Retention and disposal policy

1. Purpose

1.1 The purpose of this policy is to detail the procedures for the retention and
disposal of information to ensure that we carry this out consistently and that we
fully document any actions taken. Unless otherwise specified the retention and
disposal policy refers to both hard and soft copy documents.

2. Review

2.1 Review is the examination of closed records to determine whether they should
be destroyed, retained for a further period or transferred to an archive for
permanent preservation.

3. How long we should keep our paper records

3.1 Records should be kept for as long as they are needed to meet the operational
needs of the Authority, together with legal and regulatory requirements. We
have assessed our records to:
• Determine their value as a source of information about the Authority, its
operations, relationships and environment
• Assess their importance as evidence of business activities and decisions
• Establish whether there are any legal or regulatory retention requirements
(including: Public Records Act 1958, Data Protection Act 1998, the
Freedom of Information Act 2000, the Limitation Act 1980, the General Data
Protection Regulation 2018).
3.2 Where records are likely to have a historical value, or are worthy of permanent
preservation, we will transfer them to the National Archives after 25 years.

4. Disposal schedule

4.1 A disposal schedule is a key document in the management of records and

information. It is a list of series or collections of records for which predetermined
periods of retention have been agreed between the DPO, the IAO’s and the
SIRO.
4.2 Records on disposal schedules will fall into three main categories:
1. Destroy after an agreed period – where the useful life of a series or
collection of records can be easily predetermined (for example, destroy after
3 years; destroy 2 years after the end of the financial year).
2. Automatically select for permanent preservation – where certain groups of
records can be readily defined as worthy of permanent preservation and
transferred to an archive.

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 3. Review – see 2 above.
4.3 Records can be destroyed in the following ways:

Destruction
• Non-sensitive information – can be placed in a normal rubbish bin
• Confidential information – cross cut shredded and pulped or burnt
• Highly Confidential information – cross cut shredded and pulped or burnt
• Electronic equipment containing information - destroyed using killdisc and
for individual folders, they will be permanently deleted from the system.
4.4 Destruction of electronic records should render them non-recoverable even
using forensic data recovery techniques.

Archival transfer
4.5 This is the physical transfer of physical records to a permanent custody at the
National Archives Office.

5. Sharing of information

5.1 Duplicate records should be destroyed. Where information has been regularly
shared between business areas, only the original records should be retained in
accordance with the guidelines in section 2 above. Care should be taken that
seemingly duplicate records have not been annotated.
5.2 Where we share information with other bodies, we will ensure that they have
adequate procedures for records to ensure that the information is managed in
accordance with the Authority’s policies, relevant legislation and regulatory
guidance.
5.3 Where relevant to do so we will carry out a data privacy impact assessment and
update our privacy notices to reflect data sharing.

6. An audit trail

6.1 You do not need to document the disposal of records which have been listed on
the records retention schedule. Documents disposed of outwith the schedule
either by being disposed of earlier or kept for longer than listed will need to be
recorded for audit purposes.
6.2 This will provide an audit trail for any inspections conducted by the Information
Commissioner and will aid in addressing Freedom of Information requests,
where we no longer hold the material.

7. Monitoring

7.1 Responsibility for monitoring the disposal policy rests with the Director of
Governance and Operations. The policy will be reviewed annually or more
often is required.
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8. Disposal schedule – Governance and Operations: Finance Records

