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Retention Guidelines for Common Administrative Records of the Government of Canada

Section 1, Part 5

Human Resources Management Function
(Function-based arrangement)

Section 3 - Exceptions to the General Retention Guideline - Human Resources Management Function:

Function/Description

Retention Guidance 7
Always apply the General Retention Guideline unless specified otherwise

3.1 Staffing

 

This sub-function generally encompasses the business processes and activities which produce records created in the course of identifying human resource needs in a federal institution. Inventories of candidates are developed and maintained based on the organization's anticipated human resources requirements, candidates are selected and appointed as these requirements materialize and, therefore, the staffing sub-function includes more specifically recruitment and promotion; probation; deployments, assignments and secondments; recourse of public service employees; employment equity (as it relates to staffing); and staffing of bilingual positions.

 

Recruitment and Promotion

 

Includes records relating to all aspects of initial hiring and subsequent promotion, including delegated staffing, establishing qualifications, priorities, appointments from within the public service, recruitment from outside the public service, area of selection, assessment, selection, and appointment.

 

Advertising of job openings

1 year

Appointments - Indeterminate, term and acting appointments

5 years from the last administrative action 8

Co-operative programs (with universities, colleges, etc..., work experience, winter works, etc…).

 

Inventories (Personnel inventory systems such as the Management Resource Information System (MRIS), Human Resources Information System (HRIS), etc…)

 

- individual positions

Until superseded or obsolete

Oaths or solemn affirmations (records regarding the administration of oaths or solemn affirmations in appointment situations) 9

 

Passports and visas (routine correspondence, applications for the purpose of staffing, etc.)

2 years

Staffing process requests, competition posters, candidates' applications (solicited and unsolicited), rating board assessments, examination papers and test results, employment offers, etc.

See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 902, Staffing, for additional information on this standard bank.

Unsolicited applications not considered when staffing a position

6 months 10

Probation

 

Includes material on all appointments from outside the public service relating to an employee's probationary period, such as explicit standards and expectations, notice of rejection, and documentation relating to the performance levels of the employee.

Place on Personnel (employee) file 11

Deployments, Assignments and Secondments

 

Includes records on all aspects of deployments, assignments, and secondments, such as letters stating new job, departmental policies and procedures on deployment, the Record of Staffing Transaction, complaints about deployment and reviews of complaints, and documentation notifying employees of their right to refer complaints to the Public Service Commission

 

Exchanges, deployments, assignments, loans, secondments

3 years after arrangement ceases

Transfers and postings

 

- individual cases

Place on the employee's Personnel file 12

Unsolicited applications not considered when staffing a position

6 months 13

Recourse

 

Includes records on all aspects of appointments that are appealed, once the necessary documentation has been provided to the PSC Appeals Directorate, and on the application of the Treasury Board Policy on Harassment in the Workplace

 

Appealed appointments 14

 

- individual cases

5 years from the last administrative action 15

Personal harassment - matters dealing with complaints of personal harassment

 

- individual cases

See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 919, Harassment, for additional information on this standard bank.

Employment Equity (as it relates to Staffing)

 

Includes records on all aspects of employment equity, as it relates to staffing, such as documents on broad training and development programmes, employee services, central agency supporting activities, and recruitment programmes, and documentation on specific programmes and services, including the Management Trainee Program, the Career Assignment Program, the Interchange Canada Program, the Diversity Management Technology Centre, Technology Assisted Diversity, job accommodation, career progression towards executive levels, and all employment equity programmes related to staffing.

 

Staffing Bilingual Positions

 

Includes records on all aspects of staffing bilingual positions, such as documentation relating to imperative and non-imperative staffing (including non-imperative deployments), language proficiency assessments (including Second Language Evaluation tests in relation to staffing), recourse, special submissions to exempt employees from language training (excludes training and development), and related policies and procedures.

 

Individual Cases when staffing is considered

2 years following expiry of the eligible list for a staffing action or two years after the last administrative action

3.2 Training and Development

 

This sub-function includes material on all aspects of training and development, including plans based on human resource requirements, and all documentation related to employment equity, courses, schedules, cost, granted leave, TB policies and standards and service-wide training goals, management training, communications training, language training, health and safety training, employee orientation, professional development training for trainers, and operational or in-house training; and all documentation such as audits, annual management reports, and departmental reports on training produced according to Training Information System (TIS) requirements. Note: Training records (participation and achievement) on individuals to be placed on the Personnel (Employee) file.

