Human Resources – Provision of Personnel Files and Records

Who do you keep information about?

Information and records are maintained and held on employees (existing and former) and staff including agency, contractors and work placement candidates and volunteers.

Why do you keep information about me?

Records and information are held to enable the Council to manage its human resources associated with the performance of the contract of employment and agreed services for work. Data is also used to comply with legislation requirements and statutory returns.

We also use special categories of personal data for meaningful equal opportunities monitoring and reporting, to asses an individual’s capacity to undertake the role applied for and for any appropriate adjustments during the recruitment process, for example, whether adjustments need to be made during an interview or whether there are any medical conditions and / or health and sickness records that are relevant to the contract of employment.

The legal conditions we are relying upon to process your personal data are set out in Article 6 [external link] and Article 9 [external link] of the General Data Protection Regulations (GDPR) [external link]. They are ‘Processing is necessary for the performance of a contract with the data subject or to take steps to enter into a contract’, ‘processing is necessary for the purposes of preventive or occupational medicine, for the assessment of the working capacity of the employee…’ and ‘processing is necessary for carrying out obligations under employment, social security or social protection law, or a collective agreement’. As such, we will not ask for your ‘consent’ to process your personal data.

Who can see my information?

Access is restricted to relevant authorised managers, officers and third party organisations who have been authorised to process personal information.

All the Councils third-party service providers and other entities in the group are required to take appropriate security measures to protect your personal information in line with our policies. We do not allow our third-party service providers to use your personal data for their own purposes. We only permit them to process your personal data for specified purposes and in accordance with the Councils instructions.

How do you store the information you keep about me?

Paper case files, electronic case files, HR databases, spreadsheets and word documents and emails. Data is also stored in government electronic web-based portals including but not limited to, Apprenticeship digital account and similar portals that we are required to store, report and process personal and sensitive personal information.

How long do you keep information about me?

Personal information held and processed on HR case files and personal files is stored in line with HR retention policy. A summary table detailing our retention periods is set out below:

Retention, function and actions table
RMS ref no.	Function description	Retention action	Examples of records	DBC retention action
6.1	Personnel administration. Summary management systems that allow the monitoring & management of employees in summary form. The summary information that this record class attempts to capture is: Name DOC Date of Appointment Work history details Position/designation Titles &dates held	Permanent. Offer to Archivist for review. Transfer to place of deposit after administrative use is concluded	Employment register – permanent staff Employment register – temporary staff Employment register – casual staff Registers of personnel files Personal History cards Superannuation history card Salary master record	Hard copy information to be destroyed with personal file in line with RMSG. HR legacy Systems records to be kept indefinitely Business Case approved (a)
6.2	The process of administering employees to ensure that entitlements & obligations are in accordance with agreed employment requirements. Records containing superannuation information.	Destroy 6 years from date of last pension payment	Medical clearance Letter of appointment Letter of acceptance Details of assigned duties Probation reports Medical examinations Personal Particulars Educational qualifications Declarations of pecuniary interests Secrecy undertakings Employment contracts	Hard copy information to be destroyed with personal file. HR legacy Systems records to be kept indefinitely. Business Case approved (a)
6.3	Records relating to staff working with children	Termination + 35 years, further to guidance from the home office, this information should be kept indefinitely		Hard copy information to be destroyed with personal file, in line with RMSG / Home Office recommendations. HR legacy Systems records to be kept indefinitely. Business Case approved (a)
6.4	All other records	Termination + 6 years		Hard copy information to be destroyed with personal file, in line with RMSG. HR legacy Systems records to be kept indefinitely. Business Case approved (a)
6.5	Identification & development of significant directions concerning industrial matters	Permanent. Offer to Archivist for review. Transfer to place of deposit after administrative use is concluded	Generic agreements and awards Negotiations Disputes Claims lodged	As per RMSG
6.6	Liaison processes of minor and routine industrial matters	Destroy 2 years after administrative use is concluded	Daily industrial relations management	To be destroyed with personal file or with managers as per guidance to destroy. Business Case approved (a)
6.7	Processing of disciplinary and grievances investigations where proved	Oral warning – 6 months Written warning – 1 year Final warning – 18 months The above warnings to be removed & destroyed after the relevant time has ‘spent’. Warnings involving children – placed on personal file permanently	Disciplinary, grievance and other similar case work	As per RMSG – However casework before 1^st August 2014 will be destroyed with the relevant personal file. Oral warnings / Management Guidance to be kept for 1 year AM Cases to be kept indefinitely Business Case approved (b)
6.8	Processing of disciplinary and grievances investigations where unfounded	Destroy immediately after the grievance has been found to have been unfounded; or after appeal	Disciplinary	As per RMSG – However those with information not stored on PSe will be removed after leaving. Casework prior to January 2015 will be destroyed with the relevant personal file. Business Case approved (b)
6.9	The process of investigation and reporting on specific cases to ensure that entitlements and obligations are in accordance with agreed Equal Employment Opportunities guidelines policies	Destroy 5 years after action completed
6.10	The process of checking and ensuring the health of staff	Destroy 75 years after date of birth	Health Questionnaire Medical clearance Adjustment to workplace Restrictions Recommendations	As per RMSG
6.11	The selection of an individual for an established position	Destroy 1 year after recruitment has been finalised (for letter of appointment for successful candidate use employment conditions)	Advertisements Applications Referee reports Interview reports Unsuccessful applicants	Information will be destroyed with personal file Business Case approved (a)
6.12	Performance	Destroy 5 years after action completed	Probation reports Performance plans	As with RMSG for 2013/14 PDRs and after. PDRs before this will be destroyed with the personal file. Business Case approved (c)
6.13	Process of monitoring staff leave and attendance	Destroy 2 years after action completed	Sick leave Jury service Study leave Special and personal leave Attendance books Flexitime sheets Leave applications Clock on/off cards Annual leave	To be destroyed with personal file. HR legacy Systems records to be kept indefinitely. Business Case approved (d)
6.14	Financial reward	Destroy 7 years after action completed		Hard copy information to be destroyed with personal file, in line with RMSG. HR legacy Systems records to be kept indefinitely. Business Case approved (a)
6.15	Other strategy	Destroy 3 years after action completed
6.16	The process of termination of staff through voluntary redundancy, dismissal, and retirement	Destroy 6 years after termination If a pension is paid, then records should be destroyed 6 years after last payment of pension	Resignation Redundancy (Section 188) Dismissal Death Retirement	Hard copy information to be destroyed with personal file, in line with RMSG. HR legacy Systems records to be kept indefinitely. Business Case approved (a)
6.17	Routine staff training processes, not occupational health and safety or children related	Destroy 2 years after action completed	Course individual staff assessment	Hard copy information to be destroyed with personal file. HR legacy Systems records to be kept indefinitely. Business Case approved
6.18	Training (concerning children)	Destroy 35 years after training completed, or last entry	Course individual staff assessment Training register	Hard copy information to be destroyed with personal file. HR legacy Systems records to be kept indefinitely. Business Case approved (e)
6.19	Training (occupational health and safety training)	Destroy 50 years after training completed Individual course assessment records should be destroyed once the training has been renewed every 3 years	OH&S training register	Hard copy information to be destroyed with personal file. HR legacy Systems records to be kept indefinitely. Business Case approved (e)
6.20	Training (materials)	Destroy 1 year after course is superseded		Not applicable training materials used at DBC are not specific to individuals.
6.21	Training (proof of completion)	Destroy 7 years after action completed	Certificates Awards Exam results	Hard copy information to be destroyed with personal file. HR legacy Systems records to be kept indefinitely. Business Case approved (e)
6.22	Summary management systems that allow the monitoring & management of statutory officers in summary form	Permanent. Offer to Archivist. Transfer to place of deposit after administrative use is concluded	Magistrates register	Legal not HR
6.23	The process of administering employees to ensure that entitlements & obligations are in accordance with agreed employment requirements
6.24	The appointment of an individual for a statutory position	Permanent. Offer to Archivist. Transfer to place of deposit after administrative use is concluded	Appointment files Shrievalty Magistrates Lord Lieutenant Tax commissioners
6.25	The process of selection of an individual for a statutory position	Destroy 2 years after date of appointment	Vacancies & application records Interview notes Prospective staff records Registers of applicants Unsuccessful applications records	Information will be destroyed with personal file. Xentrall control unsuccessful application details. Business Case approved (a)

How did the Council get my personal data?

Data is received by health professionals, former employers, managers, other government agencies including Disclosure and Barring Service, Police, Probation Service, Members / Councillors, pensions providers, professional bodies and agencies relating to professional employment status for example, Social Work England.

In cases where your personal data was obtained from a source other than yourself or your representative, we will inform you of the origin of the information within 1 month, unless that information is being used to contact you, in which case, that information should be provided to you at the latest, upon first communication with you. However, it is not necessary to provide that information in cases where you already possess the information, where recording or disclosure is expressly laid down in law or where provision of the information proves impossible or would involve disproportionate effort.

What sort of information do you keep?

We may use the following information about you to make sure that we provide the right service, advice or support.

In particular we will use;

Personal data

Name
Identification number
Location data
One or more factors specific to the physical identity of a natural person
One or more factors specific to the physiological identity of a natural person
One or more factors specific to the genetic identity of a person
One or more factors specific to the mental identity of a person
One or more factors specific to the economic identity of a person
One or more factors specific to the cultural identity of a person
One or more factors specific to the social identity of a person

Special categories of personal data

Racial or ethnic origin
Political Opinions
Religious or philosophical beliefs
Trade union membership
Data concerning health
Data concerning a natural person’s sex life or sexual orientation