data retention guide policy data retention v1.3.pdfpolicies and procedures, so it should be clear...

BISHOPS’CONFERENCEOFSCOTLAND

DATARETENTIONGUIDE

1

TableofContents

Introduction.............................................................................................................................21

WhyHaveARecordsRetentionSchedule?.............................................................................22

HowtoUseTheRetentionSchedule.......................................................................................33

ImportantNotesforConsideration.........................................................................................34

LegislativeFrameworkandRationale......................................................................................45

Concepts..................................................................................................................................66

DocumentControl

Title Basic Guide to Data Protection

Preparedby Donna Maguire

ApprovedBy Monsignor Hugh Canon Bradley

DateofApproval 09 May 2018

VersionNumber 1.3

ReviewFrequency Every 3 years

NextReviewDate March 2021

StatusControlVersion Date Status Preparedby ReasonforAmendment

1.3 9/5/18 Complete DMM

2

INTRODUCTION1

1.1

TheDataRetentionScheduledetailstherecommendedretentionperiodsforrecordscreatedorreceivedbytheBishops’ConferenceofScotland(BCOS)anditsagencies.Thisisinlinewithbusinessneeds,legislative,statutoryandregulatoryrequirementsandCanonLaw.TheSchedulerelatestoallrecords,regardlessoftheirformat(paperordigital).

1.2

Someoftheretentionperiodsarelaiddownbystatutewhileothersareguidelineswhichfollowbestpracticeorareinlinewithbusinessneed.Everyefforthasbeenmadetoensurethattheretentionperiodsarecompliantwiththelegislativeframeworkwithinwhichweoperate.

WHYHAVEARECORDSRETENTIONSCHEDULE?2

2.1

Everyorganisationrequirestofollowpolicyguidanceonhowlongitwillretainrecords,sothat:

• recordsarekeptordestroyedconsistently,ratherthanrelyingonthebestguessofstaff

• recordsarekeptforaslongasnecessarytomeetstatutory,regulatoryandbusinessrequirements

• resourcesarenotwastedonstoringrecordslongerthannecessary• anyrisksarisingfromholdingdocumentsandinformationaremanaged• theorganisationcanconfidentlyaccountforwhichrecordsarenolongerheld(for

example,inresponsetoaSubjectAccessRequest)• staffworkingwithrecordsunderstandtheirresponsibilitiesandaregivenclear

informationaboutwhenandhowtodestroyrecords.

Thisisjustasimportantfordigitalrecordsasforpaper.

2.2

Thereisnotaclearlegalrequirementsettingouttheretentionrequirementsformostrecords.Infact,veryfewrecordtypesaregovernedbystatutoryretentionperiods.Inmostcases,inordertoarriveatanappropriateretentionperiod,itisnecessarytoconsiderhowlongadocumentremainsusefulandthentobalancethatagainstthecostandriskofkeepingit.

3

HOWTOUSETHERETENTIONSCHEDULE3

3.1

TheschedulehasbeendevelopedtomeettheanticipatedneedsofBCOSandallitsagencypoliciesandprocedures,soitshouldbeclearwhichsectionyouneedtorefertoforguidanceondataretentionanddisposal.Ifitisunclear,afreetextsearchcanbeperformedtolocatetherelevantdocuments.

3.2

Thelistisnotexhaustiveso,ifyouhaveanyrecordsaboutwhichyouareunsure,pleasecontacttheArchivesofficesothatthelistcanbeupdatedtoreflectyourrequirements.

3.3

Therearegenerallythreeprocedurestofollowwithregardstothedisposalofyourrecordsoncetheyhavereachedtheendoftheirrecommendedretentionperiod:

• ConfidentialDestruction:Iftherecordsarenolongerrequiredforbusinesspurposesandhavebeenretainedfortherecommendedretentionperiod,inlinewithanylegislativeorstatutoryobligations,theyshouldbeconfidentiallydestroyed/deleted,inlinewiththeDisposalactionlistedintheSchedule.

• ArchivalValue:Allrecordsthatareofpotentialhistoricalvalueshouldbetransferredforpermanentpreservationoncetheiradministrativeuseisconcluded.

• RetainforOperationalPurposes:Insomecasesrecordswillneedtoberetainedforlong-termoperationalpurposes.Ownersoftherecordsshouldensurethattheseremainaccessibleforaslongasrequiredandaremanagedappropriatelythroughouttheirlifecycle.

IMPORTANTNOTESFORCONSIDERATION4

4.1

Ifyouonlyhaveaconvenience/workingcopyofadocument,anddidnotcreateorhaveresponsibilityforit,thenyoumaydestroyitassoonasyounolongerrequireitforadministrativepurposes.

4.2

Iflitigationisongoing,somerecordsmayneedtoberetainedforlongerthanisspecifiedwithinthescheduletosupportanylitigationprocess.Furthermore,ifrecordsaresubjecttoacurrentDataProtectionrequest,theymustberetainedfor40daysaftertherequesthasbeenfulfilled.

