Introduction
Categories of personnel records
Security and data ownership of personnel information
Personal files and index systems
Personal computers and mainframe personnel systems
Data Protection Act
Access to personal files
Arrangements for access to personal files
Files held at County Hall and Area Education Offices
Files held in schools
Documents held on personal files
References
Confidential reports
Medical reports
Legal advice
Disciplinary documents
Exception
Access to computerised information
Access to casework files
Personnel records, personnel files and access to information
Introduction
1.1 The purpose of this code of practice is to give Head Teachers and Governing Bodies advice on the main factors to be considered in establishing and maintaining personnel record systems. Furthermore it seeks to provide guidance on the action required to give individual employees access to personal files and data.
Categories of personnel records
2.1 All personal details should be kept in a secure environment with limited access. Personnel records are likely to take the following forms:
- Personal file (school based) - to include job description, application form and contract of employment. Medical clearance, disciplinary letters and copy employment references.
- Personal file (County Hall) similar to school based record plus details of countywide service and DFEE service statement.
- index cards and absence records.
- micro, mini, personal computers and word processors with school input arrangements.
- mainframe records including the personnel information system and payroll system.
- Investigations, recruitment and selection notes and casework files.
Security and data ownership of personnel information
3.1 It should be noted that the Head Teacher and staff responsible for maintaining personal files have an obligation to work in a professional and ethical manner in respect of all employee records and data.
Personal files and index systems
3.2 All files should be kept in a locked cabinet with access limited to authorised personnel.
Personal computers and mainframe personnel systems
3.3 The Head Teacher and Governing Body responsibilities are defined by the Data Protection Act 1984. Training and advice on registration and principles of data ownership are available from:
Philip Barradell
Schools Data Protection Co-ordinator 0115 9818009
3.4 Advice on the use of employee data held on computerised personnel information systems from:
Hilary Darnbrough
Senior Personnel Officer 0115 977 3458
3.5 Advice on data protection and data owner responsibilities from:
Peter Carrington
Data Protection Officer 0115 977 3499
Data Protection Act
3.6 The Data Protection Act attempts to protect individuals against the misuse or abuse of information held about them when it is processed electronically. The Act gives individuals the right to be told what details the Authority and, by implication the school holds about them as individuals, to challenge the accuracy of the details and to seek compensation against misuse or abuse.
3.7 The Law states that any person or organisation keeping information about individuals on a computer (a Data User) must register the fact in advance and look after the information carefully.
3.8 Investigations associated with discipline, grievance, harassment, recruitment appeals and casework files
3.9 Whenever case files or working files are initiated then all documents should be kept in strict confidence. Records should be retained for the purposes of appeals or subsequent investigations.
Access to personal files
4.1 All County Council employees have right of access to their personal files and personal data in whatever form they take. This policy is seen as encouraging openness between employer and employee, and ensured that any information held about an employee is accurate.
Arrangements for access to personal files
4.2 The procedures which employees should follow when they wish to have access to their files and casework files are outlined below.
Files held at County Hall and Area Education Offices
4.3 Personal files for both teachers and school support staff are held at County Hall.
4.4 Staff wishing to examine their file should submit a request in writing to a representative of their Trade Union, who in turn will notify the Authority of the request. The Authority should normally be able to provide access to personal files within 25 days of receiving the request, assuming that requests are kept to a reasonable number. The file may then be examined in the presence of a Senior Officer and a representative of the Trade Union.
Files held in schools
4.5 Schools hold files on all members of staff employed within the school.
4.6 An employee wishing to examine a school file should normally give the Head Teacher a period of 10 working days notice when making a request. The request should be made via a representative of one of the recognised Trade Unions, who in turn will contact the Head Teacher.
Documents held on personal files
4.7 There are certain documents to which an employee may be denied access and the following provides guidance with regard to the main issues:
NB Where certain documents are held on personal files to which an employee is denied access, a note will be placed on the file recording what information has been removed from the file.
References
4.8 Outgoing references will be open to inspection by employees on request.
4.9 Incoming references, from outside the County Council, should be requested on the understanding that they will be open to inspection by the appointed person on request unless the referees indicate that they are being given on a confidential basis. If the employee is changing jobs within the County Council, the references from the originating departments will be available for inspection.
Confidential reports
4.10 Reports already supplied under confidential cover by Officers of the Authority, LEAs and other referees, will not be available to the employee. A note will be placed on the file recording that the information exists but has been removed prior to inspection.
Medical reports
4.11 The 1988 Access to Medical Records Act gives individuals the right to check the accuracy of medical records prepared by a Medical Practitioner who is, or has been, responsible for the clinical care of the individual. The following rights must be observed:
(i) The individual has rights to seek a copy of the medical report provided to Nottinghamshire County Council's Occupational Health Physician. The medical report must be obtained from the Medical Practitioner who is obliged to keep a copy for at least six months after the date it was supplied.
(ii) Where Nottinghamshire's Occupational Health Physician provides medical advice about an employee then the employee will be advised of their rights to see the report by the Occupational Health Physician.
(iii) Any medical information disclosed to the employee by management will only be with the consent of the doctor concerned.
Legal advice
4.12 The Clerk of the County Council, in his capacity as Solicitor, is sometimes requested to provide legal advice to the Education Department. Such advice would not be available for discussion in legal proceedings and it would not therefore be available for viewing by the employee.
Disciplinary documents
4.13 All reference to matters of discipline shall be open to the employee.
Exception
4.14 If, exceptionally, management feel that good reasons exist for not disclosing a document which ordinarily should be open for inspection, the relevant Trade Union Official shall be informed.
4.15 Further information regarding access to personal files can be obtained from:
Hazel Grainger
Senior Personnel Officer 0115 977 3366
Access to computerised information
5.1 Any individual whose personal data is held on a computer (a Data Subject) is entitled to:
- see a copy of the information;
- demand that incorrect data be changed.
5.2 All employees of the County Council therefore are entitled to see a copy of the personal data held about them and should an individual wish to see this information, they should make a Subject Access Request to the relevant Data Owner. In consultation with the Unions, the County Council has decided to assist employees who wish to make a subject Access Request by:
- waiving the normal fee;
- providing special request forms;
- giving all reasonable help in making the request.
5.3 Head Teachers and Governing Bodies are advised to adopt a similar practice for school based systems.
5.4 Failure to comply with the Act renders a Data User liable to prosecution. In the case of an organisation like the County Council, an employee as well as the organisation may be liable to prosecution.
Access to casework files
6.1 Notes and minutes connected to casework should normally be open to inspection by the employee once personnel procedures have been completed. In any circumstance where disciplinary action is to be taken against an employee then copies of the statement of case and signed statements should be circulated to the employee 10 days before the date of the hearing. For further guidance in these cases please refer to Section 7.
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