personnel file management - bcpft.nhs.uk

Version 1.0 November 2016

Personnel File Management

Target Audience

Who Should Read This Policy

All Trust staff including contracted workers and staff seconded to the Trust from other organisations

Personnel File Management Policy


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1.0 Introduction 4

2.0 Purpose 4

3.0 Objectives 4

4.0 Process 4

4.1 Types of Employment Records Retained by the Trust 4

4.2 Creation of Personnel Files 5

4.3 Content of Personnel Files 5

4.4 Retention and Storage of Personnel Files 6

4.5 Access to Personnel Files 6

4.6 Transfer/ Transport of Personnel Files 6

4.7 Terminated Employee Personnel Files 7

4.8 Retention and Destruction of Personnel Files 7

4.9 Confidentiality 7

5.0 Procedures connected to this Policy 8

6.0 Links to Relevant Legislation 8

6.1 Links to Relevant National Standards 8

6.2 Links to other Key Policies 9

6.3 References 9

7.0 Roles and Responsibilities for this Policy 10

8.0 Training 11

9.0 Equality Impact Assessment 11

10.0 Data Protection and Freedom of Information 11

11.0 Monitoring this Policy is Working in Practice 12

Appendices

1.0 Personnel File Cover Sheet 13

2.0 Confirmation of Receipt of Personnel Files/ Recruitment Data 14

3.0 Personnel File Summary Sheet 15

4.0 Record Sheet for Personnel Files Received in HR 16

5.0 Personnel File Scanning Audit Checklist 17

Ref. Contents Page



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Explanation of terms used in this policy Policy - Sets out the aims and principles under which services, divisions, or units will operate. A

policy outlines roles and responsibilities, defines the scope of the subject covered, and provides a high

level description of the controls that must be in place to ensure compliance

Information Governance - The set of multi-disciplinary structures, policies, procedures, processes and controls implemented within the Trust to manage information, supporting the organisations

immediate and future regulatory, legal, risk and operational requirements

Personnel Files - For the purpose of this document “Personnel Files” will encompass both manual

and electronic personal information which is used by the organisation to establish part or all of an employee’s work record. This should encompass all recruitment documentation, verification of pre and

post-employment checks such as copies of relevant qualifications and all evidence of employee

relation issues such as sickness absence management, performance management information, formal requests and replies, notes for files and letters confirming any disciplinary action taken.

This incorporates the day to day working file containing contemporary information which assists a

manager in the direct management of an individual. It is a manual record and is the responsibility of the employee’s manager.

Creation - Occurs on initial appointment to the Trust. The record must include the creation date, author, retention period and disposal/destruction date upon termination of employment with the

Trust. Also on the front of the file will be printed ‘NHS Confidential’

Content - Information retained should be adequate, accurate, relevant, not excessive and kept up to

date in accordance with the Data Protection Act 1998

Maintenance - Refers to the upkeep of Personnel Files to ensure they are logically sequenced,

accurate, reliable and consistent

Storage - The method by which Personnel Files are securely and confidentiality stored

Access - Ensuring appropriate access to Personnel Files according to Information Governance and

Subject Access Requests (requests for access to Personnel Files)

Transfer - The safe and secure movement of Personnel Files between Trust sites and between authorised personnel

Retention - Refers to the period of time that a Personnel File should be retained for

Disposal/ Destruction - The method by which Personnel Files are appropriately destroyed after the

expiry of a retention period

Confidentiality - The protection of sensitive and personal information from unintended or unauthorised access



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1.0 Introduction The Black Country Partnership NHS Foundation Trust is committed to ensuring a fair and standardised approach to inform both managers and employees of the process for dealing with the creation, content, maintenance/ storage, access, transfer and retention/ destruction of Personnel Files. The storage, safe custody and access to Personnel Files must be consistent throughout the Trust for employees to feel confident that the Trust will meet its legal obligations and treat personal and sensitive information in a confidential and proper way. The policy covers Personnel Files for individual employees whether in paper form or stored on a computer system or other format. Such personal data is subject to certain legal safeguards specified in the Data Protection Act 1998.

2.0 Purpose The purpose of this policy is to set out the standards that are required of staff when managing Personnel Files. This includes detail of a planned and systematic approach to the way in which Personnel Files will be created, handled, maintained and accessed. It also includes detailed guidance on the way in which Personnel Files should be stored, transported and ultimately disposed of.

