Archiving, retention and disposal policy
This instruction applies to: Reference:
Providers of Probation Services PI 28/2014 Issue Date Effective Date Expiry Date Implementation Date 01 May 2014 01 June 2014 31 April 2015 Issued on the NOMS Agency Board authority of For action by All staff responsible for the development and publication of policy and instructions NOMS HQ National Probation Service (NPS) Directorate Community Rehabilitation Companies (CRC) . Instruction type Service improvement/legal compliance For information All staff providing Probation Services
Provide a summary This policy is a revision of PI 06-2011 to comply with the changes of the policy aim and required by the Transforming Rehabilitation Programme. the reason for its development / The policy aims to provide Instruction and guidance to the National revision Probation Service (NPS) in the management of paper and electronic records with particular reference to retention and disposal. The policy does not apply to Offender Records which can be found in separate PI on the Management of Offender Records, applicable to NPS, CRC and other providers of probation services. This policy will reinforce roles and responsibilities to support records management policy across NPS Divisions on behalf of the MoJ. It will facilitate compliance with NOMS’ obligations under the Freedom of Information Act 2000 (FOIA), Data Protection Act 1998 (DPA) and Public Records Act 1958 (PRA) by ensuring that retention and disposal of records is carried out in line with a clearly established policy that has been formally adopted by the organisation. Contact NOMS Information Policy and Assurance Team, 1st Floor, Clive House, Petty France, London, SW1H 9EX Tel 0300 047 6285 Email: [email protected] Associated Must be read in conjunction with IT Security Policy, the Government documents Security Classification Policy and the Information Assurance Policy Audit/monitoring: There is a resource requirement on NPS to ensure a LIM is appointed. This role is not a post in itself and has been identified as a responsibility within the Divisional Support hub. The Local Information Manager (LIM) will need to spend time monitoring and reviewing local processes. The review frequency will be determined by the local management plan and detailed in the compliance statement. Introduces amendments to the following documents: - None. Notes: All mandatory actions in this Instruction are in Italics and must be strictly adhered to. Page 1
CONTENTS Hold down “Ctrl” and click on section titles below to follow link
Section Subject For reference by: 1 Executive Summary - Background 1.7 Desired Outcomes 1.12 Application 1.13 Mandatory Actions 1.16 Role of the Local Information Manager All NPS staff 1.28 Resource implication, Audit and Compliance 2 Review and disposal protocol 3 Glossary 4 Where to find more information Annex A Probation records definition Annex B Statutory responsibility Annex C Key Disposal/Retention Considerations Annex D Generic Retention Information Annex E Local Information Manager Role Description Annex F HR records Annex G Probation Estate Management records Annex H Project and Programme Management records Annex I Guidance on Managing Personal Data
PI 28/2014 ISSUE DATE 01/05/2014 Page 2
1. Executive Summary
Background
1.1 Government policy emphasises the importance of having systems in place for the timely and secure disposal of documents and records that are no longer required for business purposes. NOMS is responsible for complying with the Lord Chancellor’s Code of Practice on the management of records issued under s.46 of the FOIA which states that authorities should have in place a records management policy endorsed by senior management and made readily available to staff at all levels. Further information on statutory obligations can be found at Annex B.
1.2 NOMS has an overarching responsibility and this policy aims to provide Instruction and guidance to the National Probation Service (NPS), in the management of paper and electronic records with particular reference to retention and disposal. This policy will reinforce roles and responsibilities to support records management policy across NOMS on behalf of the MoJ. It will facilitate compliance with NOMS’ obligations under the Freedom of Information Act 2000 (FOIA), Data Protection Act 1998 (DPA) and Public Records Act 1958 (PRA) by ensuring that retention and disposal of records is carried out in line with a clearly established policy that has been formally adopted by the organisation.
1.3 Community Rehabilitation Companies (CRCs) are their own data controllers (and are individually accountable directly to the Information Commissioner) under the provisions of the DPA.
1.4 This policy is not applicable to CRCs, a separate policy on the management of offender records in the community describes the mandatory requirements placed on The National Probation Service (NPS), Community Rehabilitation Companies (CRCs) and other providers of contracted services when dealing with offender records.
1.5 Retention of specific documents is necessary to support various business requirements and to comply with legislation. To destroy these records prematurely could have a significant impact on MoJ, NOMS and NPS. Equally to keep these records permanently or longer than is necessary could mean that MoJ, NOMS and/or NPS are acting unlawfully or in breach of their statutory duties, as well as creating unnecessary storage costs
1.6 This Instruction covers a variety of functions and business activities undertaken by NPS and contains a number of suggested disposal schedules provided by The National Archives in line with the PRA, DPA and FOIA. Records which are specific to NPS should be managed in line with these schedules in order to ensure consistency between NPS Divisions. These records can be found at Annex F onwards.
Desired outcomes
1.7 The purpose of this policy is to provide a corporate policy framework to govern management decisions regarding whether a particular record (or set of records) should be either:
Retained – and if so in what format, and for what period Disposed of - as indefinite retention of personal data IS unlawful IN CERTAIN CIRCUMSTANCES
1.8 Records, for the purposes of this PI, are documents , data or information of corporate importance. This policy does not apply to Offender Records. Further information as to what constitutes a record can be found at Annex A.
PI 28/2014 ISSUE DATE 01/05/2014 Page 3
1.9 This policy is not concerned with the disposal/retention of unused materials (e.g. stocks of paper and unused forms). Similarly, print outs of material stored in electronic systems can be destroyed after use if the electronic record is retained for future reference (for example when used in referral and Court purposes). However, staff should note that the exception would be documents that are printed solely to be signed that have to be retained .
1.10 Duplicated records (e.g. photocopies of documents), are classed as records and therefore the same archiving and retention policy applies.
1.11 Note, records are also Information Assets. For further information, please review the NOMS Information Assurance Policy.
Application
1.12 All National Probation Service staff, contractors and third party suppliers with responsibilities for the Archiving, Retention and Disposal of non-offender information and records.
