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HR retention schedules

HR, organisation and workforce development 

HR retention schedule
Type of recordDescription of record and examplesStorage mediaRetention and disposalLegislation or regulations

Apprenticeships/Placements

Apprenticeship levy and related documents and database.

Electronic and online - apprentice levy database.

Length of apprenticeship then 5 years for reporting.

Secure disposal

Apprentice Levy

Attendance Management (Corporate)

Corporate casework: attendance management including occupational health referrals and report.

Electronic and paper.

Held in restricted access storage on file as record of employment history.

Secure disposal with personnel file.

Record of Employment History

Attendance Management (School Staff)

Schools casework: attendance management including occupational health referrals and report.

Electronic and paper.

Held in restricted access storage on file as record of employment history.

Secure disposal with personnel file.

Record of Employment History

Attendance

Electronic attendance record.

Electronic.

As per personal file.

Record of Employment History

Absence Reports

Quarterly absence reports.

Electronic.

3 years.
Securely deleted.

Business Practice

Corporate and Schools Employee Occupational Health

Employee occupational health medical records: would include clinical notes, referrals, emails, specialist reports and any information received. Would also include any referrals sent to and any reports received from therapists.  Would also include any information issued to management such as reports, certificates. Could be absent or non-absent related.

Electronic.

During employment and 10 years after leaving employment (as long as not related to health surveillance). Length of storage is current medical insurance requirements. Securely disposed.

Clinical Record Requirements of GMC and NMC as Per Medical Records Legislation

Corporate and School Employee Attendance - Maternity/Adoption/Parental Leave

Documents relating to maternity/paternity/parental/adoption leave or flexible working (other than pay records).

Electronic and paper.

As for personnel files.
Secure disposal.

Record of Employment History

Unpaid Leave

Unpaid leave sign up and associated letters.

Electronic.

Until superseded, up to maximum of 3 years.

File deleted.

 

Posts and People

Point in time post and people report describing the Council establishment.

Electronic.

6 years plus current.

File deleted.

 

Posts and Structure

Post and structure and associated records in relation to the post (including PORPS, DBS requirement, UPL Exemptions, HCPC, etc.).

Electronic.

Dynamic database.

Ongoing retention until superseded.

 

Corporate and Schools Health Specific Customer Feedback

Copies of any health specific complaint received, any investigation notes and response issued.

Electronic and paper.

10 years following last entry after the date of leaving.

Secure disposal.

Insurance Requirement

Corporate and Schools Occupational Health Customer Feedback

Feedback forms, survey database or emails.

Electronic and paper.

3 years from the date of receipt. Secure disposal.

NMC Requirement for Nurses Revalidation Every 3 Years

External Customers Occupational Health Customer Feedback

Feedback forms, survey database or emails.

Electronic and paper.

3 years from the date of receipt.

Secure disposal.

NMC Requirement for Nurses Revalidation Every 3 Years

Corporate and Schools Employee Deferred Ill Health Retirement Requests

Pension request, consent forms, information from specialists, GP records and report and certificate issued. Also include any subsequent appeals.

Electronic.

10 years following last entry.

Secure disposal.

Clinical Record Requirements of GMC & NMC as Per Medical Records legislation; Medical

Insurance Requirements

Delegated Authority

Approval paperwork in regards to the delegation of roles to carry out the HR activities.

Electronic and paper.

10 years after date created or agreement ceases to be effective.

Secure disposal.

Council Constitution

Corporate and Schools Disciplinary -Employment Tribunal

Employment tribunal (corporate) related documentation and evidence.

Electronic and paper.

6 years plus current year.

Secure disposal.

The Employment Tribunals (Constitution and Rules of Procedure) (Amendment) Regulations 2008;

Limitation Act 1980 (Section 2)

Corporate and Schools Disciplinary - Casework - Dismissal

Corporate casework: disciplinary documentation where the case results in dismissal.

Electronic and paper.

6 years plus current year unless linked to staff working with children or vulnerable people - which would be kept in line with 1.2.

Secure disposal.

Limitation Act 1980 (Section 2);

HMG Guidance on Keeping Children Safe in Education;

Records of Employment History

Corporate and Schools Disciplinary - Casework - No Case

Corporate casework: disciplinary documentation where the case results in no case to answer.