3.0 Objectives The objectives of this policy are to ensure:

The Trust has a standardised format for creating and managing Personnel Files that are logically sequenced and readily accessible

Personnel Files are accurate, reliable and consistent

Confidentiality and security with regard to personal information in situ and/or in transit

Consistent process for destruction in line with the minimum destruction period found in Records Management: NHS Code of Practice

4.0 Process

4.1 Types of Employment Records Retained by the Trust 4.1.1 Vacancy File A vacancy file is a collection of documents that relates to the recruitment process for a particular post. It contains records such as vacancy details, approvals, shortlisting and interview documentation of unsuccessful applicants and eventual selection process.

The electronic vacancy file is held by the Central Recruitment Team for 12 months from the date of interview. The purpose of retaining this file is to provide data in case of query or litigation. Please refer to the Recruitment and Selection Policy.

All documentation for successful applicants is transferred from the vacancy file to create the employee’s Personnel File.

4.1.2 Personnel Files Personnel files will encompass both manual and computerised personal information which is used by the organisation to establish part or all of an employee’s work



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record. This incorporates the day to day working file containing contemporary information which assists a manager in the direct management of an individual.

4.1.3 Manual Record The manual record is the responsibility of the employee’s manager. This file shall be retained and maintained by the Line Manager whilst the employee remains in active service with the Trust and for 12 months post the employee leaving.

4.1.4 Electronic Staff Record (ESR) Files The ESR File holds electronic record of an employee’s personal and employment details.

4.1.5 Scanned Personnel Files Personnel Files will only be scanned in 12 months post the employee’s exit from the Trust and will be kept on the system for the recommended retention period (see Personnel File Management - SOP 04 – Scanning and Destroying Leaver’s Personnel Files).

4.2 Creation of Personnel Files In accordance with the Trust’s Recruitment and Selection guidance, the creation of Personnel Files will be undertaken by the Trust’s Centralised Recruitment Team for all new employees at the point an offer of employment is made (see Personnel File Management - SOP 01 – Creation and Collection of Personnel Files). The file will be divided into five sections in accordance with Personnel File Management - SOP 01 – Creation and Collection of Personnel Files and will be retained in the HR Department until a signed copy of the contract of employment is returned. Two copies of the Trust contract will be signed on the 1st day of induction by the new employee and counter signed by a senior member of staff in attendance; one copy for the employee and the second to be returned to the Recruitment team. A copy of the signed Contract of Employment will be retained on the Personnel File. On confirmation of signature (receipt of the signed contract) the Recruitment Team will contact the appropriate Line Manager who will be required to collect the Personnel File within 5 working days of notification (email) (See Personnel File Management - SOP 01 – Creation and Collection of Personnel Files). A Confirmation of Receipt Form will be required to be completed on collection of the file and stored centrally by the Recruitment Team (Appendix 2).

4.3 Content of Personnel Files In accordance with the Data Protection Act 1998, only information which has a stated employment purpose should be stored on Personnel Files. Any information retained should be adequate, relevant and not excessive, accurate and where necessary, kept up to date.

A structured Personnel File should be set up and maintained for each employee to include information as detailed in Personnel File Management - SOP 01 – Creation and Collection of Personnel Files. This list is not exhaustive however, and advice should be sought from HR about the appropriateness of retaining any information not detailed in the list.



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A Personnel File Cover Sheet (Appendix 1) must be placed in the front of the File to record key personal information such as changes in personal details, job details and next of kin/ emergency contact information etc. to ensure that information is quickly and easily accessible. This is to be updated every twelve months to ensure information is correct (a master copy should be kept in the back of the Personnel File) – this could be done at the yearly appraisal. An audit of randomly selected Personnel Files from across the Trust will be conducted by Human Resources every 12 months to ensure adherence to policy.

4.4 Retention and Storage of Personnel Files For reasons of security and to ensure compliance with the Data Protection principles, all personal information should be stored away in date order within the relevant section (most recent at the front) in a timely manner.

It is the responsibility of the Line Manager to ensure that all Personnel Files are kept in locked storage, with access by staff that have designated authority.

Files should be replaced immediately after use and should be kept locked away when not being used. A tracer card should be used when the file is removed from the system to ensure that it can be located if required.

Following a full and proper investigation, any breaches of security identified will be treated as a disciplinary issue.

4.5 Access to Personnel Files 4.5.1 Authorised Access It is recognised that Personnel Files are held in different locations around the Trust and as such are subject to access by different levels of staff.

It is important that access to files is properly controlled and that access is for genuine business reasons. It is the Line Manager’s responsibility to ensure that designated key holders are identified for each filing system and to ensure that there is no unauthorised access to personal data.

