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Corporate Records Procedure
CATEGORY: ProceduresCLASSIFICATION: Governance
PURPOSE To support the RecordManagement and InformationLifecycle Policy
Controlled Document
Number:
469
Version Number: 1
Controlled DocumentSponsor:
Director of Corporate Affairs
Controlled DocumentLead:
Senior Manager Corporate Affairs
Approved By: Director of Corporate Affairs
On: April 2010
Review Date: March 2012
Distribution:
EssentialReading for:
Information for:
All staff who deal with CorporateRecords
All staff
ONTR
OLLED
DOCU
MENT
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Contents
Paragraph Page
1 Procedure Statement 3
2 Scope 3
3 Framework 3
4 Duties 8
5 Implementation and Monitoring 8
6 References 9
7 Associated Controlled Documents 9
Appendices
Appendix A Guideline Naming Convention 11
Appendix B Typical thought tree used during appraisal process 20
Appendix C Retention Schedule for Corporate Records 21
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1 Procedure Statement
1.1 This Procedure sets out the detailed steps to be taken when creating,naming, referencing, filing, storing, accessing, transferring, tracking,appraising, archiving and disposing of corporate records in accordancewith the and Record Management and Information Lifecycle Policy (thePolicy).
1.2 This procedure may be amended from time to time by authority of theDirector of Corporate Affairs, provided that such amendments arecompliant with the Policy.
2 Scope
2.1 This procedure covers all corporate records held by the Trust. A corporaterecord documents the effective management of the Trusts records toenhance the Trusts performance and includes, but is not limited topersonnel, estate, finances, and purchase and supplies records.
2.2 This procedure applies to all individuals employed by the Trust includingcontractors, volunteers, students, locum - agency staff and staff employedon honorary contracts who come into contact with corporate records.
2.2 The aim of this procedure is to:
Inform staff and management of the importance of recordsmanagement to the Trust, both strategically and operationally;
Describe in general terms responsibilities for corporate records andin particular refers to the role of the Records Manager;
Provides a basis for accountability by ensuring relevant, evidentialinformation and documentation is maintained in a retrievable form;
Ensure compliance with relevant legislation;
Meet the Trusts business need for authentic, reliable and usablecorporate records.
3 Framework
This section describes the broad framework for the creation, referencing,
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3.1.2 Electronic recordsare any records which are held electronically such asemails, attachments and web pages on the internet or intranet.
3.1.3 The term records life cycle describes the life of a record from itscreation/receipt through the period of its active use, inactive retention(such as closed files which may still be referred to occasionally) and finallyeither confidential disposal or archival preservation.
3.1.4 Operational Unitmeans a division or department within the Trust which
operates specific activities and fulfils a certain function as for exampleFinance, Estates, IM&T, Procurement, Corporate Governance,Communications or HR.
3.2 Creation
3.2.1. Records should be created when there is a need to remember the detailsof an event, decision or action such that anyone needing to recourse to the
facts can rely on and acknowledge that the representation is accurate. Inparticular, records should be created to:
Provide evidence of policy, decisions, actions or activities;
Provide compliance with rules, regulations and legislationappropriate to the organisational context;
Inform colleagues of what has been done or decided;
Act as a reminder of how something has been done;
Track progress of a project or process;
Facilitate an audit or examination of the Trust by anyoneauthorised;
Protect the legal and other rights of the Trust, its patients, staff andany other people affected by its actions.
3.2.2 It is not possible to prescribe exactly the content of all corporate recordregisters as this will depend on the nature of the business to bedocumented. However, as a general rule, the following constituents shouldalmost always be present in any record register:
The identity of person or equipment creating the record
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with the NHS Code of Practice 2006 and any other legislation in which theunit operates.
3.2.4 Each operational unit will further have in place means of locating thewhereabouts of all registered records and wherever practical andappropriate, this will be an electronic tracking system.
3.3 Referencing
3.3.1 Each operational unit should develop specific rules on referencing, titling,indexing and protective marking of those electronic records which it
typically holds in order to ensure that the information can be identified andretrieved when required and without delay.
3.3.2 The following are 5 general principles which should be followed by alloperational units irrespective of the nature of their business:
Each record must be given a unique name (preferably analphanumerical name).
The name should be meaningful and closely reflect the recordscontent.
Different elements of the name should be expressed in astructured and predictable order.
The most specific information should be located at the beginningof the name and the most general at the end.
Records which are linked should be given a similarly structuredand worded name.
Appendix A sets out 13 guidelines which aims to assist operational unitswith the drafting of their business specific naming convention.
3.4 Filing and Storage
3.4.1 Appropriate filing and storage of records is essential to ensure theirauthenticity and reliability and it enables the Trust to obtain the maximumbenefit from quick and easy retrieval of information.
3.4.2 Each operational unit will adopt a filing system which:
Provides a classification scheme to group or link related records;
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Documents the process and outcome of appraisals.
3.4.3 Each operational unit will choose suitable storage equipment for theirpaper records. The physical location of paper records will be based uponthe following criteria:
Context in which they were documented
Compliance with Health & Safety regulations
Security levels required
Risk assessment (in particular environmental conditions, flood andfire protection; system hacking, crashes, viruses and theft)
User needs
Record types
Size and quantity
Usage and frequency of retrieval
Ergonomics, suitability, space efficiency and price
Retention period
Legislation
3.4.4 In the context of electronic corporate records, it is important to rememberthe distinction between a record and a document. Not all documents
are records. A document becomes a record when it becomes part of theTrusts corporate information memory. Electronic records should solely bekept in the corporate system (e.g. the corporate network drive or a sharedfolder (e.g. I drive), whereas documents may be kept in a personal folderon the local PC drive (e.g. C drive) or a personal network drive (e.g. Hdrive). Where a dual system is maintained, electronic records shouldfurther be cross-referenced to their paper counterparts.
3.4.5 Electronic records are more susceptible to corruption than paper recordsand therefore encryption, password protection, automated access controland audit trails should be used where necessary. Electronic records mustbe subject to a back-up regime. The Trust has adopted an Emergency andDisaster Recovery Strategy which includes retrieving electronic records inthe event of a system failure.
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Effective finding aids to identify and locate the record
Authorisations for access or access restrictions details For highly sensitive information security clearance requirements
For paper records a log book to monitor where, when and by whoma record was retrieved and when the record is due for return.
