Corporate Records Retention & Disposal Schedule & Guidance

Transcription

1 Corporate & Disposal Schedule & Guidance

2 INFORMATION READER BOX Directorate Medical Operations Patients and Information Nursing Policy Commissioning Development Human Resources Publications Gateway Reference: Document Purpose Document Name Author Publication Date Target Audience Guidance Schedule Jan Gavin ( Manager), Carol Mitchell (Senior IG Manager) 24 February 2014 Regional Directors, Area Directors, NHS Trust Board Chairs, All Employees Additional Circulation List #VALUE! Designated timeframes for records retention to comply with law. Cross Reference 0 Superseded Docs (if applicable) Action Required 0 0 Timing / Deadlines (if applicable) Contact Details for further information By 00 January 1900 Jan Gavin Manager, Corporate Information Governance Policy Directorate 5th Floor central Quarry House Quarry Hill Leeds LS2 7UE 0 jan.gavin@nhs.net Document Status 0 This is a controlled document. Whilst this document may be printed, the electronic version posted on the intranet is the controlled copy. Any printed copies of this document are not controlled. As a controlled document, this document should not be saved onto local or network drives but should always be accessed from the intranet

3 1. Introduction 1.1 The Corporate and Disposal Schedule identifies the main classifications of records and information held by and provides retention rules for each. The records and information are represented in terms of functions and activities. 1.2 This schedule is designed to be flexible enough to permit expansion and is independent of format or media of the records and information. It should be used by all departments within to manage the information they create and receive and to inform all of who is responsible for the management of what records and information. It also details how long records and information should be retained for and how to manage their storage and disposal. 1.3 This schedule is in line with The Department of Health (DH) Practice on and guidelines for Public and follows their Model Schedules, as adopted by other NHS organisations. It is also partly based on the recommendations contained in Government guidelines, and incorporates of Documents requirements set out in delivery contracts held by 1.4 Use the Corporate & Disposal Quick Reference Guide at Appendix 1 as a guide to how long records should be kept. See examples in Appendix 2 and the full Corporate & Disposal Schedule at Appendix and disposal schedules and the Freedom of Information Act 2.1 and disposal schedules are a very important part of accounting for the legitimate absence of information under the Freedom of Information (FOI) Act. Demonstrating to requesters or the Information Commissioner that disposal decisions have been made and implemented following due process, will enable to defend legitimate records management activity from undue criticism under FOI. 2.2 Successful compliance with FOI legislation requires the highest standards of records management; records created in response to FOI enquiries serve as evidence of s compliance with its legal obligations. These records could be subject to an FOI enquiry, like any other information holds, and may come under external scrutiny. Such records may also form part of an evidential record in the event of a complaint to the Information Commissioner or an appeal to the First Tier Information Tribunal. 3. Definition 3.1 A retention, storage and disposal schedule is a timetable for the planned review of all records to determine their ultimate fate, which is either: Permanent retention for records having long term value for the organisation or nationally, or Secure destruction of records which the organisation is not obliged to keep for legislative or business reasons

4 3.2 This schedule lists record types with brief descriptions and their minimum required retention period. Note that retention periods apply to both paper and electronic records. At the end of their retention period, a sample of records from a series should be reviewed before destruction to confirm that they are no longer required. 4. Record Storage 4.1 At present there is no external data storage organisation for paper records. To keep costs to a minimum and in accordance with the Government s paperless NHS target, which will endeavour to meet, staff are encouraged to save in electronic format wherever applicable. 5. Record Disposal 5.1 When records identified for disposal are destroyed, a register of these records needs to be kept. This can be noted on the relevant Archive Corporate Inventory, held locally within Directorates/Areas, a copy of which should be sent to the Team on a monthly/quarterly basis to be included in the Register. See contact details below. 5.2 In the case of electronic records please note that a record is not deleted if it is merely sent to the recycle bin. It must also be deleted from this folder to be considered fully deleted. This is important in terms of the Freedom of Information Act 2000, where the Information Commissioner has produced and Destruction of Requested Information Guidance specifically stating when a record can be regarded as being fully deleted and, therefore, not disclosable under the Act. 6. Record Destruction 6.1 The destruction of records is an irreversible act and must be clearly documented. All records identified for disposal will be destroyed under and in accordance with s Corporate and Disposal Schedule and Guidance Destroying. 6.2 A decision for destruction of records must be made by a senior manager who has knowledge of the relevant business area to which the records relate, in conjunction with the Manager. Destruction of records must not take place without recorded agreement from the Manager and completion of a Certificate of Destruction. See the Destroying Guidance for more information and a copy of the certificate. 7. Retaining records or information beyond the retention period 7.1 In the majority of cases records will be disposed of when they reach their retention period. However, when assessing whether records or information is required to be retained for a longer period than that identified within the Corporate & Disposal Schedule, consideration should be given to the holding of information for longer than necessary which incurs extra storage costs and leaves the organisation vulnerable to risks of theft, misuse, disclosure, legal discovery, and non-compliance fines. 7.2 Examples of when information may be required to be held for longer periods are where:

