Policies, Procedures & Guidelines Management Guidance On the Storage and Disposal of Employee Personnel Files Issue Number: 1 Originated by: Human Resource Department Ratified by: SMT & JSPC Agreed by: Director of HR Issue Date: January 2010 Review Date: January 2012 1
Version Control Reference HR / GPF / 09 NHSLEW/HR/022/1.1 Date Approved 12 th January 2010 Approving Body JSPC Implementation Date 12 th January 2010 Version 1.1 Supersedes Consultation Supporting Procedure No previous publications Review Date December 2012 Staff side, Senior Management Team Recruitment and Selection Policy and Procedure, Exit Questionnaire and Interview Procedure Lead Executive Author/Lead Manager Further Guidance HR Director HR Manager CIPD, Personnel Today Implementation Target audience Implementation plan in place? Tools for dissemination All PCT Staff Yes E-mail & Intranet Date of dissemination 12 th January 2010 Monitoring Monitoring method Frequency Responsibility Reporting Audit Annual HR Department HR Department 2
Equalities Impact Assessment Screening Grid Note: See equalities impact assessment guidance notes on PCT website at www.lewishampct.nhs.uk/eia before completion. Equality Group Race Disability Gender Age Sexual Orientation Religion or belief Deprivation Assessment of Impact Dignity and Human Rights 3
Contents 1. Introduction... 5 2. Aims... 5 3. Setting up an employee personal file... 6 4. Section 1 - Recruitment & Selection... 6 5. Section 2 - Employment details... 7 6. Section 3 - Absence details... 8 7. Section 4: - Appraisal & PDP... 8 8. Section 5 - Details of any formal management action... 8 9. Informal Management Action... 9 10. What happens to files after an employee leaves?... 9 11. What happens if the employee transfers within the PCT?... 9 12 Who should have access to the personal files?... 10 13. Procedure for handling employee requests to access information held... 10 14. Management Responsibilities... 10 15. Request to prevent processing of data... 10 16. Further information... 10 Appendix Iron Mountain Storage of Personal Files Appendix 1 Personal file transfer form Appendix 2 4
1. Introduction Guidance for managers: Maintaining Personal files It is the responsibility of the line manager and all authorised data holders to ensure that the information held on an employee s personal file complies with the Data Protection Act 1998. The Data Protection Act covers issues relating to obtaining information, the retention of records, access to records and disclosing records. The following principles of the act must be adhered to with respect to employee personal files The Trust can only process personal data which is fair and lawful. The Trust must only process information relating to an individual where the purpose for which it is to be processed has been disclosed to that individual. The Trust can only obtain and process data only for specified and lawful purposes (i.e. use personal information only for clearly agreed purposes) The Trust must ensure data is adequate, relevant and not excessive in relation to its stated purpose (i.e. not store more information than is necessary about a person). It is the responsibility of each individual to inform the Trust of any change in personal circumstances to enable the Trust to keep its records accurate. The Trust must ensure that data is accurate and kept up to date. The Trust can not keep data for longer than is necessary in relation to its purpose. The Trust will process personal data in accordance with the rights of Data Subjects under the Act. This includes the right of access and the right of an individual to prevent processing. The Trust must take appropriate measures against unauthorised or unlawful processing and against accidental loss, damage or destruction of the data. Under the Act, employees are entitled to access their records and can seek compensation for damage or distress suffered as a result of a breach of the Act. 2. Aims It is important that any personal data obtained and used is accurate, relevant and kept in a safe and secure storage facility. The main aim of this guidance is to: Increase trust in the workplace Managers need to be transparent regarding the information held on individuals, therefore helping to create an open atmosphere where good working practices are maintained. Managers are responsible in ensuring that such records are kept in a safe and secure storage facility. 5
Encourage good housekeeping this guidance will encourage managers to store information in an organised and legal manner, ensuring that information obtained is relevant and only used for lawful purposes. Ensure regular checks are undertaken Managers are required to check the contents of the personal files are reviewed on a regularly basis in order to ensure that records are not retained that are irrelevant, excessive or out of date. A notation should be made within the file of the dates that the contents have been checked. Any information that is not for genuine business reasons or for legal duty should be destroyed by secure shredding or sent in a secured envelope to HR clearly marked Private & Confidential for Shredding Only with the managers name clearly stated. The contents of the envelope will not be read and confirmation of the destruction of the contents will be emailed to the manager. 