, evidence of educational qualifications);
• declarations of interest;
• undertakings to preserve official secrets;
• investigations of misconduct where allegations are proved unfounded and the employee has requested the records be retained;

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.

• leave history records, including details of long service leave, parental leave, military leave and leave without pay (ie leave used to calculate superannuation and long service leave entitlements) ;
• details of redeployments, transfers, or reclassifications;
• records of training in hazardous substances;
• salary payments (employee pay history records) including payroll deduction authorities, superannuation deductions and agency contributions, recovery of overpayments, and deductions to satisfy a judgment debt; and
• separation records.

[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.]

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.]

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.]

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.]

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.]

62642

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.]

62635

Records documenting:

• managing staff social clubs and activities, including support and/or sponsorship given by the agency;

[For financial records documenting agency payments to support staff social clubs and activities, use FINANCIAL MANAGEMENT.]

• annual renewal of insurance policies relating to personnel management (eg for personal and household effects being moved overseas);

[For workers compensation insurance, use COMPENSATION.]

• relocation of an employee and their family's personal effects. Includes arrangements made for the storage of personal and household effects at Commonwealth expense;

[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.]

• administrative arrangements (including travel and accommodation arrangements) for employees undertaking work-related activities, including attending meetings, training courses, conferences, seminars,  and other events to support staff development. Includes confirmation of course attendance, lodgement of application, and arrangements for obtaining official passports and visas;
• developing training material for staff development courses run internally by the agency (eg induction courses, graduate training and training of volunteers) where the agency is not a registered training organisation. Includes programs, lecture notes, course material, hand-outs, course evaluations, and unpublished training films and videos. Excludes training material developed for handling child sexual abuse incidents and allegations.

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.]

• speeches presented by agency personnel in relation to internal staff development activities (such as presentations at internal training seminars and staff conferences);

[For speeches presented to external stakeholders at agency hosted conferences, seminars, training courses and other events, use EXTERNAL RELATIONS.]

• conferences, seminars and other events arranged by the agency for internal stakeholders to support staff development. Includes program development, invitations to speakers, promotion activities, registrations, and venue bookings;

[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.]

• administrative arrangements supporting the conduct of internal training courses and conferences for agency staff. Includes processing applications, managing registration, arranging speakers, program development, promotion, venue bookings, hire of equipment, and catering.
• developing section or business unit personnel management plans, including those of state, regional or overseas offices. Includes final versions;

[For agency-wide personnel management plans, use class 62638.]

• feedback and suggestions for improvements received from agency staff about the agency and its programs, products, services and internal practices;
• infringements by an employee, including breaches of the agency's rules;

[For infringements which lead to disciplinary action, use class 62634.

For the management of driving infringements for personnel using agency vehicles, use ASSET MANAGEMENT.]

• development and review of individual employee performance agreements and assessments. Includes final version of agreement, notes from meetings with employees and assessment and review reports; and

[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.]

• working papers documenting the development of agency procedures, reports and reviews supporting the personnel management function. Includes drafts and stakeholder feedback.

[For final versions of agency procedures, reports and reviews supporting the personnel management function, use class 62638.]

62636

62637

Records documenting investigations into allegations of misconduct, where:

• no follow-up investigation is made (ie where allegations were proved to be frivolous or vexatious);
• the allegations were investigated, either by the agency or an external authority, and no conclusion was reached (eg the employee resigned prior to the conclusion of the investigation); or
• the allegations were investigated, either by the agency or an external authority, and proved to be unfounded and the employee has not requested the retention of the records.

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.]

62638

Records documenting:

• routine operational administrative tasks supporting the function; and
• personnel management activities, other than those covered in classes 62627 to 62637, 62641 and 62642.