Heading Description Retention Period Comments IAO

Department of Health Finance Documents 7 years Director of Governance
and Operations
Financial management – Paid/presented cheques 6 years See TNA generic Director of Governance
bank, petty cash and and records of all cheques guidance: Retention and Operations
creditors records drawn for payment Scheduling 3: Accounting
All other cheque records – 2 years Records
cheque books received,
butts, cancelled etc
Bank statements and 6 years
reconciliations
Electronic banking – Same as paper records
transactions, payment
files, deposits,
withdrawals and audit trail
All petty cash records 6 years
Creditors history records, 6 years
lists and reports
Statements of accounts 2 years
Financial management – General ledger produced 6 years See TNA generic Director of Governance
ledger records for purposes of preparing guidance: Retention and Operations
certified financial Scheduling 3: Accounting
statements Records
Creditor ledger 6 years
Other ledgers and related 6 years
audit trails
Journals – prime record 6 years
for raising charge
Journals -adjustments 6 years
Reconciliations Year End 6 years
inc TB
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 Assets and depreciation 6 years on disposal of last
registers asset
Records in relation to 6 years
capital works projects
Annual and quarterly 6 years
financial statements
Periodic financial destroy when cumulated
statements into quarterly/annual
reports
Financial management – PO records 6 years See TNA generic Director of Governance
Purchase orders guidance: Retention and Operations
Scheduling 3: Accounting
Records
Financial management - Debtors records and 6 years See TNA generic Director of Governance
Income invoices guidance: Retention and Operations
Credit notes and refunds 6 years Scheduling 3: Accounting
Records relating to 6 years minor matters/10 Records
unrecoverable revenue years serious matters
(bad debts,
overpayments)
Revenue records 6 years
Financial management - Employee pay histories 6 years – 3 years for See TNA generic Director of Governance
payroll leavers guidance: Retention and Operations
Salary ledger card/records 6 years Scheduling 3: Accounting
Salary rates register when superseded Records
Copy of payroll sheets 6 years
Financial management - Estimations with detailed 6 years See TNA generic Director of Governance
budgeting justification that are guidance: Retention and Operations
submitted to treasury Scheduling 3: Accounting
Calculations and costings 2 years Records
for annual estimates
Records relating to bides 6 years
from Civil Contingencies
Fund
Expenditure and revenue 1 year after the year to
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 returns which returns relate
FS for annual reports 1 year after publication of
the report
FS for management 1 year after completion of
report
Grant funding records 6 years after grant made
Treasury Directives and Until superseded
Circulars
Fraud and theft 6 years minor matters/10
years serious matters
Financial management – External audit 6 years after completion See TNA generic Director of Governance
internal and external investigations guidance: Retention and Operations
audit Audit report that includes 6 years Scheduling 3: Accounting
long-term contracts Records
Report papers used in 6 years
course of fraud
investigation
Other audit reports 3 years
Terms of reference, 3 years
correspondence, minute
of meetings, working
papers
Programmes, plans and 1 year after date of last
strategies plan
Internal audit guides, when superseded
manuals, and guides
relating to departmental
procedures and local
auditing standards
Annual reports to 3 years
accounting officers
Financial documents 6 years after end of
(including investment project
appraisals)

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9. Disposal schedule – Governance and Operations: Human Resource Records

Heading Description Retention Period Comments IAO

Employee Files and Board Paper and hardcopy 6 years after the The Limitations Act 1980 Director of Governance
Member Files employee files employee leaves the (to reflect that legal and Operations
organisation. proceedings must start
within 6 years)
Income Tax Records and Income tax and NI returns, Not less than 3 years after The Income Tax Director of Governance
Wages income tax records and the end of the financial (Employments) and Operations
correspondence with the year to which they relate Regulations 1993
Inland Revenue (SI 1993/744) as
amended, for example by
The Income Tax
(Employments)
(Amendment No. 6)
Regulations 1996 (SI
1996/2631)
Wage/salary records (also 6 years Taxes Management Act
overtime, bonuses, 1970
expenses)
National minimum wage 3 years after the end of National Minimum Wage
records the pay reference period Act 1998
following the one that the
records cover
Pension and Retirement Retirement Benefits 6 years from the end of The Retirement Benefits Director of Governance
Schemes – records of the scheme year in which Schemes (Information and Operations
notifiable events, for the event took place Powers) Regulations
example, relating to 1995
incapacity (SI 1995/3103)
Policies Until superseded Director of Governance
and Operations
Sickness Records Statutory Maternity Pay 3 years after the end of The Statutory Maternity Director of Governance
records, calculations, the tax year in which the Pay (General) and Operations
certificates (Mat B1s) or maternity period ends Regulations 1986
other medical evidence (SI 1986/1960) as
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 amended

Statutory Sick Pay 3 years after the end of The Statutory Sick Pay
records, calculations, the tax year to which they (General) Regulations
certificates, self- relate 1982
certificates (SI 1982/894) as
amended
Employee Files – General Records relating to 2 years from date on The Working Time Director of Governance
Exceptions working time which they were made Regulations 1998 (SI and Operations
1998/1833)
Accident books, accident 3 years after the date of The Reporting of Injuries,
records/reports the last entry Diseases and Dangerous
Occurrences Regulations
1995 (RIDDOR)
(SI 1995/3163) as
amended.

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10. Disposal schedule – Governance and Operations: Corporate Governance

Heading Description Retention Period Comments IAO

Accommodation 6 years apart from We work in line with Director of Governance
ephemeral documents TNA generic guidance: and Operations
(room bookings etc) which Retention Scheduling 1:
is 1 year Buildings Records
ALB information 7 years Director of Governance
and Operations

Annual report Final reports Permanently Director of Governance

Background 2 years and Operations
documentation and
iterations of report
Board Audit committee papers 6 years Transfer all permanently Director of Governance
Audit committee minutes Permanently retained items to TNA and Operations
Audit committee terms of Until superseded
reference
Board meeting papers 6 years
Board meeting minutes Permanently
Board terms of reference Until superseded
Remuneration committee 6 years
papers
Remuneration committee Permanently
minutes
Remuneration committee Until superseded
terms of reference
Scrutiny committee 6 years
papers
Scrutiny committee Permanently
minutes