4

LEGISLATIVEFRAMEWORKANDRATIONALE5

5.1

WhilstmostoftherecordsgeneratedandheldbyBCOSareretainedinlinewithbusinessrequirements,someareretainedinlinewithLegislativeandStatutoryrecordkeepingobligations,whilesomewillbekeptinlinewithCanonLaw.ThesearespecifiedintheRationalecolumnintheRetentionSchedule.

5.2

ListofLegislativeandStatutoryRegulations:• TheReportingofInjuries,DiseasesandDangerousOccurrences(Amendment)

Regulations2012• TheControlofAsbestosRegulations2012• EqualityAct2010• RegulatoryReform(FireSafety)Order2005• ManagementofHealthandSafetyatWorkRegulations1999• AuditCommissionAct1998• DataProtectionAct1998• TheGasSafety(InstallationandUse)Regulations1998• TheValueAddedTaxRegulations1995• TheReportingofInjuries,DiseasesandDangerousOccurrencesRegulations1995• ValueAddedTaxAct1994• EnvironmentalProtection(DutyofCare)Regulations1991• HealthandSafetyatWorketc.Act1974• PrescriptionandLimitation(Scotland)Act1973• TaxesManagementAct1970• PaymentCardIndustryDataSecurityStandard• CompaniesAct1985,1989• OrganisationofWorkingTimeAct1997• TheProtectionofEmploymentAct1977• ParentalLeaveAct1998• Carer’sLeaveAct2001

5

5.3

ThereareseveralCanonlawstatutesthatcouldbeappliedtotheuseandthekeepingofrecordswithinthechurch.ThemostappropriateforGDPRare:

Can.220 Noonemayunlawfullyharmthegoodreputationwhichapersonenjoysorviolatetherightofeverypersontoprotecthisorherprivacy.

Can.487 §2Personsconcernedhavetherighttoreceive,personallyorbyproxy,anauthenticwrittenorphotostatcopyofdocumentswhichareoftheirnaturepublicandwhichconcerntheirownpersonalstatus,

Can.489 §1Inthediocesancuriathereisalsotobeasecretarchive,oratleastintheordinary archive there is to bea safe or cabinet,which is securely closedandbolted,andwhichcannotberemoved.Inthisarchivedocumentswhicharetobekeptundersecrecyaretobemostcarefullyguarded.

§2Eachyeardocumentsofcriminalcasesconcerningmoralmattersaretobe destroyed whenever the guilty parties have died, or ten years haveelapsed since a condemnatory sentence concluded the affair. A shortsummaryofthefactsistobekept,togetherwiththetextofthedefinitivejudgement.

Can.1284 §1 All administrators are to preform their duties with the diligence of agoodhouseholder.

§2Thereforetheymust:

1º bevigilant thatnogoodsplaced in theircare inanywayperishorsufferdamage;tothisendtheyare,toextentnecessary,toarrangeinsurancecontracts;

2º ensurethattheownershipofecclesiasticalgoods issafeguarded inwayswhicharevalidincivillaw;

3º observetheprovisionsofcanonandcivillaw,andthestipulationsofthe founder or donor or lawful authority; they are to take specialcare that damage will not be suffered by the church through thenon-observanceofthecivillaw;

9º keep in order and preserve in convenient and suitable archive thedocuments and records establishing the rights of the church orinstitutetoitsgoods;whereconvenientlypossible,authenticcopiesmustbeplacedinthecurialarchives.

6

CONCEPTS6

6.1

Archival/HistoricalValue:Arecordorseriesofrecordsmayhaveanenduring(socialorcultural)valuebeyondthebusinessrequirementthatcreatedthem.Theserecordsmaydetailtheimportanthistoricalbackgroundtoanorganisationortheareathatitrepresents,ortohistoricallysignificanteventsorpeople,andprovisionshouldbemadefortheirpermanentpreservation.

6.2

BusinessRequirements:WherethereisnospecificStatutoryorRegulatoryretentionperiodforarecordseries,thejustificationfortheretentionperiodis‘BusinessRequirements’.Thisisawide-rangingtermthatwilltendtoreflectcommonorbestpractice.ReasonsfortheretentionrecommendationshereincludeInformationAudits,RiskAnalysisandthepotentialapplicationofPrescriptionandLimitationincaseoflegalchallenge,orprecedentfromnon-statutoryguidance.

6.3

Destruction:meansthedisposalofrecordsthroughincineration,pulping,shredding,deletionoranothermethodsothatitisimpossibletoreconstructtheoriginalrecords.Forpaper,thatislikelytoentailtheuseofanin-houseshredderoroutsourcedconfidentialwastecontractors.Fordigitalrecords,destructionshouldapplytoallcopiesofarecord/file/document.Simpledeletionfromanetworkdoesnotmeanthatadocumentisirrecoverableandtherearetechnicalsolutionstoensuretotalremoval/deletionofelectronicrecordswherethisisconsideredcritical.

6.4

Back-ups:Documentsmayhavebeendeletedfromthemainnetworkbutmaystillresideinlocalcomputersorinback-ups.YourofficeBack-upRetentionPolicymustbereviewedtoprovideforthiseventuality.

