Policies, Procedures, Guidelines and Protocols Document Details Title Information to be Retained on a Personnel File Process and Procedure Trust Ref No 1343-43664 Local Ref (optional) Main points the document covers N/A This process sets out the standards for the way the Trust maintains personnel files to ensure there is a consistent high standard complying with all employment legislation. Who is the document aimed at? All staff with particular emphasis on managers who have line management responsibilities for staff Author Tracey Neal, Senior HR Advisor Approval process Approved by (Committee/Director) Quality and Safety Operational Committee Approval Date 15 June 2015 Initial Equality Impact Screening Full Equality Impact Assessment Lead Director Category Sub Category Yes No Director of Corporate Affairs Human Resources None Review date 15 June 2018 extended to end of August 2018 Policy currently under review Distribution Who the policy will be distributed to Method Required by CQC Required by NHLSA Other No Date Amendment All staff Publication on the Trust Intranet Yes No None Document Links Amendments History 1 06/06/2011 Update due to organisational change (version 1) 2 15/11/2013 Reviewed by Human Resources and no changes required at this time. OD and Workforce Group agreed to extend next review date from 30/06/2012 to 30/06/2015 3 03/11/2014 Inclusion of Section 6 Data Protection Act Compliance following advice from Information Commissioner's Office. Update to titles with regard to Directorate name and formatting to add paragraph numbers.
4 12/02/2015 Update of personal file checklist to include updated director posts checks Information to be retained on a Personnel File Process and Procedure Page 2 of 9
Contents 1 Introduction... 4 2 Purpose and Scope... 4 3 Responsibilities... 4 3.1 Managers... 4 3.2 Employees... 5 3.3 Human Resources... 5 4 Process... 5 5 Retention and Disposal of Employment Records... 5 6 Date Protection Act Compliance... 6 7 Related Documents... 7 8 Dissemination... 7 9 Advice... 7 10 Review and Compliance Monitoring... 7 10.1 Review... 7 10.2 Compliance Monitoring... 7 Annex 1. Contents of an Employees Personnel FileError! Bookmark not defined Page 3 of 9
1 Introduction 1.1 In order to ensure that our legal obligations are met Human Resources is providing guidance on what information and documentation should be kept on an employee s personnel file. 1.2 All information contained within a personnel file is treated as confidential. However, the Trust has a statutory duty to supply legally required information to certain Government departments such as the Inland Revenue. 1.3 All managers have full access to the personnel files of all staff who report to them, and Human Resources have full access to the personnel files of all staff employed by the Trust. 2 Purpose and Scope 2.1 The purpose of this process is to provide a standard for the way the Trust maintains personnel files. The process and procedure aims to ensure there is a consistent high standard, complying with all employment legislation. 2.2 This process applies to all staff employed by the Trust. It does not apply to external contractors or agency staff. 2.3 In implementing this process and procedure, managers must ensure that all staff are treated fairly and within the provisions and spirit of the Trust s Equal Opportunities Policy. 3 Responsibilities 3.1 Managers Every manager is responsible for ensuring that: The security of the personnel file is maintained. Files should be kept in locked storage with access by staff limited to those with designated authority. All paperwork should be secured within the file (i.e. no loose papers). Personnel files are kept up to date. Employees have access to their personnel file at any reasonable time. Change of circumstances forms are completed and forwarded to Human Resources following confirmation of change of personal details. Only one file should be held per employee i.e. when a member of staff transfers to another post within the Trust their personal file should Page 4 of 9
follow. The new recruitment information (interview assessment sheets, pre employment checks etc) should be incorporated into the existing file. 3.2 Employees Every member of staff is responsible for informing their Manager in writing of any changes in personal details relevant to the Trust for example: Change of address or telephone number. Change in the name(s) of next of kin/emergency contact details. Change in name. Change in bank details. Achievement of any professional qualifications. 3.3 Human Resources The Human Resources team will have a responsibility to provide advice in relation to the application of this process and procedure and relevant employment law and best practice. 4 Process 4.1 Personnel files help to ensure that staff receive their correct pay, holidays, and other entitlements and benefits. In addition, they can be used to monitor fair and consistent treatment for staff. 4.2 It is recommended that files are laid out in sections to enable ease of access. The attached checklist at Appendix 1 lists the recommended sections and the minimum required. The checklist should be kept at the front of the file. 5 Retention and Disposal of Employment Records 5.1 Personnel files will be kept for 6 years after the employee has left the employment of the Trust, and a summary will be kept until the employee s 70th birthday. 5.2 Other types of staff record and exceptions to the general retention period are set out in the Trust s Records Retention, Archiving and Disposal Policy (guidance on based on Records Management - NHS Code of Practice). Page 5 of 9