3. Setting up an employee personal file For a new employee the core personal file will be emailed to the manager by the Recruitment Team. It is the manager s responsibility to print out the key documentation and ensure secure storage. At no time should a file be saved to shared drives outside the secure environment within HR or saved on the desktop of a PC. The employee s personal file should be split into the following sections: - Section 1: Recruitment & Selection - Section 2: Employment details - Section 3: Absence details - Section 4: Appraisal & PDP - Section 5: Details of any management action 4. Section 1 Recruitment & Selection The HR Workforce team will compile the initial paperwork in respect of the appointment, namely: A copy of the advertisement for the post that the employee was recruited to. An up to date copy of the job description and person specification Application form for the post that the employee has recruited to. This is important as this is a record of the post-holder s skills, experience and knowledge when applying for the post. Interview notes. This may include information with respect to personal development needs References. A record can be made of the fact that the references were obtained, from whom, the date and the recruitment decision. The original reference and or its contents should not be included in the employee s personal file. These details would be held with the recruitment papers in HR. 6
A copy of the Professional Registration details and any updates. A copy of the Medical clearance from Occupational Health. Criminal Records Bureau (CRB) clearance A record can be made of the date the CRB has been obtained, the post-holder s job title at the time of the clearance, the type of disclosure (i.e. standard or enhanced), the unique CRB reference number and the recruitment decision made. The original CRB record and its contents should not be included in the employee s personal file. A copy of the employee s passport or other documentation confirming eligibility to work in the UK in order to meet the requirements of Asylum & Immigration Act will be placed in the employee s file by the HR Workforce Team. Copy of relevant examination certification where relevant Recruitment correspondence including invite letter, offer of appointment and acceptance letter. A signed copy of the employment contract. Two copies of the contract will be sent to the employee within 8 weeks of commencing employment, one of which will be placed in the employee s personal file by the HR Workforce Team. Existing Work Permits / Visa s It is the responsibility of the employee to ensure that his / her status enables them to work legally with NHS Lewisham / Community Health Services. Managers are however required to record and monitor the date of expiry for all existing work permits / visas s and liaise with both the employee and Human Resources Department at least three months prior the expiry date. Copies of all Home office correspondence are to be kept on file. 5. Section 2: Employment details On the employee s first day the manager will need to meet with the employee to complete the following which will be included on the personal file: (*please note documents relating to existing employees) A copy of the New Starter form signed by employee and line manager. *A copy of the signed Establishment Change Form if it is an internal transfer/promotion/amendment to post. *The change of contract letter if it is an internal transfer/promotion/amendment to post. The HR team will send two copies to the employee, one of which should be included in the personal file. *A copy of the employee s personal file transfer form which should be completed by the employee s previous line manager. 7
6. Section 3: Absence details This section should include original copies of medical certificate and self certificates. Please note that copies of these documents should be sent to the HR Workforce Team in a timely manner (retaining the original in the personal file). This section should also include any records of discussion relating to annual leave, maternity/paternity/adoption leave and special leave, hospital / doctors appointments etc. 7. Section 4: Appraisal & PDP This section should include copies of all appraisal objectives and one to one meetings. A copy of the KSF outline should be included along with any training taken both funded by the organisation (mandatory and non-mandatory) and self funded courses held externally. 8. Section 5: Details of any formal management action This section should include formal outcomes following relevant investigation meetings / hearings. With respect to informal investigations / discussions please see next section. File notes may be kept on the employee s file to record discussions of concerns from the employee and or line manager along with the action points and the review of improvement plans to resolve such matters relating to: Work-related concerns Performance management plans Employee request i.e. flexible working Details of disciplinary action taken Outcome of grievance hearings In addition to this, this section should also include: A copy of the employee s resignation letter if applicable, along with your letter confirming their resignation. (available with exit questionnaire and interview procedure - http://nww.lewishampct.nhs.uk/documents/3989.pdf ) A copy of the employee s leaver form if applicable. Please note that any records of discussions including file notes, minutes etc. must be shared with the member of staff and agreed for accuracy, with signatures from manager and employee where possible. They should also be informed that the record will be placed in their file. 8