Mandatory actions
National Probation Service
1.13. Each National Probation Service (NPS) Division & Wales must assign a Local Information Manager (LIM) to assist in the operation of the policy described in this Instruction. This role is not a post in itself and has been identified as a responsibility within the Divisional Support hub. A description of the responsibilities of a LIM can be found at Annex E.
1.14 In addition to the LIM, there must be a named deputy to the LIM to provide cover when the LIM is absent. The LIM function is required during normal working hours – 24/7 cover is not required. For staff with job share arrangements, steps should be taken to make arrangements for suitable sharing to ensure the LIM role is fulfilled.
1.15 In order to confirm that these requirements have been met a compliance statement must be completed and returned to the NOMS Information Policy and Assurance team. Further information and a template document will be provided to LIMs. The compliance statement must contain the following details:
i) Name and contact details of LIM and deputy
ii) In respect of paper records – for each entry in the Information Asset register: details of registered files held; and how these are managed in accordance with this instruction.
iii) In respect of electronic records – for each entry in the Information Asset register: details of the main types of document held; and where they are held. If any process of archiving or destruction is in place, this should be specified.
Local Information Managers
1.16 The role of a LIM is to ensure effective archiving and retention of records. The LIM must ensure that regular reviews of files/records take place. During this review the LIM must
PI 28/2014 ISSUE DATE 01/05/2014 Page 4
adhere to the prescribed retention schedules as detailed from Annex D onwards. Any records no longer required must be disposed of and the destruction log completed.
1.17 The LIM can act as the overall co-ordinator by developing a network of supporting LIMs at offices within the NPS division to whom they can delegate the operational aspects of this function. However in doing so they must ensure that any such member of staff is fully conversant with this Policy and is also familiar with the operational requirements of the Service in relation to document retention/disposal.
1.18 Any LIM or person involved with the review and disposal and destruction of records must complete the destruction log (detailed at Section 3.3 of this document). If designing an electronic destruction log, the LIM must ensure the log is designed to the standards detailed at Section 3.3 below.
1.19 The Information Asset Registers now include retention schedules. LIMs are required to liaise with the local Information Asset Owners) to complete the appropriate retention schedule for any assets that are not identified in this PI. Guidance and support will be provided to LIMs and IAOs in the completion of this task.
1.20 The LIM is responsible for determining (in accordance with the Retention/Disposal protocol) whether to retain or dispose of specific documents that properly fall within the remit or control of his/her function. Each LIM should be conversant with the types of documents received, generated and stored in his/her business function in order to carry this out.
1.21 Because of the clear benefits resulting from the disposal of unnecessary documentation, the LIM is expected to be proactive in carrying out audits of existing documentation that may be suitable for disposal.
Completing the Destruction Log
1.22 It is the responsibility of the LIM (or designated member of staff) to complete a destruction log.
The log should detail: The date and method of disposal The officer who authorised disposal The justification for disposal, with reference to the policy document and relevant schedule
1.23 In the case of personal data, the destruction log must include the individual’s name or employee/NI number and Date of Birth and marked accordingly as to the level of security that the records are marked at.
1.24 The destruction log must be retained for 20 years from the date of the first entry on the log
1.25 The destruction log must be kept locally by the LIM in a secure place, and must be produced when requested by Audit or other regulatory body. 1.26 The log can be held in a paper registered file or can be held electronically. If the log is to be held electronically and designed locally, the LIM must ensure that the destruction log and procedures for its management are designed as set out below.
The appropriate access levels are allocated The log provides the audit trail of the destruction The procedures ensures the integrity and security of the destruction log The log maintains an accurate representation of the destruction
PI 28/2014 ISSUE DATE 01/05/2014 Page 5
The log is secured from alteration once the destruction is declared Adherence to the procedures must be able to be demonstrated The LIM must ensure that steps are taken to ensure that the media format does not become obsolete. The National Archives provides guidance on digital preservation. Consideration should be given to including destruction logs in the business continuity plan.
1.27 Further information in this respect is provided by The National Archives in their guidance: Management, appraisal and preservation of electronic records.
As far as possible, procedures should be adopted that conform to BS 10008:2008 Evidential weight and legal admissibility of electronic information.
Resource Implication, Audit and Compliance
1.28 There is a resource requirement on NPS to ensure a LIM is appointed . This role is not a post in itself and has been identified as a responsibility within the Divisional Support hub. The LIM will need to spend time monitoring and reviewing local processes. The review frequency will be determined by the local management plan and detailed in the compliance statement.
1.29 Exemplar compliance statements will be developed and made available to LIMs.
1.30 The return of compliance statements will be monitored and reports provided to NOMS Senior Management.
1.31 The NOMS Information Policy and Assurance Team is considering ways in which greater support can be provided for the filing and management of records. Further information will be provided in due course.
(Approved for publication)
Ben Booth Director of Information & Communications Technology, NOMS
PI 28/2014 ISSUE DATE 01/05/2014 Page 6
2 Review and Disposal Protocol
Review
2.1 In Records Management terms, ‘Review’ is the appraisal of documentation to establish what action should be applied to that record, for example whether the record should be destroyed, retained for a further period or transferred to an archival service.
2.2 The review of all types of record must be carried out on a regular basis. The purpose of the review is to ensure that the records are being retained in line with the appropriate schedule and that they are disposed of at the correct time in line with our legal obligations.
2.3 Where a retention period has expired in relation to a particular record a brief review should be carried out before a final decision is made to dispose of the record. This PI is intended to keep resource commitment to a minimum.
2.4 If records are reviewed following correct retention schedules, where the LIM (or designated staff member) is familiar with the contents or where the contents are straightforward then such an exercise may only take a few minutes.
2.5 Any review to decide whether to retain or dispose of a paper document or file (as defined by annex A) should be taken in accordance with the retention/disposal protocol. This protocol consists of:
The key disposal/retention considerations criteria checklist set out in Key Considerations (Annex C). Essentially no document should be disposed of unless all these have been considered in relation to the document. The Retention Schedules are contained in Annex D (and subsequent Annexes). These schedules provide guidance on recommended and mandatory retention periods for specific classes of records. This includes The National Archives guidance on retention schedules for Projects and Programmes, of which an extract can be found at Annex H.