5 The information is subject to a request for information under access to information legislation, such as a Subject Access Request under the Data Protection Act. is subject to on-going legal action. The information is subject to an investigation e.g. Winterbourne View. There is greater public interest in an issue requiring permanent preservation e.g. records pertaining to the establishment of. Changes are made to the regulatory or legislative framework. 8. for permanent preservation 8.1 for permanent preservation, e.g. investigatory decisions, inquiry reports, significant records concerning government issues should be passed to the Manager for appraisal and possible transfer to Archives for continuing retention and storage or National Archives approved Places of Deposit. 9. Associated documentation 9.1 Further Guidance and information can be found in the Policy and associated guidance found on s intranet. 10. Legislation and statutory codes used by TNA in recommending retention periods 10.1 Legislation: Public Act 1958 Local Government Act 1972 Local Government Act 1974 Limitation Act 1980 Local Government (Access to Information) Act 1985 Access to Health Act 1990 Local Government (Wales) Act 1994 Data Protection Act 1998 Freedom of Information Act 2000 Health and Social Care Act Statutory codes: Link to the Lord Chancellor s Code of Practice on (made under Section 46 of the Freedom of Information Act 2000) Abbreviations used in this schedule: = Department of Health Health) Schedule. Contacts For further information on and the Corporate & Disposal Schedule please contact: Jan Gavin jan.gavin@nhs.net or Mahwish Noor mahwish.noor@nhs.net

6 Category Audit and Risk CCTV Contract System (CMS) Commissioning Appendix 1 Corporate and Disposal Schedule Quick Reference Guide Period 3, 6, 12 years, when superseded 31days 7 years 6 years Notes Complaints 8 years from date of appeal/decision Contracts Emergency Procedures Evaluation External Contacts External Marketing Forms 1, 2, 6, 16 years 3 years 5 years 7 years 3 months, 1, 5,7 years 1, 2, 6 years 2,3 years Health and Safety 1,3,10 years & permanent unless indefinite legal requirement HR 6 months, 1, 18 months, 2, 5, Images Internal Communications 6, 10, 50 years from last entry,, Later of 6 years or 5 years 3 years Manuals 3,6,10 years or superseded Meetings 1, 2, 5, 20 years if required Policies 5 years after superseded Projects Strategies Teams Training 2, 5, 6, 10 years 3,6,7,10 years 7, 20 years 3 years 5 years

7 How to use the Corporate & Disposal Schedule 1. Use the 'Category', 'Type, and '' columns to identify the records you wish to retain, whether paper or electronic. 2. Use the ' ' column to establish the minimum retention period. Calculate using the retention period. E.g. records created in May 2011 with a retention period of 6 years should be reviewed on 31st March At the end of the appropriate minimum retention period, the records should be reviewed by a senior manager, with knowledge of the subject area, to establish whether the records are required for further retention (e.g. where they are subject of a legal challenge or an information request), need to be archived, or destroyed under. 4. retained for a further retention period should be reviewed again at the end of the further retention period by a senior manager with knowledge of the subject area to establish whether the records are required for further retention (e.g. where they are subject of a legal challenge or an information request), need to be archived, or destroyed under. 5. deemed for archival preservation should be transferred to an NHS England's place of deposit. The Team will assist in this process. 6. not selected for archival preservation and which have no further business or legal requirement or historical value should be destroyed under confidential conditions, as appropriate. See Guidance for further information or contact Jan Gavin, Manager jan.gavin@nhs.net or Mahwish Noor, Administrator mahwish.moor@nhs.net

