Data Retention & Disposal Schedule

Transcription

1 Data Retention & Disposal Schedule This document is aimed at: Employees of the Office of the Children s Commissioner for England Contract staff working at the Office of the Children s Commissioner for England Freelance workers working for the Office of the Children s Commissioner for England No. Date Description Author Last Data Retention & Disposal Schedule reviewed September 2009 August/Sept Draft Data Retention & Disposal Schedule LF/RP 2013 Sept 2013 Leadership team forward to DfE for peer LF review Aug 2014 PPM Reviewed. No change except OCC logo MC Forward to DFE for peer review Nov 2014 LF revised to reflect DfE s review of schedule LF \\Mffilevs01\children commission\communications Team\Website and social media\web content\new website 2014\Corporate\Returned documents for corporate section\governance\data Retention and Disposal Schedule April 2015.docx

2 Contents 1. What is a Retention and Disposal Schedule? 2. What types of records are covered? 3. Schedules 3.1 Correspondence 3.2 Complaints 3.3 Safeguarding (Note: based on NSPCC guidance) 3.4 Project Records 3.5 Accounts 3.6 Expenditure Records 3.7 Internal Audit Records 3.8 Personnel Records 3.9 Health & Safety Records 3.10 Contractual Records 3.11 Data Collection: Projects and Inquiries 3.12 Consultation Responses 3.13 Press and Public Relations 3.14 Information Management records 3.15 Building Records 2

3 1. What is the Retention and Disposal Schedule? The retention and disposal schedule sets out the length of time records should be kept before being destroyed. The schedule takes into account the Office of the Children s Commissioner s business requirements, as well as any legal requirements. The schedule helps us to retain control of corporate information and record resources. The purpose of a retention and disposal schedule is to: Make sure records are kept for as long as necessary, and no longer Identify records of long-term or historical value Provide standards and consistency across the Office of the Children s Commissioner Promote efficient management, storage and control of records Encourage removal of paper records from office space and frees up computer space The benefits of a retention and disposal schedule are to: Save space Save staff time Prompt action Provide measurable results Document the records the Office of the Children s Commissioner needs for administrative, legal, commercial and financial reasons What types of records are covered? Schedules cover areas such as accounting, projects, tenders, and contracts etc. They deal with types of records such as: Ephemeral items of temporary interest and value Disposable destroy at a pre-determined date after creation Review retain for a set period after which a decision will be taken about further retention and disposal Permanent for indefinite retention e.g. historical reasons The periods contained in each schedule are decided on the basis of the following values: Legal records needed to answer possible future legal proceedings, or because of legal requirements such as the Data Protection Act Statutory records created according to a legal statute and needing to be retained for a set period Administrative records needed for operational, day-to-day reasons 3

4 Schedules 3.1. Correspondence Background Correspondence may cover a variety of written communications received by the Office of the Children s Commissioner and because of the varying policy topics in correspondence and their differing nature; the guidance below is only a suggested framework to employ. In deciding on a retention schedule for correspondence: Makes sure that correspondence is kept for as long as necessary and no longer, in line with Data Protection Act requirements on personal information Ensures the retention of the minimum volume of information consistent with effective and efficient operations Promotes efficient management, storage and control of records in line with the Public Records Act Saves space, both physically and electronically Saves staff time Documents the time responses will be kept before destruction Please note that correspondence which is not asking for information but is advisory (e.g. personal views or opinions) should normally be retained and disposed of after 2 from the date a final reply was sent. Communications which have a mixture of FOI and non FOI content should be retained for the longest period. Deciding on Retention Periods OCC has decided to use the following FOI categories to decide how long to retain correspondence for: Table of Retention Periods Type of Record Suggested Retention Length Individual Case Records Case file records detailing the FOI request and the consideration of possible exemptions. Where all information sought is made available to the public - 2 from date a final reply was sent 4

5 Where request has been transferred to another public body 1 year from transfer Where information sought is not made available to the public either in part or in full 10 from date a final reply was sent or until information is made available, if earlier Records of Complaints and Appeals Case File Records detailing the FOI request, the complaint and carrying out of the internal review. Where record is made available to the public following an internal review or Information Commissioner appeal - 2 from date of resolution Where record is not made available to the public following either an internal review or Information Commissioner appeal 10 from date of resolution or until record is opened There should be a full audit trail retained for each case for the appropriate period. The audit trail should comprise of a list of all documentation considered and reviewed in relation to disclosure. It should also contain copies and /or details of all relevant requested information and the decisions taken on each document, to ensure that in the event of any subsequent complaint or appeal the decisions can be reviewed. There will be cases where this retention period may have to be extended, either in whole for all the responses, or in part for individual responses, for instance:- where the policy is governed by legislation or regulations that require certain information to be kept for specified periods where health or safety issues, e.g. exposure to asbestos, are brought to light where child abuse or other ill-treatments are mentioned in any other circumstances where it is felt that a longer period of retention is needed and justifiable If in doubt, you should always contact the Departmental Records Officer (David Ryan) for advice, who will liaise with the appropriate Legal Adviser if necessary. Storing Correspondence for the Retention Period 5

6 s and scanned versions of correspondence logged in WorkPro currently held for the above periods as applicable Hard copies of correspondence or attachments can be stored in registered files: For further information please go to Records Management Managing Paper Records (Draft). Remember that nothing should be kept forever and a date for destruction must be assigned. For consistency, hard copy responses and electronic responses concerned with the same consultation must be destroyed at the same time. Please note that outside the WorkPro correspondence system there should be a full audit trail (held in an appropriate filing system) retained for each case where non-disclosure was considered. The audit trail should comprise of a list of all documentation considered and reviewed in relation to disclosure. It should also contain copies and /or details of all relevant requested information and the decisions taken on each document, to ensure that in the event of any subsequent complaint or appeal the decisions can be reviewed. 6

7 3.2. Complaints Introduction This guidance is aimed at staff who handles complaints about OCC and its work. It reflects the current state of the law and best practice but does not represent legal advice. OCC believes that the proper handling of complaints is essential and complaints handling has to be built into its corporate and strategic plans, and covered in annual reports. The Freedom of Information Act 2000 includes a duty on all public authorities to publish their complaints procedures. A complaint may be defined as "any expression of dissatisfaction that needs a response". It may be about service delivery or policy or maladministration. Scope and Nature of the Records The scope of complaints records may embrace three areas: internal complaints procedures independent complaints reviews complaints handled by the Parliamentary Ombudsman The last of these are not public records but the Parliamentary Ombudsman recognises that exchanges of correspondence between his Office and public record bodies investigated (including final results reports) become public records and may be available under the Public Records Acts. OCC may also have to answer enquiries or investigations from the Ombudsman. Under the Freedom of Information Act, the Information Commissioner has a role in investigating complaints about enquiries. Complaints fall into two broad categories: against OCC policy on maladministration Maladministration is a failure to deal with matters properly or fairly and may involve: failure to follow proper procedures discourtesy discrimination or injustice excessive delay not answering a complaint fully and promptly failure to apologise properly for mistakes Complaints are generally dealt with in accordance with OCC s complaints procedure. 7