2.6 LIMs are requested also to refer to the IT Security Policy and the Government Security Classification Policy when considering disposal and destruction and also retention of records to ensure issues such as security markings and data handling are considered.
2.7 Disposal and Destruction
2.8 Disposal in Records Management is the follow on action from ‘Review’. It is the direct result of a review that concludes a record has reached its expiry date.
2.9 Destruction in Records Management terms means the irretrievable destruction of records.
2.10 Destruction of records can be achieved by a range of processes:
Restricted waste – i.e. making available for collection by a government approved supplier Physical destruction on site (paper records - shredding) Permanent deletion (in a way that is not recoverable)– where electronic records are concerned
2.11 LIMs should take into account the following considerations when selecting a method of disposal and/or destruction:
PI 28/2014 ISSUE DATE 01/05/2014 Page 7
Under no circumstances must paper documents containing personal data or confidential information be simply binned or deposited in refuse tips. To do so could result in the unauthorised disclosure of such information to third parties and render NPS liable to prosecution or other enforcement action under the Data Protection Act. Such documents must be destroyed on site (e.g. by shredding) or placed in the specially marked “Restricted Waste” containers/bags.
Deletion – the Information Commissioner has advised that if steps are taken to make data virtually impossible to retrieve, then this will be regarded as equivalent to deletion. In the case of all electronic systems such as Probation Case Management Systems, OASys, IAPS, HR Data Warehouse and local systems, to meet the business requirement only specific users (system administrators) will be able to 'hard delete' information. Information regarding hard deletion of electronic records can be found in the IT Security Policy and the Government Security Classification Policy
Recycling – wherever practicable disposal should support recycling in-line with MoJ’s commitment to sustainable development and alternative waste disposal strategy.
A corporate pro-forma for documenting disposal can be found on the Information Assurance team webpage or can be obtained from the NOMS IPA Team.
2.12 Any Authority Information/record held in paper form that is selected for destruction must be removed in Restricted Waste containers/bags and be disposed of by a competent SEAP security cleared operator or appropriate device e.g. cross cut shredder compliant with the Government Security Policy Framework (SPF).
2.13 Documenting the disposal of records is a statutory requirement under various pieces of legislation, such as FOI, DPA and PRA.
2.14Disposal and destruction of electronic records
2.15 Record Retention and Disposition Schedules (RRDS) apply to records in whatever format they are created/held. Therefore electronic records need to comply with the same legislation and retention schedules as paper records. Generic guidance is provided below. More detailed guidance on electronic record handling will be provided in due course.
2.16 For national computer systems such as National Delius, OASys, and IAPS, automatic archiving and prompting for review of material is planned. User action will be required to confirm deletion. NOMS is responsible for developing these archiving solutions and relevant retention schedules will be published in an update to this Instruction.
2.17 For any other system such as OMNI, SharePoint data may be held which is not part of the national set and can be held in lotus notes and databases (for example HR, Finance, and procurement information). Users therefore will be required to follow appropriate retention schedules as detailed in the subsequent Annexes of this Instruction.
2.18 Authorised Users (those with the appropriate role based access) shall securely dispose of electronic copies of Probation Information in accordance with the retention policy in the sections above.
2.19 When any IT Asset that has ever been used, either temporarily or permanently to store Authority Information is determined to be excess to requirements or due for disposal the IT Asset must be disposed of using a SEAP Approved Contractor only in accordance with the IT Security Policy and the Government Security Classification Policy.
PI 28/2014 ISSUE DATE 01/05/2014 Page 8
2.20 In respect of the destruction of other electronic records in media formats such as CDs, DVDs and USB sticks, staff are advised to consult with NOMS IPA Team to ensure that the appropriate procedures are followed. Guidance can also be found in the IT Security Policy and the Government Security Classification Policy.
2.21 When reviewing an email with a view to retention, consideration should be given to the nature and importance of the email together with its contents. The appropriate retention should be applied. It is impractical to keep all emails within the Lotus notes environment; therefore staff should take the necessary steps to archive the email as per guidance provided at area level.
3. Glossary
AI NOMS Agency Instruction NPS National Probation Service DPA Data Protection Act 1998 DRO Departmental Records Officer EIR Environmental Information Regulations 2004 FOIA Freedom of Information Act 2000 HMPS HM Prison Service IAPS Interim Accredited Programme Software ICT Information & Communication Technology Group LIM Local Information Manager LIMs Local Information Managers MoJ Ministry of Justice NOMS National Offender Management Service OASys Offender Assessment System OMNI Offender Management National Infrastructure contract National Delius Probation Case Management System PRA Public Records Act 1958 PRO Public Records Office RIMS MoJ Records & Information Management Services RRDS Record Retention & Disposition Schedule s.46 Part One (Records Management) of the Lord Chancellor’s Code of Practice on the Management of Records issued under s.46 of FOIA SPF Security Policy Framework CRC Community Rehabilitation Company
4. Where to find more information
For further information please contact:
NOMS Information Policy and Assurance Team, 1st floor, Clive House, 70 Petty France, London, SW1H 9HD
Tel – 0300 047 6285 mailto:[email protected]
PI 28/2014 ISSUE DATE 01/05/2014 Page 9
Annex A:
Probation records definition:
Records are documents or data which record information of corporate importance. Not all documents are records. In particular most emails are not records, but those that are, need to be retained (see 5.3.7).
A separate policy on the management of offender records in the community describes the mandatory requirements placed on The National Probation Service (NPS), Community Rehabilitation Companies (CRCs) and other providers of contracted services when dealing with offender records.
Records are evidence of business activities and transactions, in other words records of what you did, when you did it, why you did it, how you did it and who was involved. Records can exist in many formats including paper, electronic document, emails, audio-visual materials etc.