 

Training and Development

 

Includes records on all aspects of training and development, including plans based on human resource requirements, and all records related to employment equity, course, schedules, cost, granted leave, TB policies and standards and service-wide training goals, management training, communications training, language training, health and safety training, employee orientation, professional development training for trainers, and operational or in-house training; and all documentation such as audits, annual management reports, and departmental reports on training produced according to Training Information System (TIS) requirements.

 

Classification Training and Accreditation - Includes records relating to all aspects of training classification specialists, including minimum requirements and departmental criteria, course information (e.g., Introductory Course in Classification), and written assessments of participants' performance. 16

 

- individual cases

See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 905, Training and Development for additional information on this standard bank.

Occupational Safety and Health Training

 

CPR Certificates

1 year after training 17

First Aid Certificates

3 years after training 18

For Emergency Wardens

2 years after training

Regarding dangerous substances (i.e. handling or being exposed to hazardous substances; installing, operating, maintaining or repairing pipes, valves, safety devices etc., used for transferring hazardous substances)

2 years after employee ceases to handle, be exposed to the hazardous substance; or to install, operate, maintain, or repair pipes etc. for transferring the dangerous substance. Participation and achievement records are placed on the employee's Personnel File.

Official Languages Training

 

Information concerning course enrolment, attendance, applications, qualifications, etc.

See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 906, Official Languages, for additional information on this standard bank

Language examination, exemption and training records

See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 906, Official Languages for additional information on this standard bank.

Other Training and Development undertaken by Employee (not including language, classification, occupational safety and health and Supervisor/Manager/Executive training)

See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 905, Training and Development for additional information on this standard bank.

Development of Supervisors, Managers, and Executives

 

Includes records related to all aspects of planned and continuous learning of present and future managers, including documentation on departmental policy; career development plans; participation in larger investment developmental programmes and activities, such as Interchange Canada Program, self-funded leave, and Management Trainee Program.

 

Individual Cases (does not include language training)

See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 905, Training and Development for additional information on this standard bank.

3.3 Performance Assessment

 

This sub-function encompasses the business processes and activities which produce records created in the course of identifying human resource needs in a federal institution. More specifically, the performance of employees in their assigned tasks is evaluated based upon regularly established objectives. Performance evaluation supports the identification of training requirements and the enabling of future career moves.

 

Performance Assessment

 

Includes records relating to all aspects of performance assessment, including departmental policies and procedures, and related documentation, such as employee objectives and expected results, and formal performance assessments

 

Individual appraisals

5 years.19 See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 912, Performance Reviews and Employee Appraisals, for additional information on this standard bank.

3.4 Occupational Safety and Health

 

This sub-function encompasses the business processes and activities which produce records created in the course of identifying human resource needs in a federal institution. More specifically, it ensures the provision of a safe working environment for employees, including monitoring of injury on duty, injury prevention programmes, and the administration of the Employee Assistance Program.

 

Occupational Safety and Health

 

Includes records relating to all aspects of occupational safety and health, including documentation on the Canada Labour Code, Labour Canada (Human Resources and Skills Development Canada (HRSDC)), and Health Canada directives (including the Public Service Health Program), occupational safety and health programmes, TB policies and standards, training, employee assistance services, monitoring (including inspection reports, investigation reports, testing reports, statistical reports, annual management reports, and multi-year human resources plans), cost, advice, research and special studies.

 

Monitoring - Accidents, Injuries, and Illness

Note: Prior to the destruction of any records dealing with Occupational Safety and Health inspection, investigation and testing reports, institutions should consult Part II of the Canada Labour Code and supporting Occupational Health and Safety Regulations, as well as existing TB Directives, Standards and procedures governing Occupational Safety and Health. Where there are inconsistencies, the longest retention period should be used. Where retention periods have not been specified, legal counsel should be consulted prior to destruction of the records.

First Aid Treatment records

10 years.20 See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 907, Occupational Safety and Health for additional information on this standard bank.

Injury or illness investigation reports including related correspondence and supervisor's Accident Investigation Report.

10 years. Records are retained by institutions in the appropriate responsibility centre. 21 See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 907, Occupational Safety and Health for additional information on this standard bank.

Injury or illness investigation reports and related correspondence and supervisor's Accident Investigation Report concerning exposure to hazardous substance.

