Human Resources Management

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How to use this tool:

  • This tool is designed for IM specialists to use with relevant business areas when identifying information resources of business value (IRBV) and retention specifications.
  • The IRBV and retention specifications contained in this document are recommendations only and should be customized to apply in each institutional context. The complete document should be read before using any recommendations.
  • This Generic Valuation Tool does not provide Government of Canada institutions with the authority to dispose of information. Generic Valuation Tools (GVT) are not Records Disposition Authorities (RDA) and do not replace the Multi-Institutional Disposition Authorities (MIDA).

Validation:The business processes and IRBV of this tool have been validated by the  Human Resources Communities of Practice (HRCoPs Hub) in late November and early December of 2011. The HRCoPs Hub is run through the Human Resources Council and is composed of the heads of human resources across the Government of Canada.

Defining the Activity

Human Resources Management (HRM) Services are identified at the sub-sub- activity level of the Treasury Board Secretariat’s (TBS) Internal Services Profile as part of the Resource Management sub-activity.

HRM Services involve activities that support the management of employees in the Public Service, such as the organizational design and planning of human resources; onboarding and offboarding of personnel; promotions and movements in, out, or within the organization; and workforce management.

HRM Services are prescribed through a number of legislative, regulatory and policy instruments including the Public Service Modernization Act and the Public Service Employment Act, which are the key pieces of legislation establishing the federal public service. Legislation and policy instruments also exist to ensure transparency and accountability in HRM Services across the Government of Canada (GC), Footnote1 protect the rights of public servants, Footnote2 and promote development and training. Footnote3

The employee, or personnel file, documents the record of service of each individual employed by the federal government. This GVT cannot be used to determine business value, enduring value and retention specifications of military personnel and police forces, since these are subject to different legislation and policies. Footnote4 Human resources services affecting military personnel and police forces would not be considered to form part of the TBS Internal Services Profile, since they address special forces and not public servants. However, the Department of National Defence and the Royal Canadian Mounted Police may use this tool with respect to human resources services addressing their civilian personnel.

Also excluded are any other institutions that are not subject to the legislation and policies described above and do not report to  TBS on their HRM Services, including the Communications Security Establishment (CSE) and the Canadian Security and Intelligence Service (CSIS). CSIS does not publicly report on its plans and priorities because of national security concerns. While CSE does prepare a PAA, TBS does not assess its HRM Services. Since TBS does not consider the human resources performed by these institutions to be part of the Internal Services Profile, they are excluded from the scope of this GVT.

Relationship to Other GVT

Business processes and activities often overlap. When the IRBV from an activity is identified in another GVT, there is a note in the table of IRBV and retention recommendations (below) to direct the user to the proper tool.

Management and Oversight: Information resources concerning planning, policies, standards, guidelines, program and service management, project management, risk management, performance reporting, audit, and evaluation.

Business Processes

HRM business processes are defined according to the Common Human Resources Business Process  (CHRBP), a recommended project launched by the Office of the Chief Human Resources Officer (OCHRO) as part of the Public Service Action Plan Footnote5 to standardize and redefine the way human resources business is conducted across the GC. These processes are the result of two years of extensive collaboration between hundreds of subject-matter experts across the public service to define a common way of delivering HRM Services. Footnote6

These business processes are meant to depict all activities and tasks of the HRM business process, which are consistent with the seven activities defined in the Internal Services Profile. Footnote7

HRM Services is divided into seven service groupings.  The CHRBP defines them as follows:

1. Human Resources Planning, Work and Organization Design and Reporting

“the set of processes by which managers identify the different factors influencing the delivery of the services, programs and business priorities of their organization and the implications for workforce requirements…Management assesses the current workforce, the labour market and the short and long term HRM needs related to their organization structure, employee skills and competencies, and identifies critical positions. A current and future human resources gap analysis is done, and workplace and workforce plans are developed to address the gaps and support the achievement of broader organizational objectives. Management is then able to review and measure results and progress for their organization against their annual plans. Annual plans, including organization design, are revised and updated throughout the annual business cycle. This process runs parallel to broader integrated planning activities and contains several check-points to ensure alignment with broader organizational planning.” Footnote8

2. Job and Position Management

“the set of processes and activities through which business/work requirements are ‘translated’ into work descriptions and where jobs and positions are established and maintained. This includes documenting and evaluating new work descriptions (where no existing work description (generic or otherwise) is available/appropriate), documenting job and position attributes (e.g., security requirements, language requirements, location of work, tenure: term/indeterminate, etc.) and creating, updating and inactivating/re-activating positions as required by business requirements and driven from the HRM planning process and the organizational design. The scope of this process includes not only responding to new work requirements but also undertaking reclassification and responding to classification grievances that are initiated in the Workplace Management process. This process also includes the identification of a position as an essential service and excluded, and the corresponding review with unions, in addition to assigning the relevant National Occupation Classification and competency requirements.” Footnote9

3. Staffing and Employee Integration

“the set of processes by which people are matched to work. This includes looking for people (internal and external applicants), assessing candidates, selecting, appointing, enrolling, orienting and putting them to work (onboarding and return from leave). It includes the management of priorities and the process in which employees are enrolled in pay and benefits and integrated into the workplace with a workplace assigned, and the related business equipment needed to perform their work.” Footnote10