Information is created and received by NOMS both internally and from external organisations. This generates a wide range of record types which fall into a number of categories including finance, HR, industrial relations, management, performance data and policy.
These records fall into several different categories:
Finance HR Industrial Relations Management Performance Data Policy
These records can take many different forms e.g.
Letters File notes Invoices Completed application forms Plans/drawings Records of expenditure Risk assessments Registers Contracts e-mail communications (and any attachments) Photographs and biometric data Tape Recordings CCTV recordings
Many of the above can be retained either as ‘hard’ paper records or in ‘electronic’ form. Retention of specific documents may be necessary to:
Fulfil statutory or other regulatory requirements. Support Audit. Evidence events/agreements in the case of disputes. Meet operational needs. Ensure the preservation of documents of historic or other value.
PI 28/2014 ISSUE DATE 01/05/2014 Page 10
The premature destruction of documents could cause:
Operational problems Threats to security Threats to the public Political Embarrassment Difficulty in defending litigious claims Failure to comply with: o Freedom of Information Act 2000 o Data Protection Act 1998 o Public Records Act 1958 and 1967 o Environmental Information Regulations 2004
On the other hand, the permanent retention of all documents is impractical. Appropriate disposal is encouraged for the following reasons:
Physical storage space is in short supply and is costly. Disposal of existing documents can produce a more efficient working environment. As the records grow, electronic storage space becomes cluttered, making searching and retrieval of records increasingly difficult. It also increases IT capacity requirements and raises IT service costs. Indefinite retention of personal data is not compliant with the DPA which states at Principle 5 that “personal data processed for any purpose or purposes shall not be kept for longer than is necessary for that purpose or those purposes”. Reduction of fire risk (in the case of paper records). It supports a clear desk policy
PI 28/2014 ISSUE DATE 01/05/2014 Page 11
Annex B:
Statutory Responsibilities:
All records held are subject to the Data Protection Act 1998 (DPA), Freedom of Information Act 2000 (FOIA) and Environmental Information Regulations 2004 (EIR); and must therefore be processed in such a way to facilitate access in an accurate and timely manner.
In Part One of the Lord Chancellor’s Code of Practice on the management of records issued under Section 46 of the FOIA, the Code provides guidance “to all relevant authorities as to the practice which it would, in the opinion of the Lord Chancellor, be desirable for them to follow in connection with the keeping, management and destruction of their records.” Part One also states that authorities should have in place a records management policy endorsed by senior management and made readily available to staff at all levels.
The National Probation Service is therefore required to ensure that they are compliant with this Instruction in order to meet the requirements of this Code of Practice.
In addition, NOMS has to discharge its responsibilities to the Ministry of Justice (MoJ), under Section Three of the Public Records Act 1958, which prescribes that each Government Department should appoint a Departmental Record Officer to be responsible for its records from the time they were created or first reviewed until their destruction or transfer to the Public Records Office. The MoJ Departmental Records Officer (DRO) has responsibility for all records managed by NOMS.
PI 28/2014 ISSUE DATE 01/05/2014 Page 12
Annex C:
Key Considerations
Key Disposal/Retention Considerations No document should be earmarked for disposal unless (i) the six Key Disposal/Retention considerations detailed in this Annex, and (ii) the Retention Schedules contained in the subsequent Annexes have been considered.
Key consideration No. 1 Has the document/file been appraised? 1. As a first step, the nature/contents of any document/file being considered for disposal should be ascertained. No document/file should be earmarked or designated for disposal unless this has been done. This can only be achieved by carrying out an inspection and appraisal. The process may only take a few minutes – perhaps even seconds. Nonetheless it can be a skilled task - depending on the complexity of the document(s) concerned – and should only be undertaken by officers who possess sufficient operational knowledge to enable them to identify the document/file concerned and its function within both the individual and corporate frameworks. Any decision that a specific type of document should be disposed of on expiry of a defined retention period must be an informed one i.e. taken with a full appreciation and understanding of the nature and function of such a document.
2. It follows that, if appraisal is inadvertently overlooked or carried out negligently or by an employee who lacks the necessary background operational knowledge, MoJ, NOMS and NPS run the risk of important documents being destroyed in error.
Key consideration No. 2 Is retention required to fulfil statutory or other regulatory requirements? Legislation which imposes retention periods, either directly or indirectly, includes the following:
Data Protection Act 1998 Environmental Information Regulations 2004 Freedom of Information Act 2000 Limitations Act 1980 Public Records Act 1958 and 1967 Rehabilitation of Offenders Act 1974 Taxes Management Act 1970
Key consideration No. 3 Is retention required to evidence events in the case of a dispute? On occasions the NPS becomes involved in disputes with third parties. Such disputes, if not satisfactorily resolved, can result in the dissatisfied party bringing legal proceedings, either with a view to obtaining monetary compensation or for judicial review. Alternatively, the NPS, may wish to take legal proceedings against an individual or organisation e.g. to recover an unpaid debt or in respect of faulty work.
Where a dispute arises, or litigation has been commenced, it is important that NOMS has access to all correspondence and other documentation that is relevant to the matter. Without this information, there is a danger that NOMS’ and or the NPS’ position will be compromised and that an unmeritorious claim might succeed.
It is important to keep in mind that, in the course of NOMS’ and the NPS’ everyday business, large volumes of documents (and emails) are generated that serve no purpose after relatively short periods of time. Many documents will relate to completed matters where, realistically, the risk of PI 28/2014 ISSUE DATE 01/05/2014 Page 13 subsequent litigation or other dispute is minimal, if not non-existent. Long-term retention of such documents is counter productive. The LIM should be prepared to carry out a risk analysis to establishing an appropriate retention period.
Key consideration No. 4 Is retention required to meet the operational needs of the service? In some cases retention may be desirable (whether permanent or otherwise) even though no minimum retention period applies or has expired. The LIM should recognise the danger of discarding documents or records that might be useful for future reference purposes (e.g. training), as precedents, or for corporate performance management (performance indicators, benchmarking and other comparison exercises). A professional judgement needs to be made as to the usefulness of a particular document, in conjunction with the business area.