8 Records of complaints may be arranged in one or more of several classifications: Policy and Procedure including the complaints system, checklists, publicity, helpdesk, monitoring the system Precedents Published complaints and statistics Reports Independent reviews Case files usually divided between enquiries and investigations Surveys Information in case records would normally comprise: the name and address of the person complaining the date of receipt of the complaint (which governs target times for reply) details of the complaint, including its category (for analysis purposes) remedy being sought by the person action to be taken on the complaint The handling of some of this information is subject to the provisions of the Data Protection Act Increasingly records of complaints are created and maintained electronically, for example recording and monitoring, producing management reports, and measuring satisfaction by questioning users and analysing questionnaires. The retention guidelines in this booklet apply to records in all formats. Retention of Complaints Records The retention of records relating to complaints should be considered in the light of business requirements, taking account of the cost of retention and the use of the records in the future. Very few of these records are likely to be selected for permanent preservation; only those relating to very significant or historical cases are likely candidates. 8

9 The schedule below shows recommended periods for the retention of the various types of complaints records: Type Item Description Disposal (maximum period) 1 Policy statements When superseded 2 System handbook/guidance When superseded 3 Minutes of meetings 10 4 Surveys 3 Case records 5 Enquiries 3 6 Investigations 10 7 Statistical reports 5 8 Reports on particular complaints or on categories of complaints 3 9 Precedents Review after Register of Complaints Correspondence and papers 10 Reviews 12 Reports 3 9

10 3.3. Safeguarding Guidance contained within the Data Protection Act states that normally personal information should not be held for longer than 6 after the subject's last contact with the authority. When records are being kept for more than the 6-year period, files need to be clearly marked and the reasons for the extension period clearly identified. Storage of records Information about concerns, allegations, and referrals should not be kept in one 'concern log' rather information or items relating to individuals need to be kept in separate files. Files containing sensitive or confidential data should be locked away and access to the keys strictly controlled. Access to those records needs to be limited to people in named roles who either need to know about the information in those records and/or who manage the records/files. If records are stored electronically then password-protect those records, which only limited staff should have access to. Destruction of records Records should be incinerated or shredded in the presence of a member of the organisation or entrusted to a firm specialising in the destruction of confidential material. This action must be taken at the same time as the electronic record is purged. Some records are subject to statutory requirements, Criminal Records Bureau disclosure certificates should not be stored for more than 6 months unless specific consent has been given to store them for longer (for example permission has been given to do this by the body that regulates your organisation). Whilst the disclosure certificate should normally be destroyed after 6 months, it is permissible to keep a record of the date the check was completed, the reference number of the disclosure certificate and the decision made as to whether the person was employed. The schedule below shows recommended periods for the retention of the various types of safeguarding records: Item Description Disposal (maximum period) 1 Child welfare concerns that OCC refers on to children's social care or the police. For example this would include concerns about physical, sexual, emotional or neglect of a child, disclosures from a child about being abused or information from a third party which might suggest a child is being Records will be kept for 6 after the last contact with the service user unless any of the exemptions apply (listed below) or if OCC is required to comply with any other statutory 10

11 abused; concerns about a parent or another adult that uses your organisation, or a young person who has been abused by another young person. requirements. 2 Child welfare concerns that OCC decides, after consultation, do not necessitate a referral to children's social care or the police. In such circumstances OCC will make a record of the concern and the outcome. Records will be kept for 6 after the last contact with the service user unless any of the exemptions apply (listed below) or if OCC is required to comply with any other statutory requirements. 3 Concerns about people (paid and unpaid) for example, allegations, convictions, who work with children and young people, for example, allegations, convictions, disciplinary action, inappropriate behaviour towards children and young people. For example where an employee has breached the code of conduct, a record of the behaviour, the action taken and outcome should be recorded. Personnel files and training records (including disciplinary records and working time records) - retain for 6 after employment ceases. However the records should be retained for a longer period if any of the following apply: - There were concerns about the behaviour of an adult who was working with children where s/he behaved in a way that has harmed, or may have harmed, a child; - The adult possibly committed a criminal offence against, or related to, a child; - The adult behaved towards a child in a way that indicates s/he is unsuitable to work with children. In such circumstances records should be retained at least until the adult reaches normal retirement age, or for 10 if that is longer. 4 Criminal Records Bureau disclosures obtained as part of the vetting process. The actual disclosure form must be destroyed after 6 months. However it is advisable that organisations keep a record of the date of the check, the reference number, the decision about vetting and the outcome. 11

12 Exceptions to the 6 year period will occur when records: Need to be retained because the information in them is relevant to legal action that has been started. Are required to be kept longer by law. Are archived for historical purposes (e.g. where the organisation was party to legal proceedings or involved in proceedings brought by a local authority). Where there are legal proceedings it is best to seek legal advice about the retention period of your records. Consist of a sample of records maintained for the purposes of research. Relate to individuals and providers of services who have, or whose staff, have been judged unsatisfactory. Are held in order to provide, for the subject, aspects of his/hers personal history (e.g. where the child might seek access to the file at a later date and the information would not be available elsewhere)." 12

13 3.4. Project Records 1. Introduction 1.1 The following guidance is aimed at staff that have responsibility for project management. It covers records in all media generated by all kinds of projects, including the publication of OCC reports. 1.2 This guidance should be read in conjunction with other retention guidance, in particular: Retention Scheduling: 3.5 Account Records Retention Scheduling: 3.10 Contractual Records Retention Scheduling: 3.14 Building Records 2. Minimum Retention Periods 2.1 Many of the records generated by project work are common to most projects and their retention periods will usually be determined by legislation or by general records schedules used throughout government. For example, the retention of accounting and other financial records are largely covered by the Limitation Act See also Retention Scheduling: 3.5 Account Records 2.2 Many records will be unique to a particular project, such as technical documents, and maps and plans. In these cases the retention of the records may be determined by the nature of the project but also by historical considerations. Some records of major building projects are likely to be worthy of permanent preservation or will need to be retained for the lifetime of the facility. See Retention Scheduling: Buildings Records 2.3 The most important factors to consider when deciding what retention period are appropriate for project records are: the significance of the contribution made by the project to the functions performed by the creating organisation the importance of the project any residual value to the creators 2.4 The model schedule accompanying this guidance reflects minimum retention periods for various categories of records. 2.5 The model schedule is concerned with final documents. Most projects will include a version control system for their documentation. Earlier versions of reports and papers may be kept until the end of the project, but no longer. 3. Scheduling the Records of Individual Projects 3.1 In the case of major projects, the project managers may wish to draw up a specific retention schedule at the beginning of the project, drawing on the minimum retention periods 13