6 Date Protection Act Compliance 6.1 Keeping records is the responsibility of all Trust staff. Staff must consider and understand the following and seek advice from the Information Governance Lead: 6.2 The Data Protection Act Principles: Personal Information must be fairly and lawfully processed. Personal information must be processed for limited purposes. Personal information must be adequate, relevant and not excessive. Personal information must be accurate and up to date. Personal information must be processed in line with the data subjects rights. Personal information must be secure. Personal information must not be transferred to other countries without adequate protection. 6.3 data subject means an individual who is the subject of personal data; 6.4 personal data means data which relate to a living individual who can be identified. 6.5 relevant filing system means any structured set of personal data which are accessible according to specific criteria, whether centralised, de-centralised or dispersed on a functional or geographical basis. The Data Protection Act defines this as: any set of information relating to individuals to the extent that, although the information is not processed by means of equipment operating automatically in response to instructions given for that purpose, the set is structured, either by reference to individuals or by reference to criteria relating to individuals, in such a way that specific information relating to a particular individual is readily accessible. 6.6 See the Information Commissioner s Office Website for FAQs on relevant filing system: http://ico.org.uk/~/media/documents/library/data_protection/detailed_speci alist_guides/relevant_filing_systems_faqs.ashx Page 6 of 9
7 Related Documents 7.1 The following documents contain information that relates to this process and procedure: Records Retention, Archiving and Disposal Policy Equal Opportunities Policy 8 Dissemination 8.1 This process and procedure will be disseminated by the following methods: Executive Directors and Managers to cascade to staff Staff via Inform Newsletter Bulletin Published on the website Awareness raising by Human Resources and formal staff side representatives 9 Advice 9.1 Advice on this process and procedure should be sought in the first instance from HR. 10 Review and Compliance Monitoring 10.1 Review This process and procedure will be periodically reviewed (at least every 3 years) in light of any developments in employment legislation or employee relations practice and, if necessary, revised in order to ensure their continuing relevance and effectiveness. 10.2 Compliance Monitoring The Human Resources team will monitor compliance with this process and procedure by means of random personnel file audits. Page 7 of 9
Annex 1. Contents of an Employees Personnel File Below is a checklist for the areas in which data should be held. The documentation identified should be held on every employee and is the minimum required. This checklist should be kept at the front of the file. The front cover of a personnel file should only record the employee s name and no other information. Section 1: PERSONAL DETAILS First Name and Surname Date of Birth (verified) Employee Number Contact Details address and telephone numbers should also be on ESR Next of Kin or Emergency Contact Details should also be on ESR On File Section 2: CORRESPONDENCE This section would include any correspondence relating to the individual s employment. Section 3: GENERAL INFORMATION Annual Leave Record Confidentiality Form Copy of Driving Licence - both photo card and paper counterpart, signed and dated to say originals seen Copy of Insurance Certificate stating business use cover, signed and dated to say original seen Supervision or Meeting Notes Lease Car Documentation if applicable Incident Forms if applicable Induction Checklist corporate and local On File Section 4: SICKNESS ABSENCE This section would include self certification forms, GP Fit notes, return to work interviews, Occupational Health reports, managing attendance at work correspondence. Section 5: TRAINING AND APPRAISAL INFORMATION This section would include details of any training or development activities, study leave forms etc. Managers may wish to keep paper copies of KSF appraisals on file. On file Page 8 of 9
Section 6: ASSIGNMENT INFORMATION Statement of Particulars the employment contract signed and dated by both employee and manager Starter Form should be signed and dated by the employee and manager Any other ESR forms should be signed and dated by employee and Manager Section 7: RECRUITMENT For every post held there should be. Advertisement for the post that the individual was recruited from Job Description and Person Specification current and signed by both employee and line manager Application Form Interview Assessment Sheets should be signed and dated by interviewer Conditional Job Offer Letter Acceptance of post form - signed and dated by individual Pre-Employment Checklist signed and dated by Recruitment Team Proof of Identity (2 address and 1 photo id OR 1 address and 2 photo id) photocopy original documents signed and dated to say originals seen Right to Work in UK photocopy original documents, signed and dated to say originals seen Professional Registration Details copy of registration card and updates signed and dated to say original seen Copies of Qualifications relevant to the post as detailed in person specification, signed and dated to say originals seen References cover a minimum of 3 years employment and at least 2 previous employers Performers Lists & Healthcare Professional Alert Notice Web Check Occupational Health Clearance Disclosure and Barring Service Check (if applicable) Unconditional Job Offer Letter Director Posts Only: Search of insolvency and bankruptcy register Additional insolvency and bankruptcy Search of disqualified directors register Background check (including Google search) Declaration of fitness signed and dated On File On File Page 9 of 9