Guidance Notes for Departmentally Held Staff Files

Transcription

1 Guidance Notes for Departmentally Held Staff Files

2 Common issues and pitfalls in record keeping how to avoid them and why: Over-processing 1. The Data Protection Act (DPA) 1998 states that personal data shall be adequate, relevant and not excessive in relation to the purpose(s) for which they are being processed. When information is kept in a number of places we are over processing and have excessive data for our needs. This is a breach of Principle 3 of the DPA. 2. Keeping too many versions of the same information a. Where are they all kept? When keeping too many versions of the same information, we run the risk of not remembering where they are all kept. If you are keeping 3 copies of the same information, and you update 2 copies but forget about the third, you are now processing inaccurate data. This is a breach of Principle 4 of the DPA. b. Which is the most current version? If we are keeping extra copies, we need to know which is the version that can relied upon to be correct whether it contains personal data or not but with various versions around, we cannot be sure of that c. Am I updating the most current version? 3. backups People rarely think about the information contained within their University account. Between your sent box, various folders and trash can, it is extremely easy to be keeping numerous copies of the same information that is already stored in the appropriate staff members file. Once an has been printed and filed, the trail should be deleted from your s. If we do not do this, we are in violation of the DPA for over processing 4. Just in case copies Often throughout the University it is standard practice to keep a copy of information that has been uploaded into an electronic system or sent to anther department, just in case. While it can be daunting to discard a large amount of information once it has been input into an electronic system or sent to another department, once it has been confirmed that the information safely uploaded and legible in an electronic system, or you have received confirmation that another department has received the information, the paper copies must be deleted. Failure to do so is a breach of the DPA. Storing personal and sensitive personal data When keeping personal information, we must ensure it is being stored securely, or in the case of sensitive personal data, very securely. To store information securely, you will need to have lockable cupboards and filing cabinets which can potentially be expensive and take up valuable space Keeping information for too long It is very important to be aware of the appropriate retention schedule for the information you are keeping. Please find a link to the University retention schedules here. If you have any questions relating to the retention schedules, please the University Records Manager - recordsmanagement@port.ac.uk How to safely dispose of personal or sensitive personal data For information on safe disposal of personal and sensitive personal data, please see the information provided here. Page 2 of 8 These guidance notes are accurate and applicable to current staff files as of March Once staff files have been moved to EDM, a new set of guidance notes will be provided which will better represent where and how data will be stored in EDM.

3 If you have any queries on any of the information contained within this guidance, or cannot find the information you are looking for, please contact Historic staff files and staff information held in PHS/Filestore: If you are currently keeping historic staff file information, or even current staff file information, at PHS/Filestore, please be aware of what is being stored as it may be possible it is information you no longer need to hold. For current staff, please see the table listed below for further information on what should be held by departments. For historic staff, or staff that has been gone from the university for more than 6 years, it is likely you will not need to hold any information. Please see the table below for more details. Page 3 of 8 These guidance notes are accurate and applicable to current staff files as of March Once staff files have been moved to EDM, a new set of guidance notes will be provided which will better represent where and how data will be stored in EDM.

4 Retained by HR Information Retained for Staff Files RECRUITMENT Retained by Departments Yes Staff approval Yes Yes Job description/ Person specification/job Hazard Identification Form Yes Yes Recruitment salary calculations NO Yes Post grading information NO Yes Application Form and supporting documentation - to include CV, list of publications, etc Yes Yes References NO Yes Reason for Appointment offer form (Historical) / Copy of e-recruitment offer screen-print NO Departmental Retention Schedule & Notes Please keep until staff appointment then discard Please ensure only the most recent version is kept Please discard once the employee has left the University UK VISA & IMMIGRATION Yes Visa paperwork- Tier 2 Visa /Tier 5 Visa NO Yes Visa/Biometric Residence Permit (BRP) documentation NO Yes Copy of external media advertisement (Only for UKVI employees) NO Yes Shortlisting/Interview selection process paperwork (Only for UKVI employees) NO NEW STARTER Yes Copy of Appointment Letter sent NO Yes Appointment statement received - signed by employee NO Yes Initial contract of employment - signed by manager NO Yes Copy of Occupational Health Clearance confirmation letter (Historical) NO Yes Qualifications NO Yes Proof of identification, to include name alterations NO Yes HESA information NO Yes Completed & authorised Form of Undertaking for Removal & Separation Expenses NO Yes Probation report, signed by manager NO NO Staff Induction Paperwork Yes NO Individual probation report Yes Keep for 1 year upon completion of induction Keep for 3 years following the completion of probation