Bishops'ConferenceofScotlandDataRetentionSchedule

DataRetentionSchedulepage1

RECORDType RetentionPeriod DisposalAction Rationale Note

AccountingandFinance

AccountsPayableInvoices 6years ConfidentialDestruction Statutory VATAct1994AccountsPayableLedgers 6years ConfidentialDestruction Statutory VATAct1994AccountsReceivableLedgers 6years ConfidentialDestruction Statutory CompaniesAct1985,1998CreditCard-Statements/Chargeslips 6years ConfidentialDestruction Statutory PaymentCardIndustryData

SecurityStandardTuitionCollection-Reports/Statements 3years ConfidentialDestruction Statutory VATAct1995;Taxes

ManagementAct1970ParishCollection-Countssheets/SealedBaglogsheets/FundraisingCountssheets

5years ConfidentialDestruction Statutory CompaniesAct1985,1998

Invoices/Paidbills;MajorBuildingConstruction Permanent TransfertoArchive HistoricalValue VATAct1995;TaxesManagementAct1970

Invoices/Paidbills;GeneralAccounts 6years ConfidentialDestruction Statutory VATAct1995;TaxesManagementAct1970CashBook 6years ConfidentialDestruction Statutory

CashJournals 6years ConfidentialDestruction StatutoryCashJournal;ReceiptsonOfferings/Pledges 6years ConfidentialDestruction StatutoryDepreciationRecords Permanent TransfertoArchive HistoricalValuePettyCashVouchers;ReconciliationReports 3years ConfidentialDestruction StatutoryReceipts 3years ConfidentialDestruction StatutoryMortgagePayments;LoanStatements 6years ConfidentialDestruction StatutoryBankingRecordsBankDeposits;Slips 6years ConfidentialDestruction Statutory VATAct1994;Taxes

ManagementAct1970BankStatements;Reconciliations 6years ConfidentialDestruction Statutory CompaniesAct1985,1998CentralFundStatements(Savings/Loans) 6years ConfidentialDestruction Statutory VATAct1994;Taxes

ManagementAct1972CancelledCheques(general) 6years ConfidentialDestruction Statutory VATAct1994;Taxes

ManagementAct1973CancelledCheques(importantpayments) Permanent TransfertoArchive HistoricalValueFinanceCommitteeMeetingminutes Permanent TransfertoArchive HistoricalValue CompaniesAct1985,1998




ChequesRegister/Stubs 6years ConfidentialDestruction Statutory VATAct1994;TaxesManagementAct1973

GeneralRecordsExternalAuditReports Permanent TransfertoArchive HistoricalValue CompaniesAct1985,1998InternalFinancialReview/Reports Permanent TransfertoArchive HistoricalValue CompaniesAct1985,1998BalanceSheets(annual) Permanent TransfertoArchive HistoricalValue CompaniesAct1985,1998Balancesheets(monthly/quarterly) 1year ConfidentialDestruction Statutory CompaniesAct1985,1998Budgets(approved/revised) 2years ConfidentialDestruction Businessneeds CompaniesAct1985,1998FinancialReports;IncomeStatements(annual) Permanent TransfertoArchive HistoricalValue CompaniesAct1985,1998FinancialReports(monthly) 1year ConfidentialDestruction Statutory CompaniesAct1985,1998InvestmentBonds(cancelled) DateofCancellation+6

yearsConfidentialDestruction Statutory CompaniesAct1985,1998

PooledInvestmentsReports 6years ConfidentialDestruction Statutory CompaniesAct1985,1998CertificatesofDeposit(cancelled) 3yearsafterRedemption ConfidentialDestruction Statutory CompaniesAct1985,1998LetterofCredit 6years ConfidentialDestruction Statutory CompaniesAct1985,1998MortgageRecords Permanent TransfertoArchive HistoricalValue CompaniesAct1985,1998SecuritiesSales 6years ConfidentialDestruction Statutory CompaniesAct1985,1998StockInvestments 6yearsafterSale ConfidentialDestruction Statutory CompaniesAct1985,1998

OtherFinancialRecords

GeneralLedger/Annual Permanent TransfertoArchive HistoricalValue CompaniesAct1985,1998Journals(generalandspecificfunds) Permanent TransfertoArchive HistoricalValue CompaniesAct1985,1998JournalEntrySheets 6years ConfidentialDestruction Statutory CompaniesAct1985,1998ChartofAccounts 1year ConfidentialDestruction Statutory CompaniesAct1985,1998Year-endTrialBalanceReport Permanent TransfertoArchive HistoricalValue CompaniesAct1985,1998Ledgers(subsidiary) 6years ConfidentialDestruction Statutory CompaniesAct1985,1998PledgeRegisters/Ledgers 6years ConfidentialDestruction Statutory CompaniesAct1985,1998PermanentlyRestrictedGiftDocuments Permanent TransfertoArchive HistoricalValue CompaniesAct1985,1998TemporarilyRestrictedGiftDocuments 6yearsafterMeeting

RestrictionsConfidentialDestruction Businessneeds




AdministrativeRecords(corporationsole/parish)