4. Total Compensation

“the set of processes and activities through which an employee’s compensation (including adjustments, overtime, acting pay, etc.) is processed and transmitted to the pay service provider, and the leave transactions (e.g., maternity and parental, long-term disability, adoption, sick, vacation and compensatory leave, without pay, with income averaging, pre-retirement transition and self-funded leave) are prepared for transmission to the pay service provider.” Footnote11

5. Employee Performance, Learning, Development and Recognition

“the set of processes through which HRM, employees and managers establish learning requirements, develop and deliver learning solutions events, set performance objectives, conduct performance assessments, and develop learning/development plans, monitor progress against them, and employees undertake learning and development courses and/or developmental programs, and are formally and informally recognized and rewarded for their performance. This process involves integrating organizational (corporate) and work-specific objectives with the career and learning aspirations of the individual to build a career and learning plan. This includes considering a diverse range of inputs including mandatory government-wide and departmental learning requirements, job, position and/or occupational specific mandatory requirements (including official languages training, certification training), as well as professional or career development needs (apprenticeship programs,  CAP program, etc.). This process involves establishing performance expectations/objectives and measuring employee performance against those expectations/objectives. This process also includes the management of formal and informal employee recognition programs and involves the nomination, review of nominees and the distribution of awards. In addition, capturing and maintaining employee performance and learning data and competencies is part of this process.” Footnote12

6. Permanent and Temporary Separation

“the set of processes associated with an employee’s temporary or permanent departure from either a department within the public service or the public service as a whole. Separation can be voluntary (e.g., transfer to another department, maternity/parental leave, retirement, educational leave, leave with or without pay) or involuntary (e.g., termination, death). This includes the request and approval of separation, if voluntary, or the notification of separation, if involuntary. The process also includes the processing of documentation and calculations related to final payment (e.g., vacation leave, death benefit, severance payment), if a permanent separation, preparing the Record of Employment, conducting exit interviews, undertaking the recovery/transfer of security passes and assets, informing employees of any post-employment restrictions/requirements (e.g., confidentiality post-employment), and informing PWGSC Superannuation of the separation date. For a transfer from one department to another, this process would include preparing and sending the employee record (electronic, if possible, and paper record) to the receiving department.” Footnote13

7. Workplace Management

“ the set of processes through which the work and the workplace are managed. This includes decisions on workforce scheduling (shift, overtime, and leave), managing return to work situations (gradual or full-time), managing (and capturing) employee information (emergency contact information, name, address and marital status, work location, etc.) and administering workforce change, which includes any Work Force Adjustment-related changes. “This process also involves managing the workplace which includes providing a safe and healthy workplace (operational health and safety, and wellness) and addressing worker requirements including modified work arrangements (Duty to Accommodate). This process includes all activities related to managing redress, including complaints, grievances (both language requirements and classification) and recourse (staffing) including both formal and informal methods/approaches as well as managing disciplinary situations. Decisions and actions are guided by the terms and conditions of employment, collective agreements and relevant statutes and legislation related to the workplace in addition to the values and ethics of the public service. Results of union-management consultation (while not specifically a process) would inform and guide decisions related to the workplace.” Footnote14

Retention

Recommended retention specifications in GVTs are determined based on traditional or best practices, a review of government-wide legislation and policy, and validation with subject matter experts. Retention periods are suggestions only; departments must take into account their own legislative requirements and business needs.

Retention specifications for Organization Design, Human Resources Planning, and Reporting were determined by prescriptions made in the Employment Equity Regulations.

Retention specifications for Total Compensation were determined by prescriptions made in the Canada Labour Code and the Canada Labour Standards Regulations.

Retention specifications for Employee Performance, Learning, Development, and Recognition were determined by prescriptions made in the Occupational Health and Safety Directive.

Retention specifications for Workplace Management were determined by prescriptions made in the Canada Occupational Health and Safety Regulations, Collective Agreements, and the Public Service Labour Relations Act.

Special attention should be given to personnel files, since GC institutions often maintain separate employee files for different activities (e.g., linguistic status, performance evaluation, conflict of interest, etc.). The TBS publication Info Source: Sources of Federal Government and Employee Information provides guidance on the information holdings of GC institutions subject to the Access to Information Act and the Privacy Act.

The Employment Equity Regulations state in section 12(2), that the following information resources must be kept for a period of two years after the period covered by the employment equity plan: a copy of the workforce survey questionnaire that was provided to the employees and any other information used by the employer in conducting its workforce analysis; the summary of the results of the workforce analysis; a description of the activities undertaken by the employer in conducting its employment systems review; the employer’s employment equity plan; a record of the employer’s monitoring of the implementation of its employment equity plan; and a record of activities undertaken by the employer and information provided to employees as required by section 14 of the Employment Equity Act.

Information resources documenting individual cases of the Value and Ethics Code for the Public Service should be retained two years following the duration of employment by the institution to which the certification document and confidential report were submitted. Furthermore, staffing process requests, competition posters and candidate applications should be retained for two years following either the expiry of the eligibility list for a staffing action, or after the last administrative action, according to which is later.

According to Part III, section 252.(2) of the Canada Labour Code, every employer must retain the records required to be kept by regulations made in section 264.(a) documenting wages, vacations, holidays and overtime of employees for a period of thirty-six months after work is performed.