14 described in the model schedule included with this guidance. Such action will effectively take account of the particular nature of the project (see 2 above). 3.2 When framing a specific retention schedule the project manager should consult with OCC s leadership team. 3.3 Papers compiled by project managers, by members of project teams or by others involved in projects should normally be placed on registered project files or be part of the formal documentation. Unregistered material kept by them or information kept on individual disk drives outside of a managed system for electronic records should be destroyed no later than one year after the end of the project. 3.4 As a general rule the records of small projects (those of less than twelve months duration) could be destroyed after two. Some of the documents from such projects, owever, may have to be retained for legal reasons (for example, financial information). 3.4 Project Records: Disposal Schedule Item Description Disposal Notes 1 Project proposals - approved 10 after completion of project - rejected or deferred 5 after completion of project 2 Project Initiation Documents (PID) and supporting documentation (including business cases) 10 after completion of project Records relating to major projects may be kept for Second Review (25 ) 3 Feasibility studies - reports 10 after issue Records relating to major projects may - draft reports 2 after date of last paper be kept for Second Review (25 ) - working papers 2 after date of last paper - correspondence 5 after date of last paper 4 Contracts and Agreements See Retention Title deeds are Scheduling: 5. not public records - contracts under seal Contractual but might be Records, retained for 14

15 - other contracts administrative purposes - title deeds - correspondence 5 Contractors - approved nominations 1 year after issue - rejected nominations 1 year after issue - approved list When new list is issued - removals/suspensions 6 after the end of the project 6 Tender Boards - record set of papers At the end of the project - other copies 1 year after date of last paper - working papers 2 after date of last paper - minutes of meetings 5 after date of last paper 7 Financial documents (including investment appraisals) 6 after completion of the project See also Retention Scheduling: 3. Accounting Records 8 Equipment and Supplies 6 after completion of the project 9 Land records - allocation When land is released for other purposes - procurement/disposal 12 after date of disposal 10 Human resources See Retention Originals should be 15

16 Scheduling: 3.8. Personnel Records with Personnel Departments 11 Health and Safety Records See Retention Scheduling: 3.9 Health and Safety Records 12 Project Boards, Assessment Meetings, etc. - minutes 5 after date of last paper Records relating to major projects may be kept for Second Review (25 ) - correspondence 5 after date of last paper 13 Reports (stage assessments, quality reviews, highlight reports, GANTT charts, etc.) - interim 5 after issue - final Keep for Second Review - evaluation Keep for Second Review - draft At the end of the project 14 Miscellaneous records, such as: copies of documentation from other projects; information on products, equipment, machinery, etc.; training courses; correspondence 2 after completion of project 16

17 3.5. Accounts 1 Background 1.1 OCCs annual reports and accounts have to be laid before Parliament, and are therefore preserved as published Parliamentary papers. These published accounts are sufficient for most future research purposes and the supporting journals, ledgers and vouchers may therefore be destroyed as soon as any limitation periods specified by statute have expired. 1.2 Statutes which may bear on retention periods for documents for various departments are: Civil Evidence Act 1995 Value Added Tax Act 1994 Companies Acts 1985 and 1989 Consumer Protection Act 1987 Financial Services Act 1986 Limitation Act Retention periods 2.1 All retention periods are given in whole and should be computed from the end of the financial year to which the records relate. 2.2 The retention periods cited are based in the general National Audit Office requirement that main accounting ledgers should be retained for six and supporting documents for eighteen months following the end of the financial year to which they relate. (In the interests of administrative convenience we have substituted two in this schedule for the eighteen months stated by NAO). 2.3 The following retention periods are recommended. BANK ACCOUNT RECORDS Cheques and associated records 1. cheque book/butts for all accounts 2 2. cancelled cheques 2 3. dishonoured cheques 2 dishonoured cheques register 4. fresh cheques 6 5. paid cheques/presented cheques; lists, statements of 6 presented cheques 6. stoppage of cheque payment notices 2 7. record of cheques opened books 2 8. cheque registers 2 9. record of cheques drawn for payment 6 17

18 Bank deposits 10. bank deposit books/slips/butts bank deposit summary sheets, summaries of daily 2 banking, cheques schedules 12. register of cheques lodged for collection 2 Bank re-conciliations 13. reconciliation files/sheets daily list of paid cheques unpaid cheque records 2 Bank statements 16. bank statements, periodic reconciliations bank certificates of balance 2 Electronic banking and electronic funds transfer EXPENDITURE RECORDS cash transactions, payment instructions, deposits and withdrawals audit trails disposal action should be in line with that for paper records retain for the same period as the base transaction record Cash books/sheets 18. expenditure sheets cash books/sheets 6 Petty cash records 20. petty cash records/books/sheets petty cash receipts postal cash book/sheets, postage/courier account/cash records, register of postage expenditure, postage paid records, postage books/sheets 23. summary cash books 2 Creditors 24. creditors history records, lists/reports 6 Statements 25. statements of accounts outstanding, outstanding orders 26. statements of accounts - rendered; statements of accounts payable 2 2 Subsidiary records 27. copies of abstracts and expenditure dissections 1 year 28. credit note books credit notes debit note books 2 18

19 Vouchers 31. vouchers - includes claims for payment, purchase orders, requisitions for goods and services, accounts payable invoices, invoices received, etc wages/salaries vouchers 6 Copies of vouchers 33. copies of vouchers (not the main accountable copy) 1 year 34. copies of wages/salaries vouchers 6 Voucher registers 35. voucher registers 2 Voucher cards registration 36. voucher registration cards voucher payments cards 6 Voucher summaries 37. voucher summaries 1 year 38. advice/schedule of vouchers despatched, delivery 1 year advices Costing records 39. cost cards costing records, dissection sheets, etc. 2 LEDGER RECORDS General and subsidiary ledgers 41. general and subsidiary ledgers produced for the purposes of preparing certified financial statements or published information 42. other ledgers (e.g. contracts, costs, purchases, 6 2 etc.) 43. creditors ledgers 6 Related records 44. audit sheets - ledger postings 2 Journals 45. journals (prime records for the raising of charges) journals (routine adjustments) 2 Trial balances & reconciliations 47. year-end balances, reconciliations and variations to support ledger balances and published accounts 6 RECEIPTS AND REVENUE RECORDS Books/butts 48. receipt butts/books; office copies of receipts;

20 includes cashiers, cash register, fines and costs, sale of publications and general receipt books/butts/records 49. postal remittance books/records receipt books/records for imposts (e.g. stamp duty and VAT receipt books/records irregular remittance books 2 Cash registers 52. butts/copies of cash register forms 6 Copies of forms 53. cash register reconciliation sheets 6 Rolls 54. cash register audit rolls 2 Summaries/analysis records 55. cash register analysis and summary records cash register reading books/sheets 2 Cashiers records 57. cashiers handover books 2 Revenue records 58. revenue cash books/sheets/records; receipt cash 6 books/sheets 59. daily revenue dissections 1 year 60. periodical revenue dissections 1 year Debtors records/ invoices Debts/refunds 61. copies of invoices/debit notes rendered on debtors - includes invoices paid and invoices unpaid and registers of invoices - debtors ledgers 62. source documents/records used for raising of invoices/debit notes 63. copies of invoices and copies of source documents 64. records relating to unrecoverable revenue, debts and overpayments - includes register of debts written off, register of refunds, etc SALARIES AND RELATED RECORDS Salary records 65. employee pay history records 6 NB The last 3 records must be kept for leavers, in either the personnel or the finance records system, for 20