Disciplinary Action Spent All disciplinary action will have an expiry date pending the degree of the sanction issued. This will be clearly detailed within the formal outcome documentation. Once spent the documents should be destroyed by secure shredding or sent in a secured envelope to HR clearly marked Private & Confidential for Shredding Only with the managers name clearly stated. 9. Informal Management Action Should there be a need to keep records of concern i.e. email exchanges, informal discussions, such records are to be kept in a separate management file. Informal records are not to be kept in the employee s personnel file. This file should also not only be restrictive to an individual concerned, but rather a file of collective concerns that exist within the department. The principles of the Data Protection Act listed in section one still applies, with particular attention to the requirement that the Trust can not keep data for longer than is necessary in relation to its purpose. Once any informal issue(s) are no longer a cause of concern, the records should be destroyed. Please note that any records of informal discussions including file notes, minutes etc. must be shared with the member of staff and agreed for accuracy, with signatures from manager and employee where possible. They should also be informed that the record will be placed in their file. 10. What happens to files after an employee leaves? All files must be stored in a secure storage, i.e. lockable cupboard, and accessible by the line manager only. Personnel files hold highly confidential data about the employment history of your staff. When an employee leaves the manager should retain the employee s file for two years for reference requests etc. After two years, files should be sent to the HR team for archiving. Before sending the personal files to the HR team, the manager needs to ensure that the Iron Mountain form at Appendix 1 is completed, detailing the content of secured box/envelope. This will ensure that the file is easily located for future reference. 11. What happens if the employee transfers within the PCT? If an employee transfers to another department within the Trust then their personal file should be sent securely to the employee s new line manager along with the completed form transfer form. The manager should retain a copy of the Personal File Transfer Form (Appendix 2) in case reference requests are received for the individual. Any Informal information regarding the transferring employee should be shared with the HR department in order to make a decision whether such information is to be transferred. 9
12 Who should have access to the personal files? The manager and authorised personal assistant(s) should have access to employee files The employees can access their files on receipt of a written request. This can be done by email or in writing. The employee will be accompanied during the viewing of their file. Authorised members of the HR Directorate and employees responsible for ensuring compliance with Data Protection, Caldicot Guardian and Registration Authority Managers 13. Procedure for handling employee requests to access information held An individual has the right of access to personal data in manual and computerised form by the Trust. Individuals, who wish to have access to their records, should write to their line manager requesting to view such information. The individual should specify which document/s they would like access to. All records will be reviewed in the presence of a Human Resource Directorate staff member. If an employee wishes to have a copy of personal data held a charge of 10 may be applicable to cover administration costs. As a security measure, the individual will be asked to produce identification before sight of any information. 14. Management Responsibilities Departments and managers are responsible for maintenance and secure storage of employee personal files, therefore manager are required to ensure that that the supervision / management of such records complies with the guidance issued. 15. Request to prevent processing of data An individual may wish to appeal against any form of processing of their personal data e.g. from collection and disclosure to destruction. The grievance procedure may be used for individuals employed by the Trust. 16. Further information For further information or guidance, please contact the Human Resources Department. 10
IRON MOUNTAIN STORAGE PERSONAL FILES Appendix 1 Only the name of the ex-employee needs to be completed HR will complete Iron Mountain Barcode Section Name of Ex-Employee Iron Mountain Barcode Signed: Date: Manager / Administrator Signed: Date: HR 11
Appendix 2 Personal File Transfer Form Employee Name Job Title Band....... Department... Basic Hours per week Start date End date.. Transferred from Transferred to.. Employees new manager. Sickness in last 12 months.. Live Disciplinary action. Managers name Signed by manager Date transferred. 12