Section 24.(1) of the Canada Labour Standards Regulations prescribes that information resources showing the date of commencement and date of termination of employment must be kept for a period of at least thirty-six months after the date of termination of employment.

According to section 24.(4) of the Canada Labour Standards Regulations, every employer must keep a record of the following information for a period of at least three years following the expiration of the employer’s obligation under section 239.1(3) of the Canada Labour Code: detailed reasons for an employee’s absence due to work-related illness or injury; a copy of any certificate of a qualified medical practitioner indicating that the employee is fit to return to work; and the date the employee returned to work, or a copy of any notification from the employer to the employee and any trade union representing the employee that return to work was not reasonably practical and the reasons why it was not.

Leave forms should be retained for two years following the expiry of the fiscal year. Though the annual record of attendance and leave may be attached to the employee personnel file, leave forms should be filed separately.

Section 11.2.3 of the Occupational Health and Safety Directive states that records of all instruction and training provided on hazard investigation must be maintained for a period of thirty years after the date on which it was given.

Section 16.6.4 of the Occupational Health and Safety Directive states that information resources of the training required by section 16.6 (in relation to motor vehicles) be kept for as long as the employee remains in the department’s employment.

According to section 18.2.2 of the Occupational Health and Safety Directive, information resources of every illness or injury that required first-aid treatment must be maintained at each place of employment for ten years following the treatment.

Information resources documenting occupational safety and health training relating to dangerous substances should be retained for two years from the time when the employee ceases to handle or be exposed to the hazardous substance, or two years following the installation, operation, maintenance or repair of materials used to transfer the dangerous substance.

According to section 12(1) of the Employment Equity Regulations, with respect to terminated employees, information resources documenting each employee’s designated group membership, occupational group classification, salary and salary increases, and promotions must be retained for two years after the date of their termination.

Retention specifications are provided in Collective Agreements, section 17.05, which states that any document or written statement related to disciplinary action, which may have been placed on an employee personnel file must be destroyed once two years have elapsed since the disciplinary action was taken, provided that no further disciplinary action has been recorded in the interim. In cases where a disciplinary action has been rescinded, the onus is on the employer to ensure that the documentation of the action concerned is immediately destroyed.

According to section 116 of the Public Service Labour Relations Act, a collective agreement is deemed to have effect for one year, unless a longer period is specified in the agreement.

Information resources documenting classification grievances should be retained for three years following the date of the resolution or the date of decision by the Public Service Labour Relations Board.

For information resources created in support of the monitoring of accidents, injuries and/or illness, institutions should consult Part II of the Canada Labour Code and the Occupational Health and Safety Regulations and TBS policy instruments dealing with occupational health and safety prior to the destruction of any inspection, investigation and testing reports. Where there are inconsistencies between these documents, the longest retention specification should be used. Where retention specifications have not been provided, legal counsel should be consulted prior to the destruction of these information resources.

Business Value and Retention Recommendations

Note: Documentation of substantive opinions extends to substantive drafts where information is not captured in later versions—in cases where changes reflect substantive, content-based modifications rather than simple editorial alterations.

1. Organizational Design, Human Resources Planning and Reporting

Business Processes Recommendations: Information Resources of Business Value (IRBVs) Recommendations: Retention Period

Assess human resources implications of business requirements

Documentation of decisions or substantive opinions leading to and including:
external labour market assessments
business context assessments
organizational workplace and workforce human resources (HR) risks
workforce and workplace gaps
stakeholder feedback
validated business requirements and priorities

5 years after study/survey has ended or system has been implemented, based on a recommendation arising from the Common Human Resources Business Process (CHRBP)

Develop workforce and workplace plans

Documentation of decisions or substantive opinions leading to and including:
organizational assessments
final workforce and workplace plans
validated workforce and workplace plan achievement measures
comments on drafts
record of decision re: changes required to organizational assessment
record of decision re: managers’ selected courses of action

5 years after system has been implemented, based on a recommendation arising from the CHRBP

Conduct organizational designs

Documentation of decisions or substantive opinions leading to and including:
organizational models/work descriptions, readiness assessments
new or amended organization structures and high-level attributes
confirmed intentions to commit funds under the Financial Administration Act, s. 32
transition approaches
stakeholder feedback
action requests – authorize classification

5 years after system has been implemented, based on traditional practice, except:
position files (work descriptions) – 1 year after superseded or obsolete, based on a recommendation arising from the CHRBP

Monitor and report

Documentation of decisions or substantive opinions leading to and including:
data collection, measurement and monitoring plans
data analyses
variance analyses
final reports

5 years after last administrative action, based on a recommendation arising from the CHRBP

2. Job and Position Management

Business Processes Recommendations: Information Resources of Business Value (IRBVs) Recommendations: Retention Period

Select and assess pre-classified work descriptions

Documentation of decisions or substantive opinions leading to and including:
record of decision re: new work description required

2 years after the last position linked to this job type has been:
eliminated from the HRM system;
disassociated from the job type;
left vacant
based on a recommendation arising from the CHRBP

Develop job (work) descriptions

Documentation of decisions or substantive opinions leading to and including:
consultation plans
comments on drafts
job competency profiles
record of decision re: no pre-classified work descriptions fit