Key consideration No. 5 Is retention required because the document or record is of historic interest or intrinsic value? In most cases this consideration will not be applicable. However, it is certainly possible that some documents currently in the NPS storage may be of historic interest. If this is the case then the LIM is required to obtain guidance from the NOMS Information Policy and Assurance team.
Key consideration No. 6 Have the risks of retaining or destroying been properly assessed? In addition to points 1-5 above, overall consideration should be given to the risks of retaining or not retaining the records, including the management of risk to the public.
PI 28/2014 ISSUE DATE 01/05/2014 Page 14
Annex D:
Generic Retention information
The following retention periods are based on the requirements of the Data Protection Act 1998. Any retention period should be treated as a benchmark as there might be situations where the data should be held for a minimum or longer periods than those recommended in Annexes, and these periods may also be altered by subsequent legislation or NOMS regulations.
Staff are reminded that as legislation changes, retention schedules may change. Therefore this instruction may be subject to amendment. Staff should ensure they use the published version on EPIC for reference when applying retention to records.
1.1 Retention Periods for Personal Data
1.1.1 The DPA states (principle 5) that organisations must not process (which includes “retain”) personal data for any longer than is required to fulfil business needs.
1.1.2 In accordance with the provisions of the appropriate Record Retention & Disposition Schedule (RRDS), personal records on staff must be reviewed regularly and destroyed when no longer required.
1.1.3 In the event of a subject access request (SAR) being made, we must search for, copy and provide all personal data held even if it is no longer in use. There are also cost implications from unnecessary storage of records. Review of records is therefore crucial to effective information management and the efficient use of resources.
1.2 Retention Periods for Staff Information 1.2.1 The attached Annexes state the retention periods which should be applied for key staff records. These are taken from guidance issued by The National Archives (TNA) and the Cabinet Office. Any documents which have a bearing on pension entitlement should be kept for 100 years from the date of birth or 5 years after the last action, whichever is the later.
Staff records – 6 months after unsuccessful job application. unsuccessful applicants Staff records – employees 6 years after leaving Service. CRB disclosures 6 months from date of receipt.
1.3 Retention Periods for Non-Personal Information 1.3.1 Freedom of Information Act (FOIA) compliance relies on the ability of the Service to identify and locate the information sought in an accurate and timely way.
1.3.2 The correct use of registered files will assist in meeting this requirement of the Act. A regular critical examination of information held is essential to avoid holding data longer than is required.
1.3.3 The following is not exhaustive and should be read in conjunction with the National Archives (TNA) guidelines. Advice can be obtained from the NOMS Information Policy and Assurance Team in respect of particular types of documents/information.
PI 28/2014 ISSUE DATE 01/05/2014 Page 15
ANNEX E RESPONSIBILITIES OF THE LOCAL INFORMATION MANAGER (NPS)
The designation of a Local Information Manager (LIM) is mandated in this instruction. The summary below is intended to provide some examples of typical LIM tasks. These may include:
- Providing a link between the NPS Division and the NOMS Agency Records Officer at NOMS HQ
- Understanding the requirements of this instruction and the contents of the Annexes (retention schedules and guiding principles for retention)
- Together with the deputy LIM, identifying key contacts across the division with record keeping responsibilities
- Ensuring that records (in all formats) are included on the Information Asset Register
- Coordinating the implementation of this instruction. This may include developing a plan of work to address any compliance issues and agreeing priorities with the Information Asset Owner, if necessary based on an assessment of information risks
- Agreeing local processes for reviewing records prior to destruction and ensuring that this is carried out on a regular basis
- Ensuring that destruction of records is authorised, the destruction log(s) completed and that the destruction log is retained
- Understanding what principles to consider when determining retention periods for local record types, ensuring that consultation with stakeholders takes place and that decisions about retention are recorded
- Seeking guidance from the NOMS Agency Records Officer when required
- Coordinating the annual return of the compliance statement required by this instruction and in accordance with instructions from the NOMS Agency Records Officer
PI 28/2014 ISSUE DATE 01/05/2014 Page 16
ANNEX F HR RECORDS RECORD RETENTION AND DISPOSITION SCHEDULE
(1) Employment and Career
DESCRIPTION RETENTION PERIOD 1. Written particulars of employment. Until age 100 years Contracts of employment, including the Certificate of Qualification or its equivalent and including the Senior Civil Service. Changes to terms and conditions, including change of hours letters. 2. Job History – consolidated record of whole Until age 100 years career and location details (paper or electronic). 3. Current address details. Until age 100 years 4. Record of location of Overseas service. Until age 100 years
5. Variation of hours – calculation formula for Destroy after use individual. 6. Promotion, temporary promotion and/or 6 years for payroll notification or 1 year after substitution documentation. leaving 7. Working time directive opt out forms. Until age 100 years 8. Record of previous service dates. Until age 100 years
9. Previous service supporting papers. Destroy after record noted as appropriate. 10. Qualifications/references. 1 year (but professional qualifications also held electronically indefinitely) 11. Transfer documents (OGD E18) Until age 100 years 12. Annual/Assessment reports. 5 years. 13. Annual/Assessment reports for the last 5 Until age 100 years years of service. 14. Training history. 6 years.
15. Travel and subsistence – claims and 6 years. authorisation. 16. Annual leave record. 2 years. 17. Job applications – internal. Until age 100 years 18. Recruitment, appointment and/or 1 year. promotion board selection papers. 19. Building society references. 6 months. 20. Welfare papers. 6 years or 1 year after leaving 21. Security personnel files. 6 years after leaving (if at normal retirement age) or 10 years after leaving (if before normal retirement age). 22. Files of Casual Members of Staff Destroy 1 year after termination of employment. PI 28/2014 ISSUE DATE 01/05/2014 Page 17
23. Records of hours worked/credits given Destroy/delete 2 years after latest date on and planned and actual hours worked sheet. [Flexi-Sheets/ Work Sheets/Work Rosters], whether held manually or electronically.
