Records Retention and Disposal Schedule. Human Resources Management

Transcription

1 Records Retention and Disposal Schedule Human Resources Management

2 Version control Version Author Policy Approved By Approval Date Publication Date Review Due V 1.0 Information Governance Unit Philip Jones, Head of Information Governance June 2012 June 2012 June 2013 Information Rights Staffordshire County Council asserts its right to be identified as the author of this Retention Policy and Schedule, and a statement to this effect must be clearly displayed when reproducing all or any part this document. Disclaimer This Policy and Schedule reflect the record keeping requirements of Staffordshire County Council. Staffordshire County Council accepts no liability if this Retention Schedule is used by individuals or organisations outside of the Authority.

3 Understanding Retention and Disposal Schedules Business Classification: Describes the business functions, activities and processes that records support Scope Notes: Further define the business function, activity or process that records support Retention Trigger / Closure Procedure: Defines the event that triggers the start of the retention period and/or procedure Retention Period: Specifies the length of time records must be kept following the retention trigger event Disposal Action: Specifies disposal action following end of retention period Authority: Identifies the legal, regulatory or business reasons that records need to be created, received and kept (even if requirements are not explicitly stated)

4 Contents Business Classification Page Corporate Governance 1 Human Resources Management 1 Employee Information Collection 1 Employee Information Maintenance 1 Employee Relations Management 1 Industrial Relations Management 1 Workforce Consultation Administration 1 Occupational Health Services Provision 1 Advice Provision 1 Counselling 1 Health Assessment 2 Health Monitoring 2 Hazardous Substance Exposure Monitoring 2 Performance Monitoring & Review 2 Personnel Administration 2 Attendance Management 2 Contractual Leave Administration 2 Non-statutory Unpaid Leave Administration 3 Statutory Leave Administration 3 Sickness Absence Administration 3 Time Recording 3 Award Scheme Administration 3 Contract Management 3 Disciplinary Procedures Administration 3 Grievance Procedures Administration 4

5 Contents Business Classification Page Statutory Vetting & Checks administration 4 Vetting & Checking 4 CRB check evidence recording 4 Probation Management 4 Recruitment 4 Application Processing (Successful candidates) 5 Application Processing (Unsuccessful candidates) 5 Interview Management 5 Termination & Retirement Management 5 Termination Management 5 Training & Development 5 Induction Training 5 Training Course Provision 5 Accredited Course Provision 6 Attainment Assessment 6 Candidate Registration 6 Course Accreditation 6 Moderation Administration 6 Result Appeals Administration 6 Course Provision (Non-accredited) 6 Course Delivery 6 Course Development 6 Delegate Booking Administration 6 Delegate Information Pack Production 7 Training Portfolio Development 7

6 Contents Business Classification Page Training Events Management 7 Delegate Booking Administration 7 Delegate Information Pack Production 7 Event Delivery 7 Event Evaluation 7 Programme Development 7 Training record maintenance 7 Hazardous substance and environment training record maintenance 7 Training record maintenance 7

7 Business Classification Scope Notes Retention Trigger (event triggering start of retention period) / Closure Procedure Corporate Governance Human Resources Management Retention Period Disposal Action (following end of retention period) Authority Corporate governance, management, business administration & support functions that enable SCC to fulfil its public service functions Including: traded services, supported third party & partner organisation services Management of human resources Including: Personnel recruitment & development; administration of employee relations & performance; workforce planning & development; & managing compliance with related regulation Employee Information Collection Maintenance of individual employee information Employee Information Maintenance Capture & maintenance of personal employee information Close records when superseded Retain records 0 years after Business Need Employee Relations Management Management of industrial relations Including incustrial relations & workforce consultation Industrial Relations Management Management of the relationship between SCC & trade unions & employee representative organisations termination of agreement or date of routine liaison meeting Retain records for 10 years after Limitation Act 1980 CIPD recommendation Workforce Consultation Administration Administraion of workforce consultation Including: Staff surveys & consultations Excluding: Communications management completion of consultation Retain records for 6 years after Occupational Health Services Provision Provision of occupational health services Including: Employee health assessment & monitoring & proviision of advice, support, & counselling to individual employees Excluding: Communications management Advice Provision Provision of specific health & wellbeing advice to individuals Excluding: Published information & events (Communications management) Retain records for 6 years after Limitation Act 1980 DoH Management: NHS Code of practice 2005 Counselling Provision of counselling to employees Retain records for 6 years after Limitation Act 1980 DoH Management: NHS Code of practice 2005 Page 1