2 years after the last position linked to this job type has been:
eliminated from the HRM system;
disassociated from the job type;
left vacant
based on a recommendation arising from the CHRBP

Classify work descriptions

Documentation of decisions or substantive opinions leading to and including classification rationales, including:
evaluation approaches
record of decision re: on-site required or not

2 years after the last position linked to this job type has been:
eliminated from the HRM system;
disassociated from the job type;
left vacant
based on a recommendation arising from the CHRBP

Authorize classification

Documentation of decisions or substantive opinions leading to and including classification packages, including:
classified work descriptions
organizational packages
work description requirements
final work descriptions
effective dates or retroactive effective dates
signed-off validated work descriptions
high-level attributes
proposed occupational group and subgroup
selected classification standards
on-site review reports
relativity reports
evaluation results
classification rationales and financial validations
committee signatures or Deputy Minister (DM) decisions
ratings
assigned occupational group, subgroup and level
national occupational classification (NOC) code
action requests – authorize classification
authorizations to use pre-classified work descriptions or approved organizational packages and authorizations to use the generic version
notices to affected employees

2 years after the position has been left vacant, based on a recommendation arising from the CHRBP

Define and maintain position information

Documentation of decisions or substantive opinions leading to and including classification packages, including:
position information/inventories
classified work descriptions
organizational packages
work-description requirements
final work descriptions
effective date or retroactive effective date
signed-off validated work descriptions
high-level attributes
proposed occupational group and subgroup
selected classification standards
on-site review reports
relativity reports
evaluation results
classification rationales
committee signatures or DM decisions
memoranda of understanding (MOU) covering interdepartmental transfers
ratings
assigned occupational group, subgroup and level
NOC code
authorized classification decisions
approved exclusion position information
approved essential service position information
action requests – second-level review
action requests – update employee compensation information

2 years after the position has been left vacant, based on a recommendation arising from the CHRBP

3. Staffing and Employee Integration

Business Processes Recommendations: Information Resources of Business Value (IRBVs) Recommendations: Retention Period

Confirm resourcing approach

Documentation of decisions or substantive opinions leading to and including staffing packages, including:
position information
authorized new work descriptions
staffing requirements
project team (required for a collective)
governance (required for a collective)
pool parameters (required for a collective)
confirmed funding
selection criteria (including area of selection and preliminary merit criteria)
approved non-imperative rationale (if applicable)
staffing option assessments
non-advertised rationale (if required)
project plans (if required)
statements of merit and conditions of employment
communication plans
assessment guides
assessment approaches
assessment tools analyses
decision documents: development of assessment tools required
new assessment tools
action requests: return to work, position required
decision documents: priority candidate
priority candidate information
priority clearance numbers
selection board members

5 years after staffing action completed or abandoned, based on a blanket application of Public Service Employment Act– conditions of delegation instrument requirements (see Appointment Delegation and Accountability Instrument – Conditions of Delegation)

Attract applicant(s)

Documentation of decisions or substantive opinions leading to and including position advertising and advertisements, including:
advertising approach (advertising options, ad-posting requirements, submission requirements)
final ad postings
decision documents: internal or external advertisements
applicant information
job-seeker data

5 years after staffing action completed or abandoned, based on a blanket application of Public Service Employment Act– conditions of delegation instrument requirements (see Appointment Delegation and Accountability Instrument– Conditions of Delegation)

Assess applicant(s) /
candidate(s)

Documentation of decisions or substantive opinions leading to and including unsolicited résumés not considered when staffing a position.

5 years after assessment action completed or abandoned, based on a blanket application of Public Service Employment Act– conditions of delegation instrument requirements (see  Appointment Delegation and Accountability Instrument – Conditions of Delegation)

Assess applicant(s) /
candidate(s) – screening out applicants

Documentation of decisions or substantive opinions leading to and including screening out applicant(s), including:
applications
candidate résumés
skills profiles
unsuccessful screening results
successful initial screening results
valid second language evaluation (SLE) results
standardized test results
test results
assessment schedules
interview results
reference check results
unsuccessful assessment results analyses

5 years after assessment action completed or abandoned, based on a blanket application of Public Service Employment Act– conditions of delegation instrument requirements (see  Appointment Delegation and Accountability Instrument – Conditions of Delegation)

Assess applicant(s) /
candidate(s) – data, results and decisions

Documentation of decisions or substantive opinions leading to and including data, results and decisions, including:
informal discussion results
assessment data
record of decision re: need for reconsideration
record of decision re: changes required

5 years after assessment action completed or abandoned, based on a blanket application of Public Service Employment Act– conditions of delegation instrument requirements (see  Appointment Delegation and Accountability Instrument – Conditions of Delegation)

Select candidate(s)

Documentation of decisions or substantive opinions leading to and including selection actions, including:
selection rationales
record of decision re: offer refused
notices of consideration
record of decision re: change of appointment

5 years after assessment action completed or abandoned, based on a blanket application of Public Service Employment Act– conditions of delegation instrument requirements (see the  Appointment Delegation and Accountability Instrument – Conditions of Delegation)