AnnualReportstotheBishops(StatusAnimarum) Permanent TransfertoArchive HistoricalValueAnnualFinancialReports Permanent TransfertoArchive HistoricalValue CompaniesAct1985,1998ArticlesofIncorporationandBylaws Permanent TransfertoArchive HistoricalValueBequests;EstateEecords(e.g.wills) Permanent TransfertoArchive HistoricalValueBoard/Committee(minutes) Permanent TransfertoArchive HistoricalValue CompaniesAct1985,1998Censusrecords Permanent TransfertoArchive HistoricalValueCorrespondence-Official(regardingdiocesan/parishpolicies;directives)

Permanent TransfertoArchive HistoricalValue

Correspondence,routine Review/destroybiannually TransfertoArchive HistoricalValueDirectivesIssuedbyDecree Permanent TransfertoArchive HistoricalValueEndowmentdecrees Permanent TransfertoArchive HistoricalValueFinanceCouncilminutes Permanent TransfertoArchive HistoricalValueHistoricalrecords(newspaperclippings,photos,etc.,regardinghistoryofdiocese/parish)


Inventories(property/equipment Permanent TransfertoArchive HistoricalValue orretainuntilsupersededLeases(anytype) 6yearsafterexpirationof

leasetermConfidentialDestruction BusinessNeeds

LiturgicalMinistersSchedules(alterservices;Lectors;Eucharisticministers,etc.)

Retainuntilsuperseded TransfertoArchive HistoricalValue

MassIntentionRecords 2years ConfidentialDestruction BusinessNeedsOfficesFiles Selectiveretention:review

andretainonlythosethatdocumentdiocesan/parishadministrationandofficialactivity

TransfertoArchive HistoricalValue

OrganizationalRecords-Diocese/Parish(minutes;correspondence;publications;etc.)


PastoralCouncilConstitutions Retainuntilsuperseded TransfertoArchive HistoricalValuePastoralCouncilminutes Permanent TransfertoArchive HistoricalValue




PriestPersonalBoardMinutes Permanent TransfertoArchive HistoricalValuePhotographs(relatingtochurchhistory) Permanent TransfertoArchive HistoricalValuePolicyStatements;PolicyManuals;EmployeeHandbooks


ReligiousEducationReports Permanent TransfertoArchive HistoricalValueRostersofParishioners/ParishDirectories Permanent TransfertoArchive HistoricalValueWillS;Testaments;Codicils Permanent TransfertoArchive HistoricalValueCemeteryRecordsAnnualReport Permanent TransfertoArchive HistoricalValueBoardMinutes Permanent TransfertoArchive HistoricalValueBurialCards/Records(recordoftheinterred:name;dateofburial;andrelatedinformation)


BurialLicense Permanent TransfertoArchive HistoricalValueCorrespondence SelectiveRetention(retainif

recordshavehistorical,legalorfiscalvalue)


GeneralLedger Permanent TransfertoArchive HistoricalValuePerpetualCareRecords Permanent TransfertoArchive HistoricalValueFinancialStatement(incomestatement;balancesheet)


MapsofLots/Burials Permanent TransfertoArchive HistoricalValue

ConfidentialCanonicalFiles(ArchiveSecretum-Canon489)

Allfiles Permanent/10years TransfertoArchive HistoricalValue Canon489-2ContractsandRelatedRecordsContractsRelated/Records 6yearsafterfinal

performanceunderthecontract

ConfidentialDestruction Statutory CompaniesAct1985,1998




CorrespondenceandInternalMemoranda

CorrespondenceormemorandarelatedtodocumentsenumeratedintheSchedule

Sametimeperiodasspecifiedfortheunderlyingrecords

ConfidentialDestruction BusinessNeeds

CorrespondenceorMemorandahavingnosignificantorlastingconsequences(suchasroutinelettersornote,letterormemorandaforwhichnoacknowledgementorfollowuparenecessary)

1year ConfidentialDestruction BusinessNeeds

Correspondenceormemorandapertainingtonon-routinematters,orhavinglastingorsignificantconsequences(suchaslettersexplainingdiocesanpolicy)

5years(orpermanentifdeemedofhistoricalvalue)

ConfidentialDestruction Statutory PrescriptionandLimitations(Scotland)Act1974

EmailsEmails(storedontheserver) Six(6)monthsfromdateof

creationoftheemailmessage(subjecttolongerperiodasdirectedbyBishopsforcompellingreason,includingbutnotlimitedto,needtopreserverecordsforlongerperiodduetopendinglitigationsorhistoricalvalue)


Emails(containingmaterialthatfallswithinoneofthelongerretentionperiodsinthispolicy)

Saveemailsoutsideemailsysteminsubject/projectfile(donotprintemails)


EphemeralCorrespondence(personalemail,requestsforrecommendationsorreview,emailsrelatedtodaytodayoperationandministry)

Retainuntilread,thendelete





InsuranceRecordsInsurancePolicies-active Permanent TransfertoArchive HistoricalValueInsurancePolicies-cancelled Permanent TransfertoArchive HistoricalValueWorkersCompensationClaimsfiles 20yearsaftercloseof

matterConfidentialDestruction Statutory CompaniesAct1985,1998

Liabilityclaim 10yearsaftersettlementorlastcorrespondencewithclaimant

ConfidentialDestruction Statutory CompaniesAct1985,1998

LegalFilesandPapers

Legal(correspondence) 10years(unlessofHistoricalValue)