21 the calculation of pension entitlement 66. salary rates registers when superseded 67. salary ledger cards/records copies of salary/wages/payroll sheets 2 STORES AND SERVICES RECORDS Stores records 69. goods inwards books/records 6 Purchase order records 70. purchase order books/records railway/courier consignment books/records travel warrants 2 Requisition records 73. requisition records 2 OTHER ACCOUNTABLE FINANCIAL RECORDS Asset registers 74. assets/equipment registers/records - registers/records documenting the assets, equipment, furniture, etc. 6 after disposal of item/asset, or last one in register Depreciation registers Financial statements 75. records relating to calculation of annual depreciation 76. statements/summaries prepared for inclusion in the quarterly and annual reports a) periodic financial statements prepared for management on a regular basis 6 after item/asset, or last one in register, disposed of 6 destroy when cumulated into quarterly or annual reports b) ad hoc statement 1 year 21

22 3.6 Expenditure Records Introduction This guidance covers records in all media, and the guidance is aimed at all staff that creates or handles records relating to OCC s budget planning and financial control. The vast majority of the records created in the processes under the heading of 'OCC ' are destroyed three to seven after their creation. Background and nature of the records The retention schedule is applicable to any record which performs the function covered by this guidance. Records may include files, microform, electronic records or any other format. Some of these records are still maintained in paper form even though they may have been created electronically. In accordance with the Modernising Government agenda target that "By 2004 all newly created public records will be electronically stored and retrieved", the records will form part of an electronic records management system. OCC may wish to digitise the paper records that need to be kept after that date so that there is a central and corporate collection of these records held electronically. Retention schedule The retention of expenditure records should be considered in the light of both business and legislative requirements, taking into account the cost of retention and the use to which the records might be put in the future. The following schedule shows maximum retention periods for expenditure records. The disposal period covers completed ' records (i.e. not including the current year). Description Disposal 1 Estimates records (including revised and supplementary) where detailed justification is provided and which are submitted to the Treasury Calculations and costings for annual estimates Expenditure scrutinies Records relating to bids from the Civil Contingencies Fund Spending reviews Records relating to dealings with the Public Accounts Committee and the Select Committee on Expenditure year after the cycle to which the records relate 6 22

23 Expenditure and revenue returns Financial statements prepared for annual Reports Financial statements prepared for Management Grant funding records Financial authorities or delegations Policy and strategy records (including investment policy) Treasury Directives and Circulars Asset registers Land registers Depreciation records Audit investigations (external) Financial records relating to capital works projects 1 Investment records Stocktaking records Unclaimed monies records Records relating to serious matters of: theft fraud misappropriation irrecoverable debts and overpayments write-offs recovery of debt wavering of debt(where external action has been taken) 24 Records relating to minor matters of: 1 year after the year to which the returns relate 1 year after publication of the report 1 year after completion of annual financial report 6 after action completed/grant made 6 after authority or delegation is superseded Second review Until superseded 6 after item/asset is disposed of 12 after disposal 6 after item/asset disposed of 6 after action completed 6 after action/project is completed 2 after investments are liquidated or matured 2 after audit 6 after audit 10 after action/investigation is completed 6 after audit theft fraud misappropriation irrecoverable debts and overpayments write-offs 23

24 recovery of debt wavering of debt (where matter was resolved internally) Procedure manuals 2 after superseded 24

25 3.7 Internal Audit Records This guidance covers public records created and received as part of the internal audit function. It does not cover similar records where external audit (for example, by the National Audit Office) is involved. It relates closely to the guidelines in Retention Scheduling, 3.5 Account Records. The guidance covers records in all media, although it points to more specialist advice on electronic records and the framework of the Modernising Government agenda. Internal audit records include: reports terms of reference programmes/plans correspondence, including management letters, advice and consultancy minutes of meetings etc. working papers In addition internal auditors may make detailed use of computer audit trails, which may sometimes be embedded in transaction records, and other records, such as risk register. Internal auditors will wish to use many other records within OCC as part of their work. However they will be more concerned with recent records (i.e. within the last two ) than external auditors. In this respect the current retention periods of records in will usually be more than adequate for their needs. Retention schedule The retention of internal audit records should be considered in the light of both business and legislative requirements, taking into account the cost of retention and the use to which the records might be put in the future. The following schedule shows maximum retention periods for internal audit records. The disposal period covers completed ' records (i.e. not including the current year). Audit reports (including interim), where these have included the examination of long-term contracts 2 Report papers used in the course of a fraud investigation Other audit reports (including interim) Terms of reference Programmes/plans/strategies 6 6 after legal proceedings have been completed 3 3 One year after the last date of the plan 25

26 Correspondence Minutes of meetings and related papers, including those of the Audit Committee Working papers Internal Audit Guides Manuals and guides relating to departmental procedures Local auditing standards Annual reports to Accounting Officers When superseded When superseded When superseded 3 26

27 3.8 Personnel records 1. Background 1.1 In November 1999 a Working Group on the Application of the Data Protection Act 1998 to Civil Service Personnel Records, chaired by the Cabinet Office, issued new guidance to Principle Establishment and Finance Officers (PEFO). This guidance included recommendations on what personnel records should be kept and for how long. These revised retention scheduling guidelines incorporate those recommendations. 1.2 Informing a judgement it should be noted that where relevant papers are destroyed and a claim for pension benefits is subsequently accepted without documentary evidence to support the claim, the costs involved will fall to be met from OCC funds, not from the Civil Superannuation Vote. Many non-pension records need not be kept for the same period. 2. Data Protection Act The Data Protection Act 1998 became effective in March 2000 for all computerised and many manual departmental personnel records. Some exemptions apply. Many of the principles underlying the earlier (1984) Data Protection Act remain, such as the duty on those holding personal data to comply with eight data protection principles, to register with the Data Protection Registrar, and to allow people to access and, if necessary, to correct data that relates to them. 2.2 Detailed information on the Data Protection Act 1998 can be obtained from the Intranet. 3. Retention Principles 3.1 Documents bearing on pension entitlement should generally be kept for 100 from date of birth. This is shown in the following table as 'Until age 100'. OCC will retain personnel records until age 100. Records of casual staff may be destroyed 6 after leaving but casual staff who have been dismissed should have their records noted, and the records kept for either a set period or until age There may be instances where departments keep a consolidated history or summary record (paper or electronic). In some such cases it may not be necessary to retain the original documents. The schedule differentiates between original documents and information derived from such documents in order to clarify which is to be retained. 3.3 Appointment and staff appraisal records are best kept as separate sub-sets of the personal files. If arranged in annual sets, they can then be destroyed on a rolling basis. 3.4 Personnel security records should also be kept as separate annual sub-sets of personal files. The Guide to Personal Security (GPS) suggests that these records should be kept until 5 after leaving, if this is at the normal retirement age, or 10 after leaving, if before normal retirement age. 3.5 Medical records should be filed as a separate sub-set of individual personal files to allow for separate retention, if necessary. Departmental Health and Safety issues potentially affecting multiple members of staff, such as those recordable under the Control of Substances Hazardous to Health (COSHH) regulations and the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (RIDDOR), should be documented on departments' administrative or subject files (although cross references to these on personal/medical sub-files of the affected staff may be useful). See also Retention Scheduling: 3.9 Health and Safety Records. 27