8 Appendix 2 - Identifying the correct retention period for your records Use the Corporate & Disposal Schedule to identify your records using the Category, Type and columns. View the column to see how long the relevant records should be kept. Two examples are shown below: Example 1 Delivery Plans Example 2 Minutes of meetings

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10 Appendix 3 Corporate and Disposal Schedule Notes 1) This schedule is based upon Archives guidance, the Department of Health Practice (Part 2) and aligned with categories. 2) For details of and Disposal periods for Medical see Department of Health Practice (Part2) Annex D1 Health Schedule. * Category Type Archives Audit and Risk Undertakings Terms of reference 3 years Audit and Risk Undertakings Programmes/plans/strategies one year after the last date of the plan Audit and Risk Undertakings Correspondence 3 years Audit and Risk Record keeping Minutes of meetings and related papers, including those of the Audit Committee 3 years Audit and Risk Record keeping Working papers 3 years Audit and Risk Other - Internal audit guides when superseded Audit and Risk Other - Manuals and guides relating to departmental procedures when superseded Audit and Risk Other - Local auditing standards when superseded Audit and Risk Disposal - Annual reports to Accounting Office 3 years Audit and Risk - Audit reports (including interim), where these have included the examination of long term contracts Audit and Risk - Report papers used in the course of a fraud investigation 6 years 6 years after legal proceedings have completed Audit and Risk - Other audit reports (including interim) 3 years

11 Category Type Archives Audit and Risk - Quality Assurance (e.g. Healthcare Commission, Audit Commission, King's Fund Organisational Audit, Investors in People) 12 years Department of Health Health) Schedule CCTV CCTV CCTV images 31 days Information Commissioner's Office (ICO) Code of Conduct Commissioning Complaint Other Legal Documents & Accreditation Evidence Commissioning decisions (including appeal and decision documentation) Enquiries, Surveys [insert link to G:/ Complaints] Complaints Complaints - Complaints in summary form e.g. registers and indexes 6 years from date appeal/decision Department of Health Health) Schedule 3 years Erase permanently 8 years

12 Category Type Archives Complaints Complaints - of detailed responses (Correspondence, investigation and outcomes) on actions, policy or procedures. 8 years (files closed annually and kept for 6 yrs following closure) Contractual Amendments to contracts - Changes to requirements 6 years from end of contract Contractual Amendments to contracts - Forms of variation 6 years from end of contract Contractual Amendments to contracts - Extensions to contracts 6 years from end of contract Contractual Policy matters Policy on contracts, normally contained in a separate registered file series Contractual Initial proposal - Initial proposals - end user requirement First and second review Contractual Initial proposal - List of approved suppliers An active document - regularly updated Contractual Initial proposal - Statements of Interest One year from date of last paper Contractual Initial proposal - Draft specification Destroy when specification has been agreed Contractual Initial proposal - Agreed specification 6 years from end of contract Department of Health Health) Schedule 6 years

13 Category Type Archives Contractual Initial proposal - Evaluation criteria 6 years from end of contract Contractual Initial proposal - Invitation to tender 6 years from end of contract Contractual Project - Contractors and Agreements (a) contracts under seal (b) other contracts (c) title deeds (d) correspondence Contractual Project - Contractors (a) approved nominations (b) rejected nominations (c) approved list (d) removals/suspensions Contractual Project - Tender Boards (a) records set of papers (b) other copies (c) working papers (d) minutes of meetings 12 years 12 years 12 years Contractual Contractual Contractual Contractual Contractual Contractual Contractual Contract operation and monitoring Contract operation and monitoring Contract operation and monitoring Contract operation and monitoring Contract operation and monitoring Contract operation and monitoring Contract operation and monitoring - from contractors 2 years from end of contract - Schedule of works 2 years from end of contract - Bills of quantity (building contracts) 16 years - Surveys and inspections buildings (a) equipment & supplies (b) buildings (a) 2 years from date of last paper (b) second review - of complaints 6 years from end of contract - Disputes over payment 6 years from end of contract - Final accounts 6 years from end of contract