30 years.22 See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 907, Occupational Safety and Health for additional information on this standard bank.

Inspection, investigation and testing reports into accidents, occupational injuries and illness affecting personnel that involve:

 

- airborne chemical agents, dangerous substances

3 years after testing

- boilers, pressure vessels, piping systems

10 years after inspection

- hazardous occurrences involving damage to boilers, pressure vessels, piping systems and elevating devices, rendering them unserviceable

10 years after occurrence

- material handling equipment, motor vehicle operator's daily record

1 year after report signed

- regarding elevating devices, dangerous substance, confined spaces, protecting equipment, hazardous occurrences, meetings and drills for evacuation plans

2 years after signing submission or test

Employee Assistance Program (EAP)

 

Includes records relating to all aspects of the EAP, including policies and directives, Code of Ethics, assessments of the programme, contracts for outside services, advice, medical diagnosis, referrals, training, monitoring (including statistics and summaries, and audits)

 

Individual cases

See Treasury Board's publication Info Source: Sources of Federal Employee Information, Main Book Standard Personal Information Bank PSE 916, Employee Assistance, for additional information.23

Working Conditions

 

Includes records relating to all aspects of working conditions, including clothing directives; workplace fitness programmes; smoking in the workplace; HIV and AIDS; general directives and standards; procedures, guides and advisory notices.

 

3.5 Staff Relations

 

This sub-function generally encompasses the business processes and activities which produce records created in the course of identifying human resource needs in a federal institution. More specifically, it relates to the management of relationships between labour and the employer which includes negotiating and interpreting collective agreements and other understandings with recognized labour representatives, including designation activities, grievance and recourse processes, and processes related to discipline and non-disciplinary demotion and termination of employment. Strikes also form part of the staff relations sub-function.

 

Collective Bargaining

 

Includes records on all aspects of negotiating collective agreements, their interpretation, and administration, including certification; managerial or confidential positions or exclusions; and collective bargaining.

 

Individual Collective Agreements

1 year after expiry of the agreement

Designation Process

 

Includes records relating to all aspects of the designation process, including departmental reviews of positions, negotiations between departments and unions, referrals of positions in dispute to the Designation Review Panel, and PSLRB decisions; and all supporting documentation, such as notifications of positions to be designated, and reviews and updates of designation records.

 

Recourse

 

Includes records relating to all aspects of recourse concerning processes and decisions relating to staff relations, including appeals and conflict of interest, notably the following: grievance process; adjudication.24

 

Adjudication - Individual cases

See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 910, Grievances, for additional information on this standard bank.

Alternate Dispute resolution - Individual cases

3 years after decision made or case withdrawn

Anti-discrimination complaints - Individual cases

2 years after last administrative use

Appeals and Grievances - Individual cases

See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 910, Grievances, for additional information on this standard bank.

Mediation - Individual cases

3 years after decision made or case withdrawn

Disciplinary and Non-Disciplinary Demotion or Termination of Employment

 

Includes records relating to all aspects of discipline and non-disciplinary demotion or termination of employment, including: discipline (development and maintenance of, amendment to, codes of discipline; disciplinary actions, including background and supporting documentation); non-disciplinary demotion or termination of employment (such as documentation sent to employees stating reasons for demotion or termination of employment and the right to grieve, and supporting documentation).

 

Individual cases, including documentation related to disciplinary action

See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 911, Discipline, for additional information on this standard bank.25

Strikes

 

Includes records relating to strikes, such as documentation on planning for strikes, steps to take when a strike is expected, steps to take when a strike is imminent, information on the operational impact of a strike, number of employees on strike and at work, material on picketing of government premises, strike logs, and other detailed information; documentation of a legal nature, including prosecutions, back-to-work injunctions, affidavits, and supportive relevant documentary material such as objects, documents, and evidence from witnesses.

 

Union Dues Check Off

 

Includes records relating to all aspects of deduction and remittance of union dues, including starting and stopping dues, deductions, changing dues deductions, completing and distributing required forms, collecting arrears and overpayment refunds, and related documentation, such as applications for exemptions, pay input documents (or requests for refund forms), and PSAC payroll identification form.

 

Transfer of Pregnant Employees

 

Includes records relating to the transfer of pregnant employees, such as policy implementation, complaints and grievances.

