See CORPORATE MANAGEMENT - Planning for records relating to risk management planning.
CLAIMS MANAGEMENT
The process of administering and managing claims lodged after an incident as compensation for injury, death or denial of rights as a person, or damage to or destruction of property. Includes claims for recompense for stolen or lost property and professional indemnity claims. Includes self-insured organisations.
See PERSONNEL - Occupational Health & Safety for records relating to accidents or injuries to employees that do not result in a claim.
| No | Description of records | Disposal action |
|---|---|---|
| 27.1.1 | Records relating to an employee's claim for workers' compensation where an incident has resulted in serious personal injury or incapacity. Records include:
|
Retain minimum of 75 years after date of birth or 7 years after action completed, whichever is longer, then destroy |
| 27.1.2 | Records relating to compensation claims for personal injury made by members of the public, including work experience students and volunteers or other persons who are not employees. Records include:
|
Retain minimum of 15 years after action completed, or upon expiry of statutory limitation periods, whichever is longer, then destroy |
| 27.1.3 | Records relating to a claim for compensation in relation to an incident resulting in the death of an employee. | Retain minimum of 25 years after date of death, or 7 years after action completed, whichever is longer, then destroy |
| 27.1.4 | Records relating to an employee's claim for workers' compensation where an incident has not resulted in death, serious personal injury or incapacity. Records include:
|
Retain minimum of 25 years after action completed, then destroy |
| 27.1.5 | Records relating to compensation claims for damage to personal property or loss suffered as a result of the organisation's actions and claims made by the organisation for damages or loss. Records include copies of claims, reports and related correspondence. | Retain minimum of 7 years after finalisation or withdrawal of claim, then destroy |
| 27.1.6 | Records relating to the provision of first aid treatment. Records include first aid registers and forms/records detailing treatment given. Use 27.1.1 - 4 in cases where first aid treatment is documented together with incident/injury records. Use 27.3.3 where first aid registers function as the equivalent of registers of injuries. |
Retain minimum of 5 years after action completed, then destroy |
| 27.1.7 | Routine activity reports sent from insurers to the organisation regarding premiums and claims made under their insurance policy. | Retain until administrative or reference use ceases, then destroy |
| 27.1.8 |
Records relating to accidents or incidents involving members of the public, including work experience students and volunteers or other persons who are not employees, that do not result in a claim. Records include incident/injury records, notifications to insurer, records of investigation by organisation/WorkCover NSW into incident. Note: Consideration may need to be given to retaining these records longer in some circumstances. When an accident results in a compensation claim, relevant records should be copied to the compensation claim file. |
Retain minimum of 15 years after action completed, or upon expiry of statutory limitation periods, whichever is longer, then destroy |
| 27.1.9 | Records relating to obtaining a licence for the organisation to self-insure and/or manage its own compensation liabilities. Records include:
|
Retain minimum of 7 years after expiry or termination of licence, then destroy |
| 27.1.10 | Records relating to the administration of insurance policies. Records include notices of renewals, details of amounts of cover, advice on premiums payable, correspondence etc. | Retain minimum of 1 year after action completed, then destroy |
| 27.1.11 |
Insurance policies taken out to protect against risk of claims for personal injury, property damage or other loss and damages, e.g. workers compensation insurance, professional indemnity insurance, including information provided for renewals. Note: The Workers Compensation Act 1987 states that policies should be retained until (a) there are no longer any workers in respect of whom the policy is in force, or (b) the policy is at least 7 years old, whichever occurs later (161(4)). This may also be a consideration for policies relating to other matters. |
Retain minimum of 7 years after expiry of policy, then destroy |
| 27.1.12 |
Copies or details of records of all incidents and/or hazards in an organisation kept or compiled together for occupational health and safety assessment or monitoring purposes. Note: Ensure records of incidents relevant to a claim are retained on PERSONNEL - Occupational health & safety and RISK MANAGEMENT - Claims management files. |
Retain until administrative or reference use ceases, then destroy |
PLANNING
See CORPORATE MANAGEMENT - Planning for records relating to counter disaster planning.
REGISTRATION
Compiled registers and summary records.
| No | Description of records | Disposal action |
|---|---|---|
| 27.3.1 | Summary records facilitating the management of insurance policies, e.g. registers of insurance policies. | Retain minimum of 7 years after expiry of policy, then destroy |
| 27.3.2 | Registers of claims. | Retain until administrative or reference use ceases, then destroy |
| 27.3.3 | Registers of injuries. | Retain minimum of 75 years after action completed, then destroy |
RISK ASSESSMENT
The process involving the identification of risks and hazards, and the implementation of appropriate practices and procedures to reduce the number and/or severity of incidents and the impact of incidents on the organisation.
| No | Description of records | Disposal action |
|---|---|---|
| 27.4.1 | Records relating to the identification and assessment of risks, including areas of potential liability, in order to assist planning, and the implementation of strategies to minimise their impact. Records include risk assessments, action plans, risk registers etc. | Retain minimum of 7 years after action completed, then destroy |
| 27.4.2 | Records relating to the development and review of policies and strategies relating to fraud control and the prevention of corruption, and associated correspondence indicating who the policies apply to and responsibilities for their implementation. | Retain minimum of 7 years after superseded, then destroy |
| 27.4.3 | Records relating to risk management of occupational health and safety hazards where risk assessments indicate risk to employees and where health surveillance and/or monitoring of employees are necessary, and where the severity of risk is high. Records include:
|
Retain minimum of 75 years after action completed, then destroy |
| 27.4.4 | Records relating to risk management of occupational health and safety hazards where risk assessments indicate risk to employees and where ongoing health surveillance and/or monitoring of employees are necessary, but where the severity of risk is low. Records include:
|
Retain minimum of 40 years after action completed, or until expiry of statutory limitation periods, then destroy |
| 27.4.5 | Records relating to risk management of occupational health and safety hazards where risk assessments indicate minimal or no risk to employees and where health surveillance and/or monitoring is not required. Records include:
|
Retain minimum of 5 years after action completed, then destroy |
| 27.4.6 | Records relating to the monitoring of atmospheric contaminants when a risk assessment indicates that it should be undertaken. | Retain minimum of 30 years after action completed, then destroy |
REPORTING
The processes associated with initiating or providing a formal response to a situation or request (either internal, external or as a requirement of corporate policies), and providing formal statements or findings of the results of the examination or investigation.
| No | Description of records | Disposal action |
|---|---|---|
| 27.5.1 | Final versions of reports regarding incidents/disasters that result in or have the potential to result in significant damage to assets or operating capabilities. Records include reports detailing:
|
Required as State archives |
| 27.5.2 | Final versions of reports that do not relate to incidents/disasters that result in or have the potential to result in significant damage to assets or the operating capabilities of the organisation. | Retain minimum of 7 years after action completed, then destroy |