Student & Staff Files Policy on Access, Storage & Retention

Transcription

1 Student & Staff Files Policy on Access, Storage & Retention 1

2 Governors Committee Responsible for the Policy: Finance & Resources Committee Date Approved: September 2012 Recommended Review Period: Date for Review: Leadership Team Role Responsible for the Operation of the Policy: Two Years Under Review Headteacher s PA 2

3 STUDENT FILES Document summary The 1998 Data Protection Act includes access to personal information held in manual filing systems in addition to personal information held in computerised systems. Personal information is any information from which a living individual can be identified, either alone or in conjunction with other information, this includes opinions. Contents 1. Will a student have a personal file? 4 2. Storage and retention of personal information 4 3. How do I arrange to view a student file? 4 4. How will I actually view a student file? 4 5. Can I view medical information held about a student? 4 6. Can I take copies of information on either a student file? 4 7. Is there a charge for this service? 4 8. Can staff access a student file? 4 Appendix 1 : Student Files (Student File held by Seaford Head School 5 Appendix 2 : Table of Retention Periods for Employee Personal File 6 3

4 1. Will a student have a personal file? 1.1 Seaford Head School will hold information about students relating to their education history whilst at Seaford Head as well as a computerised record on SIMS. Additionally, Directors of Learning may hold additional files, containing softer information relating to a student s behaviour and attainment. Guidance on the types of information that should be held on a student file are attached as Appendix Storage and retention of personal information 2.1 There are clear rules regarding how information about students should be stored and retained by a school. Headteachers need to ensure that any personal information that is held is done so in a secure and confidential way. 2.2 The Data Protection Act (DPA) 1998 applies to most personnel records, whether held in paper, microform, or computerised format. Computerised systems are covered by the law, as are certain manual systems. To be covered, manual systems must be organised into a 'relevant filing system', which means in essence that they must be sufficiently sophisticated to be accessed in a similar way to a computerised filing system. Headteachers storing personnel data must comply with strict regulations and be aware of the restrictions on the disclosure of, and access to, such data. 2.3 Before releasing personal data to a third party the employer must seek the permission of the student concerned and their parents/carers. 2.4 Subject to certain exceptions (as detailed in Schedule 7 of the Data Protection Act 1998) students and their parents/carers have the right to access their student records and the Headteacher is under an obligation to ensure that the data is accurate. 2.5 Retention periods for student files are set out in Appendix How do I arrange to view a student file? 3.1 You will need to make a request to the Headteacher s PA. This can be done by or in writing. 4. How will I actually view a student file? 4.1 The Headteacher s PA will arrange a mutually convenient time and place for you to look through the student file. You will need to give at least 20 working days notice. The Headteacher s PA or nominated member of staff will be present whilst you are viewing the student file and will deal with any questions. 5. Can I view medical information held about a student? 5.1 Yes, all related information is contained within the student files and/or their SIMS computerised record. 6. Can I take copies of information on a student file? 6.1 Reasonable requests for small amounts of copying will not be refused. 7. Is there a charge for this service? 7.1 No, not for occasional access, however if requests are made frequently a 10 charge may be made. 8. Can staff access a student file? 8.1 Staff may ask to see a student s file and SIMS record provided he or she complies with the principles of the Data Protection Act Primarily this means that the purpose for which the member of staff requires access is relevant, proportionate and compatible with his/her role and responsibilities. 4

5 Appendix 1 Guidance regarding what information should be retained on student files held by the School. Below is an outline of the types of information that should be held on personal files held by the School: it is not intended to be exhaustive. Student Files (Student File held by Seaford Head School) 1 Student files are held by Seaford Head School and are formal organised files containing information relating to a students education history; their attainment, achievement, behaviour and SEN requirements. 2 Students files are usually retained in archive for nine years after their date of leaving, although the student files of certain categories of employee are retained for longer see Appendix 2 for a full list of retention periods. 3 The type of information that might be stored on a personal file includes: Contact Information e.g. address, parent/carer contact Miscellaneous information e.g. copies of parent/carer correspondence. Information relating to absence including sickness, authorised and unauthorised absence. Medical Information e.g. specific conditions SEN Information e.g. support required Behaviour Information e.g. exclusions Occupational Health information Reports 4 Any Child Protection Information will be held in a separate file and stored confidentially with the SENCO. 5