28 Schedule of Personnel Records Document Description Retention Period EMPLOYMENT AND CAREER Written particulars of employment Contracts of employment, including the Certificate of Qualification or its equivalent. Changes to terms and conditions, including change of hours letters Until age 100 Job History - consolidated record of whole career and location details (paper or electronic) Until age 100 Current address details 6 after employment has ended Record of location of overseas service Until age 100 Variation of hours - calculation formula for individual Destroy after use Promotion, temporary promotion and/or substitution documentation Destroy after summary noted Working Time Directive opt out forms 3 after the opt-out has been rescinded or has ceased to apply Record of previous service dates Until age 100 Previous service supporting papers Destroy after records noted as appropriate Qualifications/references 6 Transfer documents (OCD E18) Destroy after summary noted and actioned 28

29 Annual/Assessment reports 5 Annual/Assessment reports for the last 5 of service Until age 100 Training history 6 Travel and subsistence - claims and authorisation 6 Annual leave records (dependent on departmental practice) 2 Flexi-time records 6 months Job applications internal 1 year Recruitment, appointment and/or promotion board selection papers 1 year Building society references 6 months HEALTH Health Declaration Until age 100 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)) Until age 100 Papers relating to any injury on duty Until age 100 Medical/Self Certificates - unrelated to industrial injury 4 PAY AND PENSION Bank details current 6 after employment 29

30 has ended Death Benefit Nomination and Revocation Forms Until age 100 Death certificates Return original to provider. Retain copy until age 100 Decree Absolutes Return original to provider. Retain copy until age 100 Housing advance 6 after repayment Marriage certificate Return original to provider. Retain copy until age 100 Unpaid leave periods (maternity leave etc.) Until age 100 Statutory maternity pay documents 6 Other maternity pay documentation 18 months Overpayment documentation 6 after repayment or write-off 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 Until age 100 Pensions estimates and awards Until age 100 Record of: Full name and date of birth Until age 100 National Insurance number Until age 100 Pensionable pay at leaving Until age 100 Reckonable service for pension purposes (and actual service where this is different, together with reasons for the difference) Until age

31 Reason for leaving and new employer s name (where known) Until age 100 Amount and destination of any transfer value paid Until age 100 Amount of any refund of PCSPS contributions Until age 100 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 widow's, widower's, children's and other dependant's pensions; correspondence with the Cabinet Office, other departments and pension administrators, or the officer and his/her representatives (MPs, unions or others) about pension matters Until age 100 Resignation, termination and/or retirement letters Until age 100 Added Until age 100 Additional Voluntary Contributions (AVC) Until age 100 Payroll input forms 6 Bonus nominations 6 Complete sick absence record showing dates and causes of sick leave Until age 100 Statutory Sick Pay (SSP) forms For last 4 to 6 Papers relating to disciplinary action which has resulted in any changes to terms and conditions of service, salary, performance pay or allowances Until age 100 Authorisation for deputising, substitution allowance and/or overtime/travel time claim 6 Advances for: Season tickets 6 after repayment Christmas/holidays 6 after repayment 31

32 Housing 6 after repayment PERSONAL Welfare papers Destroy after minimum of 6 after last action SECURITY Security personnel files 5 after leaving (if at normal retirement age) or 10 after leaving (if before normal retirement age) 4. Electronic Retention 4.1 When transferring paper records on to electronic form, although there may be some cases where it would be advantageous to be able to rely on an original record, such as a signed option form (death benefit nomination, pension added, etc.), legible copies of originals transferred to such media will usually be as effective as the originals in enabling a department to consider and, if necessary, dispute a case of non-compliance or complaint brought by a member of staff. 32

33 3.9 Health and Safety Records The following guidance is aimed at staff that have responsibility for Health and Safety. Background The legislation underpinning health and safety in the United Kingdom is the Health and Safety at Work Act Implementation of the requirements of that statute is covered by various regulations, of which the principal ones are: Safety Representatives and Safety Committees Regulations 1977 Electricity at Work Regulations 1989 Noise at Work Regulations 1989 Management of Health and Safety at Work Regulations 1992 Workplace (Health, Safety and Welfare) Regulations 1992 Manual Handling Operations Regulations 1992 Health and Safety (Display Screen Equipment) Regulations 1992 Provision and Use of Work Equipment Regulations 1992 Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 The Social Security Act 1975 is also relevant to health and safety record keeping. Section 88(b) is the enabling provision under which relevant regulations are issued, such as the Social Security (Claims and Payments) Regulations 1979 and the Social Security (Industrial Injuries) (Prescribed Diseases) Regulations Other relevant legislation includes: Factories Act 1961 Employers Liability (Compulsory Insurance) Act 1969 Fire Precautions Act 1971 The legislation underpinning health and safety in the United Kingdom is the Health and Safety at Work Act Records 2.1 General Records relating to health and safety matters will be held by corporate services including reports of accidents or incidents affecting individuals, records of the purchase of equipment; maintenance records and records relating to emergency evacuations Health and safety records are either required to fulfil a statutory obligation or may be needed as a prerequisite to carrying out certain activities. Failure to hold valid documents may attract the penalties of prosecution, improvement or prohibition notices. For example, records of training on the use of dangerous machinery must be kept. Failure to provide documentary evidence of such training may attract the issue of an improvement notice. Inability to provide appropriate and accurate documentation in the event of civil litigation may lead to heavy compensation payments There are certain statutory requirements to keep particular information, for example, safety monitoring data under the Management of Health and Safety at Work Regulations 1992, 33

34 and recording accidents under the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations Statutory Forms and Records Some statutory requirements specify the maintenance of certain inspection records or the provision of certain notification forms. Inspection records include those relating to the maintenance of ventilation systems, to control substances hazardous to health in the workplace, fire safety checks, and inspection of machinery and equipment Statutory notification forms include those required to advise enforcing authorities about certain operations or circumstances - for example, notifications of accidents, diseases and dangerous occurrences - and would include certificates issued by enforcing authorities, such as fire certificates or licences for the storage of certain substances. 2.3 Procedural Records Procedural records may be specified by regulations but these relate more to the management of health and safety than to reporting requirements. These records include an organisation s health and safety policy statement and risk assessments. Other records might include safety procedures, manuals and copies of instructions or information supplied to employees. 2.4 Pre-employment and Employment Records These include copies of pre-employment questionnaires and medicals relating to health and safety. Pre-employment screening has become of greater importance in ensuring that appropriate consideration is made of individual factors which may affect whether someone can carry out a specific task without risk to their health and safety. This consideration is required under the Management of Health and Safety at Work Regulations Employment records can contain details of health and safety training provided, information supplied or even personal protective equipment issued to particular employees. 2.5 Medical Records These include records required to be maintained in relation to medical surveillance provided, for example, under the Management of Health and Safety at Work Regulations, Control of Substances Hazardous to Health Regulations or those regulations relating to lead and asbestos at work. These records may also contain details of audit carried out in connection with noise at work or information relating to the records of eye and eyesight tests carried out under the Health and Safety (Display Screen Equipment) Regulations. These include records required to be maintained in relation to medical surveillance provided, for example, under the Management of Health and Safety at Work Regulations, Control of Substances Hazardous to Health Regulations or those regulations relating to lead and asbestos at work. These records may also contain details of audit carried out in connection with noise at work or information relating to the records of eye and eyesight tests carried out under the Health and Safety (Display Screen Equipment) Regulations. 3 Recommendations 3.1 General 34

