E10.

Human Resources Files

E10.1 Policy
E10.2 Scope
E10.3 Reference
E10.4 Application
E10.4.1 Storage
E10.4.2 Employee Personal Files
E10.4.3 Administrative Files and Registers
E10.4.4 Vacancy Files
E10.4.5 Closed Files
E10.4.6 Others
E10.5 Delegations Authority
E10.6 Human Resources Contact
E10.7 Status

E10.1 Policy
The University will maintain human resources files in accordance with the
University’s Archive Policy.
(Approved by Council June 1998)

E10.2 Scope
All records of correspondence relating to matters of employment will be maintained
within the Human Resources Central File Area. These include:

• Employee Personal Files

• Administrative Files and Registers
• Vacancy Files
• Position Files
• Closed Files

E10.3 Reference

• Human Resources Records Management Manual, 1 June 1993.

• USQ Archives Policy and Procedures, 1997.
• Libraries and Archives Act 1988.
• Freedom of Information Act 1992.

E10.4 Application
E10.4.1 Storage
All Human Resources files are to be stored in a secure location and maintained in
accordance with the Human Resources Records Management Manual.
E10.4.2 Employee Personal Files
E10.4.2(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.

E10.4.2(b) Casual and temporary employee records will be maintained in the form of
the appropriate Casual or Temporary Employment form, and will be retained within
existing storage areas allocated to faculties or sections, for a minimum retention
period of seven years, after last action. Refer General Disposal and Retention
Schedule for Administrative Records issued June 1997 by Queensland State
Archives.
E10.4.2(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.
E10.4.2(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 Group Manager, Human Resources and
Corporate Services. 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 relevant FOI legislation.
E10.4.2(e) Any employee requiring access to their personal file is to make
application to the Group Manager, Human Resources and Corporate Services.
E10.4.2(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.
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 the State Service Superannuation Scheme 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.
E10.4.2(g) Access to personal files will be available to Categor 4 Delegates or above
where the employee is employed, or the Delegate’s nominee.
E10.4.2(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.
E10.4.2(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.
Employees of Human Resources will only confirm information given concerning an
employee’s name, employment and dates of commencement and/or termination.
E10.4.2(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.
E10.4.2(k) Information relating to leave entitlement may be obtained from HR
Employee Self Service (ESS), Faculty Administrators or Human Resources.
E10.4.2(l) When an employee leaves the employment of the University the personal
file of the employee will be held for the specified period specified in the Libraries and
Archives Act 1988 and then be destroyed. Summary information required to satisfy
State or Federal legislation or University requirements may be retained for a longer
period.
E10.4.3 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 Group Manager, Human Resources and Corporate Services.
E10.4.4 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 and disposal in accordance with the
Human Resources Records Management Manual.
E10.4.5 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.
E10.4.6 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.

E10.5 Delegations Authority

Delegate Authority
Group Manager, Human Controls records of correspondence and other
Resources and Corporate matters relating to employment of each employee.
Services

E10.6 Human Resources Contact

Daniel Dajczer

E10.7 Status
Written June 1998.
Legislation regarding archiving revised 1999.
Amended Section E10.3 – E10.4.2, November 1999.