6 Appendix 2 Table of Retention Periods for Student Files Note : Seaford Head School is responsible for arranging storage and retention of student files in accordance with the retention schedule set out below. Pupil Records Attendance registers Pupil files: secondary SEN files TYPE OF RECORD Pupil record cards: secondary Pupil records of exclusions from school Statement maintained under The Education Act 1996 section 324 (records retained under the Special Needs and Disability Act 2001 section 1) Proposed statement or amended statement (records retained under the Special Needs and Disability Act 2001 section 1) Advice and information to parents regarding educational needs (records retained under the Special Needs and Disability Act 2001 section 2) Accessibility Strategy (records retained under the Special Needs and Disability Act 2001 section 14) Incident and violence report books: primary school pupils (previously this class related to all staff and pupils) Incident and Violence report books: secondary school pupils Pupil Referral Units: time allocated visit records Letters authorising absence ACTION Retain for 3 years from the closing date of the register Retain 9 years from date of leaving Retain for 35 years from date of leaving (unless Retain for legal 9 years action from pending) date of leaving; archive appraisal Retain for 50 years from DOB Retain for 30 years from DOB Retain for 30 years from DOB Retain for 12 years from the closing date of the file Retain for 12 years from the closing date of the file Retain for 20 years from date of last entry Retain for 14 years from date of last entry Retain for 3 years Retain for 2 years 6

7 Absence books Examination results: public Examination results: internal Other records created in the course of contact with pupils Retain for 6 years Retain for 6 years; any unclaimed certificates should be returned to the Examination Board Retain for 5 years Retain for 3 years School Meals TYPE OF RECORD ACTION Registers of children entitled to free school meals Free meals: copy authorisation letters to parents and guardians (FM4) Free meals: copies of no longer entitled letters (FM7) Daily record of free meals for teachers and pupils School Meals: cash account records (T44) School Meals: staff and class register sheets Retain for 6 years Retain for 2 years Retain for 2 years Retain for 2 terms Retain for 3 years Retain for 3 years School Meals Summary Sheets Retain for 3 years 7

8 Child Protection TYPE OF RECORD ACTION Child Protection files (records retained under the Education Act 2002 section 175; related guidance in Safeguarding Children, Sep 2004) Allegations of a child protection nature against a member of staff, including where the allegation is unfounded (records retained in accordance with Employment Practices Code: Supplementary Guidance (Records of Disciplinary and Grievance) Education Act 2002 guidance Dealing with Allegations of Abuse against Teachers and Other Staff, November 2005) ** Retain for 25 years from DOB Child Protection file must be copied and sent under a separate cover to a new school/college up to the age of 18; where a child is removed from school to be educated at home the file should be copied and sent to the LEA Retain for 65 years from DOB or 10 years from the date of the allegation if longer * The retention periods for these records will be subject to the implementation of the recommendations of Sir Michael Bichard; existing retention period drawn up following RMS consultations with the Safeguarding Children Group ** This code of practice states that Records of allegations about workers who have been investigated and found to be without substance should not normally be retained once an investigation has been completed. There are some exceptions to this where for its own protection the employer has to keep a limited record that an allegation was received and investigated, for example where the allegation related to abuse and the worker is employed to work with children or other vulnerable individuals 8

9 STAFF FILES Document summary The 1998 Data Protection Act includes access to personal information held in manual filing systems in addition to personal information held in computerised systems. Personal information is any information from which a living individual can be identified, either alone or in conjunction with other information, this includes opinions. This policy explains how a member of staff may access their personal file held by Seaford Head School or East Sussex Personnel and Training (PAT). Contents 1. Will I have a personal file? Storage and retention of personal information How do I arrange to view my personal file? How will I actually view my file? Can I view medical information held about me? Can I take copies of information on either my personal file or medical file? Is there a charge for this service? Can my manager access my personal file? 11 Appendix 1 12 A. Personal Files (Employee Personal File held by Personnel and Training) B. Supervision Files Appendix 2 14 Part 1: Table of Retention Periods for Employee Personal File Part 2: Table of Retention Periods for Supervision Files 9