As a guide, only the following members of staff should be granted access to individual files: Human Resources staff; the supervisor or manager of the employee; the responsible Directors; auditors (appropriately authorised).

4.5.2 Subject Access Requests The Data Protection Act allows staff access to information held about them by the Trust. Staff are entitled to access data that is held about them if they request to do so. All requests are to be directed to the Information Governance Team; there is detailed guidance on managing requests to access Personnel Files included in the Trust’s Information Sharing – SOP 03 - Subject Access Request Procedure.

4.6 Transfer/ Transport of Personnel Files When a member of staff moves between posts, departments or divisions within the Trust it is the responsibility of the existing line manager to transfer the Personnel File to the new manager immediately after the last working day of the member of staff concerned. See Personnel File Management - SOP 02 – Inter-Departmental Transfer of Personnel Files. Please note this does not include when a member of



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staff transfers to the Temporary Staffing Bank as the Personnel File remains with the substantive manager.

Personnel Files should be collected or delivered in person by the manager or an “authorised” member of staff. Transfer of files by post or courier constitutes a risk to employee data and should be avoided.

Where files are to be transferred between departments/ divisions, the files should be securely parcelled and marked “private and confidential” and for the attention of the new line manager.

4.7 Terminated Employee Personnel Files

Where an employee leaves the employment of the Trust, the Personnel File will be retained by the manager for a period of 12 months after which the Personnel File for that member of staff should be returned to the HR department in accordance with Personnel File Management - SOP 03 – Audit and Transfer of Leaver’s Personnel Files, and signed for by using Appendix 4. Before returning the file to the Human Resources department the Line Manager should Audit the Personnel File in accordance to Personnel File Management - SOP 03 – Audit and Transfer of Leaver’s Personnel Files and create a Summary Sheet in accordance with Appendix 3.

4.8 Retention and Destruction of Personnel Files

HR will be responsible for the maintenance and security of a central store for the Personnel Files of staff that have left the Trust. The Personnel Files and Summary Sheets will be scanned in and audited to be stored electronically following the procedure in accordance with Personnel File Management - SOP 04 – Scanning and Destroying Leaver’s Personnel Files and Appendix 5. A sample audit of Scanned Personnel Files and Summary Sheets will be carried out every 6 months by a senior member of the Workforce team, using Appendix 5 Personnel Files are required to be kept for a period of 6 years after termination or until the former employee reaches 70 years of age, whichever is the later. Following the end of the retention period for the electronic copy of the Personnel File, a report will be reviewed by the Workforce Committee for final sign-off prior to its destruction as detailed in Personnel File Management - SOP 05 – Destruction of Leaver’s Electronic Records and Summary Records. The electronic copy of the Summary Sheet will be retained until the individual’s 70th birthday or until 6 years after cessation of employment if aged over 70 years at the time. For destruction of Summary Sheet you would follow the same procedure as in Personnel File Management - SOP 05 – Destruction of Leaver’s Electronic Records and Summary Records. 4.9 Confidentiality All information contained in the Personnel File is treated as confidential. However, the Trust has a statutory duty to supply legally required information to certain government agencies or departments such as the Inland Revenue or the DSS.



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Managers are requested to seek guidance from the Information Governance Team and Workforce Team before any information is released to outside agencies i.e. letting agencies or Banks or Building Societies. All confidentiality breaches, near-misses or breaches of this policy will be reported as an incident on the Trusts incident reporting systems. Following a full and proper investigation, any breaches of confidentiality identified will be treated as a disciplinary issue.

5.0 Procedures connected to this Policy

Personnel File Management - SOP 01 – Creation and Collection of Personnel Files

Personnel File Management - SOP 02 – Inter-Departmental Transfer of Personnel Files

Personnel File Management - SOP 03 – Audit and Transfer of Leaver’s Personnel Files

Personnel File Management - SOP 04 – Scanning and Destroying Leaver’s Personnel Files

Personnel File Management - SOP 05 – Destruction of Leaver’s Electronic Records and Summary Records

6.0 Links to Relevant Legislation Data Protection Act 1998 The Data Protection Act 1998 became law in March 2000. It sets standards that must be satisfied when obtaining, recording, holding, using or disposing of personal data. The law applies to data held on computers or any sort of storage system, including paper records. There are 8 enforceable principles of good practice. Data should be:

Fairly and lawfully processed

Processed for limited purposes

Adequate, relevant and not excessive

Accurate

Not kept longer than necessary

Processed in accordance with the data subject's rights

Secure

Not transferred to countries outside the European Economic Area (EEA), without adequate protection

General Data Protection Regulation 2016 First proposed in January 2012 by the European Commission and formally approved by the European Parliament in April 2016, the GDPR will supersede national laws such as the UK DPA, unifying data protection and easing the flow of personal data across the 28 EU member states. When the GDPR comes into force on 25 May 2018, all organisations that process the personally identifiable information of EU residents will be required to abide by a number of provisions or face significant penalties.