3.6 Access
Access to corporate records may be requested by Trust staff or external
individuals/ organisations. Whilst internal requests have to be recorded bythe relevant operational unit in accordance with its retrieval and trackingsystem, external requests are to be delegated to the Freedom ofInformation Co-ordinator.
3.7 Appraisal
3.7.1 Appraisal is the term used for the assessment of the value of records. Anappraisal is usually a two-part decision making process. The first part is
deciding how long a record needs to be kept and the second part isdeciding whether a record can be disposed of or whether it needs to bearchived.
3.7.2 Records have two main types of value: A primary, or business value and asecondary , or value to the society. It is usually the records primary valuewhich determines how long a record should be kept, unless the record alsohas a secondary value.
3.7.3 The evaluation of records and the decision as to whether a record shouldbe archived or disposed of falls onto the Record Manager of eachoperational unit. All Record Managers have to ensure that their records areannually appraised. Appraisals should not be carried out at the level of theindividual record but at the level of record series or record group. Thisensures consistency and also cuts down on the time and resourcesneeded for appraisals.
3.7.4 Appendix A shows a typical thought tree that may be used during theappraisal process. However, each operational unit may decide to considerfurther questions during the appraisal.
3.7.5 Electronic records should be appraised using the same criteria andmethodologies as for paper records, but given that electronic records are
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3.8.2 Irrespective of the aforementioned Retention Schedule, the general rule isthat records should not ordinarily be retained for more than 30 years.
3.8.3 Records selected for archival preservation should be transferred as soonas possible to an archival institution that has adequate storage and publicaccess facilities.
3.8.4 Records selected for destruction should be destroyed in as a securemanner as is appropriate having regard to the level of confidentiality andprotective markings they bear (see Guidance for Classification Marking ofNHS Information). Where records are destroyed on site, a record of thedestruction including the reference, description and date of destructionshould be maintained and preserved by the responsible Record Manager.
3.8.5 If records are sent to an authorised contractor, employed for thedestruction, the contractor should be required to sign confidentialityundertakings and to produce a written certification as proof of thedestruction.
4 Duties
4.1 The duties of the Chief Executive, Director of Corporate Affairs and LocalRecord Managers are set out in the Record Management Policy.
4.2 Designated members of staff have lead responsibility in relation to thefollowing records:
Director of Human Resources for personnel records,
Head of Finance for financial records,
Commercial Director for salaries and wage records,
Head of Procurement for supply and purchase records,
Director of ICT for electronic storage of records,
Director of Corporate Affairs for policies and procedures, professionalreviews and reports, internal and external audits, risk assessments, etc
Line Managers for monitoring and training in local areas.
4.3 All Trust staff, whether clinical or administrative, who create, receive, use,
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5.1.2 All training has to be evaluated and reviewed on an annual basis by theTraining and Development Manager.
5.2 Audit
5.2.1 A number of bodies external to the Trust currently undertake reviews thatinclude assessment of some elements of Records management againstspecific standards. These include the Healthcare Commission, NHSLitigation Authority, Audit Commission and other bodies supporting orgoverning professional practice. Records audits may also be included inthe scope of an Internal or external audit plan agreed with the Board orAudit Committee.
5.2.2 Irrespective of the type of audit undertaken, or the body undertaking it, it isimportant that the officer assigned overall organisational responsibility forrecords management is aware of, or appraised of, the audits beforehand. Itis also important that this officer is informed of the audit outcomes and co-ordinates and reports significant findings to the Information GovernanceGroup or any supporting records management sub-group.
5.2.3 The Information Governance Group will be responsible for establishing aregular programme of audit for records management and for reportingupdates to the Board on the progress of this, including any significantareas of non-compliance.
6. ReferencesRecords Management Society, Toolkit for Managing Paper Records Version 1, available from: http://www.rms-gb.org.uk
Department of Health, NHS Code of Practice 2, Annex 2D, available from:http://www.dh.gov.uk/en/Publicationsandstatistics/Publications/PublicationsPolicyAndGuidance
Connecting for Health, Corporate Records Management, available from:http://www.connectingforhealth.nhs.uk/systemsandservices/infogov/records
7. Associated Controlled Documents
http://www.rms-gb.org.uk/http://www.dh.gov.uk/en/Publicationsandstatistics/Publications/PublicationsPolicyAndGuidancehttp://www.dh.gov.uk/en/Publicationsandstatistics/Publications/PublicationsPolicyAndGuidancehttp://www.dh.gov.uk/en/Publicationsandstatistics/Publications/PublicationsPolicyAndGuidancehttp://www.dh.gov.uk/en/Publicationsandstatistics/Publications/PublicationsPolicyAndGuidancehttp://www.dh.gov.uk/en/Publicationsandstatistics/Publications/PublicationsPolicyAndGuidancehttp://www.rms-gb.org.uk/ -
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Data Protection Policy
Emergency Preparedness and Business Continuity Policy Email Policy
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Append ix A
Guideline Naming Convention
This Appendix sets out guidelines in relation to the naming conventions tobe developed by each operational unit. The guidelines are divided into 13basic rules which should be followed wherever possible.
Rule 1: Use short but meaningful names
File names should be kept as short as possible whilst also beingmeaningful. Long file names mean long file paths and long URLs which
increase the likelihood of error. They are more difficult to remember andrecognise, and are more difficult to transmit in emails as they often break.However, avoid using initials, abbreviations and codes that are notcommonly understood.
Rule 1 Example
Correct Incorrect
File name SausageMashCtteeRemit.rtf
The_sausage_and_mash_committee_remit.rtf
Explanation
Some words add length to a file name but do not contributetowards the meaning, for example words like the, a, and and.Where the remaining file name is still meaningful within the contextof the file directory these elements can be removed. Sometimeswords have standard abbreviations, e.g. cttee is a standardabbreviation for committee; where this is the case the standardabbreviation can be used.
Rule 2:Avoiding unnecessary repet it ion and redundancy
Avoid redundancy in file names and file paths. Unnecessary repetitionincreases the length of file names and file paths, which is incompatible withrule 1.