14 Category Type Archives Contractual Contract operation and monitoring - Minutes and papers of meetings Second Review Contractual Tendering - Unsuccessful tender document 1 year after last date of last paper Contractual Tendering - Successful tender document 6 years from award of contract Contractual Tendering - Background information supplied by department Contractual Tendering - Interview panel report and note of proceedings 1 year after date of last paper 1 year from end of contract Contractual Tendering - Commissioning letter 1 year from end of contract Contractual Tendering - Signed contract 6 years from end of contract Emergency Procedures Forms - Emergency Response Plan 3 years Emergency Procedures Procedures - Emergency Preparedness and Response - Offices Emergency Procedures Health & Safety - Emergency lighting test & maintenance records Executive Meeting Minutes Other Legal Documents & Accreditation Evidence Executive Support Manager 3 years 3 years Annual Executive Minutes 3 years External Contacts Special Events - Visitors book 3 years

15 Category Type Archives External Marketing Internal - Correspondence with branches of the media 7 years External Marketing Internal - on media / public relations 7 years External Marketing Media Relations - Press releases 7 years Department of Health Health) Schedule External Marketing Media Relations - Press cuttings 1 year Department of Health Health) External Marketing Media Relations - Operational notes (e.g. notices to press about forthcoming events or conferences) Schedule 3 months External Marketing Media Relations - Press Conference /Previews 3 years

16 Category Type Archives External Marketing Media Relations - Press reports digests 7 years External Marketing Ledger General & subsidiary ledgers Ledger General & subsidiary ledgers Ledger General & subsidiary ledgers Public consultations e.g. future of the provision of services General & subsidiary ledgers produced for the purposes of preparing certified financial statements or published information 5 years Department of Health Health) Schedule 6 years Cash books/sheets 6years Other ledgers (contracts, costs, purchases, etc.) Ledger Journals Journals prime records for the raising of charges 2 years 6 years Ledger Journals Journals routine adjustments 2 years Ledger Related records Audit sheets ledger posting 2 years Ledger Trial balances and reconciliations Year-end balances, reconciliations and variations to support ledger balances and published accounts 6 years

17 Category Type Archives Stores Purchase order records Purchase order books/records 6 years Stores Purchase order records Railway/courier consignment books/records 2 years Stores Purchase order records Travel warrants 2 years Stores Requisition records Requisition records 2 years Stores Stores records Goods inwards books/records 6 years Stores Stores records Delivery dockets 2 years Stores Stores records Stock/stores control cards/sheets/records 2 years Stores Stores records Stock/stores issues registers/records 2 years Stores Stores records Stocktaking sheets/records, including inventories, stock reconciliations, stocktake reports 2 years Bank Account Cash book/sheets Expenditure sheets 6 years Bank Account Cash book/sheets Cash Books/sheets 6 years Archives (TNA)/Limitation Act 1980 Bank Account Costing records Cost cards 2 years Bank Account Costing records Costing records, dissection sheets, etc. 2 years

18 Category Type Archives Bank Account Creditors Creditors history records lists/reports 6 years Bank Account Petty cash records Petty cash records/books/sheets 2 years Bank Account Petty cash records Petty cash receipts 2 years Bank Account Petty cash records Postal cash book/sheets; postage/courier account/cash records; register of postage expenditure; postage paid record; postage books sheets 2 years Bank Account Petty cash records Summary cash books 2 years Bank Account Statements Statement of accounts outstanding; outstanding orders Bank Account Statements Statement of accounts rendered/payable Bank Account Subsidiary records Copies of extracts and expenditure dissections 2 years 2 years 1 year Bank Account Subsidiary records Credit note books 2 years Bank Account Subsidiary records Credit notes 2 years Bank Account Subsidiary records Debit note books 2 years Bank Account Vouchers Vouchers claims for payment, purchase orders, requisition for goods and services, accounts payable invoices, etc. 6 years

19 Category Type Archives Bank Account Vouchers Wages/salaries vouchers 6 years Bank Account Vouchers Copies of vouchers 1 year Bank Account Vouchers Voucher registers 2 years Bank Account Vouchers Voucher registration cards and payment cards 6 years Bank Account Vouchers Voucher summaries 1 year Bank Account Vouchers Advice/schedule of vouchers despatched; delivery advice 1 year Other Accountable Financial Other Accountable Financial Other Accountable Financial Other Accountable Financial Other Accountable Financial Asset registers Assets/equipment registers/records 6 years (after asset or last one in register is disposed of) Depreciation registers Financial statements Financial statements relating to the calculations of annual depreciation Statement/summaries prepared for inclusion in quarterly/annual reports Periodic financial statements prepared for management on a regular basis 6 years (after asset or last one in register is disposed of) 6 years Destroy when cumulated into Quarterly/Annual reports Financial statements Ad hoc statements 1 year