 

Values and Ethics Code for the Public Service 26

 

Includes records related to the Code (Values and Ethics Code for the Public Service), such as employee certification forms, confidential reports, and documentation related to divestment of assets or curtail activities, exit arrangements, as well as all departmental reports and audit and evaluation reports on the Code's application.

 

Individual cases

See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 915, Values and Ethics Code for the Public Service, for additional information on this standard bank.

3.6 Compensation and Benefits

 

This sub-function generally encompasses the business processes and activities which produce records created in the course of identifying human resource needs in a federal institution. More specifically, it ensures that pay, pension, and benefits standards and practices are established that will provide a fair standard of compensation for work performed.

 

Compensation - Terms and Conditions

 

Includes records relating to all aspects of terms and conditions of employment, such as pay, leave, overtime, bilingualism bonus, delegation, discipline, retirement, death benefit, casual and seasonal employees, and any reviews and audits, as well as terms and conditions of employment for employees living outside of Canada, including reviews and monitoring of related regulations and directives.

 

Celebrations and holidays - Government observance of…

1 year 27

Leave and Holidays (Annual, casual, furlough, maternity, overtime, retirement, sick, special and other types of leave)

 

- Leave forms

See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 903, Attendance and Leave, for additional information on this standard bank.

Compensation - Salary Administration Policy

 

Includes records relating to all policies directed at specific groups of employees, including reviews and audits of the application of these policies.

 

Compensation - Rates of Pay
Includes records relating to rates of pay, including rates of pay for excluded and unrepresented employees.

 

Casuals and seasonals (rates of pay, statements of hours worked, etc.)

 

Compensation - Special Assignment Pay Plan

 

Includes records relating to the SAPP such as documentation concerning special recruitment, special projects, training and development, and pre-retirement projects; quotas; individuals taking on special assignments, rationale for the assignment, dates and possible extension of the assignment

 

Compensation - Retirement Planning

 

Includes material relating to retirement planning programmes, policies, activities, including interdepartmental arrangements, and retirement documentation provided to employees

 

Documentation concerning a specific employee

Place on the Personnel (employee) file.

Leave forms

See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 903, Attendance and Leave, for additional information on this standard bank.

Compensation - Employee Services 28

 

Includes records relating to all employee services such as travel and accommodation, taxis, and relocation guarantees.

 

Individual travel, accommodation and use of taxis 29

 

Individual relocation guarantees 30

 

Compensation - Pay Administration

 

Includes records relating to pay administration such as documentation on collective agreements; terms and conditions of employment; pay rate selection; pay rate change; additions to basic pay; deductions form pay, including mandatory deductions such as pension and voluntary deductions; recovery of amounts due to the Crown; part-time, casual, and seasonal employees; and terminations of employment.

 

Hours of work and overtime - Regular, compressed and flexible hours of work, overtime authorization, reports of overtime performed, time off, etc…

 

Income Tax - Statements of personal exemptions and deductions

2 years after superseded

Salaries and wages - Documentation concerning a specific employee

2 years after expiry of fiscal year

Superannuation - individual cases

Place on the Personnel (Employee) file.

Benefits - Life Insurance

 

Includes records relating to life insurance plans and policies for employees, including those excluded from collective bargaining, such as documentation on the insurer, the Board of Trustees, legislative authorities, pay, and eligibility.

 

Benefits - Health Insurance

 

Includes records relating to all aspects of health insurance, such as all documentation on programmes concerning the following; general health care, supplementary coverage for employees in Canada, comprehensive coverage for employees serving outside Canada, all Executive Group provincial health insurance, and eye and dental care.

 

Benefits - Sick Leave and Long-Term Disability Insurance

 

Includes records relating to all aspects of sick leave and long-term disability insurance.

 

Leave forms - Sick Leave

See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 903, Attendance and Leave, for additional information on this standard bank.31

Benefits - Compensation for Work-Related Injury or Death

 

Includes records relating to all aspects of work-related injury or death, including employment injury benefits (workers' compensation), provincial benefits, injury-on-duty leave, and related plans.

13 years 32

Benefits - Maternity Benefits

 

Includes records relating to all aspects of maternity benefits, including documentation on the supplemental unemployment benefit plans, parental benefits, maternity leave without pay, sick leave, vacation leave, and compensatory leave.