6.1 Links to Relevant National Standards



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Records Management Code of Practice for Health and Social Care 2016 The Records Management Code of Practice for Health and Social Care 2016 has been published by the Information Governance Alliance (IGA) for the Department of Health (DH). The Code is a guide to be used in relation to the practice of managing records. This Code is relevant to organisations who work within, or under contract to NHS organisations in England. This also includes public health functions in Local Authorities and Adult Social Care where there is joint care provided within the NHS. The Code is based on current legal requirements and professional best practice. It will help organisations to implement the recommendations of the Mid Staffordshire NHS Foundation Trust Public Inquiry relating to records management and transparency.

BS 10008 Evidential Weight and Legal Admissibility of Electronic Information BS 10008 is the British Standard that outlines best practice for the implementation and operation of electronic information management systems, including the storage and transfer of information. It is designed to help verify and authenticate all information to avoid the legal pitfalls of information storage. BS 10008 outlines best practice for transferring electronic information between systems and migrating paper records to digital files. It also gives guidelines for managing the availability and accessibility of any records that could be required as legal evidence.

6.2 Links to other Key Policies Recruitment and Selection Policy The purpose of this policy is to provide a framework for the recruitment, selection and appointment of staff to be conducted in a manner that is effective, systematic, comprehensive and fair, promoting equality of opportunity at all times, whilst being flexible and adaptable to meet the needs of the service. Information Governance Policy This policy sets out the framework and principles adopted by Black Country Partnership NHS Foundation Trust, to ensure that all personnel and sensitive information is dealt with legally, securely, efficiently and effectively, in order to deliver the best possible care to our patients. Leavers Policy The purpose of this Policy is to ensure a consistent and proactive approach to managing the process of ending employment contracts for staff leaving the Trust and ensuring compliance with current legislation. 6.3 References

ACAS (2009) Advisor Booklet: Personal data and record keeping:

http://www.acas.org.uk/media/pdf/c/a/Acas_Personal_data_record_keeping-

accessible-version-July-2011.pdf

Information Commissioner’s Office (2011) Data Protection: The Employment

Practices Code (Part 2: Employment Records): https://ico.org.uk/media/for-

organisations/documents/1064/the_employment_practices_code.pdf

Northumbria Healthcare NHS Foundation Trust (2013) Human Resources

Policies and Procedures: Employee Records Policy. Version 2

http://www.acas.org.uk/media/pdf/c/a/Acas_Personal_data_record_keeping-accessible-version-July-2011.pdf

http://www.acas.org.uk/media/pdf/c/a/Acas_Personal_data_record_keeping-accessible-version-July-2011.pdf

https://ico.org.uk/media/for-organisations/documents/1064/the_employment_practices_code.pdf

https://ico.org.uk/media/for-organisations/documents/1064/the_employment_practices_code.pdf



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7.0 Roles and Responsibilities for this Policy

Title Role Key Responsibilities

All Staff Adherence - Inform both their line manager and the Human Resources Department in writing of any changes in personal details

relevant to the Trust, for example: o Changes in name

o Changes of address and telephone number

o Change in the name(s) of next of kin/emergency contact details o Changes in bank details

o Professional Registration details o Declaration of Additional Employment - internal or external to the Trust

Recruitment Team Operational - Initial creation and destruction of Personnel Files lies with the Recruitment Team

Managers Implementation/

Custodians of Personnel Files

- Ensure that personnel Files for new starters are collected from the Recruitment and Selection Team within 5 working days

of notification of completion - Ensure the Personnel Files they hold are kept securely and the contents of the files are in accordance with the guidelines

set out in Personnel File Management - SOP 01 – Creation and Collection of Personnel Files - Ensure that files are reviewed at regular intervals ensuring that they are logically sequenced, accurate, reliable and

consistent

- Ensure Cover Sheets are reviewed and updated every 12 months in addition to normal notification procedures (this could be done at the yearly appraisal)

- Ensure employees are able to access their Personnel Files in accordance with Information Governance Guidelines: Information Sharing - SOP 03 – Subject Access requests