Electronic and paper.

All securely destroyed at the conclusion of the investigation.

Limitation Act 1980 (Section 2);

HMG Guidance on Keeping Children Safe in Education;

Records of Employment History

Corporate Disciplinary - Written Warnings from Managers

Corporate casework: copy of written warning - issued by line manager/senior manager, with a right of appeal to next level of management.

Electronic and paper.

Date of warning (12 months) then secure disposal.
[This period could be extended if required to be used for evidence to show that the employee was made aware of the seriousness of previous behaviour.]

People Management Handbook Section N - N22;

Records of Employment History

Corporate Disciplinary - Final Written Warnings from Chief Officers

Corporate casework: copy of final written warning - issued by Chief Officer, or delegated manager, with a right of appeal to Chief Executive.

Electronic and paper.

Date of warning (18 months) then secure disposal.
[This period could be extended if required to be used for evidence to show that the employee was made aware of the seriousness of previous behaviour.]

People Management Handbook Section N - N22;

Records of Employment History

Corporate and Schools Disciplinary - Investigation (Safeguarding Adults and Children)

Corporate: disciplinary investigation documentation, evidence or records linked to safeguarding adults and children.

Electronic and paper.

For founded and unfounded allegations involving staff working with children or vulnerable people - keep in line with 1.2.

Secure disposal.

DDA & Warner Reports Working Together to Safeguard Children;

HM Government Guidance on Keeping Children Safe in Education;

DfE Guidance

Corporate and Schools Disciplinary - Investigation

Corporate casework: disciplinary investigation documentation, evidence or records.

Electronic and paper.

For both founded and unfounded allegations involving staff working with children or vulnerable people - keep in line with 1.2.

Secure disposal

HMG Guidance on Working Together to Safeguard Children;

DfE Guidance

School Disciplinary - Written Warning From Head Teacher/Governors

School Casework: copies of written warnings - issued by head teacher/governors, with a right of appeal to appeal panel.

Electronic and paper.

Date of warning (12 months) then securely destroyed.
[This period could be extended if required to be used for evidence to show that the employee was made aware of the seriousness of previous behaviour.]

HM Government Guidance, Keeping Children Safe in Education;

Records of Employment History

School Disciplinary - Final Written Warning From Governors

School Casework: copies of final written warning - issued by governors, with a right of appeal to appeal panel. 

Electronic and paper.

Date of warning (18 months) then securely destroyed.
[This period could be extended if required to be used for evidence to show that the employee was made aware of the seriousness of previous behaviour.]

HM Government Guidance, Keeping Children Safe in Education;

Records of Employment History

Corporate, Schools and External Customer's Employee Assistance Programme (EAP) Stats

General stats regarding utilisation of the phone line and counselling. Information includes reason for the call and demographic information.

Electronic and paper.

4 years.
Secure disposal.

 

Corporate, Schools and External Customer's Employee Assistance Programme (EAP) Counselling

Additional counselling request from EAP, confirmation of consent from employee and manager approval.

Electronic.

10 years following last entry after the date of leaving.
Secure disposal.

Clinical Record Requirements of GMC and NMC as Per Medical Records Legislation; Length of Storage is Current Medical Insurance Requirements

Employee Amendments

Employee amendment forms and approval emails which are added to personnel file.

Electronic.

As per personal file.

Record of Employment History

Corporate Grievance - Employee Complaints Reporting

Corporate employee complaints (grievance) procedure - related documentation including initial grievance.

Electronic and paper.

Date grievance resolved plus 6 years.
Secure disposal.

Limitation Act 1980 (Section 2)

School Employee Grievance Reporting

Schools grievance procedure and related documentation.

Electronic and paper.

Date grievance resolved plus 6 years.
Secure disposal.

Limitation Act 1980 (Section 2)

Corporate and Schools, and External Customers Employee Health Surveillance

Health surveillance screening; would include requests for health surveillance and risk assessments, emails received.  Would include clinical notes taken, any screening tests conducted and any certificates issued.

Health records relating to exposure to potential hazards and therefore health Surveillance, including baseline upon appointment and any referrals relevant to health surveillance requirements; vaccination records in connection with COSHH.

Electronic.

Reviewed when employee leaves and then will be retained for 40 years following last entry. Securely destroyed when no longer required.