Select candidate(s) – not selecting actions

Documentation of decisions or substantive opinions leading to and including not selecting candidate(s), including:
applications
candidate résumés
skills profiles
successful initial screening results
valid SLE results
standardized test results
position-specific test results
assessment schedules
interview results
reference check results
successful assessment results analyses
record of decision re: candidate does not reflect right fit

5 years after assessment action completed or abandoned, based on a blanket application of Public Service Employment Act– conditions of delegation instrument requirements (see the  Appointment Delegation and Accountability Instrument – Conditions of Delegation)

Select candidate(s)—candidate packages

Documentation of decisions or substantive opinions leading to and including candidate(s) package(s), including:
applications
candidate résumés
skills profiles
successful screening results
valid SLE results
standardized test results
schedules of assessment activities
position-specific test results
assessment schedules
interview results
reference check results
successful assessment results analyses
record of decision re: candidate reflects right fit

5 years after assessment action completed or abandoned, based on a blanket application of Public Service Employment Act – conditions of delegation instrument requirements (see the  Appointment Delegation and Accountability Instrument – Conditions of Delegation)

Select candidate(s)— make offer of employment

Documentation of decisions or substantive opinions leading to and including offers of employment and employment packages, including:
collective agreements
code of conduct
conflicts of interest
completed mandatory information
financial expenditure authorizations
signed offers of employment
confirmations of oath or solemn affirmation

5 years after assessment action completed or abandoned, based on a blanket application of Public Service Employment Act – conditions of delegation instrument requirements (see the  Appointment Delegation and Accountability Instrument – Conditions of Delegation), except:
until employee reaches 80 years of age (provided that 2 years have elapsed since the last administrative action) where resource relates to, for example, salary, pension, and has been placed on the employee HR file, based on traditional practice.

Document and integrate employee(s)

Documentation of decisions or substantive opinions leading to and including employee-specific integration actions, including:
employee HR files
payroll information
entitlements
deductions
pension eligibility
benefit coverage information
tax information
direct deposit information
employment equity self-identification data
employee skills and competencies information
employee orientation requirements
notifications – new employee

2 years after last administrative action, based on
Privacy Regulations, s. 4, except:
until employee reaches 80 years of age (provided that 2 years have elapsed since the last administrative action) where resource relates to, for example, salary, pension, and has been placed on the employee HR file, based on traditional practice.

4. Total Compensation

Business Processes Recommendations: Information Resources of Business Value (IRBVs) Recommendations: Retention Period

Maintain employee compensation information

Employee-specific data including correspondence documenting decisions or substantive opinions concerning:
requests (payment, voluntary deduction, pay information change, cash payment, elective service)
cash payment forms
elective service information
approved payment requests
cancelled cheque registers
employer event documents (reclassification, stat/merit increase, etc.)
basic salary information
entitlement information
employee information affecting pay
cash receipt information
deduction information
leave adjustment information
change in hours documents

Duration of employment plus 2 years, based on Privacy Regulations, s. 4, except:

3 years after date of leave – leave applications, based on Canada Labour Standards Regulations, s. 24.(2)

3 years after work performed – records of income averaging, based on Canada Labour Standards Regulations, s. 24.(2)

until employee reaches 80 years of age (provided that 2 years have elapsed since the last administrative action) where resource relates to, for example, salary, pension, and has been placed on the employee HR file, based on traditional practice.

Administer pay

Pay lists

3 years after date of resource, based on  Canada Labour Standards Regulations, s. 24.(2)

Administer pay

Employee-specific pay actions including correspondence documenting decisions or substantive opinions concerning:
departmental HR repositories
tax information
benefit coverage information
approved time
approved overtime
pay transaction summaries
leave plan information
processed leave
year-end leave information
employee leave information
mandatory leave cash-out information
revised year-end leave information
action requests: pay account activity

Duration of employment plus 2 years, based on Privacy Regulations, s. 4, except:

3 years after date of leave – leave applications (includes medical certificates), based on  Canada Labour Standards Regulations, s. 24.(2)

until employee reaches 80 years of age (provided that 2 years have elapsed since the last administrative action) where resource relates to, for example, salary, pension, and has been placed on the employee HR file, based on traditional practice.

5. Employee Performance, Learning, Development and Recognition

Business Processes Recommendations: Information Resources of Business Value (IRBVs) Recommendations: Retention Period

Address unit learning requirements

Documentation of decisions or substantive opinions leading to and including event-specific learning actions, including:
learning materials
learning event evaluation results
action requests – development of training events
action requests – adapt a learning event
record of decision re: learning event fits
participant lists
participant learning results
action requests – learning event

Note: see also the common business process: Managing employee learning and development.

2 years after event completed or abandoned – information resources (IR) that do not contain personal information, based on traditional practice

2 years after last administrative action – IR that contain personal information, based on Privacy Regulations, s. 4, except:


until employee reaches 80 years of age (provided that 2 years have elapsed since the last administrative action) where resource relates to, for example, salary, pension, and has been placed on the employee HR file, based on traditional practice.