Rule 2 Example
Correct Incorrect
File name/.../Court/20041030Minutes.rtf
/.../Court/20041030CourtMinutes.rtf/ /Procedures/Ap
http://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/FileNameRules/Rule02.htmhttp://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/FileNameRules/Rule02.htm -
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Append ix A
procedures document. If two-digit numbers are used the latestversion will always be at the bottom of the list.
Rule 5: Use dates back to front
If using a date in the file name always state the date back to front, anduse four digit years, two digit months and two digit days: YYYYMMDD .
Dates should always be presented back to front, that is with the year first(always given as a four digit number), followed by the month (always givenas a two digit number), and the day (always given as a two digit number).Giving the dates back to front means that the chronological order of theRecords is maintained when the file names are listed in the file directory.This helps when trying to retrieve the latest dated Record.
Rule 5 Example
Correct Incorrect
File name
20040324Agenda.rtf20040324Minutes.rtf20040324PaperA.rtf20050201Agenda.rtf20050201Minutes.rtf
(Orderedalphanumerically asthe files would be in
the directory list)
1Feb2005Agenda.rtf1Feb2005Minutes.rtf24March2004Agenda.rtf24March2004Minutes.rtf24March2004PaperA.rtf
(Orderedalphanumerically as thefiles would be in the
directory list)
ExplanationThis example shows the minutes and papers of a committee. Bystating the year back to front the minutes and papers from themost recent meeting appear at the bottom of the directory list.
Rule 6: Use family names rather than Christ ian names
When including a personal name in a file name, use the family name firstfollowed by the initials.It may be appropriate to include within a file namethe name of an individual, usually when the record is a piece ofcorrespondence. However, it will not usually be appropriate to name
d ft th d t i id i d ft
http://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/FileNameRules/Rule05.htmhttp://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/FileNameRules/Rule05.htmhttp://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/FileNameRules/Rule05.htmhttp://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/FileNameRules/Rule05.htmhttp://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/FileNameRules/Rule06.htmhttp://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/FileNameRules/Rule06.htmhttp://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/FileNameRules/Rule06.htmhttp://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/FileNameRules/Rule06.htmhttp://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/FileNameRules/Rule05.htmhttp://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/FileNameRules/Rule05.htm -
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Append ix A
Rule 7: Avoid using common words
Avoid using common words such as draft or letter at the start of filenames, or all of those records will appear together in the file directory,making it more difficult to retrieve the records you are looking for.
You may only ignore this rule if starting file names with these sorts ofwords aids the retrieval of the records. See rule 8 for further details.
Rule 7 Example
Correct Incorrect
File name
//Publicity/AdvertisingV01Draft.rtfAdvertisingV05Final.rtfBudgetReport2002-2003V20Final.rtf
BudgetReport2003-2004V15Draft.rtfGrantS20040312.rtfOfficeProceduresV10Draft.rtfThomasA20031205.rtf
(Ordered alphanumericallyas the files would be in thedirectory list)
//Publicity/DraftAdvertising.rtfDraftBudgetReport2003-2004.rtfDraftOfficeProcedures.rtf
FinalAdvertising.rtfFinalBudgetReport2002-2003.rtfLetterAThomas.rtfLetterSGrant.rtf
(Orderedalphanumerically as thefiles would be in thedirectory list)
Explanation
The file directory will list files in alphanumeric order. This means that allRecords with file names starting Draft will be listed together. Whenretrieving files it will be more useful to find the draft budget report nextto the previous years budget, rather than next to an unrelated draftRecord.
Rule 8: Order the dif ferent elements in a file name in a logical way
The elements to be included in a file name should be ordered according tothe way in which the record will be retrieved during the course of every daybusiness. This will depend on the way you work. For example, if therecords are retrieved according to their date, the date element shouldappear first If the records are retrieved according to their description the
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Append ix A
WeddingDinner20030304.rtf
(Ordered alphabetically as the
files would be in the directorylist)
20040905ProcurementAward.rtf
(Ordered alphabeticallyas the files would be inthe directory list)
Explanation
The first example shows minutes and agenda of the SausageCommittee. Minutes and papers of a meeting are likely to beretrieved on the basis of the date of the meeting, it is thereforebest to have the date at the start of the file name, otherwise allthe Agendas will come at the top of the directory list, followed byall of the minutes, and then by the papers.
The second example shows the file names of the files in theEvents folder. Because events are likely to be retrieved by thename of the event rather than the date of the event, it is mostuseful to have that element first.
Rule 9: Record recurring events both by date and event name/subjectmatter
The file names of records relating to recurring events (e.g. meetingminutes and papers, weekly, monthly or annual reports, eventmanagement and budget planning documents) should include both thedate and the event name or event description so that the record can beidentified and retrieved.
When deciding the order of the elements consider rule 8. Date first willusually be appropriate for events that are time specific and recurring. Eventfirst will usually be appropriate for events that are infrequent, but regularlyrecurring.
The event description could be the title of the event or the subject of theevent, whatever description you choose, ensure that it is short, to the point,and readily recognisable to you and the colleagues you work with.
Rule 9 Example
Correct Incorrect
//Website/20040301WebStats rtf
//Website/WebStats20040301.rtf
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Append ix A
appropriate for the folder to be called WebStats, in which casethe file names only need to include the date. For anotherexample see the first rule 8 example.
The second example shows annual budget reports. Because thereports are annual and likely to be retrieved by the descriptionrather than the date, it is likely that it will be most appropriate forthe description element to come first. Also remember rule 2; insome cases it may be appropriate for the folder to be calledPlanning2003-2004, in which case the file names only need toinclude a description. For another example see the second rule 8example.
Rule 10: Use name of correspondent, subject description, date and rcvd when Recording correspondence
The file names of correspondence should include the following elementsso that the record can be easily identified and retrieved:
Name of correspondent, that is the either the name of the person who sentyou the letter/email/memo or the name of the person to whom you sent theletter/email/memo
Subject description, where it is not given in the folder title Date of letter/email/memo If incoming correspondence, include rcvd
When deciding the order of the elements consider rule 8. It will usually beappropriate to order the elements in the same order in which they are listedabove, as it is likely that correspondence will be retrieved on the basis ofthe correspondent. Also consider rule 2; a description of the subject mayalready be given in the folder name.
The sender is responsible for filing correspondence and any attachmentsor enclosures, except when the correspondence originates from outsidethe University, when the first named recipient is responsible for filing thecorrespondence and any attachments or enclosures.