10 1. Will I have a personal file? 1.1 Seaford Head School and East Sussex Personnel and Training (PAT) will hold information about individuals relating to their employment history and their terms and conditions of service. Additionally, managers will hold supervision files, containing softer information relating to an employee s employment history, information that enables a manager to manage the member of staff effectively but does not necessarily need to be formally recorded on the central personal file held by Personnel. Guidance on the types of information that should be held on a personal file and a supervision file are attached as Appendix Storage and retention of personal information 2.1 There are clear rules regarding how personal information about employees should be stored and retained by an organisation. Managers need to ensure that any personal information that is held is done so in a secure and confidential way. 2.2 The Data Protection Act (DPA) 1998 applies to most personnel records, whether held in paper, microform, or computerised format. Computerised systems are covered by the law, as are certain manual systems. To be covered, manual systems must be organised into a 'relevant filing system', which means in essence that they must be sufficiently sophisticated to be accessed in a similar way to a computerised filing system. Employers storing personnel data must comply with strict regulations and be aware of the restrictions on the disclosure of, and access to, such data. 2.3 Before releasing personal data to a third party the employer must seek the permission of the individual concerned. 2.4 Subject to certain exceptions (as detailed in Schedule 7 of the Data Protection Act 1998) employees have the right to access their personal records and the employer is under an obligation to ensure that the data is accurate. 2.5 Retention periods for both employee personal files and supervision files are set out in Appendix How do I arrange to view my personal file? 3.1 You will need to make a request to the Headteacher s PA and/or Personnel and Training Team. This can be done by telephone, or in writing. 4. How will I actually view my file? 4.1 The Headteacher s PA / Personnel Officer will arrange a mutually convenient time and place for you to look through your file. In the case of your School based file you will need to give at least 5 working days notice. The Headteacher will be present whilst you are viewing your file and will deal with any questions. For your PAT based file you will need to give at least 20 working days notice. The Personnel Officer will be present whilst you are viewing your file and will deal with any questions. 5. Can I view medical information held about me? 5.1 Yes, you can do this by contacting the Occupational Health Team in writing to arrange a convenient time. 6. Can I take copies of information on either my personal files or medical file? 6.1 Reasonable requests for small amounts of copying will not be refused. 6.2 If it is a copy of a report or memo from your medical file you will need to write to the Occupational Health Team. A copy will then be forwarded to you within 20 working days. Please note that due to the Access to Medical Reports Act 1988 there may be some circumstances in which access to medically sensitive information is refused. 10

11 7. Is there a charge for this service? 7.1 No, not for occasional access, however if requests are made frequently a 10 charge may be made. 8. Can my manager access my personal file? 8.1 Your manager may ask to see your personal file provided he or she complies with the principles of the Data Protection Act Primarily this means that the purpose for which your manager requires access is relevant, proportionate and compatible with his/her role and responsibilities as your line manager. 8.2 Where personal files are removed from secure storage in Personnel and Training, the guidance in the Information Security Policy should be followed concerning storage of sensitive information and security of data in transit. 11

12 Appendix 1 Guidance regarding what information should be retained on personal files held by the School & Personnel and Training and what information should go on departmental supervision files. Below is an outline of the types of information that should be held on personal files held by the School & Personnel and Training and the types of information that should be held on local supervision files: it is not intended to be exhaustive. A. Personal Files (Employee Personal File held by Personnel and Training) A.1 Personal files are held by Personnel and Training and are formal organised files containing information relating to an individual s work history; their terms and conditions of service, any formal action taken by them or against them and details of how they exit the organisation. A.2 Personal files are usually retained in archive for seven years after the date of termination of employment, although the personal files of certain categories of employee are retained for longer see Appendix 2 for a full list of retention periods. A.3 The type of information that might be stored on a personal file includes: Appointment Details including application forms, interview records, references, appointment letters, computer/ict notifications, contracts of employment, unsuccessful applications, basic details of CRB disclosures where applicable (but not the full disclosure. Miscellaneous information e.g. TU/Safety Rep, First Aider, Confidentiality Statements Information relating to sickness, accidents and leave including Maternity/Paternity/Adoption, parental, compassionate, unpaid, special leave, First, Second and Final Attendance Improvement Notices Car and Travelling and Subsistence Allowance Relocation Details Employee relations information disciplinary including warnings related to misconduct involving children, and grievance, capability, management of attendance, redundancy Allegations against employees these cease to be live if proven unfounded, EXCEPT allegations of misconduct involving children or vulnerable adults which are retained for longer and even where the allegation was unfounded see Appendix 2 Occupational Health information Record of reasonable adjustments made in accordance with the Equality Act 2010 Salary and other changes - Ex-gratia, honorarium, merit payment, acting up allowances Terminations of employment Information relating to death in service as a result of something which happened at work B. Supervision Files B.1 Supervision files are files containing softer information relating to an employee s employment history and are stored and maintained by line managers. They contain information that enables a manager to manage the member of staff effectively, but does not necessarily need to be formally recorded on the personal file held by Personnel and Training. B.2 Managers are responsible for ensuring that any information from which a living individual can be identified should be stored in a secure location with limited access, in line with the Data Protection Act B.3 When an employee s role remains unchanged, but his/her line manager changes, the outgoing line manager should ensure that the supervision file is transferred to the new incoming line manager. Where an employee s line management changes because the employee changes roles and/or departments, the supervision file does not transfer to the new line manager. B.4 The type of information that might be stored on supervision files includes: Probationary Review/Appointment Support Review forms Induction Checklist Records of 1:1 supervision or other meetings / appraisals Copies of all correspondence (e.g. cc d letters) 12

13 Annual leave and holiday information Miscellaneous e.g. driver development training, internal training certificates Management of attendance information (particularly any informal action and records of return to work interviews) Compliments and positive feedback Exit monitoring questionnaires and interview forms Information relating to determination of employee status (e.g. checklist determining whether an individual is employed or self-employed) 13