- Ensure that Personnel Files remain secure and traceable at all times if management have the need to transfer them within the Trust. See Personnel File Management - SOP 04 – Scanning and Destroying Leaver’s Personnel Files

- Ensure Personnel Files for leavers are kept by management for a period of 12 months; managers need to then Audit the

files and create a Summary Sheet. The Personnel Files are then sent to the HR Department in accordance with Personnel File Management - SOP 03 – Audit and Transfer of Leaver’s Personnel Files and Appendix 3

- Ensure they seek HR advice on the practical application of this policy

Workforce and

Development Team

Specialist Advice

and Support

- Provide advice in relation to the application of this policy, relevant employment law and best practice

Workforce Committee/

Information

Governance Steering Group

Responsible - Agree revisions to the Trust approach to the Personnel Files Management process

- Monitor the retention and destruction of the scanned in files

- Develop and agree action plans to address any issues or areas of concern identified in the Personnel Files Management process



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Title Role Key Responsibilities

Director of Operations Executive Lead Responsibility for this policy has been delegated by the Chief Executive to the Director of Operations who will: - Ensure that effective procedures, systems and guidance are implemented for the Personnel Files Management process

- Ensure the policy is implemented in accordance with the Trust Board’s strategic interests and concerns - Ensure that any serious concerns regarding the implementation of this policy are bought to the attention of the board

Trust Board Strategic - Strategic overview and final responsibility for setting the direction of the Personnel Files Management process

Chief Executive Accountable - Ensure that this policy is implemented within the Trust. Operational responsibility has been delegated

8.0 Training

What aspect(s)

of this policy will require staff

training?

Which staff groups require this

training?

Is this training covered in the Trust’s Mandatory and Risk

Management Training Needs Analysis document?

If no, how will the training be delivered?

Who will deliver the training?

How often will staff require

training

Who will ensure and monitor that staff have

this training?

There is no

specific requirement for

staff to receive training in

relation to this

policy

n/a n/a Further guidance on the

application of this policy and associated

procedures can be obtained from Human

Resources – Operational

HR

n/a n/a n/a

9.0 Equality Impact Assessment

Black Country Partnership NHS Foundation Trust is committed to ensuring that the way we provide services and the way we recruit and treat staff reflects individual needs, promotes equality and does not discriminate unfairly against any particular individual or group. The Equality Impact Assessment for this policy has been completed and is readily available on the Intranet. If you require this in a different format e.g. larger print, Braille, different languages or audio tape, please contact the Equality & Diversity Team on Ext. 8067 or email [email protected]

10.0 Data Protection and Freedom of Information

This statement reflects legal requirements incorporated within the Data Protection Act and Freedom of Information Act that apply to staff who work within the public sector. All staff have a responsibility to ensure that they do not disclose information about the Trust’s activities in respect of service users in its care to unauthorised individuals. This responsibility applies whether you are currently employed or after your employment ends and in certain aspects of your personal life e.g. use of social networking sites etc. The Trust seeks to ensure a high level of transparency in all its business activities but reserves the right not to disclose information where relevant legislation applies.



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11.0 Monitoring this Policy is Working in Practice

What key elements will be monitored?

(measurable policy objectives)

Where described in

policy?

How will they be monitored?

(method + sample size)

Who will undertake this

monitoring?

How Frequently?

Group/Committee that will receive and

review results

Group/Committee to ensure actions

are completed

Evidence this has

happened

How many Personnel Files are being scanned in and

kept on the system

Section 4.8/ Appendix 5

Personnel File Management - SOP 04 –

Scanning and Destroying Leaver’s Personnel Files

Senior HR Managers

Every 6 months to a

year

Workforce Committee

Operational HR Meeting

Minutes of meetings

The appropriate destruction

of Personnel Files

Section 4.8/

Appendix 5

Personnel File

Management - SOP 04 – Scanning and Destroying

Leaver’s Personnel Files

Senior HR

Managers

Every 6

months to a year

Workforce

Committee Operational HR

Meeting Minutes of

meetings

Appropriate scanning – mini

audits and overall audit (6

months to a year)

Section 4.8/

Appendix 5

Personnel File

Management - SOP 04 –

Scanning and Destroying Leaver’s Personnel Files

Senior HR

Managers

Every 6

months to a

year

Workforce

Committee Operational HR

Meeting Minutes of

meetings

Audit of current personal files. Auditing personal files

(annual plan of audit)