Develop performance agreements

Documentation of decisions or substantive opinions regarding employee performance, including:
performance measures
modified performance agreement templates
employee key business commitments
career goals documents
employee ongoing business commitments
employee performance expectations
record of decision re: consideration of stretch opportunity
record of decision re: key business/commitments/objectives not required
learning feasibility analyses
record of decision re: learning event feasible
final performance agreements

2 years after event completed or abandoned – IR that do not contain personal information, based on traditional practice

5 years after last administrative action – employee- specific documentation, based on 1998 directive from former National Archivist, Jean-Pierre Wallot, following a proposal from the TBS Personnel Policy Branch

Manage employee performance

Documentation of decisions or substantive opinions regarding employee- specific performance, including:
results of employee performance reviews
employee performance assessments
performance development plans
performance leave
performance pay
decision documents: reinforcement of exceptional behaviour
decision documents: competency issue
decision documents: eligibility for performance pay or leave

5 years after last administrative action – employee- specific documentation, based on 1998 directive from former National Archivist, Jean-Pierre Wallot, following a proposal from the TBS Personnel Policy Branch

Manage employee learning and development

Documentation of decisions or substantive opinions regarding event-specific learning actions, including:
learning event requests
education leave business cases
employee learning progress feedback
employee learning results
reimbursement documents
taxable benefit information
decision documents: education leave
decision documents: review learning at completion
decision documents: changes required to learning
decision documents: taxable benefit or not
action requests: payment of learning event

2 years after last administrative action based on traditional practice and Privacy Regulations, s. 4, except:

3 years after training – first-aid certificates, based on traditional practice

2 years after the date instruction or training is provided to emergency wardens, deputy emergency wardens and monitors based on COHS Regulations, s. 17.8(2)

duration of employment – records of training in motor vehicle operation, based on the NJC  OHS Directive, s. 16.6.4

until employee reaches 80 years of age (provided that 2 years have elapsed since the last administrative action) – where resource relates to, for example, language examination, exemption and training, participation and achievement in other training events, and has been placed on the employee HR file, based on traditional practice.

Manage employee learning and development – dangerous situations

signed records on the information, instruction and training that each employee is provided with

2 years after the day on which an employee ceases to perform an activity that has a risk of work place violence associated with it –based on COHS Regulations, s. 20.10(5)

2 years after the day on which the employee ceases to be exposed to a hazard based on COHS Regulations, s. 10.15 and 19.6(5),

30 years after training event – training in hazard investigation, based on the NJC OHS Directive, s. 11.2.3

Manage employee recognition

Documentation of decisions or substantive opinions regarding awards/recognitions, including:
award nomination templates
incentive award plans
award plans for inventors/innovators
scholarships
award-specific criteria
nomination submissions
recognition assessments
recognition approaches
decision documents: employee recognition
decision documents: informal or formal recognition
notifications: nomination status
decision documents: public recognition

2 years after last administrative action – IR that do not contain personal information, based on traditional practice, except:

6 years after end of fiscal year – financial data, based on traditional practice

2 years after last administrative action – IR that contain personal information, based on Privacy Regulations, s. 4, except:

3 years after last administrative action – records of individual decorations, medals, investiture and outstanding achievement awards, based on traditional practice

15 years after last administrative action – records of precedent-setting cases, based on traditional practice

6. Permanent and Temporary Separation

Business Processes Recommendations: Information Resources of Business Value (IRBVs) Recommendations: Retention Period

Manage permanent separation

Documentation of decisions or substantive opinions regarding employee- specific actions, including:
approved employee separation notifications
employee separation information
separation data
eligibility assessments
compensation separation packages
notifications: employee separation
action requests: pay account activity
decision documents: record of employment required
information affecting pension or death benefit
exit interviews

2 years after last administrative action – IR that contain personal information, based on Privacy Regulations, s. 4, except:

until employee reaches 80 years of age (provided that 2 years have elapsed since the last administrative action) where resource relates to, for example, salary, pension, and has been placed on the employee HR file, based on traditional practice.

Process temporary separation

Documentation of decisions or substantive opinions regarding employee- specific actions, including:
employee absence information
employee leave without pay information
leave eligibility information
benefits letters
insurance and deficiencies decisions
approved workers compensation claims
approved disability claims
insurance maintenance information notifications
pension maintenance information notifications

2 years after last administrative action – IR that contain personal information, based on Privacy Regulations, s. 4, except:

until employee reaches 80 years of age (provided that 2 years have elapsed since the last administrative action) where resource relates to, for example, salary, pension, and has been placed on the employee HR file, based on traditional practice.

7. Workplace Management

Business Processes Recommendations: Information Resources of Business Value (IRBVs) Recommendations: Retention Period

Manage grievances (case-specific)

Documentation of decisions or substantive opinions regarding case-specific grievances, including:
notice of acceptance
record of decision re: continue with grievance
offer of Employee Assistance Program (EAP) services
offer of Informal Conflict Management System (ICMS) services
record of decision re: access to ICMS
record of decision re: involvement of Canadian Human Rights Act
receipt stating the date grievance received
grievance decisions (levels 1, 2, and 3)
record of decision re: level of grievance
National Joint Committee decision
Deputy Head or delegate communication of decision
record of decision re: on-site review
record of decision re: relativity study required
majority report
minority report
consensus report
record of decision re: federal court, legal or procedural issue
record of decision re: present grievance at next level
notices to Canadian Human Rights Commission (CHRC)
CHRC submission decision
Public Service Labour Relations Board final decision
recourse data
notice of withdrawal

2 years after last administrative action, based on Privacy Regulations, s. 4, except:

3 years after date of resolution or date of decision by the Public Service Labour Relations Board – grievances, appeals, adjudications, based on traditional practice

Manage grievances (individual)

Documentation of decisions or substantive opinions regarding individual grievance packages, including:
workplace contact, position information and name of employer of grieving party/parties
statement detailing grievance
date of alleged violation or misinterpretation
corrective action requested
representation declaration (if requested and received)
receipt of grievance information from receiving party
any additional information, comments of insight provided by delegated receiving party
any additional information, comments of insight provided by labour relations based on their initial screening/triage
any documentation and any escalated lower grievance decisions
any additional information provided during consultations

2 years after last administrative action, based on Privacy Regulations, s. 4, except:

3 years after date of resolution or date of decision by the Public Service Labour Relations Board – grievances, appeals, adjudications, based on traditional practice

Manage grievances (group)

Documentation of decisions or substantive opinions regarding group grievance packages, including:
name of the bargaining agent, and the contact information of the authorized representative of the bargaining agent
statement detailing grievance
date of alleged violation or misinterpretation
corrective action requested
receipt of grievance information from receiving party
any additional information, comments of insight provided by delegated receiving party
any additional information, comments of insight provided by labour relations based on their initial screening/triage
any documentation and any escalated lower grievance decisions
any additional information provided during consultations

2 years after last administrative action, based on Privacy Regulations, s. 4, except:

3 years after date of resolution or date of decision by the Public Service Labour Relations Board – grievances, appeals, adjudications, based on traditional practice

Manage grievances (policy)

Documentation of decisions or substantive opinions regarding policy grievance packages, including:
grieving party’s/parties’ workplace contact and position information
statement detailing grievance
date of alleged violation or misinterpretation
corrective action requested
receipt of grievance information from receiving party
any additional information, comments of insight provided by delegated receiving party
any additional information, comments of insight provided by labour relations based on their initial screening/triage
any documentation and any escalated lower grievance decisions
any additional information provided during consultations

2 years after last administrative action, based on Privacy Regulations, s. 4, except:

3 years after date of resolution or date of decision by the Public Service Labour Relations Board – grievances, appeals, adjudications, based on traditional practice

Manage grievances (post-decision classification)

Documentation of decisions or substantive opinions regarding post decision classification grievance packages, including:
workplace contact, position information and name of employer of grieving party/parties
statement detailing grievance
date of alleged violation or misinterpretation
corrective action requested
representation declaration (if requested and received)
receipt of grievance information from receiving party
any additional information, comments of insight provided by delegated receiving party
any additional information, comments of insight provided by labour relations
(includes abeyance to allow labour relations grievance, if necessary)
any additional information, comments of insight from informal classification grievance discussions
receipt information from corporate classification
output from grievance validity assessment
relativity report
evaluation results
classification rationale
committee signature or DM decision
rating
assigned occupational group, subgroup and level
NOC code
any input/notes from committee members
any input/notes from review of original classification decision documentation
identification and request for missing documentation or required information
on-site and/or relativity study documentation, if conducted
updated and additional information received during the classification hearing
committee’s decision and delegated authority’s decision with sufficient detail to allow implementation of any remedial action

2 years after last administrative action, based on Privacy Regulations, s. 4, except:

3 years after date of resolution or date of decision by the Public Service Labour Relations Board – grievances, appeals, adjudications, based on traditional practice

Manage complaints (case-specific)

Documentation of decisions or substantive opinions regarding case-specific complaints, including:
investigation reports
investigation reports feedback
investigator terms of reference
harassment complaint decisions
notices of complaint rejection or redirection
notices of withdrawal
offer of EAP services
decision documents: involves Canadian Human Rights Act
notices to CHRC
CHRC inquiry
CHRC decisions
Canadian Human Rights Commission Tribunal final decisions
Public Service Labour Relations Board complaint package
Public Service Labour Relations Board final decisions
Public Service Staffing Tribunal decisions
extension request
extension decision
record of decision re: federal court, legal or procedural issue
reviewed decision
recommended recourse route(s)
Informal Conflict Management System (ICMS) decisions
decision documents: corrective or disciplinary measures

2 years after last administrative action, based on Privacy Regulations, s. 4, except:

3 years after date of resolution or date of decision by the Public Service Labour Relations Board – grievances, appeals, adjudications, based on traditional practice

Manage complaints (harassment)

Documentation of decisions or substantive opinions regarding harassment complaint packages, including:
the nature of the allegations
the name of the respondent
the nature of the relationship of the respondent to the complainant
the date and a description of the incident(s)
the names of witnesses, if applicable
official acknowledgement of the receipt of the complaint
any additional information, comments of insight provided by labour relations based on their initial screening/triage

2 years after last administrative action, based on Privacy Regulations, s. 4, except:

3 years after date of resolution or date of decision by the Public Service Labour Relations Board – grievances, appeals, adjudications, based on traditional practice

Manage complaints (Public Service Staffing Tribunal)

Documentation of decisions or substantive opinions regarding Public Service Staffing Tribunal complaint packages, including:
contact information of complainant
mailing address to be used for sending documents to a complainant
contact information of complainant’s representative
number or identifier of process to which complaint relates, if any
date of notice of lay-off, revocation, appointment/proposed appointment
(include copy)
name of department/agency, branch or sector involved
reference to provision of Public Service Employment Act under which
complaint is made
full factual description of events/circumstances/actions giving rise to complaint
signature of complainant or representative, if any date of complaint