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 Scrutiny committee terms Until superseded
of reference
Private sessions Permanently
Corporate and Business Formal 5 years Director of Governance
Planning policies/documents and Operations
Background to the work 1 year
Complaints about the Policy Statements and Until superseded and We work in line with the Director of Governance
Authority or its Board guidance. 2 years TNA generic guidance: and Operations
Background papers Retention Scheduling 7:
Reports on particular 3 years Complaints Records
complaints or categories
of complaints
Statistical reports 5 years
Register of complaints 10 years
Contracts Policy Until superseded We work in line with TNA Director of Governance
Initial proposal –end user 6 years, regularly generic guidance: and Operations
requirement, list of updated, 1 year from date Retention Scheduling 5:
approved suppliers, of last paper, destroy Contractual Records
statements of interest, when specification
draft specification, agreed agreed, 6 years from end
specification, evaluation of contract, 6 years from
criteria and invitation to end of contract and 6
tender years from end of contract
Tendering- unsuccessful 1 year after date of last
documents, successful paper, 6 years from award
documents, background of contract, 1 year after
information, interview date of last paper, 1 year
panel documentation, from end of contract, 1
commissioning letter, year from end of contract,
signed contract 1 year from end of
contract and 6 years from
end of contract
Contract operation and 2 years from end of
monitoring – report from contract, 2 years from end
contractors, schedule of of contract, 16 years, 2
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 works, bills of quantity, years from end of
surveys and inspections, contract, 6 years from end
records of complaints, of contract, 6 years from
disputes over payment, end of contract and 6
final accounts and years from end of contract
minutes and papers of
meetings
Amendments to contracts 6 years from end of
– changes to contract
requirements, forms of
variation and extensions
to contract
Department of Health Quarterly accountability 5 years Director of Governance
meetings and Operations
Parliamentary Questions 7 years
Forms and Templates Until superseded Director of Governance
and Operations
General correspondence 2 years Director of Governance
including emails and Operations
Governance Accounting officer papers 6 years Director of Governance
Risk management 6 years and Operations
Audit 6 years
Diversity 6 years
Reference documents 6 years
Governments 6 years
Health and safety Reporting injuries, 3 years Director of Governance
diseases and dangerous and Operations
occurrences
Accident book 3 years from last date of
entry
Risk assessments 40 years
Safe operation procedures 40 years
and safe systems of work
Effectiveness of controls 40 years
(e.g. monitoring noise
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 levels and light)
Maintenance of controls 40 years
and other machinery
Training 40 years
Safety inspections & 40 years
checks
Information policy and Policies until superseded We work in line with TNA Director of Governance
legislation FOI requests: background 2 years and 10 years generic guidance: and Operations
documents, final versions Retention Scheduling 9:
released Information management
SAR Requests 3 years for background records
documents, 3 years for
final documents – unless
the requests relate to an
only going matter such as
a special investigation or
PR in which case they will
be retained in line with the
retention schedule for that
area.
Disposal schedule, Permanently, 10 years
background papers
Documents destroyed list 10 years
Training records 5 years
ICT All ICT documents 6 years or until Director of Governance
superceded. and Operations
ICT helpdesk Requests submitted 2 years Director of Governance
through the ICT helpdesk and Operations
Office administration Policies and procedures 5 years Director of Governance
Internal Meeting Minutes 5 years and Operations
Records Management Policies Until superseded We work in line with TNA Director of Governance
generic guidance: and Operations
Retention Scheduling 9:
Information management
records
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11. Disposal schedule – Scrutiny and Quality – Appointments

Heading Description Retention Period Comments IAO

All documentation 3 years from the date that Director of Scrutiny and
relating to the advice is provided to the Quality
appointment process Privy Council
Evidence 3 years from the date that Director of Scrutiny and
advice is provided to the Quality
Privy Council
Correspondence 3 years from the date that
advice is provided to the
Privy Council
Letters of advice to Notes of formal meetings/ Permanent Transfer to TNA Director of Scrutiny and
Privy Council advice to Privy Council Quality
Memorandum of Current version Permanent Transfer to TNA Director of Scrutiny and
Understanding with Quality
Previous version 3 years after superseded
Privy Council
Meetings Notes of meetings and 3 years Director of Scrutiny and
presentations relating to Quality
the formal scrutiny
process
S25C S25C internal operating 3 years after superseded Director of Scrutiny and
manual Quality
S25C internal operating 3 years after superseded
manual – previous version
S25C current process 3 years after superseded
guidance for regulators
S25C current good 3 years after superseded
practice guidance for
regulators
S25C guidance 3 years after superseded
documents – previous
versions
Statistical and Permanently in order to Transfer to TNA Director of Scrutiny and
monitoring data monitor trends Quality
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12. Disposal schedule – Scrutiny and Quality