35 Reasons for keeping health and safety records include: the records are documents required by legislation the operation/process may be used again and records are needed to ensure safety they may be evidence in cases of litigation or prosecution to demonstrate the department s history of safety management to identify long-term trends to plan maintenance to identify training needs Only a small number of categories of records, including medical surveillance, accident and waste disposal records, have to be kept for a specified time. The most significant are listed in section 4. In some cases, for example the Noise at Work Regulations 1989, assessment records should be kept until a further assessment of the hazard is made. 3.2 Litigation With the exception of the legal requirements summarised in section 4, the primary reason for keeping health and safety records is to ensure that the employer is well placed to protect the safety of the staff and public, but beyond this a powerful reason is the management of an employer s exposure to litigation. Under the Limitation Act 1980, personal injury actions must be commenced within three of the injury occurring. This gives a clearly defined time to keep records associated with an injury. However, for some complaints, such as asbestos and noise damage, the employee may not realise he or she has contracted it until several after exposure. In such cases the Act allows the claim to be brought within three of the date that the employee had knowledge of the disease or injury. This, therefore, extends the time some records may have to be kept and it is recommended that relevant records be kept for 40 for such incidents. Evidence that may be needed to fight such a claim includes: relevant risk assessments - these are formal surveys of the workplace (under the Management of Health and Safety at Work Regulations 1992) to assess any risks to health and safety to which staff and others are exposed; reviews and updates should be included safe operating procedures and safe systems of work effectiveness of controls such as the monitoring of noise and light levels maintenance of controls and other machinery medical surveillance, including pre-employment medicals and audiometry, and biological monitoring training 35

36 safety inspections, including checks to confirm that safe operating procedures are being used and personal protective equipment is being worn records of who else worked on the process and who their supervisors were personal protective equipment specification, training, storage and maintenance arrangements information on other employees who have suffered disease or injury as a result of the process knowledge of when the disease or injury was established 3.3 Long-term administrative information At some time it may be necessary to demonstrate that there is a history of effective safety management, for example as part of a defence against litigation or criminal prosecution, or just to show a Health and Safety Executive inspector. There is a case for keeping records after they have been updated or re-assessed just to provide information on long-term trends. Exposure records could be of value for epidemiological investigations into the effect of a substance. A comparison of old and new noise assessments might reveal an increase in noise emission from a machine, suggesting a need for maintenance or repair. Training records need to be kept, reviewed and used to identify the need for refresher courses. They should normally be filed with personnel records. 4 Schedule of Legislation with Retention Stipulation 4.1 The following table gives details of those records where there is a statutory requirement to keep records for a specified period. Every attempt has been made to include all such health and safety records but readers are advised to check relevant legislation and consult with Health and Safety Managers before disposing of other similar records. Act or Regulation Record Disposal Factories Act General Register Order 1973 General Register (Form F31, recording details relating to the factory, such as name and address of occupier, nature of work, fire certificate, etc.) 2 after date of last entry Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 Reportable injuries, diseases and dangerous occurrences 3 36

37 Social Security (Claims and Payments) Regulations 1979 Accident book (form BI 510) 3 from date of last entry. 37

38 3.10 Contractual Records 1. Introduction 1.1 This guidance is aimed at purchasing or contract staff and should be followed by all staff. It reflects the current state of the law but does not represent legal advice. 1.2 Purchasing and contract work is a critical element of corporate planning. Records created in the course of this work may be crucial in providing evidence of OCC s effectiveness and in handling any litigation that might arise from it. They are also essential for auditing purposes. 1.3 The purpose of this guidance is to describe best practice for managing and disposing of contractual records. 1.4 The legislation underpinning the retention of records relating to contracts is the Limitation Act Other relevant statutes include: Unfair Contract Terms Act 1977 Latent Damage Act 1986 Consumer Protection Act Retention Scheduling: Buildings Records 3.14 and Retention Scheduling: Account Records 3.5 is also relevant in the matter of the retention of contractual records. Documentation 2.1 OCC should ensure that a record of all contracts and related transactions is kept on files. The files must contain a complete and accurate record of all internal and external documentation so that the stages and reasoning of the transactions are apparent. Such accurate and authentic record keeping will ensure that an adequate audit trail is provided. 2.2 In addition to providing the means whereby a transaction can be audited, full and accurate record keeping of contractual matters provides: value for money, by ensuring that work can be executed promptly, swiftly and accurately evidence of what has occurred in the event of further development or discussion of the matter covered by the contract evidence in the event of accusations of error, fraud or impropriety precedents for future action, including any re-tendering process 2.3 The amount of documentation generated by different types of contract will vary according to the size of the transaction. It will usually consist of some or all of the following: conditions of contract 38

39 tender invitation suppliers proposals tender receipt record evaluation criteria and report specification schedule of works regulations (e.g. health and safety) final accounts certificates (test, authorising payments, fire, etc.) minutes and papers of meetings claims and variations signed contract 3. Limitation Act 1980 and Prescription and Limitation (Scotland) Act The Limitation Acts, which apply to proceedings by and against the Crown, have the effect that proceedings to recover money must be instituted within six of the money becoming due. If proceedings are not instituted within the relevant period, the claim is statute barred. 3.2 The direct effect of the Limitation Acts is therefore that many contractual records need to be retained for six after the end of the contract. Similar considerations apply to other financial records (see Retention Scheduling: Account Records 3.5). Some special contracts are executed under seal and the limitation period in these cases is twelve. 3.3 A model disposal schedule of contractual records, showing retention periods, follows: Schedule of Contractual Records General Notes: while six after the end of the contract may be the retention period for the majority of contractual records, a lesser period will be suitable for many 1. Records relating to contracts worth less than 5,000 should be destroyed when they are two old. 2. Records relating to contracts worth more than 5,000 relating to goods would normally be kept in accordance with the model schedule below. Those relating to services should be retained for two after payment of the last account. 39

40 3. Records relating to contracts that are for periods of more than ten should be assessed for further retention when they are five old; those retained should be re-assessed five later. Type Item Description Disposal (maximum period) Policy matters 1 Policy on contracts, normally contained in a separate registered file series First (10 ) and Second Review (25 ) Initial proposal 2 End user requirement 6 3 List of approved suppliers An active document - updated regularly 4 Statements of interest 1 year from date of last paper 5 Draft specification Destroy when specification has been agreed 6 Agreed specification 6 from end of contract 7 Evaluation criteria 6 from end of contract 8 Invitation to tender 6 from end of contract Tendering 9 Unsuccessful tender documents 1 year after date of last paper 10 Successful tender document 6 from award of contract 11 Background information supplied by department 1 year after date of last paper 40