2 years after last administrative action, based on Privacy Regulations, s. 4, except:

3 years after date of resolution or date of decision by the Public Service Labour Relations Board – grievances, appeals, adjudications, based on traditional practice

Manage employee discipline

Documentation of decisions or substantive opinions regarding disciplinary actions, including:
decision documents: inform union or not
written record of disciplinary action

Documentation of decisions or substantive opinions regarding discipline information packages, including:
background information on the incident or alleged misconduct
decision and any action taken related to the application of the Larson
Criteria
any additional information provided by employee
documentation of the outcome of employee/witness interviews, including the investigation reports, if any
decision as to whether misconduct took place
offer of EAP services
final investigation results
employee’s response
details of previous management responses and applicable prior jurisprudence

2 years after last administrative action, based on Privacy Regulations, s. 4, except:

where retention is specified by collective agreement

Manage workforce scheduling

Documentation of decisions or substantive opinions regarding workforce schedules, including:
employee requests
employee time sheets
leave taken forms/entries
extra duty worked forms
action requests
approved change of hours
approved change of compressed work week
approved action requests
employee decision documents
medical assessment forms/letters
notifications re: return to work
lump sum payment forms
deduction forms
leave adjustment forms

2 years after last administrative action, based on Privacy Regulations, s. 4, except:

3 years after date of leave – leave applications (including medical certificates), based on Canada Labour Standards Regulations, s. 24.(2)(h)

3 years after work performed – posted notices of modified work schedule for employees not subject to collective agreements, based on Canada Labour Standards Regulations, s. 24.(2)(n)

Manage occupational health and safety

minutes of health and safety policy committees

2 years from the date on which the policy meeting was held based on the Safety and Health Committees and Representatives Regulations, s. 9. (4) and NJC OHS Directive, s. 20.9.4

annual reports of accidents, instances of occupational disease and other hazardous occurrences

10 years after the day on which the reports are made, based on  COHS Regulations, s. 15.11

findings of reviews of work place violence prevention measures

3 years after reviews conducted, based on COHS Regulations, s. 20.7

reports of evaluations of a hazard prevention program

6 years after the date of the report, based on COHS Regulations, s. 19.8(2)

Manage occupational health and safety incidents

Documentation of decisions or substantive opinions regarding occupational health and safety events, including:
OHS details document
workplace OHS committee documentation
refusal to perform dangerous work escalation information
OHS course of action documentation
OHS support required documentation
offer of EAP services
preventative measures document
workplace OHS committee course of action documentation
proposed course of action supporting documentation
manager selected course of action documentation
Worker’s Compensation Board claim requirements documentation
unfounded refusal to work documentation
culpable behaviours documentation
notification of regular workplace OHS monitoring

2 years after last administrative action based on traditional practice and Privacy Regulations, s.4

Manage occupational health and safety incidents – air quality

records of indoor air quality complaints and investigations

5 years after last administrative action, based on COHS Regulations, s. 2.27(7)

Manage occupational health and safety incidents – noise hazards

reports of investigations into noise hazards

10 years after the date of the report, based on  COHS Regulations, s. 7.3

Manage occupational health and safety incidents – injuries or illness

records of injuries or illnesses requiring first aid

10 years following treatment, based on the NJC  OHS Directive, s. 18.2.2

Manage occupational health and safety incidents – hazardous occurrence

reports of details following a hazardous occurrence

10 years based on COHS Regulations, s. 15.11

Manage occupational health and safety incidents – exposure to hazardous substances

reports of investigations into exposure to hazardous substances and records of any related medical examinations

30 years after the report is presented, based on  COHS Regulations, s. 10.6, 10.7(4)

Manage modified work arrangements

Documentation of decisions or substantive opinions regarding case-specific modified work arrangements, including:
modified work arrangement accommodation data
action requests (facilities, adaptive technology, scheduling)
requests for leave selected
re-bundling of duties documentation
redeployment documentation
no alternate job – disability priority documentation
medical assessment form/letter
modified work arrangements/accommodation plan

Duration of employment plus 2 years, based on traditional practice, except:
until employee reaches 80 years of age (provided that 2 years have elapsed since the last administrative action) where resource relates to, for example, salary, pension, and has been placed on the employee HR file, based on traditional practice.

Manage continuous employment (including workforce adjustments)

Documentation of decisions or substantive opinions regarding case-specific workforce adjustments, including:
business transformation notices
approved business transformation approach documentation
identification of employees document
business transformation official notification
record of decision – (surplus to requirements, reasonable job offer (RJO) not available, accept relocation, accept RJO, do not accept RJO)
business transformation data
offer of EAP services
record of decision – surplus to requirements, RJO not available
record of decision – education allowance and leave without pay
no option selected – priority registration information
record of decision – transition support
record of decision – transition support and separation
record of decision – separate

 

Duration of employment plus 2 years, based on traditional practice, except:
until employee reaches 80 years of age until employee reaches 80 years of age (provided that 2 years have elapsed since the last administrative action) where resource relates to, for example, salary, pension, and has been placed on the employee HR file, based on traditional practice.

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