Departmental Records Officer & Head of Records Management Service Ministry of Justice, Communications and Information Directorate, 102 Petty France, London SW1H 9AJ
PI 28/2014 ISSUE DATE 01/05/2014 Page 18
HR RECORDS
(2) Pay and Pension
DESCRIPTION RETENTION PERIOD
1. Bank Details – Current 6 years after employment has ended.
2. Death Benefit Nomination and Revocation Until age 100 years Forms. 3. Death Certificates. Return original to provider. Retain copy until age 100 years
4. Decree Absolute. Return original to provider. Retain copy until age 100 years 5. Housing advance. 6 years after repayment.
6. Marriage certificate. Return original to provider. Retain copy until age 100 years 7. Unpaid leave periods (maternity leave etc). Until age 100 years
8. Statutory maternity pay documents. Until age 100 years 9. Other maternity pay documentation. Until age 100 years
10. Overpayment documentation. 6 years after repayment or write-off.
11. Personal payroll history, including record Until age 100 years of pay, performance pay, overtime pay, allowances, pay enhancements, other taxable allowances, payment for untaken leave, reduced pay, no pay, maternity pay. 12. Pension estimates and awards. Until age 100 years
13. Resignation, termination and/or retirement Until age 100 years letters. 14. Added years. Until age 100 years
15. Additional Voluntary Contributions (AVC) Until age 100 years
16. Payroll input forms 6 years
17. Bonus nominations. 6 years
PI 28/2014 ISSUE DATE 01/05/2014 Page 19
18. Record of: Until age 100 years
Full name and date of birth. National Insurance number. Pensionable pay at leaving. Reckonable service for pension purposes (and actual service where this is different, together with reasons for the difference). Reasons for leaving and new employers name (where known). Amount and destination of any transfer value paid. Amount of any refund of PCSPS contributions. Amount and date of any contributions. Equivalent Premium paid. All other papers relating to pensionability not listed above (e.g. papers about pensionability of other employment (including war service), extension of service papers, papers about 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.
19. Complete sick absence record showing Until age 100 years dates and causes of sick leave. 20. Statutory Sick Pay (SSP) forms. For last 5 years 21. Papers relating to disciplinary action which Until age 100 years has resulted in any changes to terms and conditions of service, salary, performance pay or allowances. 22. Authorisation for deputising, substitution 6 years except where there is an effect on allowance and/or overtime/travel time pensionable pay, in which case until age 100 years claim. 23. Advances for: 6 years after repayment
Season tickets Car parking Bicycles Christmas/holidays Housing
Departmental Record Officer and Head of Records Management Services Ministry of Justice, Communications and Information Directorate, 102 Petty France, London SW1H 9AJ
PI 28/2014 ISSUE DATE 01/05/2014 Page 20
HR RECORDS
(3) Health
DESCRIPTION RETENTION PERIOD
1. Health Declaration. Until age 100 years
2. Health referrals, including medical reports Until age 100 years 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) ).
3. Papers relating to any injury on duty. Until age 100 years
4. Medical reports of those exposed to a Until age 100 years substance hazardous to health, including:
Lead (Control of Lead at Work Regulations 1980) entry. Until age 100 years
Asbestos (Control of Asbestos at Work Regulations 1996). Until age 100 years
Compressed Air (Work in Compressed Air Regulations 1996). Until age 100 years
Radiation (Ionising Radiation Regulations 1985). Until age 100 years
5. Medical / Self Certificates – unrelated to 4 years industrial injury.
Departmental Records Officer & Head of Records Management Service Ministry of Justice, Communications and Information Directorate, 102 Petty France, London SW1H 9AJ
PI 28/2014 ISSUE DATE 01/05/2014 Page 21
ANNEX G
1.4 PROBATION ESTATE MANAGEMENT RECORDS
Schedule Title …Building Records: project documents Ref…1/96 Item Description Retention/Review/Disposal 1 Specification Review 25 years after contract end. 2 Bills of Quantity Review 16 years after compilation. 3 Tender documents: a) rejected Review 6 years after date of final paper.
b) accepted Review 16 years after project completion. 4 Agreements with contractors and consultants Review 16 years after date of final paper. 5 Building Records Centre (BRC) Surveys and inspections Destroy 2 years after issue.
a) Reports – master set b) Reports – other copies 6 Maintenance manuals Destroy when no longer required. 7 Standing instructions Review 2 years after revision or cancellation. 8 Final accounts Review after 25 years. 9 Client Project Board minutes and papers
a) record set Review 25 years after date of last paper. b) all other copies Destroy 5 years after date of last paper. 10 Tender and evaluation board papers Review 7 years after contract end. 11 Certificates (authorising payment) Review 25 years after issue. 12 Claim and arbitration files Review 25 years after settlement.
PI 28/2014 ISSUE DATE 01/05/2014 Page 22
Schedule Title….Buildings Records: Reports….Ref 2/96 Item Description Retention/Review/Disposal 1 Architectural
a)Master copy Review 25 years after issue.
Destroy 5 years after issue. b) Other copies 2 Structural engineering Review 15 years after issue. 3 Mechanical and electrical engineering Review 15 years after issue. 4 Drainage services Review 15 years after issue. 5 Building condition surveys Review 25 years after issue. 6 Quadrennial inspections Review 25 years after issue. 7 Fire precautions and services Review 10 years after issue. 8 Timber structures Review 20 years after issue. 9 Archaeological features Review 25 years after issue. 10 Financial and accounting Review 12 years after issue. 11 Asbestos inspections Review 40 years after issue.
(cf Control of Asbestos at Work (Amendment) Regulations 1992, SI 1992, No 3068) 12 Conservation Review 25 years after issue.
(Historic and listed buildings) 13 Other specialist reports not referred to above. Review 10 years after issue.