20 Category Type Archives Receipts and Revenue Receipts and Revenue Receipts and Revenue Receipts and Revenue Books/butts Receipt books/butts; office copies of receipts cashiers, cash register, fines and costs, sale of publications, general receipt books/butts/records 6years Books/butts Postal remittance books/records 6years Books/butts Receipt books/records for imposts (stamp duty, VAT receipt books, etc.) 6years Books/butts Irregular remittance books 6years Receipts and Revenue Receipts and Revenue Receipts and Revenue Receipts and Revenue Receipts and Revenue Receipts and Revenue Receipts and Revenue Receipts and Revenue Cash registers Copies of forms 6years Cash registers Reconciliation sheets 6years Cash registers Audit rolls 6years Cash registers Summaries/analysis records 6years Cash registers Reading books/sheets 6years Cash registers Handover books 6years Debits and refunds Debits and refunds Copies of invoices and copies of source documents relating to unrecoverable revenue, debts and overpayments (register of debts written off, register of refunds, etc.) 2 years 6 years

21 Category Type Archives Receipts and Revenue Debtors records and invoices Periodical revenue dissections 1 year Receipts and Revenue Receipts and Revenue Receipts and Revenue Receipts and Revenue Debtors records and invoices Debtors records and invoices Revenue records Copies of invoices/debit notes rendered on debtors (invoices paid/unpaid, registers of invoices, debtors ledgers, etc.) Source documents/records used for raising of invoices/debit notes Revenue cash books/sheets/records; receipt cash books/sheets 6 years 6 years 12 years Revenue records Daily revenue dissections 1 year Salaries and Related Salary records Employee pay histories. N.B the last 3 years records must be kept for leavers, in either the personnel or finance records system, for the calculation of pension entitlement 6 years Salaries and Related Salary records Salary rates register 6 years Salaries and Related Salary records Salary ledger card/records 6 years Salaries and Related Salary records Copies of salaries/wages payroll sheets 2 years

22 Category Type Archives Forms Data inputting forms (where the data/information has been input onto a computer system Forms Health & Safety - Accident Books (BI 510) and completed Accident Record forms Forms Health & Safety - Copies of Reporting of Injuries, Diseases and Dangerous Occurrences Register (RIDDOR) report forms Forms Health & Safety - Completed Ladders and Stepladders inspection forms Health and Safety Health & Safety - LOLER thorough examination reports for lifts 2 years Department of Health Health) Schedule 10 years Department of Health Health) Schedule 10 years Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (Reg. 7); Social Security (Claims and Payments) Regulations (Reg. 25) 3 years permanent

23 Category Type Archives Health and Safety Health & Safety - Model Risk Assessment (this covers assessments required under several codes of regulations. Each office must have a copy detailing their local arrangements) 10 years Health and Safety Health & Safety - Fire certificate permanent Health and Safety Health & Safety - Fire alarm and detection system test & maintenance records Health and Safety Health & Safety - Inspection and testing of electrical equipment 3 years 3 years Health and Safety Health & Safety - Fixed electrical installation inspections 10 years Health and Safety Health & Safety - Gas equipment and boiler maintenance records Health and Safety Health & Safety - Personal protective equipment issue records 3 years 3 years Health and Safety Health & Safety - Water Sanitation 10 years Health and Safety Health & Safety - Water coolers Sanitation 10 years

24 Category Type Archives Health and Safety Exposure monitoring records 5 years from the date the record was made HR Health & Safety - Completed Accident/Incident Investigation Report forms Department of Health Health) Schedule. Control of Substances Hazardous to Health Regulations 2002 (reg. 10(5)) HR Security - Security personnel files 5 year after leaving (if at normal retirement age) or 10 years after leaving (if before normal retirement age). HR Employment and career - Gifts and Hospitality 10 years HR Employment and career - General Notification of Interests 10 years HR Employment and career - Job Evaluation Paperwork

