Records Retention and Disposal Schedule
Human Resources Management
Version control
Version Author
Policy Approved By
Approval Date
Publication Date Review Due
V 1.0
Information Governance Unit
Philip Jones, Head of
Information Governance
June 2012
June 2012
June 2013
Information Rights
Staffordshire County Council asserts its right to be identified as the author of this Retention Policy and Schedule, and a statement to this
effect must be clearly displayed when reproducing all or any part this document.
Disclaimer
This Policy and Schedule reflect the record keeping requirements of Staffordshire County Council. Staffordshire County Council accepts
no liability if this Retention Schedule is used by individuals or organisations outside of the Authority.
Understanding Retention and Disposal Schedules
Business Classification:
Describes the business functions, activities and processes that records support
Scope Notes: Further
define the business function, activity or process that records support
Disposal Action:
Specifies disposal action following end of retention period
Authority: Identifies
the legal, regulatory or business reasons that records need to be created, received and kept (even if
requirements are not explicitly stated)
Retention Trigger / Closure Procedure:
Defines the event that triggers the start of the retention period and/or closure procedure
Retention Period:
Specifies the length of time records must be kept following the retention trigger event
Contents
Business Classification
Page
Corporate Governance
1
Human Resources Management
1
Employee Information Collection
1
Employee Information Maintenance
1
Employee Relations Management
1
Industrial Relations Management
1
Workforce Consultation Administration
1
Occupational Health Services Provision
1
Advice Provision
1
Counselling
1
Health Assessment
2
Health Monitoring
2
Hazardous Substance Exposure Monitoring
2
Performance Monitoring & Review
2
Personnel Administration
2
Attendance Management
2
Contractual Leave Administration
2
Non-statutory Unpaid Leave Administration
3
Statutory Leave Administration
3
Sickness Absence Administration
3
Time Recording
3
Award Scheme Administration
3
Contract Management
3
Disciplinary Procedures Administration
3
Contents
Business Classification
Page
Statutory Vetting & Checks administration
4
Vetting & Checking
4
CRB check evidence recording
4
Probation Management
4
Recruitment
4
Application Processing (Successful candidates)
5
Application Processing (Unsuccessful candidates)
5
Interview Management
5
Termination & Retirement Management
5
Termination Management
5
Training & Development
5
Induction Training
5
Training Course Provision
5
Accredited Course Provision
6
Attainment Assessment
6
Candidate Registration
6
Course Accreditation
6
Moderation Administration
6
Result Appeals Administration
6
Course Provision (Non-accredited)
6
Course Delivery
6
Course Development
6
Delegate Booking Administration
6
Delegate Information Pack Production
7
Contents
Business Classification
Page
Training Events Management
7
Delegate Booking Administration
7
Delegate Information Pack Production
7
Event Delivery
7
Event Evaluation
7
Programme Development
7
Training record maintenance
7
Hazardous substance and environment training record maintenance
7
Business Classification Scope Notes Retention Trigger (event triggering start of retention period) / Closure Procedure
Retention Period Disposal Action (following end of retention period) Authority
Corporate Governance
Human Resources
Management
Employee Information
Collection
Employee Information Maintenance Capture & maintenance of personal employee information
Close records when superseded
Retain records 0 years after Date Closed
Destroy Business Need
Employee Relations
Management
Industrial Relations Management Management of the relationship between SCC & trade unions & employee representative organisations
Close records at termination of agreement or date of routine liaison meeting
Retain records for 10 years after Date Closed
Destroy Limitation Act 1980 CIPD
recommendation
Workforce Consultation Administration Administraion of workforce consultation Including: Staff surveys & consultations Excluding:
Communications management
Close records at
completion of consultation
Retain records for 6 years after Date Closed
Destroy SCC Business Need
Occupational Health Services
Provision
Advice Provision Provision of specific health & wellbeing advice to individuals Excluding: Published information & events (Communications management)
Close records at
termination of employment
Retain records for 6 years after Date Closed
Destroy Limitation Act 1980 DoH
Management: NHS Code of practice 2005
Counselling Provision of counselling to employees Close records at
termination of employment
Retain records for 6 years after Date Closed
Destroy Limitation Act 1980 DoH
Management: NHS Code of practice 2005
Corporate governance, management, business administration & support functions that enable SCC to fulfil its public service functions Including: traded services, supported third party & partner organisation services
Management of human resources Including: Personnel recruitment & development; administration of employee relations & performance; workforce planning & development; & managing compliance with related regulation
Management of industrial relations Including incustrial relations & workforce consultation
Provision of occupational health services Including: Employee health assessment & monitoring & proviision of advice, support, & counselling to individual employees Excluding: Communications management
Maintenance of individual employee information
Business Classification Scope Notes Retention Trigger (event triggering start of retention period) / Closure Procedure
Retention Period Disposal Action (following end of retention period)
Authority
Health Assessment Assessment of individual employee health Including: Pre-employment assessment, employee self-referred assessment & manager referred assessment