PI 28/2014 ISSUE DATE 01/05/2014 Page 23
Schedule Title….Buildings Records: Maps, plans & drawings…… Ref 3/96 Item Description Retention/Review/Disposal 1 Site Surveys Review 25 years after compilation. 2 Measured surveys Review 25 years after compilation. 3 Archaeological records Review 25 years after compilation. 4 Design drawings Review 25 years after compilation. 5 Perspective drawings Destroy 25 years after compilation. 6 Working copies of above Destroy 12 years after compilation. 7 Consultants’ and contractors’ drawings and Review 16 years after associated records completion of project. 8 ‘As built’ or ‘as installed’ drawings Review 15 years after settlement of contract. 9 Presentation records including drawings, Review 15 years after photographs, models, etc completion of project. 10 Competition drawings Review 10 years after result announced. 11 Feasibility studies, preliminary designs and Review 25 years after other proposals not implemented decision taken. 12 Computer Aided Design (CAD) records *
*See National Archives [TNA] guidance formerly PRO guidance Management; Appraisal and Preservation of Electronic Records (1999)
PI 28/2014 ISSUE DATE 01/05/2014 Page 24
Schedule Title….Buildings Records: maintenance records Ref….4/96 Item Description Retention/Review/Disposal 1 Maintenance schedules Review 16 years after superseded. 2 Maintenance diaries or logs Destroy 16 years after final entry. 3 Installation Surveys (plant and services) Review 16 years after date of survey. 4 Incident reports Review 5 years after action or, if a claim is made, 6 years after claim settled. 5 Maintenance programme Review 16 years after superseded. 6 Maintenance and operational manuals When equipment disposed of, destroy or transfer to new owner. 7 Health and safety inspection reports Review 12 years after issue. 8 Accident books Review 3 years after date of last entry. 9 Accident reports Review 5 years after action or, If a claim is made, 6 years after claim settled. 10 Plant and equipment condition surveys Review 10 years after date of survey. 11 Maintenance contracts and related correspondence Review 12 years after end of contract. 12 Meetings with contractors
a) agenda, minutes etc, record set Review 5 years after date of meeting. b) agenda, minutes etc, other copies Destroy 6 years after date of meeting. c) drafts, domestic arrangements etc Destroy 3 years after date of meeting.
13 Forward maintenance registers (FMR) Review 16 years after date of last entry. 14 Asbestos registers (SI 1992, No 3068) Review 40 years after date of last entry. 15 Asbestos incidents – correspondence, reports and Review 30 years after date of papers event.
PI 28/2014 ISSUE DATE 01/05/2014 Page 25
Schedule Title….Buildings Records: Legal Documents Ref….5/96 Item Description Retention/Review/Disposal 1 Title deeds and other documents relating to Transfer to new freeholder on freehold property * disposal. 2 Leases (signed copies) Destroy 16 years after expiry. 3 Memoranda of terms Destroy 16 years after expiry. 4 Subletting agreements Destroy 12 years after termination. 5 Wayleave agreements Destroy 12 years after expiry or termination. 6 Landlords’ consents Destroy 16 years after surrender, expiry or termination of lease or memoranda of terms. 7 Licences Destroy 16 years after surrender, expiry or termination of lease. 8 Schedules of known tenant alterations Destroy 16 years after surrender, expiry or memoranda of terms. 9 Register of records and documents deposited in Destroy 16 years after register safe custody ceases to be current. 10 Tests and statutory certificates Destroy 12 years after expiry or superseded. 11 Fire certificates Destroy 12 years after expiry or superseded. 12 Planning consents and correspondence
a) alteration to buildings Review 25 years after issue. b) new buildings Review 25 years after issue. 13 Listed buildings consents and correspondence Review 25 years after issue.
*not public records
PI 28/2014 ISSUE DATE 01/05/2014 Page 26
Schedule Title….Buildings Records: correspondence, photo and miscellaneous Ref….6/96 Item Description Retention/Review/Disposal Correspondence 1 Consultants and contractors Review 16 years after date of last paper. 2 Statutory authorities Review 25 years after date of last paper. 3 Utility and communication companies Review 16 years after date of last paper.
Photographic Records 4 Albums Review 10 years after compilation. 5 Catalogues of photographs Review 25 years after date of last entry. 6 Prints and negatives
a) site photographs Review 10 years after project or event.
b) work in progress Review 25 years after project or event.
c) completed works Review 25 years after project or event.
d) publicity photographs Review 25 years after project or event. Miscellaneous 7 Publicity literature (ceremonial, official openings, Review 5 years after event or dedications, etc) publication.
8 Historical narratives Review 25 years after issue. Staff work diaries Review 5 years after date of last entry. Any other records relating to buildings not Review 5 years after date of otherwise referred to in the schedules issue, closure or last action.
PI 28/2014 ISSUE DATE 01/05/2014 Page 27
ANNEX H
Project and Programme Management guidelines Extracts from guidance provided by The National Archives H.1 Introduction This guidance should be read in preparation of major programmes to ensure that the appropriate primary titles are provided under the policy registered file series for paper records. H.1.1 The following guidance is aimed at Departmental Record Officers and their staff and also staff in government departments and agencies who have responsibilities for project management. It covers records in all media generated by all kinds of projects, from simple undertakings such as the publication of government reports to large projects such as building construction. H.1.2 A project is a management approach designed to bring about a change. It provides a framework whereby a bridge between the current state of affairs and a planned future state may be constructed. Once the planned state has been achieved, the bridge can be dismantled, having served its purpose. All projects are thus finite and the records that they produce are of minimal business use thereafter. H.2 Minimum Retention Periods H.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 1980. See also Retention Scheduling: 3. Accounting Records (PRO, 2000). H.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. For example, the documents of a major government building project such as the Queen Elizabeth II Conference Centre in London are likely to be retained for longer than those for the refurbishment of a government office block. 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: 1. Buildings Records (PRO, 2000). H.2.3 The most important factors to consider when deciding what retention period is 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 to the development of the department or agency within the government infrastructure any residual value to the creators
H.2.4 The model schedule accompanying this guidance reflects minimum retention periods for various categories of records. Depending on the nature of the project departments and agencies may wish to retain some of the records in these categories for Second Review. Advice in this area is available from PRO Client Managers and guidance from Acquisition and Disposition Policies (PRO 2000). Some departments may also have in place operational selection policies that cover project records.