If more than one email is received from the same person, on the same day,on the same subject and the latest email does not include the whole string
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Append ix A
shared drive, the documents will need to be saved separately, but the filenames should provide a cross reference between them; rule 11 should be
used for the attachment and rule 10 should be used for the email.
The file names of attachments that have been received should include thefollowing elements so that the context of the record is maintained:
Name of correspondent - to link the attachment with the covering email thisshould be the same as the file name on the email
Subject description - to link the attachment with the covering email thisshould be the same as the file name on the email
Date of email - to link the attachmentwith the covering email this should bethe same as the file name on the email
'attch' - to indicate the document is an attachment [2 digit number] of [2 digit number] - to indicate the number of attachments
received with the same covering email
When deciding the order of the elements consider rule 8. It will usually beappropriate to order the elements in the same order in which they are listedabove, as it is likely that the email and its attachment will be retrievedaccording to the correspondent. Also consider rule 2; a description of thesubject may already be given in the folder name.
Rule 11 Example
Correct Incorrect
//Complaints/BloggsJ20031205attch01of02.pdfBloggsJ20031205attch02of02.pdfBloggsJ20031205rcvd.txtBloggsJ20040105.rtfBloggsJ20040220.rtfThomasH20030610attch01of01.rtfThomasH20030610rcvd.txtThomasH20030710.rtf
(Ordered alphanumerically as the fileswould be in the directory list)
//Complaints/AttachmentFromHThomas10Jun03.rtfAttachment1FromJBloggs.pdfAttachment2FromJBloggs.pdfEmailFromHelenThomas10Jun03.txtEmailToJoeBloggs5Dec03.txtLetterFromJoeBloggs5Jan04.rtfLetterToHelenThomas10Jul03.rtf
LetterToJoeBloggs20Feb04.rtf
(Ordered alphanumerically as thefiles would be in the directory list)
This example shows the incoming and outgoing correspondence concerning
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Append ix A
Rule 12: Use version numbers followed by DRAFT or FINAL
The version number of a record should be indicated in its file name by theinclusion of V followed by the version number and, where applicable,Draft.
Some records go through a number of versions, for example they start outas working drafts, become consultation drafts and finish with a final draft,which may then be reviewed and updated at a later date. It is important tobe able to differentiate between these various drafts by giving them eachtheir own number.
Where a version number is applicable, it should always appear in the filename of the record so that the most recent version can be easily identifiedand retrieved.
Rule 12 Example
Correct Incorrect
File name
IEAM2003-2004V03Draft.htmIEAM2003-2004V04Final.htmOrgHier2002V02.xlsOrgHier2002V03.xls
OrgHier2002V04.xls
Iemodel0304_draftv3.htmIemodle0304_finalv4htmOrg_Hier_2002_v2.xlsOrg_Hier_2002_v3.xlsOrg_Hier_2002_v4.xls
Explanation
The first example shows two versions of the income andexpenditure attribution model for 2003-2004, version 3 is a draftversion and version 4 is the final version. The common abbreviationfor the model is used. The covering years are given in four-digitformat. The version number is given with two digits so that theversions will appear in numeric order.
The second example shows a number of versions of theorganisational hierarchy for 2002. In this case none of the versions
are marked as draft or final because the nature of the Recordmeans that draft and final are not applicable.
Rule 13: Avoid using non-alphanumeric characters
http://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/FileNameRules/Rule12.htmhttp://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/FileNameRules/Rule12.htmhttp://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/FileNameRules/Rule12.htmhttp://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/FileNameRules/Rule13.htmhttp://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/FileNameRules/Rule13.htmhttp://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/FileNameRules/Rule12.htmhttp://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/FileNameRules/Rule12.htmhttp://www.recordsmanagement.ed.ac.uk/InfoStaff/RMstaff/RMprojects/PP/FileNameRules/Rule12.htm -
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Append ix B
Typical thought t ree
YesIs there a statutory requirement
to keep these Records?(If unsure, check the corporate
retention schedule)
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
N
Does the Record contain
information which either has beenor is likely to be needed to defend
a legal case?
Are there any acceptedstandards/best practice notes to
follow?
Is the Record a draft of a reportthat has not yet been issued?
Is the Record required for anaudit trail? (e.g. financial
document)
Does the Record contain coreinformation which forms part of a
larger project?
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Appendix C
Business and Corporate (Non-Health) Records Retention Schedule
This retention schedule details a Minimum Retention Period for each type of corporate
Record. Records (whatever the media) may be retained for longer than the minimum
period. However, Records should not ordinarily be retained for more than 30 years. The
National Archives (see Note below) should be consulted where a longer period than 30
years is required, or for any pre-1948 Records. Organisations should also remember
that Records containing personal information are subject to the Data Protection Act
1998.
The following types of Record are covered bythis retention schedule (regardless of the
media on which they are held, including paper, electronic, images and sound):
administrative Records (including personnel, estates, financial and accounting
Records, and notes associated with complaint handling);
photographs, slides and other images (non-clinical);
microform (ie microfiche/microfilm);
audio and video tapes, cassettes, CD-ROMs, etc;
e-mails;
computerised Records; and
scanned documents
The schedule is split into the following types of Records:
Administrative (corporate and organisation)
Biomedical Engineering
Estates/engineeringFinancial
IM & T
Other
Personnel/human resources
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Appendix C
Procedure for the Management of Corporate Records Issued: 14/04/2010Document Control Number: 469 22 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
ADMINISTRATIVE (CORPORATE AND
ORGANISATION)
Accident forms (see also Litigation dossiers) 10 years Destroy under
confidentialconditions
S
Accident register (Reporting of Injuries,
Diseases and Dangerous
Occurrencesregister) see also Incident
forms
10 years Reporting of Injuries,
Diseases and Dangerous
Occurrences Regulations
(reg. 7); SocialSecurity(Claims and Payments)
Regulations (reg. 25)
Destroy under
confidential
conditions
C
Adoption Records
(i.e. administrative Records relating the
adoption process)
75th anniversary of the date of birth of
the child to whom it relates or, if the
child dies before attaining the age of
18,15 years beginning with thedate of
the 18th birthday
Children and Young Persons
Arrangements for Placement
of Children (General)
(Regulations 1991,SI 1991,
No. 890 regs. 8, 9, 10
childrens Records) Adoption
Regulations 2004(reg. 34)
Destroy under
confidential
conditions
N
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Appendix C
Procedure for the Management of Corporate Records Issued: 14/04/2010Document Control Number: 469 23 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Advance letters (eg DH guidance) 6 years Destroy S
Agendas of board meetings, committees,
sub-committees (master copies,including
associated papers)
30 years See note 1 S
Agendas (other) 2 years Destroy under
confidential
conditions
S
Agreements (see Contracts)
Ambulance Records Administrative (i.e.