5 PENSIONS Yes Opt in/out forms NO Yes Estimates/returns/ queries NO VARIATIONS TO CONTRACT Yes Increase/decrease in hours or weeks paperwork Yes Yes Salary calculations for term - time staff NO Yes Fixed-term contract letters NO Yes PTHP Contract and signed, authorised Teaching Schedules NO Yes Post - initial appointment paperwork and confirmation letter/contract/signed appointment statement NO Yes Change of Address notification only applicable for casual contract employees or those without ESS access NO Yes Regrading paperwork and confirmation letter/contract Yes Yes Promotion paperwork and confirmation letter/contract NO Yes Awards (Recognition/Long Service/Contribution) Yes Yes First Aid Allowance confirmation letter/copy of Certificate/renewals NO Yes H&S Co-ordinator- copy of confirmation letter NO Yes Routine enquires from employees Yes Please keep supporting paperwork until the hours have been altered. Once completed, please discard all information, except the confirmation letter from HR. All supporting information will be held in HR. If you are requesting a regrading, please keep paperwork until the regrading has been processed, then discard all paperwork. All supporting paperwork will be held in HR Please keep confirmation letter only the application form should only be kept by HR Keep for 6 months from response to enquiry Page 5 of 8 These guidance notes are accurate and applicable to current staff files as of March Once staff files have been moved to EDM, a new set of guidance notes will be provided which will better represent where and how data will be stored in EDM.

6 Yes Staff enquires resulting in contractual change Yes If you are dealing with an enquiry that may result in contractual change, please keep paperwork until change has been actioned by HR, then discard all paperwork Yes Confirmation of employment letters e.g. Property rental /Guarantor/Foreign Embassy NO Yes References supplied for members of staff Yes Keep for 1 year from the request date Yes Flexible working requests Yes Please only keep copies of flexible working requests if they are local arrangements formal flexible working request paperwork will be held by HR Yes Maternity application form and supporting paperwork NO Yes Paternity application form and supporting paperwork NO Yes Adoption application form and supporting paperwork NO Yes Requests for special leave i.e. sabbatical leave/ compassionate leave Yes Yes Leave calculations for term time employees current leave year only NO Yes Skills Audit form (Historical) NO NO Performance development review (PDR)/Peer reviews Yes Yes General records of training/staff development Yes NO Flexi/Toil requests Yes Compassionate requests should not be kept, but requests for sabbatical, and supporting paperwork, can be kept until the employees return Please keep for a rolling 3 years once employee has left the university, please keep last 3 PDR s for a further 6 years Only specific information needs to be retained please refer to of the Human Resources Retention Schedule for further details Please keep until the end of the leave year then discard Page 6 of 8 These guidance notes are accurate and applicable to current staff files as of March Once staff files have been moved to EDM, a new set of guidance notes will be provided which will better represent where and how data will be stored in EDM.

7 CASEWORK Yes Under Performance Yes Yes Grievance Yes Yes Disciplinary Yes Yes Employment Tribunal/legal paperwork NO Yes Appeals NO Yes Organisational Change, Redeployment and Redundancy (OCRR) NO Yes Mediation Yes Yes Managing Sickness Absence Yes No Oral Warning Yes Kept for 1 year from the date of issue Yes Written Warning Yes Keep until end of time stipulated on the warning LEAVER Yes Resignation letter from employee and acknowledgement correspondence from HR NO Yes End of Contract confirmation letter NO Yes Redundancy NO Yes Severance NO Yes Retirement NO Yes Death in service NO Yes Leavers form NO Yes Employee Summary NO Health NO Management Referrals NO Please keep until the employee has Page 7 of 8 These guidance notes are accurate and applicable to current staff files as of March Once staff files have been moved to EDM, a new set of guidance notes will be provided which will better represent where and how data will be stored in EDM.

8 been seen by Occupational Health and the matter has been settled then discard referrals and supporting documentation Occupational Health will retain copies NO Return to work forms Yes Please keep for all employees until termination of employment plus 6 years NO Information relating to the purchase of specialised equipment Yes Please keep for all employees until termination of employment plus 6 years NO Personal emergency evacuation plan (PEEPs) Yes Keep until superseded or no longer active NO Risk assessments Yes Keep until superseded Departmentally Held Staff File Once an employee has permanently left the University, or the department, please weed out any information that can be destroyed and send the remaining information to HR to include in the central staff file. Page 8 of 8 These guidance notes are accurate and applicable to current staff files as of March Once staff files have been moved to EDM, a new set of guidance notes will be provided which will better represent where and how data will be stored in EDM.