Components of employee records

Components of employee records

http://www.gov.ns.ca/treasuryboard/manuals/PDF/500/51102.pdf

11.2 Employee Personnel Record Policy
Policy Statement
The Government of ?? has responsibility for maintaining personnel
information for government employees.
Definitions
EMPLOYEE MASTER RECORD
Is a sub-record of the Employee Personnel Record.
EMPLOYEE PERSONNEL RECORD
Contains all personnel information including the Employee Master Record sub-record.
SEPARATION
Refers to all events which sever the employment relationship.
Application
This policy establishes methods for ensuring up-to-date personnel information is
maintained for all persons who are employed by the Government of Nova Scotia. (inclusiveness)
Goals
This policy has the following objectives:
• to define responsibility for employee personnel information management
• to assign a process for maintaining employee personnel information
• to ensure government meets its obligations concerning employee personnel
information management
Policy Directives
Personnel information concerning an individual government employee is to be
maintained in a personnel record, which will also contain an employee master record.
EMPLOYEE PERSONNEL RECORD
The Employee Personnel Records, consisting of all personnel information including the
Employee Master Record sub-record contains documents, forms, and correspondence,
the contents of which the employee has knowledge of at the time of filing or
(contents / components)
recording.11-8
Chapter 11: Employee Records
11.2 Employee Personnel Record Policy
Effective date: January 14, 1998
Government of Nova Scotia
Human Resources Management Manual (Title)
(responsible business unit) Departments are responsible for maintaining the following information in the
employee personnel record for a period of seven years: (RETENTION)
• correspondence related to personnel transactions (excluding information related to
service and disciplinary measures which will be included in the Master Record)
• salary and reclassification dates
• personnel cards
• birth certificate
• special leave benefits
• records of training and education
• employee summary sheets
• sick leave
• vacation
• marital status
• dependents covered by medical plan
• long service award
• retirement benefits
• Form 562 (Recommendation/Advisement for Absence)
• Form 140 (Recommendation/Advisement)
• Form DF20 (Payroll Advice/Salary Adjustment)
• Form 444 (Certificate by Attending Physician) to be kept in a sealed envelope)
• Form DHR 97-001 (Application for Employment)
• Form 1457 (Employee Master/Personnel Record Summary Sheet)
EMPLOYEE MASTER RECORD
The Employee Master Record, which forms a part of the Employee Personnel Record,
contains documents, forms and correspondence, the contents of which the employee
has knowledge of at the time of filing or recording.
Departments are responsible for maintaining the following information in the
Employee Master Record until the employment is severed. Following severance the
Public Service Commission will maintain the Employee Master Record for a period of
60 years.