Records containing non-clinical details only)
e.g. Records of journeys
2 years from the end of the year to
which they relate
Destroy under
confidential
conditions
N
Annual/corporate reports 3 years See note 1 S
Appointment Records (GP) 2 years (Provided that any patient- Destroy under N
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Appendix C
Procedure for the Management of Corporate Records Issued: 14/04/2010Document Control Number: 469 24 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
relevant information has been
transferred to the patient Record)
At the end of the 2 year retention
period GP practices should consider if
there is an ongoing administrative
need to keep the Records/books for
longer. If there IS an ongoing need toretain these Records/books, then a
further review date should be set
(either 1 or 2 more years)
confidential
conditions
once a decision
has been made
that there is no
ongoing
administrativeneed to retain
the Records.
Assembly/Parliamentary questions,MP
enquiries
10 years As these
documents
include allinformation
provided by the
organisation in
response to a
PQ (e.g.
background note
to the Minister or
the Minster mayamend the
response) all of
which may not
be used in the
response and
S
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TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
therefore it will
not be in the
public domain on
House of
Commons
Records they
must bedestroyed under
confidential
conditions.
Audit Records (e.g. Organisational Audits,
Records Audits, Systems Audits) Internal &External in any format (paper, electronic etc)
2 years from the date of completion of
the audit
Destroy under
confidentialconditions
N
Business plans, including local delivery plans 20 years Destroy S
Catering forms 6 years Destroy underconfidential
conditions
S
Close circuit TV images 31 days Information Commissioners Erase S
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Procedure for the Management of Corporate Records Issued: 14/04/2010Document Control Number: 469 26 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Code of Conduct permanently
Commissioning decisions
Appeal documentation
Decision documentation
6 years from date of appeal decision
6 years from date of decision
Destroy under
confidential
conditions
S
S
Complaints (See also litigation dossiers)
Correspondence, investigation and outcomes
Returns made to DH
8 years from completion of action
Files closed annually and kept for
6 years following closure
NB: Current policy on the handling of
complaints is under review and further
guidancewill be issued in due course
Destroy under
confidential
conditions
C
Copyright declaration forms
(Library Service)
6 years Copyright, Designs and
Patents Act 1988
Destroy under
confidential
conditions
N
Data Input Forms (where the data/information
has been input to a computer system)
2 years Destroy under
confidential
conditions
N
A di C
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TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Diaries (office) 1 year after the end of the calendar
year to which they refer
Destroy under
confidential
conditions
S
Exposure monitoring Records 5 years from the date the Record was
made
Control of Substances
Hazardous to Health
Regulations 2002 (reg. 10(5))
Destroy under
confidential
conditions
S
Find-a-Doc Records (kept by PCTs)
contact sheets and letters
assignment cases/letters
Records of negotiations with GMS contract
managers re: patient registration with a
GP
6 months
2 years
2 years
Destroy under
confidentialconditions
N
Flexi working hours (personal Record ofhours actually worked)
6 months Destroy underconfidential
conditions
S
Freedom of Information requests 3 years after full disclosure; Destroy under S
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TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
conditions
Indices (Records management) Registry lists of public Records
marked for permanent preservation,
or containing the Record of
management of public Records 30years
File lists and document lists where
public Records or their management
are not covered 30 years
See note 1
Destroy under
confidential
conditions
S
S
Laundry lists and receipts 2 years from completion of audit Destroy under
confidentialconditions
S
Library registration forms 2 years after registration Destroy S
Litigation dossiers (complaints including
accident/incident reports)
Records/documents relating to anyform of
litigation
10 years
Where a legal action has commenced,
keep as advised by legal
representatives
Destroy under
confidential
conditions
S
S
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TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Manuals policy and procedure
(administrative and clinical, strategy
documents)
10 years after life of the system (or
superseded) to which the policies or
procedures refer
Destroy (policy
documents may
have archival
value see note
1)
S
Maps Lifetime of the organisation See note 1 S
Meetings and minutes papers of major
committees and sub-committees
(master copies)
30 years See note 1 S
Meetings and minutes papers (other,
including reference copies of major
committees)
2 years Destroy under
confidential
conditions
S
Mental Health Act Administration Records 5 years
NB There is no obligation to treat this
type of mental health Record as being
part of a patients health Record.
There may, however, be exceptions,
such as where they are required to be
HC(91)29 (NHS)
SI 2001/3869, reg.47
(Independent Sector)
Destroy under
confidential
conditions
N
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TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
kept as evidence in actual or
expected litigation or where they are
needed by a healthcare professional
in order to provide healthcare.
Each healthcare practitioner has
discretion as to the information which
s/he wishes to include as part of apatient Record. If in any particular
case a healthcare practitioner requires
a document which forms part of the
mental health act administration
Record to be included in a patients
Record (because he or she regards it
as relevant to the patients
healthcare), it should then be
regarded as part of the patient health
Record
Mortgage documents (acquisition, transfer
and disposal)
6 years after repayment See note 1 S
Nominal rolls 6 years (maximum) Destroy under
confidential
conditions
S
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pp
Procedure for the Management of Corporate Records Issued: 14/04/2010Document Control Number: 469 32 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Papers of minor or short-lived importance not
covered elsewhere, eg:
advertising matter
covering letters
reminders
letters making appointmentsanonymous or unintelligible letters
drafts
duplicates of documents known to be
preserved elsewhere (unless they have
important minutes on them)
indices and registers compiled for temporary
purposes
routine reports
punched cards
other documents that have ceased to be of
value on settlement of the matter involved
2 years after the settlement of the
matter to which they relate
Destroy under
confidential
conditions
S
Patient Advice & Liaison Service (PALS)Records
10 years after closure of the case Destroy underconfidential
conditions
N
Patient information leaflets 6 years after the leaflet has been See note 1 C
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TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
superseded
Patients property books/registers (property
handed in for safekeeping)
6 years after the end of the financial
year in which the property was
disposed of or 6 years after the
register was closed
Destroy under
confidential
conditions
S
Patient Surveys (re access to services etc) 2 years Destroy under
confidential
conditions
N
Phone Message Books 2 years
NB Any clinical information should be
transferred to the patient health
Record
Destroy under
confidential
conditions
N
Police Statements (made in the context of
Accident and Emergency episodes.