Close records at
termination of employment
Retain records for 6 years after Date Closed
Destroy Access to Medical
Reports Act 1998
Health Monitoring
Hazardous Substance Exposure Monitoring
Health monitoring of employees working with, or exposed to substances hazardous to health
Close records at
termination of employment
Retain records for 40 years after Date Closed
Destroy Limitation Act 1980,
Control of Substances Hazardous to Health Regulations 2002, Control of Lead at Work Regulations 1998, Control of Asbestos at Work Regulations 1987, Ionising Radiations Regulations 1999, DoH Management: NHS Code of practice 2005
Performance Monitoring &
Review
Performance Monitoring & Review Review of employee performance Including: Target setting & review of employee performance against targets and qualification assessment for
performance related pay
Close records on completion of review process
Retain records for 6 years after Date Closed
Destroy SCC Business Need
Personnel Administration
Attendance Management
Contractual Leave Administration Administration of individual's contractural leave entitlement & leave taking
Close records at end of financial year
Retain records 1 year after Date Closed
Destroy SCC Business Need
Health monitoring of employees working with, or exposed to substances hazardous to health
Monitoring of individual staff performance
Administration personnel Including: Attendance & leave, contract management, sickness, & employee grievances
Recording hours worked, flexitime management & sickness absence
Business Classification Scope Notes Retention Trigger (event triggering start of retention period) / Closure Procedure
Retention Period Disposal Action (following end of retention period)
Authority
Non-statutory Unpaid Leave Administration
Administration of non-statutory unpaid leave taking Close records at
termination of employment
Retain records 6 years after Date Closed
Destroy Limitation Act 1980
Statutory Leave Administration Administration of individual's statutory leave entitlement & leave taking
Close records at
termination of employment
Retain records 6 years after Date Closed
Destroy SI 1999/3312 The
Maternity & Paternity Leave etc Regulations
Sickness Absence Administration Managing & processing sickness absence Close records at
termination of employment
Retain records for 6 years after Date Closed
Destroy S I 1982/894 Statutory
Sick Pay (General) Regulations; HM Revenue & Customs E14 & Limitation Act, 1980 Time Recording Recording of time worked, flexible hours & lieu time Retention Period starts at
Date Created
Retain records 2 years after Date Created
Destroy SI 1998 / 1833 Work
Time Regulations
Award Scheme Administration
Award Scheme Administration Administration of staff award schemes Close records at issue of award
Retain records 2 years after Date Created
Destroy SCC Business Need
Contract Management
Contract Management Management of employee contracts including changes to terms and condtiions, job role, pay, regrading & promotion
Close records at
termination of employment
Retain records 6 years after Date Closed
Destroy SI 1999/584 National
Minimum Wage Regulations; Equal Pay Act, 1970 & Limitation Act 1980
Disciplinary Procedures
Administration
Administration of staff award schemes
Administration of formal disciplinary process
Management of employee contracts including changes to terms and condtiions, job role, pay.
Business Classification Scope Notes Retention Trigger (event triggering start of retention period) / Closure Procedure
Retention Period Disposal Action (following end of retention period)
Authority
Disciplinary Procedures Administration Administration of formal disciplinary process Close records at end of disciplinary process
Retain records for 6 years after Date Closed
Destroy Limitation Act 1980
Grievance Procedures
Administration
Grievance Procedures Administration Administration of formal employee grievance process includuding tribunal case defence
Close records at closure of case
Retain records 6 years after Date Closed
Destroy Limitation Act 1980
Statutory Vetting & Checks
administration
Vetting & Checking Managing permission to work in the UK & processing communications & checks with UK Border & Immigration Agency
Close records at
termination of employment
Retain records 2 years after Date Closed
Destroy Border & Immigration Agency recommendation
CRB check evidence recording Processing and checking data from formal CRB documents prior to or during employment. Excludes offical CRB documents.
Close records at
termination of employment
Retain records 6 years after Date Closed
Destroy Limitation Act 1980
Probation Management
Probation Management Planning & management of employee probation and induction excluding training provision
Close records at
termination of employment
Retain records 6 years after Date Closed
Destroy Limitation Act 1980
Recruitment
Administration of formal employee grievance process includuding tribunal case defence
Records documenting CRB checks, permission to work in the UK, and any correspondence re: immigration
Administration of recruitment process Including: Funding, advertising, shortlisting & administering the recruitment of staff
Planning & management of employee probation and induction excluding training provision
Business Classification Scope Notes Retention Trigger (event triggering start of retention period) / Closure Procedure
Retention Period Disposal Action (following end of retention period)
Authority
Application Processing (Successful candidates)
Processing of applications and assessment of candidates including shortlisting and assessment at interview, including provisional job offers
Close records at
termination of employment
Retain records 6 years after Date Closed
Destroy Limitation Act 1980
Application Processing (Unsuccessful candidates)
Processing of applications and assessment of candidates including shortlisting and assessment at interview.
