Records and Archives Office

Recordkeeping Manual - Staff Files

The Recordkeeping Manual is also available for download as a PDF document, click to download/open (1,739KB).

Part 4 - Contents

  1. The Official Staff File
  2. Unofficial Staff Files
  3. Privacy
  4. Access and Security
  5. Creating a Staff File
  6. What goes on a Staff File?
  7. What does not go on a Staff File?
  8. Disposal of Staff Files
  9. Contacts

1. The Official Staff File

The University maintains an official personal file for every employee (any person who has been offered and accepted a contract of employment with Curtin University of Technology) and is created upon appointment. These file are managed by Staff Services, including the ongoing maintenance and storage of the files while active.

The official University staff files are used to capture routine documents relating directly to the staff members employment with the University. Specific documents such as workers compensation, superannuation, grievances, disciplinary action, industrial disputes etc go onto a separate administrative file relating to those matters. The reason for this is that the specific subjects and the staff file itself have different retention requirements and of course different levels of confidentiality and therefore must be managed to both preserve the records for its intended life and also ensure privacy for staff.

The official personal file is a University record but it is recognised that access to the file must be constrained by the need to preserve an individual's privacy.

2. Unofficial Staff Files

Within many departments across the university and remote campuses local staff files are created for reference purposes, these files while useful are not regarded as official university files and as such must not contain information that is original or that is held on university Staff management Systems such as ALESCO.

Where areas do retain unofficial staff files these areas must ensure all security precautions and access to these files is restricted to authorised staff only. Staff should also be aware that these files exist and must be able to access their file on request.

3. Privacy

The University is committed to maintaining and safeguarding the confidentiality and privacy of personal staff information.

The University maintains staff information for the purposes of personnel administration and for the compilation of statistical reports to meet the requirements of such external bodies as Department of Education, Science and Training (DEST) and the Australian Taxation Office (ATO).

The University has an obligation to:

All areas should ensure that personal files are not left in public view at any time and that access to these files is restricted to authorised staff at all times. Their location of storage should be a secure location that is lockable at all times, especially when left unattended.

4. Access and Security

Only the employee and Staff Services personnel shall access an employee's correspondence file.

Access to a correspondence file is usually granted within normal business hours, and subject to reasonable notice. The employee may make notes and receive copies of information contained on the record; however they may not alter or remove any item or document or remove the file from Staff Services.

Only duly authorised staff members shall access the electronic set of records maintained on the ALESCO staff information system.

An employee's supervisor, Union representative, or any other person, may only access a correspondence file with the permission of the employee.

Any member of staff, obtaining information from an official personal file for University purposes, is required to maintain the confidentiality of the information. The information is to be used only for the purposes for which it is intended. Failure to comply with this provision may result in disciplinary action.

5. Creating a Staff File

A staff file must be created at the time of appointment of a university employee at all times. The file is to remain the property of the Staff Services unit at all times (official files) and must not be removed from staff services without authorisation (or for transfer to inactive records storage to the Records and Archives Office).

Staff files are to be used for routine employee records relating directly to the staff member and may include such documents as;

Documents relating to issues such as workers compensation, superannuation, grievances, disciplinary action, industrial disputes etc go onto a separate administrative file relating to those matters. The reason for this is that the specific subjects and the staff file itself have different retention requirements and of course different levels of confidentiality and therefore must be managed to both preserve the records for its intended life and also ensure privacy for staff. These files must be also be securely classified in accordance to University policy and recordkeeping standards.

Each staff member should have their own individual file, and these files should be filed by Staff Identification (ID) number in white manila file covers (minimum of 280gsm thickness). These file covers can be obtained through the Records and Archives Office if required. Lever Arch files are not recommended as they take up valuable storage space. When staff files are filed in compactus/shelving units, files must be easily identified by placing coloured index labels (also known as alphanumeric labels) representing the staff ID down the spine to indicate individual staff files. They can then be filed in numeric order according to the staff ID number.

6. What goes on a Staff File?

Staff files are to contain only those documents that relate to the employees employment with the University. All other documents are to be placed onto relevant administrative files. Documents to be placed on a staff file include;

7. What does not go on a Staff File?

The following records do not require to be placed on a personal file as they are specific matters that are not necessarily only related to the one employee, or are matters that have different confidential status or different retention requirements.

8. Disposal of Staff Files

Staff files can only be disposed of after the retention period has expired according to an approved University and/or State Disposal Authority. Once the retention period has expired a complete disposal list, which includes the listing of all staff files, must be sent to the Manager, Records and Archives to be approved for disposal. Upon receiving the disposal list, the Manager of Records and Archives will peruse the document checking the retention periods are correct and once satisfied with this disposal will be approved.

Unless outlined in the above Disposal Authority, documents relating to an employees 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.

Please refer to Part 12: Retention and Disposal of the University Recordkeeping Manual to explain how to use the schedules and how to apply the retention codes etc.

Please refer to Part 11: University Archives of the University Recordkeeping Manual for the process and management of archives.

9. Contacts

Staff Services for staff related information contact details are provided:

Staff Services
Main Enquiries
Telephone: 9266 2724
Web: http://staff.curtin.edu.au/staffservices/

The Records and Archives Office can be contacted during business hours in the following ways:

Telephone: 9266 7050
Facsimile: 9266 2255
Email: records@curtin.edu.au

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