Statements are requested by the Police to
the A&E staff in relation to alleged injuries of
or by patients coming through A&E)
10 years (congruent retention period
as Incident Forms)
Destroy under
confidential
conditions
N
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Procedure for the Management of Corporate Records Issued: 14/04/2010Document Control Number: 469 34 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Press cuttings 1 year Destroy (where
bound volumes
exist, see note 1)
S
Press Releases 7 years see note 1 N
Project files (over 100,000) on termination,
including abandoned or deferred projects
6 years See note 1 S
Project files (less than 100,000) on
termination
2 years Destroy under
confidential
conditions
S
Project team files (summary retained) 3 years Destroy under
confidential
conditions
S
Public Consultations e.g. about future
provision of services
5 years Destroy under
confidential
conditions
N
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Procedure for the Management of Corporate Records Issued: 14/04/2010Document Control Number: 469 35 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Quality and Outcomes Framework (QOF)
documents (GP Practice Records)
2 years Destroy under
confidential
conditions
N
Quality assurance Records (eg Healthcare
Commission, Audit Commission, Kings Fund
Organisational Audit, Investors in People)
12 years Destroy under
confidential
conditions
S
Receipts for registered and Recorded mail 2 years following the end of the
financial year to which they relate
Destroy under
confidentialconditions
S
Records documenting the archiving, transfer
to public Records archive or destruction of
Records
30 years See note 1 S
Records of custody and transfer of keys 2 years after last entry Destroy under
confidential
conditions
S
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Procedure for the Management of Corporate Records Issued: 14/04/2010Document Control Number: 469 36 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Reports (major) 30 years See note 1 S
Requests for access to Records, other than
Freedom of Information or subject accessrequests
6 years after last action Destroy under
confidentialconditions
S
Requisitions 18 months Destroy under
confidential
conditions
S
Research ethics committee Records 3 years from date of decision See note 1 C
Serious incident files 30 years See note 1 S
Specifications (eg equipment, services) 6 years Limitation Act 1980 Destroy under
confidential
conditions
S
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Procedure for the Management of Corporate Records Issued: 14/04/2010Document Control Number: 469 37 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Statistics (including Korner returns, contract
minimum data set, statistical returns to DH,
patient activity)
3 years from date of submission Destroy S
Subject access requests (DPA and AHR)
Records of requests
3 years after last action Destroy under
confidentialconditions
S
Surgical appliances forms AP 1, 2, 3 and 4 2 years from completion of audit Destroy under
confidential
conditions
S
Time sheets (relating to a Group or
Department e.g. Ward where the timesheets
are kept as a tool to manage resources,
staffing levels)
6 months Destroy under
confidential
conditions
N
BIOMEDICAL ENGINEERING
Sterilix Endoscopic Disinfector Daily Water 11 years Consumer Protection Act Destroy under
confidential
N
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TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Cycle Test, 1987 conditions
Sterilix Endoscopic Disinfector Daily Water
Purge Test, Nynhydrin Test
11 years Consumer Protection Act
1987
Destroy under
confidential
conditions
N
ESTATES/ENGINEERING
Buildings and engineering works, including
major projects abandoned or deferred key
Records (eg final accounts, surveys, site
plans, bills of quantities)
30 years See note 1 S
Buildings and engineering works, including
major projects abandoned or deferred town
and country planning matters and all formal
contract documents (eg executed
agreements, conditions of contract,
specifications, as built Record drawings,
documents on the appointment and
conditions of engagement of private buildings
and engineering consultants)
30 years See note 1 S
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TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Buildings papers relating to occupation of
the building (but not health and safety
information)
3 years after occupation ceases Construction Design
Management Regulations
1994
Destroy under
confidential
conditions
S
Deeds of title Retain while the organisation has
ownership of the building unless a
Land Registry certificate has been
issued, in which case the deeds
should be placed in an archive
If there is no Land Registry certificate,
the deeds should pass on with thesale of the building
See note 1 S
Drawings plans and buildings (architect
signed, not copies)
Lifetime of the building to which they
relate
See note 1 S
Engineering works plans and buildingRecords
Lifetime of the building to which theyrelate
See note 1 S
Equipment Records of non-fixed
equipment, including specification, test
11 years
If the Records relate to vehicles
Consumer Protection Act
1987
Destroy under
confidential
N
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Document Control Number: 469 40 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Records, maintenance Records and logs (ambulances, responder cars, fleet
vehicles etc) and where the vehicle no
longer exists, providing there is a
Record that it was scrapped, the
Records can be destroyed
conditions
Inspection reports (eg boilers, lifts) Lifetime of installation
If there is any measurable risk of a
liability in respect of installations
beyond their operational lives, the
Records should be retained
indefinitely
See note 1 S
Inventories of furniture, medical and surgical
equipment not held on store charge and with
a minimum life of 5 years
Keep until next inventory See note 1 C
Inventories of plant and permanent or fixed
equipment
5 years after date of inventory See note 1 S
Land surveys/registers 30 years See note 1 S
Leases the grant of leases, licences and Period of the lease plus 12 years Limitation Act 1980 Destroy under S
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Document Control Number: 469 42 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Plans building (detailed) Lifetime of building May have
historical value
(see note 1)
S
Plans engineering Lifetime of building See note 1 S
Property acquisitions dossiers 30 years See note 1 S
Property disposal dossiers 30 years See note 1 S
Radioactive waste 30 years Radioactive Substances Act
1993
See note 1 S
Site files Lifetime of site See note 1 S
Structure plans (organisational charts) i.e. the
structure of the building plans
Lifetime of building See note 1 C
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Document Control Number: 469 44 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Advice notes (payment) 1.5 years Destroy under
confidential
conditions
S
Audit Records (internal and external audit)
original documents
2 years from completion of audit Destroy under
confidentialconditions
N
Audit reports internal and external
(including management letters, value for