Close records at
completion of appointment
Retain records 1 year after Date Closed
Destroy SCC Business Need
Interview Management Development of criteria for shortlisting & interview Close records at
completion of appointment
Retain records 1 year after Date Closed
Destroy Equality Act 2010
Termination & Retirement
Management
Termination Management Management of leaving processes including resignation, retirement, redundancy or termination of contract. Excluding pensions and redundancy payments administration
Close records at
termination of employment
Retain records 6 years after Date Closed Destroy SI 1995 / 3103 The Retirement benefit Schemes (Information Powers) Regulations Limitation Act 1980
Training & Development
Induction Training
Induction Training The activities involved in developing and
implementing induction programmes for new SCC employees Activities include: developing general and job-specific induction programmes and administering induction programmes to ensure that all new employees complete the required
programme
Training Course Provision
Training & developing staff, induction, developing & providing training, & maintaining training records
The activities involved in developing and implementing induction programmes for new SCC employees Activities include: developing general and job-specific induction programmes and administering induction programmes to ensure that all new employees complete the required programme
Provision of training courses & events by or on behalf of SCC. Excluding booking of external training courses & attendance at meetings & events for research purposes
* Responsible department(s) to advise of specific legislation, regulations & code(s) of practice, or business need to create & retain records relevant to business activity
Management of leaving processes including resignation, retirement, redundancy or termination of contract. Excluding pensions and redundancy payments administration
Business Classification Scope Notes Retention Trigger (event triggering start of retention period) / Closure Procedure
Retention Period Disposal Action (following end of retention period)
Authority
Accredited Course Provision
Attainment Assessment The results/assessment of courses are sent to a accrediting body and then the candidates are informed of their results
Close records after date of course / examination completion
Retain records 6 years after closure
Destroy SCC Business Need
Candidate Registration Registering candidates on to courses Close records after date of course / examination completion
Retain records 6 years after closure
Destroy SCC Business Need
guided by examining body requirements Course Accreditation Application and maintenance of accreditation status
for courses
Close records when superseded
Retain records 6 years after closure
Destroy SCC Business Need
guided by accrediting body requirements Moderation Administration The evidence of a candidates achievement is sent
externally for moderation with the course's accrediting body
Close records after completion of course / examination
Retain records 6 years after closure
Destroy SCC Business Need
guided by funding body requirements
Result Appeals Administration Appealing the courses results Close records after completion of course / examination
Retain records 6 years after closure
Destroy SCC Business Need
guided by funding body requirements
Course Provision (Non-accredited)
Course Delivery The delivery of SCC workforce training courses Close records on course completion
Retain records 6 years after closure
Destroy SCC Business Need
Course Development The development of SCC workforce training courses
Close records when superseded
Retain records 6 years after closure
Destroy SCC Business Need
Delegate Booking Administration Booking delegates on to training courses Close after training course Retain records 6 years after closure
Destroy SCC Business Need
Delegate Information Pack Production The production of course delegate information packs
Close following one-off event or superseded
Retain records 6 years after closure
Destroy SCC Business Need
Delivery and Development of non-accredited training courses, delegate booking and production of course information Delivery and Development of accredited training courses, delegate booking and production of course information
Business Classification Scope Notes Retention Trigger (event triggering start of retention period) / Closure Procedure
Retention Period Disposal Action (following end of retention period)
Authority
Training Portfolio Development
Training Portfolio Development The development of SCC workforce training courses portfolio
Close records when superseded
Retain records 6 years after closure
Destroy SCC Business Need
Training Events Management
Delegate Booking Administration Booking delegates on to SCC workforce events Close after training course Retain records 6 years after closure
Destroy SCC Business Need
Delegate Information Pack Production The production of course delegate information packs
Close following one-off event or superseded
Retain records 6 years after closure
Destroy SCC Business Need
Event Delivery The delivery of SCC events Close at end of event Retain records 6 years after
closure
Destroy SCC Business Need
Event Evaluation The evaluation of SCC events Close at end of event Retain records 6 years after
closure
Destroy SCC Business Need
Programme Development The development of the SCC events programme Close when superseded Retain records 6 years after closure
Destroy SCC Business Need
Training record maintenance
Hazardous substance and environment training record maintenance
Maintenance of individual employee Health & Safety training records relating to working with hazardous substabces or in hazardous environments
Close records when employee reaches age 100. COPY LANGUAGE FROM CHILDRENS
Retain records 0 years after Date Closed
Destroy SI 1996/1513; Health & Safety (Consultation with Employees) Regulations Limitation Act 1980 Training record maintenance Maintenance of individual employee training
records excluding health & safety training relating to working with hazardous substances /
environments
Close records at
termination of employment
Retain records 6 years after Date Closed
Destroy Limitation Act 1980
The development of SCC workforce training courses portfolio
Booking, delivering and evaluating training events, and keeping records of training provided to individuals
Maintenance of individual employee training records excluding health & safety training relating to working with hazardous substances / environments