41 12 Interview panel - report and notes of proceedings 1 year from end of contract 13 Commissioning letter 1 year from end of contract 14 Signed contract 6 from end of contract Contract operation and monitoring 15 Reports from contractors 2 from end of contract 16 Records of complaints 6 from end of contract 17 Disputes over payment 6 from end of contract 18 Final accounts 6 from end of contract 19 Minutes and papers of meetings Second Review (25 ) Amendments to contracts 20 Changes to requirements 6 from end of contract 21 Forms of variation 6 from end of contract 22 Deeds (or under seal ) 23 Extension to contract Deeds (with associated contracts) Novation s (used to change contracting authorities) 6 from end of contract 6 after expiry of the contract 4 Contractual Records and Policy Issues 4.1 Some contractual records will be associated with major policy developments and in such cases care should be taken during the appraisal process that all the records relating to the same issue, whether they are case papers, policy papers or contractual records, are reviewed using the same criteria, 41

42 Retention in non-paper format 5 Retention in non-paper format 5.1 In transferring paper records to other media, such as electronic filing OCC should follow the requirements of legal admissibility and in particular the contents of BSI DISC PD 0008, Code of practice for legal admissibility and evidential weight of information stored on electronic document management systems (1999) and BSI DISC PD 0010, Principles of good practice for information management. 42

43 3.11 Data Collection: Project and Inquiries 1. Background OCC has a has a statutory responsibility to manage the data in a responsible way, in accordance with legislation like the Data Protection Act 1998 and the Freedom of Information Act Data and records should not be kept for longer than is necessary. This principle finds statutory form in the Data Protection Act 1998, which requires that personal data processed for any purpose "shall not be kept for longer than is necessary for that purpose". All data and records should be stored as securely as possible in order to avoid potential misuse or loss. Data collection relates to all large scale formal data capture undertaken to inform a specific project or Inquiry. This may involve the use of the Office s data collection statutory powers. 2. Deciding on Retention Periods Hard copy evidence should be disposed of a year after collection and electronic data two after collection unless any separate specific handling conditions are set out and agreed during collection. There will be cases where this retention period may have to be extended or even reduced, either in whole for all the responses, or in part for individual responses. For evidence collected during an Inquiry, additional stipulations around retention may be set out as part of the ethical strategy/approval process and should be adhered to accordingly. 3. Storing Responses for the Retention Period Remember that nothing should be kept forever and a date for destruction must be assigned. Destruction must be carried out under secure conditions. For consistency, hard copy responses and electronic responses concerned with the same consultation must be destroyed at the same time. An evidence log must be maintained to enable time frames to be monitored and ensure that data is disposed of in line with agreed policy. This schedule requires further consideration but at present please refer to RMAD SyOP documents for further guidance. The data collection RMAD/PIA also identifies risks and sets out relevant risk management plans regarding this capture. 43

44 3.12 Consultation Responses 1. Background The Cabinet Office Code of Practice on Consultations states that a summary of responses should be issued within 3 months of the closing date for responses. Good practice in carrying out consultations should also extend to determining the length of time the individual responses should be held. Deciding on a responses retention schedule:- Makes sure that responses are kept for as long as necessary and no longer, in line with Data Protection Act requirements on personal information Ensures the retention of the minimum volume of information consistent with effective and efficient operations Promotes efficient management, storage and control of records in line with the Public Records Act Saves space, both physically and electronically Saves staff time Documents the time responses will be kept before destruction 2. Deciding on Retention Periods Because of the varying policy topics of the consultations and their differing nature OCC must decide how long to retain responses. For most consultation responses, especially those dealing with operational or regulations work, it is recommended that responses, in either hard copy or electronic form, should be destroyed/deleted 18 months after the summary of responses have been published. This should give time to carry out feedback or decide on any new approaches which might require another consultation. There will be cases where this retention period may have to be extended, either in whole for all the responses, or in part for individual responses, for instance:- where the policy is governed by legislation or regulations that require certain information to be kept for specified periods where health or safety issues, e.g. exposure to asbestos, are brought to light where child abuse or other ill-treatments are mentioned in any other circumstances where it is felt that a longer period of retention is needed and justifiable If in doubt, OCC will seek legal advice. 44

45 3. Storing Responses for the Retention Period Remember that nothing should be kept forever and a date for destruction must be assigned. Destruction must be carried out under secure conditions. For consistency, hard copy responses and electronic responses concerned with the same consultation must be destroyed at the same time. 45

46 3.13 Press and Public Relations Records Introduction This guidance covers records in all media generated by OCC. It is very unlikely that any records from the Communication and Public Affairs team will be selected for permanent preservation. Scope and nature of the records The records of Communication and Public Affairs team cover three broad areas: dealing with the media on the work of OCC. internal administrative arrangements on media relations special events, such as campaigns and Takeover day The latter might include the issuing of press releases, organisation of interviews and general media access. The vast majority of these records are electronic Many records created by the Communication and Public Affairs team, particularly those relating to major issues, are duplicated and placed on registered policy or procedure files. The majority of paper copies in the Communication and Public Affairs team can be destroyed after a relatively short time. Retention schedule The retention of press office records should be considered in the light of business requirements, taking into account the cost of retention and the use to which the records might be put in the future. Few of these records are likely to be selected for permanent preservation. The schedule below shows recommended maximum periods for the retention of various types of press office records: Type Item Description Disposal Dealing with the media and the public 1 Press releases 5 46

47 2 Press cuttings 5 3 Operational notes (notices to press about forthcoming events or conferences) 3 months 4 Press conference reports/ previews 3 5 Press reports digests 5 Internal records 6 Correspondence with the media 5 7 Policy and administrative Records Second review (25 ) 8 Handbooks and guides to media/public relations Destroy when superseded 9 Reports on media/public relations 5 10 Image library records When no longer required Special events 11 Correspondence and papers 7 12 Reports 7 13 Visitor books 3 14 Calendars 3 15 Brochures and guides 3 47

48 3.14 Information Management Records This guidance is aimed at staff who handle records relating to the management of information. The guidance covers records in all media, although it points to more specialist advice on electronic records and the framework of the Modernising Government agenda. Information management records cover four broad areas: record keeping, including records management systems, retrieval, and access disposal appraisal and selection storage general management liaison with other organisations, training, conferences, staffing, etc. Many of these records are still maintained in paper form even though they may have been created electronically. In accordance with the Modernising Government target that by 2004 all newly created public records will be stored and retrieved electronically the records will form part of an electronic records management system. Guidance on the management of electronic information is available from the Public Record Office. Records and information management is concerned with the management of recorded information across the OCC regardless of format, location or originator. It is concerned as much with systems to ensure that the information necessary to record the activities of the organisation is captured in the first place as it is with managing records that have already been created. In this context there is increasingly closer connection with parts of the office that discharge related activities and, in some cases, a merger of such activities. These may include knowledge management, data protection, freedom of information and audit. Staff must take note of this and ensure that there is a consistent approach to the management, appraisal and disposal of such material. The areas where information management records may contain personal data include: contracts, with staff, record storage companies, disaster recovery companies, etc. appraisal and selection of records containing personal data (for example, case files) retention of personal data relevant to the purposes for which they were created inventories of personal data collections access to relevant records Retention schedule The retention of information management records should be considered in the light of both business and legislative requirements, taking into account the cost of retention and the use to which the records might be put in the future. OCC will not use any off-site storage. 48

