Personnel records management instruction

Instruction statement

To provide direction to staff on the process of registration and capture of personnel records in TRIM.

Exclusions

Records pertaining to RMIT Employees that are not normally attached to the personnel employment history file including complaints/grievances, work planning, misconduct, etc.

Instruction steps and actions

1. PURPOSE

The following are the step by step instructions that must be followed when managing personnel records.

Within the instructions below are references to sections within the TRIM Desktop Client User Procedures Manual (TRIM Manual) (PDF 5MB, 104 p). In these instances, follow the instructions provided within the relevant section of the TRIM Manual - these references will be in bold and italics.

2. WHAT CONSTITUTES A PERSONNEL RECORD

For the purposes of this instruction, all documentation pertaining to the employment history of an employee whilst at RMIT, other than those types of documents noted in the exclusions, constitutes a personnel record. Examples of records include:

  • Change In Hours & 48/52
  • Child Support*
  • Higher Duties / Loadings
  • Increments
  • Leave Verifications*
  • Letters regarding Staff transfers & change in reporting line
  • Maternity Leave & RTW Bonus
  • Leave Without Pay (LWOP) over 4 weeks,
  • Medical Certificates (Long Term absences)
  • New Starters / Contracts*
  • Overpayments*
  • PPL Centrelink Letters*
  • Prior Service*
  • Probation / Confirmation of Employment
  • Superannuation / Super Choice (any changes to Super)*
  • Tax Details / Changes*
  • Terminations (Resignations / Redundancies)
  • Working with Children Checks.*

* documents are only accessible to HR staff in TRIM.

3. STEP BY STEP INSTRUCTIONS

3.1 Creation of Personnel Folders

The creation of Personnel folders within TRIM for individual employees is the responsibility of Human Resources. New folders must be created in accordance with the instructions provided. Below are instructions on how to complete the fields when setting up a new folder:

  • Classification – the classification applied to personnel folders is ‘Human Resources Management – Personnel’. If this is the first time you are adding this, click on the Kwik Select icon ID=w9x03iw7w1ts.png and navigate to find the terms.
  • Title (Free Text Part) – enter the Employee Number, Surname (in capitals) and Given Names. The employee number should include an additional 0 to allow for growth. Example: E064099 MCGLONE, Jason.
  • File - enter the TRIM Record Number for the File that this folder will sit under. It should be the general portfolio, workgroup or school Human Resources Management – Personnel file ID=37qnoz9wm7ge.png
  • Security - will default to Unclassified.
  • Access Control – this will inherit from the file. Do Not Alter.
  • Retention Schedule – this will inherit from the Classification Term selected. Do Not Alter.
  • Home Location – this will default to RMIT University. Do Not Alter.
  • Enclose – tick will appear once File has been entered. Do Not Alter.
  • Document Date – the date will default to today’s date. Modify to reflect the commencement date of the employee.
  • Date Closed – this should remain empty until all documents to be added to the folder have been added.
  • Country – this should remain empty as this is not used for these types of folders.

Once you have completed the fields, click OK to save the Folder.

3.1.2 Employment Termination

When an employee leaves RMIT and Human Resources has added all the documentation to the personnel file, the ‘Date Closed’ field noted above must be updated by Human Resources to reflect the date of employment termination.

3.2 Registration and Capture of Documents Placed in Personnel Folders

Responsibility lies with Human Resources for ensuring that the documentation attached to personnel folders in TRIM is accurate and accessible (and matches the hardcopy record). Individual TRIM users must also take responsibility for the documentation that they register.

Titling rules for common Human Resources record types must be observed (refer to Appendix 1 – TRIM Record Titling Conventions for Common RMIT Record Types within the TRIM Manual). TRIM users responsible for the types of documentation covered in this instruction should also ensure that the following does not occur:

  • Multiple Human Resources document types bundled together and entered as a single record in TRIM;
  • Individual Human Resources documents relating to multiple employees bundled together as a single PDF file and entered as a single record in TRIM.

Step by step instructions have been written for the following scenarios:

i. Records initiated in a portfolio, school or workgroup and submitted to Human Resources for processing and filing;

ii. Records created in Human Resources for processing and filing i.e. for Human Resources use only.

i. Records created by Portfolio, School or Workgroup

1. Upon receipt of hard copy document, check that it has been registered in TRIM. If a TRIM Number appears on the document, perform a Record Number search. If no TRIM Number appears on the document, perform a Record Title search based on key words that appear in the document - for example: document type, staff member’s name or E number (refer to 9.00 Searching for Records within the TRIM Manual). If the document is unregistered, proceed to step 3.