25 Category Type Archives HR Employment and career - Written particulars of employment HR Employment and career - Contracts of employment, including the Certificate of Qualification or its equivalent and including the Senior Civil Service. HR Employment and career - Changes to terms and conditions, including change of hours letters HR Employment and career - Job history consolidated record of whole career and location details (paper or electronic) HR Employment and career - Variation of hours calculation formula for individual HR Employment and career - Promotion, temporary promotion and/or substitution documentation HR Employment and career - Working Time Directive opt-out form HR Employment and career - Record of previous service dates HR Employment and career - Previous service supporting papers HR Employment and career - Qualifications/references 6 years HR Employment and career - Transfer documents (OGD E18) Destroy after summary noted as appropriate HR Employment and career - Annual/Assessment reports or summary of performance marks where an open reporting system operates 5 years

26 Category Type Archives HR Employment and career - Annual/Assessment reports for the last 5 years of service or summary of performance marks where an open reporting system operates 5 years HR Employment and career - Training history 6 years HR Employment and career - Travel and subsistence claims and authorisation 6 years HR Employment and career - Job applications 1 year HR Employment and career - Recruitment, appointment and/or promotion board selection papers 1 year HR Employment and career - Annual leave records 2 years HR Employment and career - Bank/building society references 6 months HR Employment and career Nominal Rolls Nominal Rolls 5 years

27 Category Type Archives HR Employment and career Study leave 5 years Department of Health Health) Schedule HR Health - Health declaration HR Health - Health referrals, including medical reports from doctors and consultants, correspondence with the appointed medical adviser to the PCSPS (currently BMI Health Services and, previous to that body, the Occupational Health and Safety Agency Ltd, the Civil Service Occupational Health Service or the Medical Advisory Service (MAS). HR Health - Papers relating to any injury on duty HR Health - Medical reports of those exposed to hazardous substances to health HR Health - Lead (Control of Lead at Work Regulations 1980) 30 years from date of last entry

28 Category Type Archives HR Health - Asbestos (Control of Asbestos at Work Regulations 1996) HR Health - Compressed Air (Work in Compressed Air Regulations 1996) HR Health - Radiation (Ionising Radiation Regulations 1985) HR Health - Medical/Self certificates unrelated to industrial injury HR Health & Safety - First Aider training 10 years HR Health & Safety - Completed DSE workstation selfassessment checklists HR Health & Safety - Completed Staff H&S Induction Checklists HR Health & Safety - Completed Risk Assessments for new or Expectant Mothers HR Health & Safety - Completed H&S Audits for Out stationed staff HR Pay and Pension - Bank details current 6 years after employment has ended HR Pay and Pension - Death Benefit Nomination and Revocation Forms HR Pay and Pension - Death certificates - return original to provider HR Pay and Pension - Decree absolute - return original to provider Practice Part 2Practice)

29 Category Type Archives HR Pay and Pension - Marriage certificate and documentation relating to civil registration HR Pay and Pension - Housing advance 6 years after repayment HR Pay and Pension - Unpaid leave periods (maternity leave, etc) ) HR Pay and Pension - Statutory maternity pay documents 6 years HR Pay and Pension - Other maternity pay documentation 18 months HR Pay and Pension - Overpayment documentation 6 years after repayment or write off HR Pay and Pension - Personal payroll history, including record of pay, performance pay, overtime pay, allowances, pay enhancements, other taxable allowances, payment for untaken leave, reduced pay, no pay, maternity leave. HR Pay and Pension - Pensions estimates and wards

30 Category Type Archives HR Pay and Pension - of: Full name and date of birth. National Insurance Number. Pensionable pay at leaving. Reckonable service for pension purposes (and actual service where this is different, together with reasons for the difference). Reason for leaving and new employer s name (where known). Amount and destination of any transfer value paid. Amount of any refund of NHS Pension Scheme contributions. Amount and date of any Contributions Equivalent Premium paid. All other papers relating to pensionability not listed above (e.g. papers about pensionability of other employment (including war service); extension of service papers; papers about widower s, widower s, children s and other dependant s pension; correspondence with the Cabinet Office, other departments and pension administrators, or the officer and his/her representatives (MP s, union or others) about pension matters. HR Pay and Pension - Resignation, termination and/or retirement letters HR Pay and Pension - Added years