 

3.7 Human Resource Planning and Utilization

 

This includes material pertaining to the programmes and activities related to the identification of future human resource requirements and the development of plans to meet those requirements. Resources are monitored and utilized in planning in the form of feedback to employees and management, allowing adjustments in resource allocations to take place over a period of time.

 

Human Resource Planning

 

Includes records relating to all aspects of human resource planning, including documentation leading to the determination of departmental and service-wide objectives, all levels of plans addressing human resource considerations, from individual career management to corporate level Multi-Year Human resource Plans, and related documentation such as analyses, studies, reviews, and audits.

 

Performance Measurement (corporate measures)

3 years

Reports and statistics

3 years

Studies, Surveys and Systems (may include Personnel management surveys, studies and systems)

3 years after study/survey has ceased or system has been implemented.

Human Resource Utilization

 

Includes all records relating to the utilization of resources for planning purposes, such as documentation on performance, attendance, leave, and FTE utilization.

 

Attendance and Punctuality - registers, reports etc…

2 years after fiscal year expires

Reports and Statistics

3 years

3.8 Classification

 

This sub-function encompasses the business processes and activities which produce records created in the course of identifying human resource needs in a federal institution. More specifically, job classification, or evaluation, involves the analysis of functions resulting in the formulation of an organization structure and its positions. Classification actions are initiated and reviewed, and classification standards, policies, and procedures are developed and implemented. Employees may grieve classification decisions. The classification sub-function is based on Treasury Board policies relating to the classification system, classification delegation, training and accreditation, and classification grievances.

 

Classification System

 

Includes records relating to discrete occupational groups, occupational categories, relative salaries, pay rates, classification standards, notices of standard classification review, problems encountered in the application of the classification standards, data relating to the conversion of positions, and information on the development, review, and promulgation of classification standards.

 

Classification Delegation

 

Includes records relating to the delegation to deputy heads and their delegates to make classification decisions, such as their responsibilities for internal audit and review procedures, triennial review assessing the quality of classification decisions, job description (classification decision) approval and certification of effective date of duties, quarterly reports on corrective action, reviews prior to the reclassification of occupied position, annual reports on classification monitoring, triennial reports on the review of a sample of classification decisions against established performance targets; quarterly inputs to Treasury Board Secretariat positions information system; internal audit reports on the management of classification.

 

Position Files (work descriptions)

1 year after superseded or obsolete

Classification - Training and Accreditation 33

 

Includes records relating to all aspects of training classification specialists, including minimum requirements and departmental criteria, course information (e.g., Introductory Course in Classification), and written assessments of participants' performance.

 

Classification Grievances

 

Includes records relating to classification grievance, including reviews of grievances, recommendations, and management's replies to classification grievance, as well as documented methods and time frames and decisions prepared as part of the monitoring of this policy.

 

Individual Case Files

3 years following the date of resolution or date of decision by Public Service Labour Relations Board.34

3.9 Official Languages

 

This sub-function encompasses the business processes and activities which produce records created in the course of identifying human resource needs in a federal institution. More specifically, official languages policies and guidelines flow from the legal obligations imposed on the Treasury Board and federal institutions by the Official Languages Act 35 and its pursuant regulations. Policies cover such areas as service to the public, language of work, and equitable participation, and the programme management measures to ensure that the policies are respected and successfully implemented.

 

Service to the Public (Communications with the Public)

 

Includes records on all aspects of service to the public in both official languages, including directives on the application of provisions of legislation, and actual communication with the public in various forms, such as signs, advertisements, information booklets sent to all citizens, publications, reports, documents on health, safety, or security, information sessions and consultations, participation or hosting of a national or international event; and particular agreement with Treasury Board on the application of provision of legislation, as well as reviews and reports of the success of the application.

 

Language of Work

 

Includes records on all aspects of ensuring that the language of work meets the requirements of the Official Languages Act, such as rules and directives for designated bilingual or unilingual regions, the right to grieve in either official language, the right to have performance appraisals in the official language of choice; and including the provision of bilingual personal and central services (including information technology services), and work manuals and forms.

 

Equitable Participation

 

Includes records on all aspects of equitable participation of members of the two official language groups, including policies and procedures.

 

Programme Management

 

Includes records on all aspects of managing official languages programmes, including documentation on the identification of functions or positions classified to reflect linguistic operational needs, departmental and Treasury Board requirements for communication with the public, language of work, and equitable participation, as well as translation; documentation which represents official languages legislation in the staffing process and in access to language training for employees; and documentation on administrative measures put in place to ensure policies are respected.