Health and Safety Regulations

HR Data and Statistics

Point in time headline HR statistics (employee numbers, turnover, contract types, and age profile).

Electronic.

6 years plus current year.

File deleted.

 

Training Data and Statistics

Training statistics comprising list of completions and summary figures.

Electronic.

6 years plus current year. Secure disposal.

 

Job Descriptions

Job description library (job description, job rationale, supporting documentation).

Electronic.

Dynamic document - information retained until superseded or no longer required.

Destroyed.

Equal Pay Legislation

Job Evaluation Appeal

Appeal documentation.

Electronic.

6 years.

Secure disposal.

Equal Pay Legislation

Equal Pay

Equal pay documentation (COT3, claims, settlements).

Electronic.

6 years after claim or COT3 expiry.

File deleted.

Equal Pay Legislation

Corporate and Schools Employee Legal Requests for Occupational Health Notes

Any requests and consent form in order to release notes.

Electronic.

10 years following last entry after the date of leaving. If no clinical records are held when the request is received then this will not be retained, the solicitor will be notified and the request deleted.

Secure disposal.

Forms Part of the Clinical Record; Insurance Requirement

Corporate Performance Casework Reporting

Corporate casework: performance and capability data.

Electronic.

6 years plus current year.

Secure disposal.

Limitation Act 1980 (Section 2)

Schools Performance Casework Reporting

Schools casework: performance and capability data.

Electronic.

6 years plus current year.

Secure disposal.

Limitation Act 1980 (Section 2)

Employment Probation

Probation forms and associated documentation.

Electronic.

Whilst in employment.

Secure disposal.

Record of Employment History

Performance Appraisals

Performance appraisal meeting records relating to a post. Record of objectives, performance against objectives, development needs. Training attended and observations. Employee's observations.

Electronic and local staff files (historical).

As personnel files.

 

Supervision Notes

Supervision notes relating to social care case supervision. Currently held by local managers. Specific content varies. Dates and absences included.

Electronic and paper.

As personnel files.

Limitation Act 1980 (Section 2)

Personal File (HR)

Personal file.

Electronic.

Whilst employed by the Council and for up to age 75 plus 6 years after leaving to enable compliance with pension data requirements.

Data put 'beyond use' when 6 years after termination to ensure accessibility is restricted to pension only.

Limitations Act 1980 (Section 2);

HMRC Regulations (Pensions)

Corporate and Schools Policies and Procedures

Employment strategy: employment policy: employment guidance for managers and staff: equality impact assessments/consultation process/approval documents.

Electronic and paper.

Date guidance superseded plus 6 years.
Secure disposal.

Limitation Act 1980 (Section 2)

Induction/Probation Process

Records relating to employee induction and probation, actions completed and indication of performance. Checklist with observation on performance and employee feedback.

Electronic and historical paper based -uploaded to system.

As personnel files.

 

Exit Interviews

Exit interviews - documentation and questionnaires.

Electronic and paper.

Retain for quarter of the year in which they fall or once the responses have been logged on database.

Secure disposal.

For Evaluation of Reasons For Leaving

Corporate and Schools Health and Wellbeing Questionnaires

Anonymised questionnaires regarding health and wellbeing.

Electronic.

4 years.

Secure disposal.

Report Writing, Comparison to Previous Years and Action Planning

Staff Questionnaires

Online and paper based questionnaires: name, role, employee number, post details: collecting opinions of Council and individual leaders.
Staff questionnaires, leadership survey, employee engagement survey (12Q), and leadership 360 survey (360).

Electronic.

3 years.

Secure disposal.

 

Primary School Recruitment

Recruitment process for primary head teachers by the schools employee relations team.

Electronic and paper.

Date of appointment plus 12 months.

Secure disposal.

Record of Employment History

Secondary School Recruitment

Recruitment process for secondary head teachers by the schools employee relations team.

Electronic and paper.

Date of appointment plus 24 months.

Secure disposal.

Record of Employment History

Head Teacher Recruitment

Recruitment process: head teacher appointment central file.

Electronic and paper.

Until no longer of effective use.

Secure disposal.

CIPD Recommendation

Recruitment - Successful Applicants

Application form (successful applicants).

Electronic.

As per personal files.

Record of Employment History

Recruitment - Unsuccessful Applicants

Application form (unsuccessful applicants).