Legal(opinion/memorandum) 10years(unlessofHistoricalValue)


TrustsDocuments Datesuperseded+10years ConfidentialDestruction BusinessNeeds

RealEstateclaims 21years(unlessofHistoricalValue)


MiscellaneousPolicies/ProceduresManuals Permanent TransfertoArchive HistoricalValue atleastOneCopy

PayrollRecords

PayrollJournals 6years ConfidentialDestruction Statutory TaxesManagementAct1970;PrescriptionandLimitation(Scotland)Act1973

PayrollRegisters;SummaryScheduleofearnings;Deductions;Accruedleave

6years ConfidentialDestruction Statutory TaxesManagementAct1970;PrescriptionandLimitation(Scotland)Act1973

Payroll/EarningsRecords(timesheets;payrollreports;payrolldeductionauthorizations)

EndofEmployment+6years ConfidentialDestruction Statutory TaxesManagementAct1970;PrescriptionandLimitation(Scotland)Act1973




PensionRecords/SupportingEmployeeData(maintainedbyPlanAdministrator)PensionRecords/VestingFiles LifetimeofPlan ConfidentialDestruction BusinessNeedsRetirementBenefitsRecords LifetimeofPlan ConfidentialDestruction BusinessNeedsPensionPaymentRecords LifetimeofPlan ConfidentialDestruction BusinessNeeds

PersonnelRecords(Clergy;Religious;Seminarians)

IncardinatedClergyandNon-IncardinatedExternsandReligiousApplicationsforSeminary Untildateofdeathor

permanentifofhistoricalvalue


UnsuccessfulCandidateApplicationsforSeminary 1year ConfidentialDestruction BusinessNeeds IncaseofanydiscriminationchallengeSacramentalDocuments Permanent TransfertoArchive HistoricalValue

RecordsConcerningFitnessforDuty Permanent TransfertoArchive HistoricalValueSummaryRegardingAssignments/Appointments Permanent TransfertoArchive BusinessNeedsBackgroundScreeningDocuments Permanentifsuccessful TransfertoArchive BusinessNeedsWillsandFuneralWishes Permanent TransfertoArchive HistoricalValueStatementsofgoodstandingfromBishop/Eparch(ifapplicable)


LetterGrantingFaculties Permanent TransfertoArchive HistoricalValueSeminaryRecords Permanent TransfertoArchive HistoricalValueCorrespondence Permanent TransfertoArchive HistoricalValueRecordsRegarding:complaints;misconduct(ifapplicable)

Untildateofdeathortenyearsaftercondemnatorysentence,ifapplicable


SummaryofAllegationsofmisconductandConclusionsofInvestigations(ifapplicable)


MedicalRecords Untildateofdeath(orreturntothelaystate)





Seminarians/PermanentDeaconCandidates

PersonnelFile(includingconfidentialmedicalandpersonalinformationandcanonical/sacramentalsub-files)

Untilordination-thenmaintainandfollowscheduleforincardinatedclergy;Ifnotordainedbyreasonofdeathoftheindividual-7years;Ifnotordainedbyreasonofvoluntaryorinvoluntarydeparturefromtheprogram,documents(orasummary)relatedtothereasonsforthedeparturefromtheprogramaretobemaintainedpermanently.Allothermaterialscontainedinthepersonnelfilearetoretainedfor7years


RecordsofApplicantsforSeminarywhoseapplicationswererejectedorwerewithdrawnbeforeenrolmentinseminary

Dateofapplication+2years ConfidentialDestruction

PersonnelRecords(LayEmployees)RECRUITMENTApplicationforms/CVs/interviewnotesforunsuccessfulcandidates

1year ConfidentialDestruction RecommendedRetention-incaseofanydiscriminationchallenge

BusinessLink-www.businesslink.gov.uk("Keeptherightstaffrecords")




DocumentationprovingrighttoworkintheUK(passport,birthcert,NIetc)forunsuccessfulcandidates

Oncesuccessfulcandidatehasbeenappointed,destroyanydocumentsrelatingtorighttowork

ConfidentialDestruction Statutory-From25May2018GDPRDocumentstoberetainedfornolongerthanisnecessary

PERSONALDETAILSDocumentationprovingrighttoworkintheUK(passport,birthcert,NIetc)

Relevantdocumentationtoberetainedthroughouttheperiodforwhichyouareemployingtheperson,andforatleasttwoyearsaftertheyhaveleft

ConfidentialDestruction Statutory–TheImmigrationServicecanexamineourrighttodefenceiftheydetectanyoneworkingillegally

BusinessLink-www.businesslink.gov.uk(“EnsuringyourworkersareeligibletoworkintheUK”)

ApplicationForm(s) Termofemployment+6years

ConfidentialDestruction Recommendedretention–BasedonCIPDbestPractice

“Retentionofpersonnelandotherrelatedrecords”–CIPD

Letter(s)ofAppointment Termofemployment+6years



Contract(s) Termofemployment+6yearas






ChangeofAddressDetails Termofemployment+6years

ConfidentialDestruction Statutory–From25May2018GDPR–EmployeeRecordCheckcompletedwhenthereisachangeandallemployeesaskedtocompleteanewformonanannualbasistoensuredetailsareup-to-date