 

Position files (determining the linguistic profile of positions)

1 year after superseded or obsolete. Note: Language examination exemption and training records to be placed on Personnel (Employee) file.

3.10 Employment Equity

 

This includes material pertaining to the programmes and activities that ensure equitable representation and distribution in the Public Service of Aboriginal people, members of visible minority groups, persons with disabilities and women. May include such information as: the monitoring of employment equity performance, progress reports, a record of employees who have been provided with attendant or other specialized services; the nature and the cost of specialized services; statistical data in order to enable the development of policies, programs and practices that are sensitive and responsive to the multicultural reality of Canada; etc…

 

Employment Equity

 

Includes records relating to all aspects of employment equity, including enabling equitable representation and distribution of women, Aboriginal people, members of visible minority groups, and persons with disabilities, such as documentation on personal identification, analyses, consultations, actions plans, and any policies and advice.

 

Annual Employment Equity reports

2 years after the report is filed. Where a private sector employer has generated its annual employment equity report using specially designed computer software, the employer shall maintain a copy of the database or other computer record used to generate the report for two (2) years after the year in respect of which the report is filed. This retention is governed by the Employment Equity Act and must be adhered to.36

Records related to an employee's designated group membership, occupational group classification, salary, promotions.

Place on the Personnel (Employee) file

Terminated employees

3 years after the date of termination. This retention is governed by the Canada Labour Code, Canada Labour Standards Regulations, and must be adhered to.37

Workforce surveys, questionnaires, analyses, and reviews of employment systems, employment equity plans, employment equity activities and information provided to employees

See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 918, Employment Equity Program, for additional information on this standard bank.

Provision of Services for Employees with Disabilities

 

Includes records relating to all aspects of provision of services for employees with disabilities.

 

3.11 Special Programmes

 

This sub-function encompasses the business processes and activities which produce records created in the course of identifying human resource needs in a federal institution. More specifically, some special programmes have an impact on how employees of the Government of Canada are managed such as the Work Force Adjustment. Other special programmes in place constitute incentives to employees, or options to pursue. Some special programmes have a limited life span, others do not.

 

Work Force Adjustment (Early Retirement Incentive, Early Departure Incentive)

 

Includes all records relating to work force adjustment, such as documentation on Early Retirement Incentive, Early Departure Incentive, and alternative placement; reasons for the action, the number, occupational groups, and levels of employees concerned; notices served, employees placed without retraining and needing training; new levels of surplus employees, cost of salary protection; lump sums paid to employees; and plans to minimize the effect of work force adjustment, including committee work and co-operation with other departments to re-deploy or retrain.

 

Individual cases

Place on the Personnel (Employee) file

Termination of Employment Due to Alternative Delivery Situations

 

Includes all records relating to the termination of employment of public servants due to alternative delivery situation, such as documentation on principles and guidelines for the treatment, identification, termination of employment of departmental employees affected by the transfer of any work, business, or undertaking.

 

Individual cases

Place on the Personnel (Employee) file

Awards: Including Incentive Award Plan, Award Plan for Inventors and Innovators, and Scholarships

 

Includes records relating to all aspects of the Incentive Award Plan, such as documentation on all long service, merit, special and suggestion awards; all corporate awards of excellence, outstanding achievement, and senior officer retirement certificates; all awards for inventors and innovators including departmental award plans, payment structure of those plans; and all scholarships, fellowships, and bursaries.

 

Individual Awards funded by the institution

See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 920, Recognition Policy, for additional information on this standard bank.

Individual decorations, medals, investiture and outstanding achievement awards

3 years

Rejected suggestions and nominations

2 years

Responses from institutions not directly responsible for funding

2 years

Workplace Day Care Centres

 

Includes all records relating to the establishment of workplace day care centres, including surveys, statistics, policy evaluation data, and annual data from the lead department and the custodian department.

 

Employee surveys and other documentation related to the establishment of workplace day care centres which were not established

38 See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 930, Workplace Day Care, for additional information on this standard bank.

Employee surveys, workplace day care centre records and other documentation related to operational workplace daycare centres including documentation in support of monitoring, evaluation and reporting.

39 See Treasury Board's publication Info Source: Sources of Federal Employee Information, Standard Bank PSE 930, Workplace Day Care, for additional information on this standard bank.