31 Category Type Archives HR Pay and Pension - Additional voluntary Contributions (ABC) HR Pay and Pension - Payroll input forms 6 years HR Pay and Pension - Bonus nominations 6 years HR Pay and Pension - Complete sick absence record showing dates and causes of sick leave HR Pay and Pension - Statutory Sick Pay (SSP) forms for last 4-6 years HR Pay and Pension - Papers relating to disciplinary action which has resulted in any changes to terms and conditions of service, salary, performance pay or allowances. HR Pay and Pension - Authorisation for deputising, substitution allowance and/or overtime//travel time claim HR Pay and Pension - Advances for: Season tickets, Car parking, Bicycles, Christmas/holiday, Housing 6 years 6 years after repayment HR Personal - Welfare Papers Destroy after minimum of 6 years after last action ICT General guidance on ICT - Record of location of relevant files 6 years ICT General guidance on ICT - Documents and case files 6 years ICT General guidance on ICT - General records for management of ICT dept 6 years

32 Category Type Archives ICT General guidance on ICT - Guidance for managing records management with ICT General guidance on ICT - relating to developing and implementing ICT systems and policies 6 years 6 years ICT General guidance on ICT - Training material 6 years ICT General guidance on ICT - Security of records 6 years ICT General guidance on ICT - Lists, certificates, books, databases of record destroyed 6 years ICT General guidance on ICT - Disaster recovery plans 6 years ICT General guidance on ICT Documentation relating to computer programmes written in-house Lifetime of software Department of Health Health) Schedule

33 Category Type Archives ICT General guidance on ICT Software licences Lifetime of software ICT Other Legal Documents & Accreditation Evidence ICT Manager IT Equipment Specifications (IT ) Department of Health Health) Schedule 2 years Images Internal - Image library records 5 years Manuals Patient information leaflets 6 years after the leaflet has been superseded Department of Health Health) Schedule Manuals Brochures and guides 3 years

34 Category Type Archives Manuals Policy & procedures 10 years after the life of the system (or superseded) to which the policies or procedures refer Department of Health Health) Schedule Meetings Boards and Committees - Terms of reference 20 years * Meetings Boards and Committees - Membership lists and appointments (May contain personal information) Meetings Boards and Committees - Meeting agendas and papers (record set held by team where secretariat resides) Meetings Boards and Committees - Board, Board Advisory Groups and Sub-committees Meetings Boards and Committees - Correspondence: Chair, Secretary, Members 20 years * 20 years * 20 years * 20 years * (N.B. policy documents may have archive value) Meetings Undertakings - Terms of reference 5 years Meetings Undertakings - Correspondence 5 years Meetings Undertakings - Minutes of meetings and related papers, including those of the Audit Committee 5 years Meetings Undertakings - Working papers 5 years

35 Category Type Archives Meetings Undertakings - Minutes of meetings and related papers, including those of the Audit Committee 5 years Meetings Undertakings Other meeting agendas, papers and minutes Meetings Undertakings Office diaries 1 year after the end of the calendar year to which they refer Office Evacuation Procedures Office Goods and Service Contracts Office Monitoring and Measurement Office Monitoring Spreadsheet Other Legal Documents & Accreditation Evidence Other Legal Documents & Accreditation Evidence Other Legal Documents & Accreditation Evidence Other Legal Documents & Accreditation Evidence 2 years Department of Health Health) Schedule Department of Health Health) Schedule At each office location 2 years Facilities Manager (FM) Leeds HQ FM file Duration of the contract FM/Office Manager Files 3 years Office Monitoring spreadsheet 5 years

36 Category Type Archives Policies Policies Quality and performance management Core Policy (Outward facing policy) - Quality and Performance 5 years - All policy records on outward facing policy 5 years Policies Health & Safety - Fire evacuation drills 3 years Projects Project - Project/programme proposals (a) approved (b) rejected or deferred a) 10 years after completion of project b) 5 years after completion of project Projects Project - Project Initiation Documents and supporting documentation (inc. business cases) 10 years after completion of project Projects Project - Feasibility studies (a) reports (b) draft reports c) working papers (d) correspondence Projects Project - Plans and specifications (statements of requirements, operational requirements, technical plans, resource plans etc.) (a) provisional/proposed (b) final (c) variations a) 10 years after issue b) 2 years after date of last paper c) 2 years after date of last paper d) 5 years after date of last paper a) 5 years after completion of projects b) 10 years after completion of project c) 10 years after completion of project