8 Business Classification Scope Notes Retention Trigger (event triggering start of retention period) / Closure Procedure Health Assessment Assessment of individual employee health Including: Pre-employment assessment, employee self-referred assessment & manager referred assessment Retention Period Retain records for 6 years after Disposal Action (following end of retention period) Authority Access to Medical Reports Act 1998 Health Monitoring Health monitoring of employees working with, or exposed to substances hazardous to health Hazardous Substance Exposure Monitoring Performance Monitoring & Review Health monitoring of employees working with, or exposed to substances hazardous to health Monitoring of individual staff performance Retain records for 40 years after Limitation Act 1980, Control of Substances Hazardous to Health Regulations 2002, Control of Lead at Work Regulations 1998, Control of Asbestos at Work Regulations 1987, Ionising Radiations Regulations 1999, DoH Management: NHS Code of practice 2005 Performance Monitoring & Review Review of employee performance Including: Target setting & review of employee performance against targets and qualification assessment for performance related pay Close records on completion of review process Retain records for 6 years after Personnel Administration Administration personnel Including: Attendance & leave, contract management, sickness, & employee grievances Attendance Management Recording hours worked, flexitime management & sickness absence Contractual Leave Administration Administration of individual's contractural leave entitlement & leave taking end of financial year Retain records 1 year after Page 2

9 Business Classification Scope Notes Retention Trigger (event triggering start of retention period) / Closure Procedure Non-statutory Unpaid Leave Administration Administration of non-statutory unpaid leave taking Retention Period Disposal Action (following end of retention period) Authority Limitation Act 1980 Statutory Leave Administration Administration of individual's statutory leave entitlement & leave taking SI 1999/3312 The Maternity & Paternity Leave etc Regulations Sickness Absence Administration Managing & processing sickness absence Retain records for 6 years after S I 1982/894 Statutory Sick Pay (General) Regulations; HM Revenue & Customs E14 & Limitation Act, 1980 Time Recording Recording of time worked, flexible hours & lieu time Retention Period starts at Date Created Retain records 2 years after Date Created SI 1998 / 1833 Work Time Regulations Award Scheme Administration Administration of staff award schemes Award Scheme Administration Administration of staff award schemes issue of award Retain records 2 years after Date Created Contract Management Management of employee contracts including changes to terms and condtiions, job role, pay. Contract Management Disciplinary Procedures Administration Management of employee contracts including changes to terms and condtiions, job role, pay, regrading & promotion Administration of formal disciplinary process SI 1999/584 National Minimum Wage Regulations; Equal Pay Act, 1970 & Limitation Act 1980 Page 3

10 Business Classification Scope Notes Retention Trigger (event triggering start of retention period) / Closure Procedure Disciplinary Procedures Administration Administration of formal disciplinary process end of disciplinary process Retention Period Retain records for 6 years after Disposal Action (following end of retention period) Authority Limitation Act 1980 Grievance Procedures Administration Administration of formal employee grievance process includuding tribunal case defence Grievance Procedures Administration Administration of formal employee grievance process includuding tribunal case defence of case Limitation Act 1980 Statutory Vetting & Checks administration Records documenting CRB checks, permission to work in the UK, and any correspondence re: immigration Vetting & Checking Managing permission to work in the UK & processing communications & checks with UK Border & Immigration Agency Retain records 2 years after Border & Immigration Agency recommendation CRB check evidence recording Processing and checking data from formal CRB documents prior to or during employment. Excludes offical CRB documents. Limitation Act 1980 Probation Management Planning & management of employee probation and induction excluding training provision Probation Management Planning & management of employee probation and induction excluding training provision Limitation Act 1980 Recruitment Administration of recruitment process Including: Funding, advertising, shortlisting & administering the recruitment of staff Page 4

11 Business Classification Scope Notes Retention Trigger (event triggering start of retention period) / Closure Procedure Application Processing (Successful candidates) Processing of applications and assessment of candidates including shortlisting and assessment at interview, including provisional job offers Retention Period Disposal Action (following end of retention period) Authority Limitation Act 1980 Application Processing (Unsuccessful candidates) Processing of applications and assessment of candidates including shortlisting and assessment at completion of appointment interview. Retain records 1 year after Interview Management Development of criteria for shortlisting & interview completion of appointment Retain records 1 year after Equality Act 2010 Termination & Retirement Management Management of leaving processes including resignation, retirement, redundancy or termination of contract. Excluding pensions and redundancy payments administration Termination Management Training & Development Management of leaving processes including resignation, retirement, redundancy or termination of contract. Excluding pensions and redundancy payments administration Training & developing staff, induction, developing & providing training, & maintaining training records SI 1995 / 3103 The Retirement benefit Schemes (Information Powers) Regulations Limitation Act 1980 Induction Training The activities involved in developing and implementing induction programmes for new SCC employees Activities include: developing general and job-specific induction programmes and administering induction programmes to ensure that all new employees complete the required programme Induction Training Training Course Provision The activities involved in developing and implementing induction programmes for new SCC employees Activities include: developing general and job-specific induction programmes and administering induction programmes to ensure that all new employees complete the required programme * Responsible department(s) to advise of specific legislation, regulations & code(s) of practice, or business need to create & retain records relevant to business activity Provision of training courses & events by or on behalf of SCC. Excluding booking of external training courses & attendance at meetings & events for research purposes Page 5

