Wednesday, 31 August 2011

Managing personnel records


State Records Authority of New South Wales




Recordkeeping In Brief 24 - Managing personnel records


Introduction: Personnel records documenting the management ofemployees are important records in all organisations. Some of these need to be maintained for long periods of time, often after an employee has left the organisation, in order to protect ongoing rights and interests of theemployee and the organisation. Personnel records that contain information about individuals are also likely to be highly sensitive and personal and must be adequately protected from unauthorised access. This document suggests some strategies for effective and efficient management ofpersonnel records.
Example:
Records relating to the following areas could contain identifying and sensitive information about individuals:
  • counselling
  • discipline
  • grievances
  • performance management
  • criminal record checks
  • working with children checks
  • workers compensation, or
  • medical conditions or treatment.
Therefore a system design solution would be to keep these matters on separate electronic or paper files from:
  • general personnel information, or
  • information on the individual's main employee file.
That way, higher security measures can be taken to control access to the files containing the sensitive information, with even more limited access than other personnel or employee files usually receive. Separating these matters can also ensure records due for destruction can be promptly and easily removed and destroyed securely in line with privacy principles.

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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