37 Category Type Archives Projects Project - Maps, Plans, Drawings and Photographs (a) master set (b) workings copies (c) other copies Projects Project - Financial documents including investment appraisals a) 10 years after completion of project b) at the end of the project c) 5 years after date of last paper 6 years after completion of project Projects Project - Equipment & supplies 6 years after completion of project Projects Project - Project Boards, Assessments, meetings (a) minutes (b) correspondence Projects Project - (stage assessments, quality reviews, highlight reports, project reports, GANTT charts, etc.) (a) interim (b) final (c) evaluation (d) drafts a) 5 years after date of last paper b) 5 years after date of last paper a) 5 years after issue, b) keep for second review, c) keep for second review d) at the end of the project Projects Project - Product descriptions 5 years after completion of project Projects Project - Project operating manuals 5 years after completion of project Projects Project - Miscellaneous records such as: copies of documentation from other projects; information on products, equipment, machinery etc.; training courses; correspondence 2 years after completion of project Statutory Returns - to Central Government 7 years Corporate Planning & Reporting - Annual 7 years

38 Category Type Archives Corporate Planning & Reporting Corporate Planning & Reporting Corporate Planning & Reporting - Policies & Procedures 7 years - Policy Implementation and Development Health & Safety - Completed Office H&S Inspection 7 years - Performance 7 years 3 years Health & Safety - Completed Office H&S Audit 10 years and Information and Information and Information and Information and Information and Information and Information created by a public body fulfilling its obligations under the Freedom of Information Act Classification schemes 7 years - Indexes 7 years - Authorised lists of file headings 7 years - Disposal schedules 7 years - Disposal certificates 7 years - relating to transfer of information to off-site storage - relating to areas of on-site storage areas - Policy and procedures for handling FOI requests and other documents regarding the practical implementation of FOI 7 years 7 years 7 years

39 Category Type Archives created by a public body fulfilling its obligations under the Freedom of Information Act 2000 created by a public body fulfilling its obligations under the Freedom of Information Act , Categorisation and Disposal Policy documents - Case records which lead to the development of precedents and best practice 7 years 7 years created by a public body fulfilling its obligations under the Freedom of Information Act 2000 created by a public body fulfilling its obligations under the Freedom of Information Act 2000 created by a public body fulfilling its obligations under the Freedom of Information Act Individual Transaction FOI requests and responses, including consideration of exemptions and subsequent appeals - Access Status (a) statistical data about the number of requests answered and their outcomes, details of decisions (b) details of access decisions taken about records especially any redacted versions of documents released - Other records where information subject to an FOI request is scheduled for destruction. 3 years after full disclosure. 10 years if information is redacted or the information requested is not disclosed. 3 years 3 years

40 Category Type Archives Subject Access Requests (DPA and AHR) records of requests Requests for access to information other than Freedom of Information or Subject Access Requests. 3 year after last action 6 years after last action Department of Health Health) Schedule) Department of Health Health) Schedule Parliamentary Questions/MP enquires 10 Years Department of Health Health) Schedule Special Events - Correspondence and papers 7 years Archives

41 Category Type Archives Special Events - Report 7 years Archives (Major) 20 years Department of Health Health) Schedule Strategies Strategies Strategies Corporate Planning & Reporting Corporate Planning & Reporting Corporate Planning & Reporting Litigation dossiers (complaints including accident/incident reports). /documents relating to any form of litigation 10 years Where a legal action has commenced, keep as advised by legal representatives. Department of Health Health) Schedule - Corporate Plans 7 years - Corporate Strategies 7 years - Business & Delivery Plans 7 years Strategies Undertakings - Programmes/plans/strategies 7 years

42 Category Type Archives Strategies Undertakings - Working papers 7 years Strategies Sustainability Appraisal Training certificates of qualification Training course contents Web site Sustainability policy Other Legal Documents & Accreditation Evidence Other Legal Documents & Accreditation Evidence Other Legal Documents & Accreditation Evidence Other Legal Documents & Accreditation Evidence History of organisation or predecessors, its organisation and procedures (e.g. establishment order) 20 years Department of Health Health) Schedule Project File Project lifetime Personnel File Employment Duration Archives G: drive 3 years Internet Current issue