• No results found

Records Retention and Disposal Schedule. Human Resources Management

N/A
N/A
Protected

Academic year: 2021

Share "Records Retention and Disposal Schedule. Human Resources Management"

Copied!
16
0
0

Loading.... (view fulltext now)

Full text

(1)

Records Retention and Disposal Schedule

Human Resources Management

(2)

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.

(3)

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

(4)

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

(5)

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

(6)

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

(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

(8)

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

(9)

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.

(10)

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

(11)

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

(12)

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

(13)

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

(14)

Index

Business Classification

Page

Accredited Course Provision

6

Advice Provision

1

Application Processing (Successful candidates)

5

Application Processing (Unsuccessful candidates)

5

Attainment Assessment

6

Attendance Management

2

Award Scheme Administration

3

Candidate Registration

6

Contract Management

3

Contractual Leave Administration

2

Corporate Governance

1

Counselling

1

Course Accreditation

6

Course Delivery

6

Course Development

6

Course Provision (Non-accredited)

6

CRB check evidence recording

4

Delegate Booking Administration

6

Delegate Booking Administration

7

Delegate Information Pack Production

7

Delegate Information Pack Production

7

Disciplinary Procedures Administration

3

Employee Information Collection

1

Employee Information Maintenance

1

(15)

Index

Business Classification

Page

Event Delivery

7

Event Evaluation

7

Grievance Procedures Administration

4

Hazardous substance and environment training record maintenance

7

Hazardous Substance Exposure Monitoring

2

Health Assessment

2

Health Monitoring

2

Human Resources Management

1

Induction Training

5

Industrial Relations Management

1

Interview Management

5

Moderation Administration

6

Non-statutory Unpaid Leave Administration

3

Occupational Health Services Provision

1

Performance Monitoring & Review

2

Personnel Administration

2

Probation Management

4

Programme Development

7

Recruitment

4

Result Appeals Administration

6

Sickness Absence Administration

3

Statutory Leave Administration

3

Statutory Vetting & Checks administration

4

Termination & Retirement Management

5

(16)

Index

Business Classification

Page

Time Recording

3

Training & Development

5

Training Course Provision

5

Training Events Management

7

Training Portfolio Development

7

Training record maintenance

7

Training record maintenance

7

Vetting & Checking

4

References

Related documents

As mentioned at the end of section 4.3 quantitative analysis was conducted for simultaneously calculating soot and ammonia loading for the four light soot loading cases,

Management of land Including: Land management planning, maintenance & improvement, administration of access permissions (Excluding: easements, wayleaves, licences &

We aim to systematically evaluate the effectiveness of knowledge translation interventions targeting clinician practice changes in stroke rehabilitation to inform

Hybrid qualifications project Denmark • Seminar in Roskilde University Denmark • February 20 th 21 st 2011 •.. Policy recommendations for improving

A test schedule has been proposed in which Vector will develop and install the required RB-M control system software upgrades and relevant additional equipment; a Coast Guard

Management of Information access Including: Publication scheme maintenance, compliance audit, privacy impact assessment, data controller notification, information rights

• Only disposing of records in accordance with records retention and disposal policies contained in Staffordshire County Council’s retention schedules (if authorised to do so). •