Section 4.3 5% of the current workforce (approx. 50) to

be audited at one time across all Groups

HR Advisors Every 12 months

Workforce Committee

Operational HR Meeting

Minutes of meetings



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Appendix 1

Personnel File Cover Sheet

To be reviewed and updated every 12 months in addition to normal notification

procedures (this could be done at the yearly appraisal)

Name of Employee

D.O.B

Payroll Number

Address

Personal Contact Number

Next of Kin/ Emergency Contact Details incl. name and contact number

Title of Post

Division

Team

Base Address

Name of Line Manager

Line Manager’s Contact Number

Declaration of Additional Employment - internal or external to the Trust (please list)

Employee Name (please print)……………………………………………………………… Employee Signature………………………………………………………………………… Date………………………………………………………………………………………….....



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Appendix 2

Confirmation of Receipt of Personnel Files/ Recruitment Data (Internal Transfer)

Personnel File For:

Name of Employee

Title of Post

Division

Team

Receiving Line Manager Name…………………………………………………………… Receiving Line Manager Signature.……………………………………………………… Recruitment Team/ Existing Line Manager Name………………………………….......… Recruitment Team/ Existing Line Manager Signature………………………………….. Date collected: ………………………………………………………………………………

This form is to be kept by the Recruitment Team to be placed on the electronic

record for the employee named above.


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Appendix 3

Personnel File Summary Sheet

(To be retained until the individual’s 70th birthday or until 6 years after cessation of

employment if aged over 70 years at the time)

Name of Employee

D.O.B

Payroll Number

NHS Pension Scheme (Yes/No)

Address at time of Termination

Personal Contact Number at time of Termination

Next of Kin/ Emergency Contact Details incl. name and contact number

Title of Post

Division

Team

Base Address

Date of Commencement

Date of Termination

Employment History i.e. list roles within the organisation between the dates of commencement and termination of contract.

Formal Processes on Termination

For guidance please refer to the Personnel File Content List (SOP 01) for compiling the summary. Please adhere to the minimum retention period for documentation when compiling the summary sheet and auditing the Personnel File. When auditing the Personnel File, do not include annual leave records, duty rosters, timesheets, study leave applications and training plans.



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Appendix 4

Record Sheet for Personnel Files Received in HR

Employee name Job title Base Termination

Date Date in HR

Manager signature Manager print name

HR rep signature HR rep print name



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Appendix 5

Personnel File Scanning Audit Checklist

Surname of Employee ………………………………………............................................

Scanned File Code …………………………………………………………………………..

Name of Auditor ………………………………………………………………………………

Action Completed

(Tick) Signature of

Auditor Name of Second

Auditor

Second Auditor

Signature

In pdf. or tif. Format

In colour e.g. controlled stationary

Scanned straight (everything captured)

(i) Blank pages scanned in

(ii) Blank pages removed **

Date of Audit ………………………………………………….............................................

**If blank pages have been removed, please sign to confirm that all information

has been captured in the scanned document e.g. notes on the back of letter etc.

A sample audit will be carried out every 6 months by a senior member of the

Workforce team. For this purpose the last two columns of the above table are to be

used.

- Following the initial audit, all completed Personnel File Scanning Audit Checklists

are to be filed and stored in alphabetical order according the Surname of the ex-

Employee.

The auditor needs to complete the date the scanned document was audited, their name and their job title in the ‘All Scanned Files Catalogue’ spreadsheet found in [R:\WORKFORCE & LEARNING\Operational Human Resources\Archive Leavers

Personal Files]



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Policy Details

* For more information on the consultation process, implementation plan, equality impact

assessment, or archiving arrangements, please contact Corporate Governance

Review and Amendment History

Version Date Details of Change

1.0 Nov 2016 New policy for BCPFT

Title of Policy Personnel File Management Policy

Unique Identifier for this policy BCPFT-HR-POL-34

State if policy is New or Revised New

Previous Policy Title where applicable N/A

Policy Category Clinical, HR, H&S, Infection Control etc.

HR

Executive Director whose portfolio this policy comes under

Director of Operations

Policy Lead/Author Job titles only

Human Resources Advisor

Committee/Group responsible for the approval of this policy

Workforce Committee

Month/year consultation process completed *

Month/year policy approved October 2016

Month/year policy ratified and issued November 2016

Next review date November 2019

Implementation Plan completed * Yes

Equality Impact Assessment completed * Yes

Previous version(s) archived * N/A

Disclosure status ‘B’ can be disclosed to patients and the public

personnel file management - bcpft.nhs.uk

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