2. Check to ensure that multiple document types or documents relating to multiple employees have not been captured under the one TRIM Record Number. If there are multiples, split the documentation and create an individual TRIM Record for each identifiable document type (Refer to 6.01 Registering a New Document in TRIM and Appendix 1 – TRIM Record Titling Conventions for Common RMIT Record Types within the TRIM Manual) and advise the person who registered it in TRIM of the requirements of this Instruction. Proceed to step 4.

3. If the document has not been registered in TRIM, the Portfolio, School or Workgroup HR staff member must create an individual TRIM Record for each identifiable document (refer to 6.01 Registering a New Document in TRIM and Appendix 1 – TRIM Record Titling Conventions for Common RMIT Record Types within the TRIM Manual).

4. View the electronic document attached to the TRIM record to ensure that the final version of the document (i.e. containing all required signatures and with all boxes / fields completed) has been attached (refer to 12.00 Opening an Electronic Document within the TRIM Manual). If attached, proceed to step 5 below. If the document is not attached, scan the hard copy, insert the TRIM Record Number into the header / footer of the scanned .pdf file, then attach it to the TRIM record (refer to 6.04 Attaching Electronic Document to a TRIM Record using Drag and Drop under Creating a Record). Ensure that the scanned copy is legible and has the correct orientation.

5. Ensure that the record is contained within the Personnel folder in TRIM (Refer to the File / Folder / Subfolder field in the TRIM view pane). If the document is not in the Personnel folder, search for the correct folder in TRIM (Refer to Appendix 2 - Searching for Personnel Folders within the TRIM Manual) then change the container (refer to section 6.11 Changing Containers).

6. Process the document as per Human Resources requirements.

7. Add a note to the TRIM record to indicate that the document has been received, actioned and sent to Human Resources for action (refer to 6.06 Adding Notes within the TRIM Manual).

8. Upon receipt of the hard copy document by Human Resources, and once all action on the document is complete, the responsible Human Resource staff member must finalise the record in TRIM to ensure that the electronic document cannot be removed (refer to 6.13 Finalising an Electronic Document within the TRIM Manual).

9. Place the hard copy document in an Archive box and insert the Accession and Box number allocated by RMIT Archives (and hand written or labelled on the box) in the TRIM ‘Archives Ref No’ field. E.g. ID=cakjywfe5zl3.png

ii. Records created by Human Resources for Human Resources use only

1. Register the document in TRIM (refer to 6.01 Registering a New Document in TRIM and Appendix 1 – TRIM Record Titling Conventions for Common RMIT Record Types within the TRIM Manual).

Ensure that:

  • The record has not been registered in TRIM previously;
  • Assign the Personal / Confidential security caveat – this will limit access to Human Resources staff and the TRIM Administrator only (refer to 16.02 Customizing Security within the TRIM Manual);
  • The document is assigned to the correct Personnel folder under the File / Folder / Sub-folder field within the TRIM Record Type input form (refer to Appendix 2 - Searching for Personnel Folders within the TRIM Manual). If a Personnel Folder does not exist, create a new one (refer to Section 3.1 above);
  • A note is added to the TRIM Record indicating where the document will be sent for action and/or endorsement (refer to 6.06 Adding Notes within the TRIM manual).

You must not:

  • Bundle multiple Human Resource documents or document types under the one TRIM Record Number (refer to Appendix 1 – TRIM Record Titling Conventions for Common RMIT Record Types within the TRIM Manual);
  • Bundle documents relating to multiple employees under the one TRIM Record Number.

2. Insert the generated TRIM Record Number into the header / footer of the electronic document prior to saving it.

3. Seek the delegated authority for endorsement, requesting that they sign / authorize and return the hard copy document.

4. Upon receipt of the final fully endorsed hard copy document, process it as per Human Resources requirements.

5. Scan the document and attach it to the TRIM Record Number created for it in TRIM under step 1 above (refer to 6.04 Attaching Electronic Document to a TRIM Record using Drag and Drop under Creating a Record within the TRIM Manual). Ensure that the scanned document is readable and has the correct orientation

6. Add a note to the TRIM Record to indicate that the document has been received, actioned and filed by Human Resources (refer to 6.06 Adding Notes within the TRIM Manual).

7. Finalise the record in TRIM to ensure that the electronic document cannot be removed (refer to 6.13 Finalising an Electronic Document within the TRIM Manual).

8. Attached Place the hard copy document in an Archive box and insert the Accession and Box number allocated by RMIT Archives (and hand written or labelled on the box) in the TRIM ‘Archives Ref No’ field. E.g. ID=cakjywfe5zl3.png

4. RETENTION / DISPOSAL OF PERSONNEL RECORDS

Refer to the Records retention and disposal procedure for policy regarding records retention periods. It is possible to retain records in electronic format only (i.e. without master hard copy paper sets). Please refer to Digitisation of RMIT records procedure and contact the Information Management for further advice.

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