Executive Group

 

Includes all records relating to the EX category of employees, such as documentation on delegation of organizational authority; use of ADM and other ADM titles; classification of Executive Group positions; performance review and employee appraisal; deployment of executives; terms and conditions of employment; salary administration; National Defence Medical Centre Services; and pensions.

 

Individual appraisals

5 years 40

7 Previously stated: Retention Guidance and Authorities. Heading revised as the team has decided to remove the reference to the disposition authorities from the retention table as they are already referenced in the introduction and deal with disposition rather than retention.

8 As per the new Public Service Employment Act which came into force on December 31, 2005, under the Appointment Delegation and Accountability Instrument, Conditions of Delegation, it states that "In exercising delegated authorities, you and your sub-delegated officials will: …ensure that appointment and appointment-related decisions are fully documented and are accessible for a period of five years from the last administrative action."

9 Note: Oath of allegiance is no longer used. Description based on Public Service Employment Act (PSEA).

10 January 13, 1989 LAC received a letter from Treasury Board Secretariat indicating that, they had - in consultation with the Public Service Commission - received a legal opinion from the Department of Justice that unsolicited applications are not used for an administrative purpose as defined in Section 3 of the Privacy Act, unless they are actually considered when staffing a position. Thus the two year retention period set forth in Section 4 (1) of the Privacy Act Regulations does not therefore apply to unsolicited applications. A six month retention period was suggested by TBS and agreed upon by the Public Service Commission, and Library and Archives of Canada, who issued an amendment to the General Records Disposal Schedules on July 07, 1989 to this effect. The amendment also stated that, any unsolicited application actually considered when staffing a vacancy would continue to be subject to the Privacy Act and were to be retained for two years.

11 Reference standard bank PSE 901, Employee Personnel Record.

12 As per 2005-2006 Info Source, PSE 901, Employee Personnel Record.

13 January 13, 1989 LAC received a letter from Treasury Board Secretariat indicating that, they had - in consultation with the Public Service Commission - received a legal opinion from the Department of Justice that unsolicited applications are not used for an administrative purpose as defined in Section 3 of the Privacy Act, unless they are actually considered when staffing a position. Thus the two year retention period set forth in Section 4 (1) of the Privacy Act Regulations does not therefore apply to unsolicited applications. A six month retention period was suggested by TBS and agreed upon by the Public Service Commission, and Library and Archives of Canada, who issued an amendment to the General Records Disposal Schedules on July 07, 1989 to this effect. The amendment also stated that, any unsolicited application actually considered when staffing a vacancy would continue to be subject to the Privacy Act and were to be retained for two years.

14 New inclusion based on activity identified in "Recourse" descriptive in function guide.

15 As per the new Public Service Employment Act which came into force on December 31, 2005, under the Appointment Delegation and Accountability Instrument, Conditions of Delegation, it states that "In exercising delegated authorities, you and your sub-delegated officials will: …ensure that appointment and appointment-related decisions are fully documented and are accessible for a period of five years from the last administrative action."

16 LAC team members have transferred this activity from Classification to Training and Development as the activity of Classification Training and Accreditation is regarding training and development and is more applicable here. "Individual cases" has been added and the same retention applied as per "Individual cases" for all other training.

17 Red Cross recommends renewal every year for CPR certificates. Moved from 4. Occupational Safety and Health, as the activity is regarding training and development and is more applicable here.

18 Red Cross has a standard renewal date of three years for First Aid Certificates. Moved from 4. Occupational Safety and Health, as the activity is regarding training and development and is more applicable here.

19 Retention guidance cited as per 1998 directive from former National Archivist, Jean-Pierre Wallot, following a proposal from the Personnel Policy Branch of Treasury Board Secretariat.

20 Formerly 5 years retention guidance provided. The reason for roll-p to 10 years: As per Treasury Boards Chapter 2-5 First-aid Safety and Health Directive under First-aid treatment and reporting "Departments and agencies shall maintain, at each place of employment, a written record of every injury or illness which requires first-aid treatment, and such record shall be maintained for ten years following treatment." Also quoting this same directive under Application it states that "This standard incorporates the minimum requirements of the Canada Labour Code, Part II, and applicable regulations issued pursuant to that legislation and applies to all departments and other portions of the Public Service, as defined in Part I of Schedule I of the Public Service Labour Relations Act. Additional comments are as per Info Source and are in keeping with inclusions in subject guide

21 As per 2005-2006 Info Source PSE 907, Occupational Safety and Health.

22 As per Treasury Board's Hazardous Substances Directive under section 2.2 Hazard Investigation, 2.2.5 Departments shall retain a report referred to in subsection 2.2.4 for a period of thirty years after the date on which the qualified person signed the report.