The Employee Master Record contains the following information:
• disciplinary measures, performance appraisals, Workers’ Compensation Board
accident forms, long-term disability benefits, purchase of casual service, prior civil
service and/or war time service for verification of such service11-9
Chapter 11: Employee Records
11.2 Employee Personnel Record Policy
Effective date: January 14, 1998
Government of Nova Scotia
Human Resources Management Manual
• for employee personnel records created after April 1990, information related to pay
and allowances, benefits and credits, and expenditures are maintained on the HRMS
system by the Public Service Commission
• Employee Personnel/Master Records prior to April 1990 are to be maintained in a
hard copy format in the Employee Personnel/ Master Record
EMPLOYEE RESIGNATION/EMPLOYEE RETIREMENT OR DEATH
Upon employee separation, the unpurged Employee Master Record should be sent to
the Public Service Commission immediately. A copy of the Employee Master/
Personnel Record Summary (Form 1457) is to be included. The Employee Personnel
Record is held in the department for a period of seven years in accordance with the
record retention schedule.
If the employee has not been rehired within seven years from the date of employee
separation, employee personnel information shall be destroyed in accordance with the
retention schedule established herein.
EMPLOYEE TRANSFER
In the case of an employee transfer, the organization from which the employee is
transferring will follow the procedure below on the date of the employee transfer:
1. Complete the Employee Master/Personnel Records Summary (Form 1457).
2. Place the completed Employee Master/ Personnel Record Summary (Form 1457)
on top of the Master/Personnel Record contents.
3. Forward the unpurged Employee Master/Personnel Record to the Public Service
Commission for transfer to the receiving department.
SECURITY AND RELEASE OF INFORMATION
Under the collective agreements, employees are entitled to view their employee
personnel records by prior arrangement with the personnel responsible for their
custody.
If the employee wishes information contained in his/her Personnel/Master Record to
be released, the employee must state in writing to the personnel staff the specific
information that is to be released and to whom. Access to employee personnel
records by persons other than the employer or personnel staff must be approved by
the Deputy Minister of the department. Employee Master/Personnel Records are to
be maintained in a secure area.11-10
Chapter 11: Employee Records
11.2 Employee Personnel Record Policy
Effective date: January 14, 1998
Government of Nova Scotia
Human Resources Management Manual
Policy Guidelines for Employee Personnel Record
Guidelines may be developed as appropriate to assist with maintaining employee
personnel records.
Accountability
GOVERNMENT DEPARTMENTS
Departments have the responsibility for maintaining the Employee Personnel Record,
which includes the Employee Master Record, for the time periods prescribed in this
policy.
PUBLIC SERVICE COMMISSION
The Public Service Commission has responsibility following separation for maintaining
Employee Master Records for the time periods prescribed in this policy.
Monitoring
The Public Service Commission may conduct audits of departmental employee
personnel record practices to ascertain compliance with this policy.
References
Civil Service Act
Collective agreements between the Nova Scotia government and the Nova Scotia
Government Employees Union
Freedom of Information and Protection of Privacy Act
Enquiries
General Enquiries, Public Service Commission (902) 424-7660
Approval date: January 14, 1998 Manual release date: January 9,

employee records retention

Managing different retention periods in individual employee files


http://www.records.nsw.gov.au/recordkeeping/government-recordkeeping-manual/guidance/recordkeeping-in-brief/recordkeeping-in-brief-24


Traditionally one employee file is kept for each employee. This often contains records relating to positions held, promotions, transfers or secondments, leave arrangements or separation. These files often have quite long retention periods. Therefore a design consideration may be to create other employee files for specific matters where the retention period is shorter and not place these records on the main employee file. These separate files can still be linked to the main employee file in records management system.

Categories of records that are sometimes placed on an individual's employee file that could be filed separately due to shorter retention periods are listed below:

Category of record Retention
Records relating to the counselling of employees, which may include trauma, financial, career or performance-based counselling. Retention period is 5 years after action completed, then destroy
Records relating to criminal records checks May be required under a memorandum of understanding with NSW or Federal Police to be destroyed within a 3-6 month period
Records documenting staff development A variety of short retention periods. See General retention and disposal authority: administrative records for more information.
Records relating to workers compensation not relating to serious injuries Retention period is 25 years after the action is completed.
Separating these matters can also ensure that records requiring more sensitive handling can be treated securely in line with privacy principles.

Employee records

Meta data: employee records

http://www.records.nsw.gov.au/recordkeeping/government-recordkeeping-manual/guidance/recordkeeping-in-brief/recordkeeping-in-brief-24


What makes an adequate summary record?

It is the public office's responsibility to determine whether the summary record is 'adequate' to meet the requirements for evidence. This may need to be a risk based decision and subject to a risk management process.

Summary records for employment and service should at least contain details of:

identification number
name and name changes
date of birth
address
contacts
date appointed
date of leaving the service
status
position and dates held
promotions and higher duties and dates held
appointment letter or contract
locations of work
description of duties
salary rates, and
allowances.

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Employee Records

Recordkeeping In Brief 24 - Managing personnel records

http://www.records.nsw.gov.au/recordkeeping/government-recordkeeping-manual/guidance/recordkeeping-in-brief/recordkeeping-in-brief-24

Introduction: Personnel records documenting the management of employees are important records in all organisations.

Types of personnel records
Achieving efficient management of personnel records
Establish policies and procedures
Design personnel recordkeeping systems to support retention and privacy requirements
Create and maintain summary records
Benefits
What makes an adequate summary record?
Retention of summary records