Heading Description Retention Period Comments IAO

Audit of initial stages of Reports Permanent Director of Scrutiny and
FTP proceedings Quality

Background information 5 years

Background to the work 5 years

Complaints Policy Statements and Until superseded and We work in line with the Director of Scrutiny and
guidance. 2 years TNA generic guidance: Quality
Background papers Retention Scheduling 7:
Enquires 3 years Complaints Records
Reports on particular 3 years
complaints or categories
of complaints
Statistical reports 5 years
Register of complaints 10 years
Quarterly accountability 5 years
meetings
Good Practice Seminars 5 years Archived with TNA after Director of Scrutiny and
Fitness to Practise permanently 25 years Quality
Forum Meeting Papers
Performance Review Reports Permanently Archived with TNA after Director of Scrutiny and
Supporting evidence 5 years after the final 25 years Quality
publication date
Regulation 5 years Directors of S&Q
&Standards & Policy
Section 29 Database records Permanently Any cases that go to the Director of Scrutiny and
High Court should be Quality
retained permanently and
archived with TNA
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 Hard copy case files 6 months after final
conclusion.
Special Projects and Commissioning letters and 5 years Permanent documents
Investigations correspondence with archived with TNA after
commissioners 25 years
Reports Permanently
Supporting evidence 5 years

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13. Disposal schedule – Standards and Policy – Accredited Registers

Heading Description Retention Period Comments IAO

Applications for Application forms & 5 years Director of Standards and
Accreditation supporting materials (final Policy
versions)
Evidence summaries and 5 years
internal documents about
processes (final versions)
Risk assessments (final 5 years
versions)
Licensing agreements Until superseded
Call for information 3 years
Corporate and Finance Audits 6 years Director of Standards and
Financial information 6 years Policy
Legal advice 5 years
Panel Meetings Panel papers (final 5 years Panel decisions should
version) be transferred to TNA
Panel decisions Permanently
Appeals by registers 5 years
References, Templates Until superseded Director of Standards and
Policy
Standards and policies 5 years after superseded Director of Standards and
Policy
Correspondence, 3 years Director of Standards and
Complaints, Concerns Policy
raised

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14. Disposal schedule – Standards and Policy – Communications, Policy and Research

Heading Description Retention Period Comments IAO

Communications Presentations and Until superseded We work in line with the Director of Governance
speeches TNA generic guidance on and Operations, Standards
Briefings for ministers 5 years press and public relations and Policy and Scrutiny
Corporate designs Until superseded records and Quality (depending on
Comms Strategy Until superseded project)
The Authority Until superseded
Conference and Events 1 year
Ministerial meetings 1 year
Photos Until superseded
PPI Until superseded
Press and Public Until superseded
Relations
Stakeholder management Until superseded
Website Until superseded
Welsh Language scheme Until superseded
Policy and Research - Commissioning letters and 5 years Final reports - to transfer Director of Standards and
Projects correspondence with to National Archives Policy
commissioners
Project plans 5 years
Calls for information 5 years
including mailing lists and
responses for calls to
information
Desk research notes 5 years
Regulator responses 5 years
Draft reports 1 year
Final Reports Permanently
Policy and Research - Original consultation 5 years Final response - to Director of Standards and
Consultations Final response Permanently transfer to National Policy
Further correspondence 5 years Archives
Policy and Research Briefings 5 years Director of Standards and
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 Presentations 5 years Policy
Other correspondence 5 years
Regulation 5 years Director of Standards and
Policy/Director of Scrutiny
and Quality
Style guide Until superseded Director of Standards and
Policy

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Version Control

Version Status Description of Version Date Completed

1.0 Agreed Records Disposal Policy 14/11/08
2.0 Agreed To reflect changes to staff titles 14/10/10
3.0 Agreed To reflect changes to our position of 25/01/11
disposal of human resources data
3.1 Policy was put in a new template 25/04/13
4.0 Reviewed and changed disposal schedule
5.0 Agreed Changes to appointments retention 15/12/2014
schedule and change of name from AVR to
Accredited Registers
5.1 Agreed Amendment to appointments retention 05/05/2015
periods
5.2 Agreed Amendment to AR retention schedule 10/01/2017
5.3 Agreed To add a third category of information 13 March 2017
‘highly confidential
5.4 To add ICT helpdesk queries to the 22 March 2018
retention schedule
5.5 Agreed Annual review and updated to reflect 24 May 2018
GDPR

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