PreviousServiceDocumentation Termofemployment+6years



Qualifications Termofemployment+6years

ConfidentialDestruction Recommendedretention–ManagementDecision

WORKINGDETAILSChangestoWorkingPatterns Termofemployment+6

yearsConfidentialDestruction Recommended

retention–ManagementdecisionbasedonCIPDbestpracticeandWorkingTime


WorkingTimeRegulations Termofemployment+6 ConfidentialDestruction Recommendedretention–BasedonCIPDbestPractice





SMPrecords,calculationsandcertificates(includingMATB1s)orothermedicalevidence

Currentyearplus3yearsafterthetaxyearinwhichthematernityperiodends

ConfidentialDestruction Statutory–StatutoryMaternityPay(General)Regulations1986&TaxesManagementAct1970

StatutoryPaternityPay(includingMATB1s)orothermedicalevidence

Currentyearplus3yearsafterthetaxyearinwhichthePaternityperiodends

ConfidentialDestruction Statutory–TaxesManagementAct1970

AdoptionLeave Currentyearplus3yearsafterthetaxyearinwhichtheAdoptionperiodends


ParentalLeave 18yearsfrombirthofchild ConfidentialDestruction Statutory–TaxesManagementAct1970

BusinessLink-www.businesslink.gov.uk("Keeptherightstaffrecords")

StatutorySickPayrecords,calculations,certificatesandself-certificates

Termofemployment+6 ConfidentialDestruction Recommendedretention-incaseofanydisabilitydiscriminationclaim

FlexibleWorkingRequests Currentrequest–permanentlyPreviousrequests–currentyearplus5years

ConfidentialDestruction Recommendedretention–ManagementdecisionbasedonrighttoapplyyearlyunderWork&FamiliesAct

UnpaidLeave/SpecialLeaveRequest Currentyearplus5years ConfidentialDestruction Statutory–StatutorySickPay(General)Regulations1986




Mortgage/FinancialRequests 6Months ConfidentialDestruction Recommendedretention–ManagementdecisionbasedonVATregulations

FINANICIALDETAILS

Wage/salaryrecords(alsoworkinghoursandholidays)

termofemployment+6years

ConfidentialDestruction Recommendedretention–CIPDBestPractice

Responsibilitypayments 6yearsaftertheendofthetaxyearwhichthepaymentswerereceived


Temporarypositions 6yearsaftertheendofthetaxyearwhichthepaymentswerereceived

ConfidentialDestruction Recommendedretention–ManagementdecisiontobePensionDetails 12years TransfertoArchive Statutory

DeathBenefit Permanently TransfertoArchive Recommendedretention–Managementdecision

PensionBenefitNominationForms Permanently ConfidentialDestruction Recommendedretention–Managementdecision




MEDICALINFORMATION*DependsontheabsencelevelsoftheemployeesandthecomplexityofthecaseReturntoWorkInterview 3yearsfromthelastdateof

interview*ConfidentialDestruction Recommended

retention–Managementdecision

Follow-upInterview(s) 3yearsfromthelastdateofinterview*

ConfidentialDestruction Recommendedretention–Managementdecision

AdvisoryWarning 3yearsfromthelastdateofinterview*


MedicalCertificate 3yearsaftertheendofthetaxyearinwhichthesickpayperiodends*

ConfidentialDestruction Recommendedretention–CIPDBestPractice

“Retentionofpersonnelandotherrelatedrecords”-CIPD

MedicalCertificatesrelationtoIndustrialInjury Permanently TransfertoArchive Recommendedretention–Managementdecision

OHSAppointments Destroyoncereportreceived ConfidentialDestruction Recommendedretention–Managementdecision

*OHSReports HealthSurveillance(HAVSScreeningProgrammes–PermanentlyGeneralreports–5years





DISCIPLINARYINFORMATIONWrittenWarning Expungedasperdisciplinary

procedure.Retainedinfileforinformationpurposesonly

ConfidentialDestruction Recommendedretention–BCoSPolicy

Suspension(Paid/Unpaid) Expungedasperdisciplinaryprocedure.Retainedinfileforinformationpurposesonly


FinalWrittenWarning Expungedasperdisciplinaryprocedure.Retainedinfileforinformationpurposesonly


LetterofDismissal 6years,inlinewithpolicyrelatingtoLeaversfiles


TRAININGINFORMATIONRequestforTrainingCourses Untilsupersededby

attendanceConfidentialDestruction Recommended

retention–Managementdecision

TrainingCourseAttended Termofemployment+6years


ExpensesforAttendanceatCourse 6yearsaftertheendofthetaxyearwhichtheexpenseswerereceived





ANYOTHERINFORMATION

JuryDuty 6yearsaftertheendofthetaxyearwhichtheexpenseswerereceived

Statutory–TaxesManagementAct1970

TimeoffforTradeUnionDuties 5years Recommendedretention–Managementdecision

ThirdPartyClaims 6years Statutory–TaxesManagementAct1970

Health&SafetyAssessments(includingworkstationassessments)

Permanently Recommendedretention–Managementdecision

LEAVERS

Termination/Leavers/Retirementpaperwork 6years ConfidentialDestruction Recommendedretention–ManagementdecisionasnostatutoryguidancebasedonCIPDbestpractice.PensionRegulations

CIPDguidelinesadviseleaver'sfileshouldbekeptfor6yearsfollowingtheemployee’sterminationdate.