Electronic.

12 months after closure of recruitment campaign. Automatic deletion at this time.

Time Limits for Litigation

References

Pre-employment checks: references. Email and word documents (added to personal file).

Electronic.

As per personal files.

Record of Employment History

Right to Work in UK

Pre-employment checks: right to work in the UK. Scanned ID documentation (added to personal file).

Electronic.

As per personal files.

Immigration, Asylum and Nationality Act 2005

DBS Application

Pre-employment checks: DBS application.

Electronic.

System deletion of record after 6 months.

Safeguarding Vulnerable Groups Act 2006

DBS Outcome

Pre-employment checks: DBS outcome. Clearance date and disclosure number. Stored in vision and DBS panel outcomes (added to personal file).

Electronic.

As per personal files.

Safeguarding Vulnerable Groups Act 2006

Qualifications Checks

Pre-employment checks: essential qualifications certificates. Relevant documents scanned or photocopied (added to personal file).

Electronic.

As per personal files.

Record of Employment History

Medical Clearance

Pre-employment Checks: Medical Clearance via Emails/PDF (Added to personal file).

Electronic.

As per personal files.

Record of Employment History

Prohibition from Teaching

Pre-employment Checks: prohibition from teaching. Screen prints of online checks (added to personal file).

Electronic.

As per personal files.

Record of Employment History

Teachers' Pension

Pre-employment Checks: TR2 teachers' pension check. Screen print of online check (added to personal file).

Electronic.

As per personal files.

Record of Employment History

New Starters

HR setup information (from iRecruit to set up new starter in Selima). Comprises system email which is added to personal file and copy sent to Payroll.

Electronic.

As per personal files.

Record of Employment History

Statement of Particulars

Scanned statement of particulars signed by employee (added to personal file).

Electronic.

As per personal files.

Record of Employment History

Corporate and Schools Pre-Employment Occupational Health

Pre-employment information received, any clinical notes and fit to work certificates issued.

Electronic.

Notes checked and all information in medical record retained for 10 years following last entry when employee leaves employment (as long as not related to health surveillance).

Secure disposal.

Clinical Record Requirements of GMC & NMC as per Medical Records Legislation; Length of Storage is Current Medical Insurance Requirements

Corporate and Schools Employee Redundancy

Redundancy consultation documents HR1/188 documents/EIA/formal proposals/consultation.

Electronic and paper.

6 years from date of redundancy.

Secure disposal.

CIPD Recommendation

Corporate and Schools Restructures (Redundancy)

Documents relating to corporate restructures, selection for redundancy and redundancy (estimates).

Electronic and paper.

Date of agreement plus 6 years/12 years from date of redundancy.

Secure disposal.

Limitation Act 1980 (Section 2)

Redundancy Tracker

Redundancy tracker and associated letters.

Electronic.

6 years plus current year.

Files deleted.

Time Limits for Employment Litigation

Staff Benefits

Record of travel loans.

Electronic.

1 year plus current year.

Files deleted.

 

Equality and Diversity Returns

Equality and diversity: annual workforce equality report.

Electronic and paper

6 years plus current year then review.

Secure disposal.

Equality Act

Statutory Returns

Statutory returns: e.g. schools workforce census, teachers ASR, annual HRs and earning, LG earnings, NMDS, and children's workforce data. Copy of submission or workings.

Electronic.

2 years plus current year.

File deletion.

Statutory Returns

Wellbeing Group Meetings

Wellbeing group meetings. Project plan, agendas, minutes and papers relating to wellbeing group.

Electronic and paper.

1 year unless contains key decision. Secure disposal.

Action Planning

Quarterly Audit Meetings

Agendas, minutes, papers, action plans, etc. relating to OD groups.

Electronic.

1 year unless contains key decision. Secure disposal.

 

Teachers Salary

Teachers' salary statements.

Electronic and paper.

Whilst employed plus 6 years.

Secure disposal.

CIPD Recommendation

Corporate Employee Terms and Conditions

Human resources: employment strategy: employment policy: national and Blackpool Council terms and conditions. Each copy of the national terms - green/white and purple book.

Electronic and paper.

A copy of each version is retained as an archive copy to enable the terms and conditions in operation at any given time to be proven.
Secure disposal.