49 The following schedule shows recommended maximum retention periods for information management records: Record keeping Records relating to the control of record keeping systems Documentation of record series ( zero files ) Records relating to services provided to the rest of the OCC Documentation relating to the disclosure status of records under FOI Information surveys, record audits and registry inspections Applications to the Lord Chancellor for the retention of records under section 3(4) of the Public Records Act 1958 and related Correspondence Internal publications Schedules of records loaned to other organisations Donations of records to the OCC FOI requests: a) for documents already open b) for documents which are subsequently opened c) for documents which remain closed When system is superseded (a) preserve permanently for series from which records have been transferred to the PRO or place of deposit (b) destroy when all records in the series have been destroyed 5 5 after the record is Opened 5 10 When superseded Until disposal of the records covered As long as record is held by OCC 1 year 2 10 Disposal Disposal schedules Retain permanently Correspondence and papers relating to the compilation of disposal 10 49

50 schedules Review lists, including information from systems such as DRUID 3 Lists, certificates, docket books or databases of records destroyed Copies of catalogues/lists of records transferred to the PRO or place of deposit Retrieval of records from the PRO or place of deposit Documentation on presentations under section 3(6) of the Public Records Act Retain permanently Storage Security of records 5 General management Records of tracking and location systems Records relating to the development, implementation and review of information management policy Guides, manuals and instructions on the management of records General administrative records, including routine correspondence relating to the provision of information management services Disaster planning records Training records, including audio-visual material When system is Superseded Second review Destroy when new issue(s) agreed and circulated 2 Destroy when new plan is promulgated 5 50

51 3.15 Buildings Records Introduction 1.1 OCC is currently based at 33 Greycoat Street, London SW1P 2QF. These offices belong to the crown estate and its landlord is the Department for Education. OCC holds a limited number of building records, which are detailed in the Building Records: maintenance and legal documents schedule. All OCC building records are maintained in accordance with the guidance detailed below. 1.2 All records of construction and works processes, including plans and drawings, of government buildings are public records within the meaning of the Public Records Act Where records are created by a private contractor in fulfilment of a contract that has been let by OCC these are also public records excepting those records relating to the internal administration of the contractor, e.g. personnel and wages records. 3. Aims and Objectives 3.1 The primary purpose of this guidance is to outline the methods by which building records can be maintained in a readily accessible form to ensure simple, economic and efficient use. 3.2 The long term practical value of building records sets them apart from other types of records. Whereas other records may be administratively useful for 10-20, some building records will be required for as long as the buildings exist, which can be hundreds of. 3.3 Building records have not only historic but also great practical value. Much time and money can be wasted searching for or recreating relevant important information such as construction details, wiring and plumbing services, and colour schemes. This can be avoided by the effective management of original material. 3.4 A full record of a building s structure, plant and services is essential in order to plan accurately for its future care and to enable departments to fulfil their legal obligations and liabilities. The maintenance of records is also essential to ensure that departments retain the evidence necessary to develop effective defences against unwarranted claims. 3.5 To ensure that buildings are cared for efficiently, economically and to the appropriate standards it is essential that appropriate records are maintained throughout a building s life. The development of comprehensive collections of records is therefore fundamental to the wellbeing of all buildings. 4. Types of records 4.1 Government building records are many and varied but essentially they divide into three broad types: Legal Documents These include estate title, leasehold and other contract documentation relating to the building and its surrounding land. 51

52 4.1.2 Policy Records These include surveys, evaluation reports, policy studies, etc Administrative Records These documents are particularly relevant to the maintenance, repair and reconstruction of buildings. They form an essential element of the process of caring for buildings. They comprise information such as survey drawings, "as built" drawings and records of services, historical narratives and descriptions, photographs, maintenance records, inventories of plant, equipment and furnishings, and possibly archaeological information about the site and building. 5. Records Creation 5.1 Document Classification It is essential to consider the potential long term value of documents at the time they are created. Time spent identifying and classifying records at this stage will reap benefits in the long term. It will, for example, enable the later process of appraisal to be accomplished efficiently and without the need to examine numerous files and papers in order to eliminate valueless records. The most effective way of achieving this aim is to compile a disposal schedule which lists and describes all buildings records and assigns retention periods to them. The model schedule appended to this guidance has been designed to help clarify the value of records being created. If the building is also a listed historic building or scheduled ancient monument, this should be clearly marked on the files and other papers. 5.2 Records Status Copyright Copyright in documents created in government departments is vested in the Comptroller of HMSO on behalf of the Crown. Statutory provisions are covered by the Copyright, Designs and Patents Act Deeds Title deeds are not public records within the meaning of the Public Records Act 1958 but nonetheless they will form an important element Managing Agents If OCC contract out projects and/or maintenance services to agents it will ensure that the contracts contain clauses requiring the effective management of records, including the transfer of files and other records to the department at the termination of any contract. In addition there must be adequate supervision of the records that are created by the agents. 6 Retention Schedules 6.1 Schedules must be monitored at regular intervals to ensure that retention and review periods are still realistic in the light of experience, that records no longer existing are removed from the schedule, and that new categories of records are added. 7. Reviewing Records 52

53 7.1 Records not on Retention Schedules Where it is not possible to include records on schedules, they should be assigned a review date immediately on closure by the project officer who is most closely conversant with the matter to which the records relate. 7.2 Review Criteria When assigning review dates two basic principles must be borne in mind: legal requirements - the implications of various legislation (e.g. latent defects) will mean that certain records may have to be kept for up to 16 administrative requirements - the potential value of records for the future when maintenance, repair, alteration, refurbishment, etc. of the building is proposed or planned Records which are likely to be of historical value and which may be preserved in The National Archives are:- surveys project specifications project board minutes and board papers policy files planning and other certificates narratives or written accounts of historic buildings sets of "as built" drawings photographic records of maintenance and building project reports 8. Central Records Store Records which are likely to be of long term value for use in the care of buildings should be identified as soon likely that the collection of records will need to be retained beyond the 30 year period normally allowed for public records. Destruction will require the approval of the Lord Chancellor under section 3(4) of the Public Records Act Building records may need to be kept separate from the other records, as often they cannot be stores in the normal file boxes. Buildings Records: maintenance records schedule Item Description Transfer to Central Records Store Disposal 53

54 1 Accident books 1 year after date of last entry Review 3 after date of last entry 2 Accident reports 2 after completion of action Review 5 after action or, if a claim is made, 6 after claim settled 3 Maintenance contracts and related correspondence 2 after end of contract Review 12 after end of contract 4 Meetings with contractors a) agenda, minutes etc., record set 2 after meeting Review 5 after date of meeting b) agenda, minutes etc., other copies - Destroy 6 after date of meeting c) drafts, domestic arrangements etc. - Destroy 3 after date of meeting Buildings Records: legal documents schedule Item Description Transfer to Central Records Store Disposal 1 Leases (signed copies) Deposit in safe custody after completion Destroy 16 after expiry 2 Memoranda of terms Deposit in safe custody after completion Destroy 16 after expiry 54

55 3 Fire certificates Retain in store until expiry or superseded Destroy 12 after expiry or superseded Model Retention Schedule s for: Buildings Records: project documents Buildings Records: reports Buildings Records: maps, plans & drawings Buildings Records: correspondence, photos and miscellaneous are available to view on request 55