Referencesissuedtoprospectiveemployers 6months ConfidentialDestruction Recommendedretention–ManagementdecisionbasedDataProtectionandEmploymentPracticeCode

References(postemployment)e.grentalapplication

6months ConfidentialDestruction Statutory–DataProtection–EmploymentPracticeCode

RighttoWorkintheUK 2years ConfidentialDestruction Statutory–Asylum&NationalityAct2006

Property/PhysicalPlantRecordsArchitecturalRecords;Blueprints;BuildingDesigns;Specifications

Retainuntilpropertyissold,oriftheyhavehistoricalvalue


ArchitecturalDrawings Retainuntilpropertyissold,oriftheyhavehistoricalvalue


Deeds/SupportingFiles Retainuntilpropertyissold ConfidentialDestruction BusinessNeedsMortgageDocuments Retainuntil3yearsafter

mortgageispaidinfullConfidentialDestruction BusinessNeeds

PropertyAppraisals Retainuntilpropertyissold ConfidentialDestruction BusinessNeedsRealEstateSurveys/Plots/Plans Retain21yearsafter

propertyissoldConfidentialDestruction BusinessNeeds

TitleSearchPapers/Certificates datefileclosed+12years ConfidentialDestruction Statutory PrescriptionandLimitation(Scotland)Act1973




Publications

AnniversaryBooks Permanent TransfertoArchive HistoricalValue atleastOneCopyAnnualReportstothediocese/parish Permanent TransfertoArchive HistoricalValueNational/DiocesanDirectories Permanent TransfertoArchive HistoricalValue atleastOneCopyMagazines;Newspapers;Newslettersofthediocese/parishoraffiliatedorganisations

Permanent TransfertoArchive HistoricalValue atleastOneCopy

ParishDirectories Permanent TransfertoArchive HistoricalValue

ParishBulletins Permanent TransfertoArchive HistoricalValue

SacramentalRecords

BaptismRegister Permanent TransfertoArchive HistoricalValueFirstCommunionRegister Permanent TransfertoArchive HistoricalValueCatechumenRegister(ifinusebytheparish) Permanent TransfertoArchive HistoricalValueConfirmationRegister Permanent TransfertoArchive HistoricalValueBookoftheElect Permanent TransfertoArchive HistoricalValueMarriageRegister Permanent TransfertoArchive HistoricalValueMarriagePreparationRecords;MarriageEnvelopes


SickCallRegister Permanent TransfertoArchive HistoricalValueDeathRegister Permanent TransfertoArchive HistoricalValue

SafeEnvironmentRecords(Safeguarding)

Recordsconcerningongoingemployeesandvolunteersatparish,schools,orotherchurchentities


RecordsconcerningclergyorreligiousassignedtoanyChurchworkplace





SafetyandEnvironmentalRecordsAccident/InjuryReports 6yearsfromendofyearin

whichoccurrencetookplaceConfidentialDestruction Statutory TheReportingofInjuries,

DiseasesandDangerousOccurrencesRegulations1995

EnvironmentalTestRecords/Reports Permanent TransfertoArchive HistoricalValueHazardousExposureRecords Permanent TransfertoArchive HistoricalValue ManagementofHealthand

SafetyatWorkRegulations1999

ToxicSubstanceExposureRecords Permanent TransfertoArchive HistoricalValue TheControlofAsbestosRegulations2012=SI2012/632;TheReportingofInjuries,DiseasesandDangerousOccurrences(Amendment)Regulations2012=SI2012/199

ProtectiveEquipment-AsbestosExposure 40yearsafterexposure ConfidentialDestruction Statutory HealthandSafetyatWorketc.Act1974=1974c.37;TheControlofAsbestosRegulations2012=SI2012/632

MaintenanceandTestingFireEquipment 5yearsafterdecommissioningor20yearsafterdecommissioningifthereisahistoryofaccidentsconcerningtheequipment

ConfidentialDestruction Statutory RegulatoryReform(FireSafety)Order2005

MaintenanceandtestingFirePrecautions 5years ConfidentialDestruction Statutory HealthandSafetyatWorketc.Act1974;PrescriptionandLimitation(Scotland)Act1973

FirstAidTraining EndofEmployment+6years ConfidentialDestruction Statutory PrescriptionandLimitation(Scotland)Act1973




SafetyDataSheets(MaterialSafetydataSheets) 30yearsafterdiscontinuationoftheuseofthetoxicsubstance

TransfertoArchive HistoricalValue TheControlofAsbestosRegulations2012;TheReportingofInjuries,DiseasesandDangerousOccurrences(Amendment)Regulations2012;ManagementofHealthand