money reports and system/final accounts
memoranda)
2 years after formal completion by
statutory auditor
Destroy under
confidential
conditions
N
Bank statements 2 years from completion of audit Destroy under
confidential
conditions
S
Banks Automated Clearing System (BACS)
Records
6 years after year end Destroy under
confidential
conditions
S
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Document Control Number: 469 45 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Benefactions (Records of) 5 years after end of financial year in
which the trust monies become finally
spent or the gift in kind is accepted. In
cases where the Benefaction
Endowment Trust fund/capital/interest
remains permanent,Records should
be permanently retained by the
organisation
See note 1 S
Bills, receipts and cleared cheques 6 years Destroy under
confidential
conditions
S
Budgets (including working papers, reports,
virements and journals)
2 years from completion of audit Destroy under
confidential
conditions
S
Capital charges data 2 years from completion of audit Destroy underconfidential
conditions
S
Capital paid invoices (see Invoices)
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Document Control Number: 469 46 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Cash books 6 years after end of financial year to
which they relate
Limitation Act 1980 Destroy under
confidential
conditions
S
Cash sheets 6 years after end of financial year to
which they relate
Limitation Act 1980 Destroy under
confidential
conditions
S
Contracts financial Approval files 15 years
Approved suppliers lists 11 years
Destroy under
confidentialconditions
C
Contracts non-sealed (property) on
termination
6 years after termination of contract Limitation Act 1980 Destroy under
confidential
conditions
S
Contracts non-sealed (other) on termination 6 years after termination of contract LimitationAct 1980 Destroy under
confidential
conditions
S
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Document Control Number: 469 47 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Contracts sealed (and associated Records) Minimum of 15 years, after which they
should be reviewed
See note 1 S
Contractual arrangements with hospitals orother bodies outside the NHS, including
papers relating to financial settlements made
under the contract (eg waiting list initiative,
private finance initiative)
6 years after end of financial year towhich they relate
Destroy underconfidential
conditions
S
Cost accounts 3 years after end of financial year towhich they relate
Destroy underconfidential
conditions
S
Creditor payments 3 years after end of financial year to
which they relate
Destroy under
confidential
conditions
S
Debtors Records cleared 2 years from completion of audit Destroy under
confidential
conditions
S
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Procedure for the Management of Corporate Records Issued: 14/04/2010
Document Control Number: 469 48 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Debtors Records uncleared 6 years from completion of audit Destroy under
confidential
conditions
S
Demand notes 6 years after end of financial year to
which they relate
Destroy under
confidential
conditions
S
Estimates, including supporting calculations
and statistics
3 years after end of financial year to
which they relate
Destroy under
confidentialconditions
S
Excess fares 2 years after end of financial year to
which they relate
Destroy under
confidential
conditions
S
Expense claims, including travel and
subsistence claims, and claims and
authorisations
5 years after end of financial year to
which they relate
Destroy under
confidential
conditions
S
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Document Control Number: 469 51 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
PAYE Records 6 years after termination of
employment
Destroy under
confidential
conditions
S
Payments 6 years after year end Destroy under
confidentialconditions
S
Payroll (ie list of staff in the pay of the
organisation)
6 years after termination of
employment
Destroy under
confidential
conditions
Forsuperannuation
purposes,
organisations
may wish to
retain such
Records until the
subject reaches
benefit age
S
Positive predictive value performance
indicators
3 years Destroy under
confidential
conditions
S
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Document Control Number: 469 52 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Private Finance Initiative (PFI) 30 years See note 1 S
Receipts 6 years after end of financial year to
which they relate
Limitation Act 1980 Destroy under
confidentialconditions
S
Salaries (see Wages)
Superannuation accounts 10 years Destroy underconfidential
conditions
S
Superannuation registers 10 years Destroy under
confidential
conditions
S
Tax forms 6 years Destroy under
confidential
S
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Document Control Number: 469 53 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
conditions
Transport (staff pool car documentation) 3 years unless litigation ensues Destroy under
confidential
conditions
S
Trust documents without permanent
relevance/not otherwise mentioned
6 years Destroy under
confidential
conditions
S
Trusts administered by StrategicHealthAuthorities (terms of)
30 years See note 1 S
VAT Records 6 years after end of financial year to
which they relate
Destroy under
confidential
conditions
S
Wages/salary Records 10 years after termination of
employment
Destroy under
confidential
conditions
S
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Document Control Number: 469 54 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
For
superannuation
purposes,
organisations
may wish to
retain such
Records until the
subject reachesbenefit age.
IM & T
Documentation relating to computer
programmes written in-house
Lifetime of software Destroy under
confidential
conditions
S
Software licences Lifetime of software Destroy under
confidential
conditions
S
OTHER
Appendix C
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINAL CODE
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Document Control Number: 469 55 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Chaplaincy Records 2 years May have
archival value
see note 1
S
Contractor Applications (Doctors, Dentists,
Opticians & Pharmacists)
6 years after end of contract for
approvals
6 years for non-approvals.
Destroy under
confidential
conditions
N
Contractor Records
(e.g. Ophthalmic Opticians, Ophthalmic
Medical Practitioners, Pharmacists,
Pharmacy Premises, General Optical Councilamendments to the register, Previous
Pharmacy rotas and supporting information
(prior to 2005 new regulations), Copies of
previous Pharmacy and Ophthalmic local
lists, Correspondence relating to pharmacies
supplying oxygen and visiting
Residential/Nursing homes (prior to new
regulations)
7 years NHS(General Ophthalmic
Services) Regs 1986:
A contractor shall keep a
proper Record in respect ofeach patient to whom he
provides general ophthalmic
services, giving appropriate
details of sight testing.
Subject to paragraph 8(5) a
contractor shall retain all such
Records for a period of sevenyears, and shall during that
period produce them when
required to do so by a Primary
Care Trust or the Secretary of
State.