PI 28/2014 ISSUE DATE 01/05/2014 Page 28
H.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.
H.3 Scheduling the Records of Individual Projects H.3.1 In the case of major projects Departmental Record Officers (DROs) and project managers may wish to draw up a specific retention schedule at the beginning of the project, drawing on the minimum retention periods described in the model schedule included with this guidance. Such action will effectively take account of the particular nature of the project. H.3.2 When framing a specific retention schedule the project manager should consult end users. This might be conducted on an individual basis or through the project board established for the purpose. DROs or their representatives should be involved in such consultation or invited to project board meetings where records issues are discussed. H.3.3 Papers compiled by project and stage managers, by members of project assurance 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. H.3.4 As a general rule the records of small projects (those of less than twelve months duration) could be destroyed after two years. Some of the documents from such projects, however, may have to be retained for legal reasons (for example, financial information). H.3.5 Project records created and managed electronically may overlap with paper records. The two sets should be rationalised at the end of the project to reduce duplication. See also Management, Appraisal and Preservation of Electronic Records (2 vols, PRO 1999). H.3.6 For information on the compilation of retention schedules see Records Management Standards: Disposal Scheduling (PRO 1998).
PI 28/2014 ISSUE DATE 01/05/2014 Page 29
IteFm Description Disposal Notes 1 Project proposals - approved 10 years after completion of project. - rejected or deferred 5 years after completion of project.
2 Project Initiation 10 years after completion of Records relating to major Documents (PID) and project. projects may be kept for supporting Second Review (25 years) documentation (including business cases)
3 Feasibility studies Records relating to major - reports 10 years after issue. projects may be kept for Second Review (25 years).
- draft reports 2 years after date of last paper. 2 years after date of last - working papers paper. 5 years after date of last - correspondence paper.
4 Plans and Specifications (statements of requirements, operational requirements, technical plans, resource plans, etc) –
provisional/proposed 5 years after completion of project. - final 10 years after completion of project. - variations 10 years after completion of project.
PI 28/2014 ISSUE DATE 01/05/2014 Page 30
5 Contracts and See Retention Scheduling: Title deeds are not public Agreements 5. Contractual Records records but might be - contracts under seal (PRO, 2000) retained for administrative purposes. - other contracts - title deeds - correspondence
6 Contractors
- approved nominations 1 year after issue. - rejected nominations 1 year after issue. - approved list When new list is issued. - removals/suspensions 6 years after the end of the project. 7 Tender Boards - record set of papers At the end of the project. - other copies 1 year after date of last paper. - working papers 2 years after date of last paper.
- minutes of meetings 5 years after date of last paper. 8 Maps, plans, drawings Records relating to major and photographs projects may be kept for 10 years after completion of Second Review (25 years) - master set project. - working copies At the end of the project. - other copies 5 years after date of last paper. 9 Financial documents 6 years after completion of See also Retention (including investment the project. Scheduling: 3. Accounting appraisals) Records (PRO, 2000)
10 Equipment and Supplies 6 years after completion of the project.
PI 28/2014 ISSUE DATE 01/05/2014 Page 31
11 Land records
- allocation When land is released for other purposes. - procurement/disposal 12 years after date of disposal. 12 Human resources See Retention Scheduling: Originals should be with 2. Personnel Records (PRO, Personnel Departments 2000).
13 Health and Safety See Retention Scheduling: Records 4. Health and Safety Records (PRO, 2000).
14 Project Boards, Records relating to major Assessment Meetings, projects may be kept for etc Second Review (25 years) - minutes 5 years after date of last paper. - correspondence 5 years after date of last paper. 15 Reports (stage assessments, quality reviews, highlight reports, GANTT charts, etc) - interim 5 years after issue. - final Keep for Second Review. - evaluation Keep for Second Review. - draft At the end of the project 16 Product descriptions 5 years after completion of project.
17 Project operating 5 years after completion of manuals project.
PI 28/2014 ISSUE DATE 01/05/2014 Page 32
18 Miscellaneous records, 2 years after completion of such as: project. copies of documentation from other projects; information on products, equipment, machinery, etc; training courses; correspondence
PI 28/2014 ISSUE DATE 01/05/2014 Page 33
Annex I: Guidance on managing personal data
1. LIMS need to be aware that, under the DPA, personal data processed and held for any purpose must not be kept for longer than is necessary for that purpose. Note, however, that the DP contains no interpretation of this provision. The NPS must identify a legal requirement or genuine business need in order to justify keeping personal data on record, otherwise the personal data must be removed and securely destroyed.
2. In many instances the retention of personal data will be necessary for operational purposes. It is usually a matter of reasonable judgement and common sense as to how long personal data should be retained and provided there is adherence to this Policy and the retention schedules in the Annexes, relatively few problems should arise.
3. LIMs and other staff should nonetheless be aware that it can be easy to contravene DPA with regard to the retention of personal data. LIMs should, therefore, provide safeguards against this practice by ensuring that a thorough assessment of retention periods is conducted and documented, and records are reviewed at regular intervals.
4. In accordance with DPA, the NPS must ensure that records are regularly reviewed and that personal data is kept up to date and accurate. Personal data that is excessive, irrelevant, or no longer required for business purposes must be removed and securely destroyed.
5. The NPS should note the requirements regarding the retention of personal data provided to the NPS by another Data Controller (e.g. HMPS, HM Courts Service, etc.) under the terms of an Information Sharing Agreement. Information provided under such an agreement must be retained by the recipient for the period specified by the disclosing Data Controller and must not be retained for any longer period without express written consent.
6. Consideration should be given to The Rehabilitation of Offenders Act 1974. In many cases, the retention of information relating to spent convictions may be justified, but LIMs should be aware that unauthorised disclosure of information relating to previous convictions of a rehabilitated person is an offence.
PI 28/2014 ISSUE DATE 01/05/2014