SchoolDepartment/School-RelatedRecordsAdministrativeRecordsAccreditationFiles Permanent TransfertoArchive HistoricalValueAssessmentMaterials(studenttestingmaterialssuchascompletedexams;forms;reports;andprintedmaterialrelatedtostandardisedtests/assessments)

Finalreports:Permanent;Othermaterials:retainuntilsuperseded


ClassLists Permanent TransfertoArchive HistoricalValueClassSchedules Retainuntilsupersededby

newscheduleConfidentialDestruction BusinessNeeds

FacultyMeetingMinutes Retainuntilnextaccreditationcycle(or3years,whicheverislater)

TransfertoArchive BusinessNeeds

FieldTripForms/PermissionSlips 3yearsafterdateofevent/trip


GradeBooks Cum.filereports:Permanent;Yearlygradebooks:1year


StudentRosters(includinggraduationlists) Permanent TransfertoArchive HistoricalValueHandbooks(faculty;staff;parent;student) Retainuntilupdate(archive

atleast1copypermanently)ConfidentialDestruction BusinessNeeds

Newsletters(toParents;schoolcommunity) Retainuntilnextaccreditationcycle(or3years,whicheverislater)


Parent-TeacherOrganisationMinutes Permanent TransfertoArchive HistoricalValue




PromotionList Retainuntilsuperseded ConfidentialDestruction BusinessNeedsTeacher'sAttendanceRegister Permanent TransfertoArchive HistoricalValueTextbookInventory Retainuntilsuperseded ConfidentialDestruction BusinessNeedsYearBooks Permanent TransfertoArchive HistoricalValueStudentRecordsAcademicDismissal Permanent TransfertoArchive HistoricalValue recordincumulativefileApplication;Registration;andEnrolmentRecords Retainuntilendofcurrent

schoolyearConfidentialDestruction BusinessNeeds

AttendanceRegisters Permanent TransfertoArchive HistoricalValue

TaxRecords

EmploymentTaxes;Contributions;andPayments-includingtaxeswithheldandFICA

6yearsfromdateoffiling ConfidentialDestruction Statutory TaxesManagementAct1970;PrescriptionandLimitation(Scotland)Act1974

StateTaxExemptionCertificates(income;excise;property;sales/useetc.)

6yearsfromdateoffiling ConfidentialDestruction Statutory TaxesManagementAct1970;PrescriptionandLimitation(Scotland)Act1974

UnemploymentTaxRecords 6yearsfromdateoffiling ConfidentialDestruction Statutory TaxesManagementAct1970;PrescriptionandLimitation(Scotland)Act1974

TribunalRecordsJudicialCases Permanent TransfertoArchive HistoricalValue Permanent,accordingtothe

prescriptsofCanonLaw

AdministrativeandDocumentaryCases Permanent TransfertoArchive HistoricalValue Permanent,accordingtotheprescriptsofCanonLaw

MarriageDispensationsandPermissions Permanent TransfertoArchive HistoricalValue Permanent,accordingtotheprescriptsofCanonLaw

RadicalSanctions Permanent TransfertoArchive HistoricalValue Permanent,accordingtotheprescriptsofCanonLaw




InformationManagement

DataProtection-recordsofsubjectaccessrequestprocessing

3years ConfidentialDestruction DataProtectionAct1998

DataProtection-recordsofsubjectaccessrequestprocessingwhenappealismadetoICO

6years ConfidentialDestruction DataProtectionAct1998

KnowledgeManagementContactLists none Superseded BusinessNeedsInformationAudit 2years Superseded BusinessNeedsRetentionSchedules Permanent Superseded BusinessNeeds UKNationalArchivesGuidanceListofRecordsDestroyed Permanent TransfertoArchive BusinessNeeds UKNationalArchivesGuidanceRecordsDisposalCertificated Permanent TransfertoArchive BusinessNeeds UKNationalArchivesGuidanceArchiveandMuseumAccessionRegisterCatalogueofallArchivalHoldingDepositorRecords 5yearsafterendoflife ConfidentialDestruction BusinessNeedsLoanstoThirdParties 5yearafterloan ConfidentialDestruction Statutory PrescriptionandLimitations

(Scotland)Act1974VisitorBooks 5years ConfidentialDestruction BusinessNeeds SecurityPurposesCopying/PhotographicOrders;CopyrightForms 3years ConfidentialDestruction Statutory CopyrightAct1988EnvironmentalMonitoring Permanent BusinessNeeds BS5454ProductionofArchives 3years ConfidentialDestruction BusinessNeedsMuseumCatalogue Permanent Archive BusinessNeedsMuseumDevelopmentRecords 3years ReviewforHistoricalValue BusinessNeedsAccreditation-NotificationofRegisteredStatus 3yearswhilstrelevant ConfidentialDestruction BusinessNeedsAccreditation Permanent TransfertoArchive BusinessNeeds

Events/Ceremonial

Formalrecordofevent 3years reviewforhistoricalValue BusinessNeeds retainonesetofrecordsonly-copiestobedestroyedonceRecordsdocumentingtheplanningofevent 3years ConfidentialDestruction BusinessNeeds