Employee Files – Support Staff, Management and Professional Staff

Function/Activity: To document the employment history of individual support staff, management and professional staff from hiring to resignation/retirement and the administration of benefits, compensation and deduction.

Description/Type of Records: Adjustment printouts, applications, appointment forms, appointment letters, appraisals and evaluations, benefit applications, benefit plan cards, change notice forms, confirmation of employment letters, correspondence, disciplinary letters, employee development plans, insurance applications, job profiles, leave documentation, long service forms, merit increment recommendations, pension documents, performance feedback summaries, personal data update forms, position analyses forms, prior service status reports, resignation or termination letters, résumés, RRSP deduction forms and tax forms.

Retention Rules

Office of Primary Responsibility (OPR)	Retention	Disposition
Human Resources	Termination + 70 years (after 1 year retain only those records associated with benefits and pension administration)	Confidential shred or delete

Office of Secondary Responsibility (OSR)	Retention	Disposition
Faculties and Departments and  Administrative Units	Termination + 12 years	Confidential shred or delete

Restrictions
For Offices of Primary Responsibility (OPR):
In accordance with the Freedom of Information and Protection of Privacy Act, the following access restrictions will apply:

1. Main body of records: access restricted to the subject, supervisor(s), and Human Resources staff assigned the authority to compile, classify, annotate, read, retrieve, transfer or destroy this record series.
2. Records related to benefits administration: access restricted to the subject and benefit administrators.
3. Records related to pension administration: access restricted to the subject and pension benefit administrators.
4. Transitory documents: access restricted to the subject and supervisor(s), and Human Resources staff assigned the authority to compile, classify, annotate, read, retrieve, transfer or destroy this record series.

Application for access not covered by the above restrictions can be made through a Freedom of Information and Protection of Privacy access request.

Restrictions
For Offices of Secondary Responsibility:
In accordance with the Freedom of Information and Protection of Privacy Act, access to Employee Files – Support Staff, Management and Professional Staff is restricted to the subject, supervisors, and faculty or departmental staff assigned the authority to compile, classify, annotate, read, retrieve, transfer or destroy this record series.

Application for access not covered by the above restrictions can be made through a Freedom of Information and Protection of Privacy access request.

Citations:
For Offices of Primary Responsibility:
Limitations Act, L-12, s.3 (1).

For Offices of Secondary Responsibility:
Faculties and Departments, /Administrative Units
Limitations Act, L-12, s.3 (1).

Records Management Instructions
Offices of Primary Responsibility (OPR):
Each employee file will contain four (4) folders in order to ease the processing of access requests and to ensure the security of personal information in accordance with the Freedom of Information and Protection of Privacy Act (s) 38.:

1. Main body of records.
2. Records related to benefits administration.
3. Records related to pension administration.
4. Transitory documents, such as correspondence between employee and supervisor.

The creation of these folders may be done in a manner convenient to the unit:

• “From this day forward,”
• Retroactively for all active files, or
• On an “as needed” basis.

The following record series must be retained separately from the employee files to ease the application of retention rules and the processing of access requests:

1. Core competency.
2. Grievance administration. A file in this record series will be maintained until a grievance is resolved or goes to arbitration, at which point the file will be forwarded to Human Resources.
3. Labor relations including letters of concern or complaint.
4. Participation in conferences and seminars.
5. Office support including vacation scheduling and timesheets.
6. Payroll Payments and Deductions including casual payroll requisitions.
7. Files of employees who have taken action regarding alleged dismissal without cause.

Records that are NOT filed with this series:
Records containing medical information will be maintained only at the University Staff Wellness Centre and are the property of the contractor.

Records Management Instructions
Offices of Secondary Responsibility (OSR):
The following record series must be retained separately from the employee files in order to ease the processing of access requests, to ensure the security of personal information in accordance with the Freedom of Information and Protection of Privacy Act (s) 38., and to ease the application of retention rules:

1. Core competency.
2. Grievance administration. A file in this record series will be maintained until a grievance is resolved or goes to arbitration, at which point the file will be forwarded to Human Resources.
3. Labor relations including letters of concern or complaint.
4. Participation in conferences and seminars.
5. Office support including vacation scheduling and timesheets.
6. Payroll Payments and Deductions including casual payroll requisitions.
7. Files of employees who have taken action regarding alleged dismissal without cause.

Records that are NOT filed with this series:
Records containing medical information will be maintained only at the University Staff Wellness Centre and are the property of the contractor

Approval Information:

• Stuart McKinnon, Director of Human Resources
• Art Kirk, Director of Financial Services
• Jo-Ann Munn Gafuik, University Archivist
• Bonnie Woelk, University Records Committee (Chair)

10 December 1999; amended 26 September 2001; amended 22 January 2009; amended 27 January 2014