Destroy under
confidential
conditions
N
Appendix C
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TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Follow link below for more
detail
http://www.dh.gov.uk/assetRo
ot/04/10/12/ 42/04101242.pdf
Doctors Postgraduate Educational
Allowance/ Personal Development Plan files
and supporting general correspondence
Records kept by PCTs
GP Seniority (prior to 2004 new
regulations)
NHS(General Ophthalmic
Services) Regs 1986:
A contractor shall keep a
proper Record in respect of
each patient to whom he
provides general ophthalmic
services, giving appropriate
details of sight testing.
Subject to paragraph 8(5) acontractor shall retain all such
Records for a period of seven
years, and shall during that
period produce them when
required to do so by a Primary
Care Trust or the Secretary of
State.
Follow link below for more
detail
http://www.dh.gov.uk/assetRo
ot/04/10/12/ 42/04101242.pdf
Destroy under
confidential
conditions
N
Appendix C
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TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
Family Health Service Appeals Authority
tribunal and case files
Case files 10 years
Decision Records until individuals
80th birthday
See note 1
Destroy under
confidential
conditions
S
GP retirements/moved away 6 years after individual leaves service,
at which time a summary of the file
must be kept until the individuals 70th
birthday
See note 1 N
Research and development (organisation)
i.e. all the organisations Records associated
with research and development and notindividual trial Records or information on
patients.
30 years Medical Research Council See note 1 N
PERSONNEL/HUMAN RESOURCES
NB Both medical staff Records and agency
locums staff Records should be treated aspersonnel Records and retained accordingly.
Consultants (Records relating to the
recruitment of)
5 years NHS (Appointment of
Consultants) Regulations,
Destroy under
confidential
S
Appendix C
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINAL CODE
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Document Control Number: 469 58 of 65 Version No: 1
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
good practice guidelines,
page 11, para. 5.3
http://www.dh.gov.uk/assetRo
ot/04/10/27/ 50/04102750.pdf
conditions
CVs for non-executive directors (successful
applicants)
5 years following term of office Destroy under
confidential
conditions
S
CVs for non-executive directors
(unsuccessful applicants)
2 years Destroy under
confidential
conditions
S
Duty rosters
i.e. organisation or departmental rosters, not
the ones held on the individuals Record.
4 years after the year to which they
relate
Destroy under
confidential
conditions
N
Industrial relations (not routine staff matters),
including industrial tribunals
10 years Destroy under
confidential
conditions
S
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/SU O CO U O O OACTION
CO
annual leave Records, duty rosters,
clock cards, timesheets, study leave
applications, training plans
include periods of up to 6
years or more prior to the
claim and where evidence
could be needed from a
number of sources, it is
appropriate to retain as
much as possible from the
original file.
Letters of appointment 6 years after employment has
terminated or until 70th birthday,
whichever is later
Destroy under
confidential
conditions
S
Nurse training Records (from hospital-based
nurse training schools prior to the
introduction of academic-based training)
30 years See note 1 N
Pension Forms (all) 7 years HMRC Technical Pension
Notes for registered pension
schemes under regulation 18
of SI2006/567
RPSM12300020 Scheme
Adminstrator Information
Requirements and
Destroy under
confidential
conditions
N
Appendix C
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINAL CODE
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ACTION
Adminstration for General
Retention of Records
Personnel/human resources Records major
(eg personal files, letters of appointment,
contracts, references and related
correspondence, registration authority forms,
training Records, equal opportunity
monitoring forms (if retained))
NB Includes locum doctors
6 years after individual leaves service,
at which time a summary of the file
must be kept until the individuals 70th
birthday
Summary to be retained until
individuals 70th birthday or until 6
years after cessation of employment if
aged over 70 years at the time.
The summary should contain
everything except attendance books,annual leave Records, duty rosters,
clock cards, timesheets, study leave
applications, training plans
The 6 year retention period is
to take into account any ET
claims, or EL claims that may
arise after the employee
leaves NHS employment,
requests for information from
the NHS pensions agency etc.
Claims of this nature can
include periods of up to 6
years or more prior to the
claim and where evidencecould be needed from a
number of sources, it is
appropriate to retain as
much as possible from the
original file.
See note 1 N
Personnel/human resources Records minor
(eg attendance books, annual leave Records,
duty rosters (i.e. duty rosters held on the
individuals Record not the organisation or
departmental rosters), clock cards,
2 years after the year to which they
relate
Destroy under
confidential
conditions
N
Appendix C
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ACTION
timesheets (relating to individual staff
members))
NB Includes locum doctors
Staff car parking permits 3 years Destroy under
confidential
conditions
S
Study leave applications 5 years Destroy under
confidential
conditions
S
Timesheets (for individual members of staff) 2 years after the year to which they
relate
NB Timesheets (for all individuals
including locum doctors) held on the
personnel Record are minor Records
retain for 2 years.
Timesheets held elsewhere i.e. onthe ward retain for 6 months (as the
master timesheet is held on the
personnel file)
Destroy under
confidential
conditions
N
Appendix C
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALC O
CODE
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ACTION
Training plans 2 years Destroy under
confidential
conditions
S
PURCHASING/SUPPLIES
Approval files (contracts) 6 years after end of the year the
contract expired
Destroy under
confidential
conditions
S
Approved suppliers lists 11 years Consumer Protection Act1987
Destroy underconfidential
conditions
S
Delivery notes 2 years after end of financial year to
which they relate
Destroy under
confidential
conditions
S
Products (liability) 11 years Consumer Protection Act
1987
Destroy under
confidential
S
Appendix C
TYPE/SUBTYPE OF RECORD MINIMUM RETENTION PERIOD DERIVATION FINALACTION
CODE
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ACTION
conditions
Stock control reports 18 months Destroy under
confidential
conditions
S
Stores Records major (eg stores ledgers) 6 years Destroy under
confidential
conditions
S
Stores Records minor (eg requisitions,issue notes, transfer vouchers, goods
received books)
18 months Destroy underconfidential
conditions
S
Supplies Records minor (eg invitations to
tender and inadmissible tenders, routine
papers relating to catering and demands forfurniture, equipment, stationery and other
supplies)
18 months Destroy under
confidential
conditions
S
Appendix C
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CODE
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ACTION
Tenders (successful) Tender period plus 6 year limitation
period
Limitation Act 1980 Destroy under
confidential
conditions
S
Tenders (unsuccessful) 6 years Limitation Act 1980 Destroy under
confidential
conditions
S