GUIDANCE ON THE MAINTENANCE OF PERSONAL FILES

GUIDANCE ON THEMAINTENANCEOF PERSONAL FILESReference number: HR 032Title:Guidance on the Maintenanceof Personal FilesVersion number: 1Policy Approved by:Date of Approval: Last Reviewed September 2008Date Issued: May 2004Review Date: September 2011Document Author: Human Resources OperationsDirectorateDirector:Kam Kotecha

Table of ContentsPage NoPolicy Reference Information 21. Introduction 32. New Files 33. Location of Personal Files 34. Access to Personal Files 35. Occasions when the Personal File will be forwarded toHuman Resources Department 46. Transfer of Files 47. Leaver Files 48. Maintenance of Personal Files 49. References 510. Multi Post Holders Within Same Organisation 511. Data Protection Act 512. Appendix A 6Guidance of the Maintenance of Personal Files – Version 1 Page 1 of 6

Policy Reference InformationPolicy Reference Number: HR 032Version Number: 1Status:Committee/GroupResponsible:Author/Lead:ApprovedHuman ResourcesKam KotechaImplementation Date: May 2004Links to otherpolicies/documents:Records Management PolicyGuidance on Employee Access to Personal RecordsDate of Last Review: September 2008Date of Next FormalReview:September 2011Guidance of the Maintenance of Personal Files – Version 1 Page 2 of 6

GUIDANCE ON THE MAINTENANCE OF PERSONAL FILES1. IntroductionThese guidance notes have been developed to clarify the responsibilities for thesafe keeping and maintenance of personal files.It is the responsibility of the officer nominated by the Chief Executive (normally theAssistant Director or Head of Human Resources) to ensure appropriatemechanisms are in place to maintain personal files for their staff in accordance withthe Data Protection Act.The responsibility for the creation of personal files for new employees rests with theHuman Resources Team. Personal files will be prepared in line with section 2.Thereafter the updating and maintenance of personal files will be the responsibilityof each manager for their own employees in line with section (10) below.2. New FilesFiles for new employees will be set up by the HR Team and forwarded to linemanagers following completion of commencement paperwork and after the firstpay day.3. Location of Personal FilesAll personal files should be retained by the line manager in a stored lockable(preferably fire proof) cabinet in an appropriately secure environment. Where a linemanager leaves the employment of the Trust, the files should be transferred to thereplacement.The Human resources Department must be notified of any changes to the location ofpersonal files or the responsible named manager.4. Access to Personal FilesAs a general rule only the following people should be granted access to individualpersonal files:Human Resources staff, supervisor or manager of the employee, the responsibleDirector and Auditors (appropriately authorised by NHS Leicester City).Employees have a right of access to their personal files. If a request is made underthe ‘Employee Access to Personal Records’ policy advice should be sought fromthe Human Resources Advisor.Guidance of the Maintenance of Personal Files – Version 1 Page 3 of 6

5. Occasions when the Personal file will be forwarded to Human ResourcesDepartment• On transfer of individual to another team within NHS Leicester City.• On request to deal with enquiry (payroll issue, performance and conduct,grievance, sickness, audit etc.).• On transfer of individual under TUPE regulations to another Trust/PCT.6. Transfer of FilesWhenever a personal file is sent to another location/individual a comprehensivetracking system must be available to locate the personal file.A record form (Appendix A) must accompany the personal file or any extracts oradditional information for the personal file, when sent to another location orindividual and a copy retained. The record form must be acknowledged immediatelyby the recipient, confirming receipt of personal file. (See appendix A)Files should always be sent in a sealed envelope marked “Confidential ForAddressee Only”.7. Leaver FilesEach Director of the Trust will be responsible for the safe retention of leaver files.Date of leaving should be completed in the relevant section on the front of thepersonal fileA copy of the resignation letter and the payroll paperwork must be retained on thepersonal file.Personal files will be maintained for six years after the employee leaves the serviceof NHS Leicester City or until the date on which the employee would reach the ageof 70, whichever is the later. The main records may be destroyed six years afterthe employee leaves the service of the Trust only if an adequate summary of theindividual’s personal and health record is kept for the period up to the date on whichthe employee reaches 70 years.8. Maintenance of Personal FilesEach manager will be responsible for ensuring that personal files are updated withinformation about changes in individual circumstances in a prompt manner toensure accuracy and compliance with data protection requirements.The front of a personal file will need to be updated by the manager in accordancewith any relevant changes e.g. change hours/address, job title etc.Guidance of the Maintenance of Personal Files – Version 1 Page 4 of 6

9. ReferencesThese must be retained on personal files. Unless the reference states clearly that itis an open reference (i.e. may be shared with the employee), it should be assumedthat it was given “In confidence” and must NOT be shared it must be removed priorto access by the employee to the personal file granted.10. Multi Post Holders within same organisationWhere a member of staff holds more than one post within the Trust, a duplicate filewill be made up for subsidiary posts. The manager with whom the employee hasthe principal job will hold the main file. All versions of the file to be annotated “Multi-Principle Post Holder”. If an individual leaves the principal post, the file should beforwarded to the line manager of the next subsidiary post.If an individual leaves the principal post, the file should be forwarded to the linemanager of the next subsidiary post.11. Data Protection ActThe Data Protection Act covers manual data which includes personal files.Information about staff must be processed, managed and handled fairly andlawfully.Staff have the right to know:• Who holds and has access to their personal records;• What is held on their file;• The purpose for which it is held;• Where the information on them comes from.Information should be adequate, relevant and not excessive for the purpose forwhich it is being held. It should be accurate, up-to-date and should not be keptlonger than necessary.Staff have the right of access to the records held on them (See Access toPersonal Files Policy). References which have been provided “In confidence” areexempt from access provisions.Guidance of the Maintenance of Personal Files – Version 1 Page 5 of 6

12. Appendix ATo:From:Date sent:NHS Leicester CityPersonal FilesI enclose the personal file/files listed below. Please confirm receipt of the file/files byreturning and signing the attached copy of this form. However, if any of the enclosedfile/files have been sent to you in error, please return them to me urgently at theaddress below.Personal file/files enclosed / Extracts for file:1 72 83 94 105 116 12Please return this Signed Form to: -Name of manager_____________________________________________________Address________________________________________________________________________________________________________________________________Name of Manager in receipt of file:…………………………………………………………Signature of manager:………………………………………………………………………..Date:……………………………………………………………………………………………Guidance of the Maintenance of Personal Files – Version 1 Page 6 of 6