12 Business Classification Scope Notes Retention Trigger (event triggering start of retention period) / Closure Procedure Accredited Course Provision Retention Period Delivery and Development of accredited training courses, delegate booking and production of course information Disposal Action (following end of retention period) Authority Attainment Assessment The results/assessment of courses are sent to a accrediting body and then the candidates are informed of their results Close records after date of course / examination completion Candidate Registration Registering candidates on to courses Close records after date of course / examination completion guided by examining body requirements Course Accreditation Application and maintenance of accreditation status for courses Close records when superseded guided by accrediting body requirements Moderation Administration The evidence of a candidates achievement is sent externally for moderation with the course's accrediting body Close records after completion of course / examination guided by funding body requirements Result Appeals Administration Appealing the courses results Close records after completion of course / examination guided by funding body requirements Course Provision (Non-accredited) Delivery and Development of non-accredited training courses, delegate booking and production of course information Course Delivery The delivery of SCC workforce training courses Close records on course completion Course Development The development of SCC workforce training courses Close records when superseded Delegate Booking Administration Booking delegates on to training courses Close after training course Delegate Information Pack Production The production of course delegate information packs Close following one-off event or superseded Page 6

13 Business Classification Scope Notes Retention Trigger (event triggering start of retention period) / Closure Procedure Training Portfolio Development The development of SCC workforce training courses portfolio Retention Period Disposal Action (following end of retention period) Authority Training Portfolio Development The development of SCC workforce training courses portfolio Close records when superseded Training Events Management Booking, delivering and evaluating training events, and keeping records of training provided to individuals Delegate Booking Administration Booking delegates on to SCC workforce events Close after training course Delegate Information Pack Production The production of course delegate information packs Close following one-off event or superseded Event Delivery The delivery of SCC events Close at end of event Event Evaluation The evaluation of SCC events Close at end of event Programme Development The development of the SCC events programme Close when superseded Training record maintenance Maintenance of individual employee training records excluding health & safety training relating to working with hazardous substances / environments Hazardous substance and environment training record maintenance Maintenance of individual employee Health & Safety training records relating to working with hazardous substabces or in hazardous environments Close records when employee reaches age 100. COPY LANGUAGE FROM CHILDRENS Retain records 0 years after SI 1996/1513; Health & Safety (Consultation with Employees) Regulations Limitation Act 1980 Training record maintenance Maintenance of individual employee training records excluding health & safety training relating to working with hazardous substances / environments Limitation Act 1980 Page 7

14 Index Business Classification Page Accredited Course Provision 6 Advice Provision 1 Application Processing (Successful candidates) 5 Application Processing (Unsuccessful candidates) 5 Attainment Assessment 6 Attendance Management 2 Award Scheme Administration 3 Candidate Registration 6 Contract Management 3 Contractual Leave Administration 2 Corporate Governance 1 Counselling 1 Course Accreditation 6 Course Delivery 6 Course Development 6 Course Provision (Non-accredited) 6 CRB check evidence recording 4 Delegate Booking Administration 6 Delegate Booking Administration 7 Delegate Information Pack Production 7 Delegate Information Pack Production 7 Disciplinary Procedures Administration 3 Employee Information Collection 1 Employee Information Maintenance 1 Employee Relations Management 1

15 Index Business Classification Page Event Delivery 7 Event Evaluation 7 Grievance Procedures Administration 4 Hazardous substance and environment training record maintenance 7 Hazardous Substance Exposure Monitoring 2 Health Assessment 2 Health Monitoring 2 Human Resources Management 1 Induction Training 5 Industrial Relations Management 1 Interview Management 5 Moderation Administration 6 Non-statutory Unpaid Leave Administration 3 Occupational Health Services Provision 1 Performance Monitoring & Review 2 Personnel Administration 2 Probation Management 4 Programme Development 7 Recruitment 4 Result Appeals Administration 6 Sickness Absence Administration 3 Statutory Leave Administration 3 Statutory Vetting & Checks administration 4 Termination & Retirement Management 5 Termination Management 5

16 Index Business Classification Page Time Recording 3 Training & Development 5 Training Course Provision 5 Training Events Management 7 Training Portfolio Development 7 Training record maintenance 7 Training record maintenance 7 Vetting & Checking 4 Workforce Consultation Administration 1