Limitation Act 1980 (Section 2)

Corporate Collective Agreements

Copies of collective agreements.

Electronic and paper.

10 years after date created or agreement ceases to be effective.

Secure Disposal.

CIPD Recommendation

Trade Union Meetings

Trade union consultation meetings - CJCC.

Electronic and paper.

Permanent.

CIPD Recommendation

Corporate and Schools Trade Union Representatives

Trade unions (recognition, facilities and membership), records for time off for duties/training.

Electronic and paper.

6 years plus current year then review.

Secure disposal.

Limitation Act 1980 (Section 2)

Trade Union Disputes

Trade union disputes: industrial action monitoring/reports/formal notifications.

Electronic and paper.

6 years plus current year.

Secure disposal.

CIPD Recommendation

Corporate Training Plan

Corporate training plan. Copies of requested training data, completed training.

Electronic.

Dynamic document which is regularly updated.

 

Internal Training Records

Records of training (internal), date of attendance/cancellation, course data, success, and special requirements.

Electronic.

As personnel files.

Record of Employment History

External Training Records

Records of training (external). Organisation data, non-employee, name, contact details. Date of attendance/cancellation, course data, success, special requirements.

Electronic and paper.

Paper - 1 year.

Secure disposal

Electronic - as personnel file.

 

Proof of Completed Training

Training (proof of completion such as certificates, awards, and exam results).
- ILM assignments and applications.
- Food hygiene tests and results.
- MAPA registration.

Electronic and paper.

CHEI materials securely disposed after effective use.

ILM - TBC.

 

Course Information

Course information - flyers, attendance lists, joining instructions, emails, application forms/booking forms. General application data, name, job, courses.

Electronic and paper.

1 year.

Secure disposal.

 

Training Commissioning

Information relating to commissioning for training courses commissioned by workforce development including procurement, letters, emails and finance.

Electronic and paper.

6 years.

Secure disposal.

Value Added Tax Act 1997 Sche 11 Para 6;
Limitation Act 1980 (Section 2)

Training Materials

Training material: all records relating to the development of and records management e-learning modules.
Name, email, organisation, employee number, course activity and completions.

Electronic.

iPool kept for 48 months after non-activity.

6 months after employment ceases.

Secure disposal.

 

First Aid Training

Records relating to first aid training including details of training completed to track expiry date. First Aid and MAPA.

Electronic.

Date of training plus 3 years for first aid.

MAPA - 2 years.
Secure disposal for both at end of retention period.

HSE Requirements

Social Care Training

Social care information and learning services records (SCILS) including name, email, organisation and resources accessed.

Electronic.

TBC - check with SCILS. Although use Council credentials, the individual signs themselves up.

 

Coaching

Coaching records including name, and topic issue, scale (evaluation score).

Electronic and paper.

2 years.

Secure disposal.

 

PEQ Scheme

Post entry qualification scheme - application for assistance with qualification.

Electronic and paper.

2 years from date qualification completed.

Secure disposal.

 

Mediation

Records of mediation undertaken. Name, department and agreement.

Electronic and paper.

2 years.

Secure disposal.

 

TUPE - Staff Transferred into Blackpool

Documents relating to corporate TUPE transfers, including due diligence documentation and associated correspondence.

Electronic.

As per personal file.

Record of Employment History

TUPE - Corporate and School Staff Transferred to Other Organisations

Documents relating to school TUPE transfers, including due diligence documentation and associated correspondence.

Electronic and paper.

Restricted access storage.

6 years plus current year. Secure disposal.

TUPE Regulations

Corporate and School Vaccination Records

Any requests for vaccination received including risk assessments and emails.  Any clinical history taken and the vaccination records.

Electronic.

Non COSHH will be retained for 10 years as part of medical record to comply with current insurance requirements.
In the case of vaccination for COSHH retained for 40 years following last entry after leaving employment.


Secure Disposal.

Clinical Record Requirements of GMC & NMC as per Medical Records Legislation; COSHH Legislation

Awards

Records of staff awards, nominations, judging and winner's information, procedure and guidance information.

Electronic.

1 year.

Secure disposal.

 

Social Care Training

Information for social care information and learning services (SCILS).

Electronic (online).

Employee to contact SCILS to remove personal data or de-register from system.

Social Care Accreditation