23 As per Dec. 2nd/2005 email with TBS contact, Nancy Olive, we are to refer to this standard bank as PSE 916 for now although main book standard PIBs normally contain a PSU identifier. As per Nancy "for the time being the Employee Assistance PIB is still only related to the Employee Book although we are reviewing this PIB to be moved to the Main Book."

24 Unable to find retention guidance under the new Public Service Labour Relations Act and the old PSSRA. Unsure as to where 3 year retention guidance comes from… I have contacted the PSLRB for validation of retention.

25 Revised guidance based on PSE 911 and in keeping with subject guide.

26 Conflict of Interest and Post-Employment Code was replaced with the Values and Ethics Code for the Public Service on September 1st, 2003.

27 Inclusion in keeping with subject guide... unsure as to where one year guidance comes from...

28 LAC team suggests removal of this sub-function as the activities associated with it are already covered in the General Administration Function and the Comptrollership Function.

29 LAC team shas removed this activity as it is already covered in the General Administration Function.

30 LAC team has removed this activity as it is already covered in the Comptrollership Function.

31 Enhanced guidance in keeping with PSE 903.

32 As per the Canada Labour Code (1985), under the Canada Labour Standards Regulations, Section 24. Keeping of Records, (4) Every employer shall keep for a period of at least three years after the expiration of the employer's obligation under subsection 239.1(3) of the Act, the following information:

(a) detailed reasons for an employee's absence due to work-related illness or injury;

(b) a copy of any certificate of a qualified medical practitioner indicating that the employee is fit to return to work Etc…

As per Treasury Boards Chapter 2-5 First-aid Safety and Health Directive under First-aid treatment and reporting "Departments and agencies shall maintain, at each place of employment, a written record of every injury or illness which requires first-aid treatment, and such record shall be maintained for ten years following treatment." Also quoting this same directive under Application it states that "This standard incorporates the minimum requirements of the Canada Labour Code, Part II, and applicable regulations issued pursuant to that legislation and applies to all departments and other portions of the Public Service, as defined in Part I of Schedule I of the Public Service Labour Relations Act."

33 Moved to training and Development...

34 This retention is not provided in the 2005-2006 version of Info Source... Have sent query to PSLRB to validate or confirm retention of 3 years.

35 Justice Canada has confirmed that although a 1988 OLA did exist the latest version is 1985, 4th Supplement, ch. 31.

36 New addition based on Employment Equity Act regulations section 12. (3). As per the Employment Equity Act regulations under section 12. (3) "Where a private sector employer has generated its annual employment equity report required by subsection 18(1) of the Act using specially designed computer software such as Employment Equity Computerized Reporting System (EECRS), the employer shall maintain a copy of the database or other computer record used to generate the report for two years after the year in respect of which the report is filed.

37 New retention.... As per the Canada Labour Code (1985), under the Canada Labour Standards Regulations, Section 24. Keeping of Records, (1) "Every employer shall make and keep a record in respect of each employee showing the date of commencement of employment and the date of termination of employment and shall keep such record for a period of at least 36 months after the date of termination of employment." Note that although the Employment Equity Act regulations state in section 12 (1) that "Records referred to in paragraphs 11(a) to (d) in respect of terminated employees shall be kept for two years after the date of their termination." LAC recommends institutions adopt the longer retention period cited in the Canada Labour Standards Regulations.

38 LAC team is unsure as to why this is 5 years. TBS Workplace Day Care Policy does not offer specific retention…

39 I am unsure as to why this is 5 years. TBS Workplace Day Care Policy does not offer specific retention…

40 In May, 1988, TBS proposed amending the retention period covering performance appraisal reports for management personnel (i.e. the Executive Group maintained in the Central Bank PSC PCE 734 - Management Resource Information System (MRIS)) and for all other non-management personnel from 10 years and 3 years respectively, to a uniform 5 years. Library and Archives Canada agreed to this change and issued an amendment to the General Records Disposal Schedule to this effect on September 09, 1988. This amendment is still valid.

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