14 Appendix 2 Part 1 : Table of Retention Periods for Employee Personal File Note : Personnel and Training is responsible for arranging storage and retention of employee personal files in accordance with the retention schedule set out below. Category of Employee File Retention Period Source/reason Chief Officers and County Archivists Personal files of employees against whom there are, or have been, allegations of misconduct involving children or vulnerable adults, including where the allegation(s)was/were unfounded Personal files of employees who work in children s residential homes Permanent preservation transfer to East Sussex Records Office (ESRO) 75 years from date of termination of employment with the County Council 75 years from date of termination of employment with the County Council ESRO Statement of Collecting Policy Working Together to Safeguard children: a guide to inter-agency working to safeguard and promote the welfare of children. Published March 2010 by Department for Education (DfE). See chapter 6 and Appendix 5, page 358 which specifies the retention period recommended. Note: the County Council has opted to adopt a longer retention period than the minimum recommended in the guidance, to reflect the impact of the abolition of the default retirement age in October Care Standards Act 2000, The Children s Homes Regulations 2001 Note: the Regulations recommend 15 years from termination of employment but the County Council has opted to adopt a longer retention period than the minimum specified in the Regulations for safeguarding reasons 14

15 Personal files of employees known or suspected to have been exposed to asbestos fibres whilst at work 40 years from date of termination of employment with the County Council East Sussex County Council Asbestos Management in the Workplace Policy The Control of Asbestos Regulations 2006, Regulation 22, as amended by the Control of Asbestos Regulations 2012 Note: the Council s data systems do not currently have the facility to identify and record this category of employee. However, line managers and health and safety officers should notify the Personnel Support Unit immediately if they are aware, or become aware, that an employee falls within this category. Personal files of employees who work with radioactive substances 50 years from date of termination of employment, or until employee reaches age 75 whichever is the longer period. Ionising Radiation Regulations 1999 Note: the Council s data systems do not currently have the facility to identify and record this category of employee. However, line managers and health and safety officers should notify the Personnel Support Unit immediately if they are aware, or become aware, that an employee falls within this category. Personal files of employees who work with lead 40 years from termination of employment Control of Lead at Work Regulations 2002, Regulation 10 Note: the Council s data systems do not currently have the facility to identify and record this category of employee. However, line managers and health and safety officers should notify the Personnel Support Unit immediately if they are aware, or become aware, that an employee falls within this category. 15

16 Personal files of employees who work with compressed air Personal files of employees who work with substances hazardous to health as defined in the Control of Substances Hazardous to Health (COSHH) Regulations 40 years from date of termination of employment 40 years from date of termination of employment Work in compressed Air Regulations 1996, Regulation 10 Note: the Council s data systems do not currently have the facility to identify and record this category of employee. However, line managers and health and safety officers should notify the Personnel Support Unit immediately if they are aware, or become aware, that an employee falls within this category. East Sussex County Council Corporate Policy on the Control of Substances Hazardous to Health (COSHH) Control of Substances Hazardous to Health (COSHH) Regulations 2002, Regulation 10 Personal files of all other employees not falling within one of the above categories Note: the Council s data systems do not currently have the facility to identify and record this category of employee. However, line managers 7 years from date of termination of employment Limitation and health Act and 1980 safety officers should notify the Personnel Support Unit immediately if they are aware, or become aware, that an employee falls within this category. 16

17 Part 2 : Table of Retention Periods for Supervision Files Note : the line manager is responsible for arranging to either confidentially destroy the supervision file on expiry of the time period specified below or for arranging for the supervision file to be stored with the employee personal file as appropriate. If you have any doubts about the length of time a file should be retained, please seek clarification from your line manager. Before destroying the supervision file, the line manager should remove any information that falls within the categories specified in Paragraph A.3 above and arrange for Personnel and Training to place it on the employee personal file for storage and retention in accordance with the relevant personal file retention period for the employee concerned. Category of Employee File Retention Period Source/reason Supervision files of employees who work in children s residential homes and residential homes for vulnerable adults and supervision files of employees against whom there are, or have been, allegations of misconduct involving children or vulnerable adults, including where the allegation(s)was/were unfounded 75 years from date of termination of employment with the County Council file to be stored with the employee personal file Working Together to Safeguard children: a guide to inter-agency working to safeguard and promote the welfare of children. Published March 2010 by Department for Education (DfE). See chapter 6 and Appendix 5, page 358 which specifies the retention period recommended. Note: the County Council has opted to adopt a longer retention period than the minimum recommended in the guidance, to reflect the impact of the abolition of the default retirement age in October Supervision files of employees who have been determined as having self-employed status All other supervision files not falling within either of the categories above 3 financial years plus the current financial year East Sussex County Council Engagement of 4 months from the date of termination of employment with the County Council Self-employed People Guidance 17