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0203 - Personnel Records

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Contents

Introduction

  1. Personnel records are maintained for all Government employees. Personal information obtained by the Government and held in an employee's personnel record is held in confidence.

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Application

  1. These guidelines and procedures apply to all employees.

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Definitions

  1. Personnel File is the official record containing personal information on each employee, which is held by the Department of Human Resources.
  2. Client Services is the Client Services Division of the Department of Human Resources.

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Guidelines

  1. An employee may view his or her own personnel file by making an appointment with Client Services. An employee is not entitled to view the references contained in sealed envelopes on the personnel file.
  2. A supervisor may view disciplinary or performance-related documents on the personnel file of any employee who reports to the supervisor. A supervisor is not entitled to view confidential information such as references or insurance beneficiaries.
  3. An employee must be made aware of any disciplinary documents placed on the personnel file. The supervisor providing the employee with a copy of the document at the time of filing can do this. Documents will be clearly marked "C to Personnel File" or include a statement in the body of the letter indicating that a copy of the letter will be placed on the employee's personnel file.
  4. For an employee in the Union of Northern Workers bargaining unit, any document or written statement related to disciplinary action and placed on the personnel file of the employee shall be destroyed after 18 months has elapsed if no further disciplinary action has been recorded.
  5. For an employee in the Excluded or Senior Management Group, any document or written statement related to disciplinary action and placed on the personnel file of the employee shall be destroyed at the discretion of the Deputy Head of the employing Department, Board or Agency.
  6. For a member of the NWT Teachers' Association, an employee's personnel file shall be cleared of all adverse comments, reports or correspondence if the employee has been continuously employed for four years from the date of the last adverse comment, report or correspondence.
  7. An employee may not place any document or information directly on his or her personnel file. Information of a disciplinary or complimentary nature must be placed on file by the employee's supervisor or with the supervisor's consent. An employee is allowed to place responses to appraisals or disciplinary action on the personnel file. This must be done through the employee's supervisor so that the supervisor is aware of the information on the personnel file.
  8. A former employee may access his or her personnel file upon request. If a former employee is involved in legal action against the government, the request should come through the employee's legal counsel. The government's legal counsel will respond and provide appropriate information.
  9. An employee may have an agent view documents on his or her personnel file and make copies of such documents. The agent shall be required to produce written authorization from the employee in each specific case. Authorizations are valid for 60 days.

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Procedures

  1. Where a Department, Board or Agency receives a request in any form from a third party for information about an employee, the responsible Client Services staff will take the following action:
    • Check the identity of the third party; and
    • Require the third party to produce evidence of the employee's consent. (This is not needed if law, e.g. a search warrant, requires disclosure).
  2. Client Services' staff ensures that personal information about an employee is not supplied to other employees in the organization. Information may only be provided if it is required in the performance of the official duties assigned to other employees. Client Services staff must ensure:
    • The information will be used for the purpose for which it was provided; or
    • The information will not otherwise be used to make administrative decisions, which relate directly to the employee without the employee's knowledge and/or consent.

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Authorities and References

Main Collective Agreement with the UNW
Article 35, Employee Performance Reviews and Employee Files

Collective Agreement with the NWTTA
Article 22, Performance Review and Employee Files

Excluded Employees' Handbook
Performance Evaluation

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