Disposal schedule - Section J | Department of Health

Disposal schedule - Section J - Organisation

Organisation

Ref	Record Type	Minimum Retention Period	Relevant Legislation / Derivation	Final Action
J1	Agendas and Minutes of Trust/HSCB/ Agency/Departmental Board Meetings (Master Copies including associated papers)	20 years		Transfer to PRONI
J2	Agendas and minutes of major committees, sub-committees (master copies, including associated papers)	10 years - Normal Review Process		Transfer to PRONI
J3	Agendas, meeting papers, minutes–committees, sub committees, predecessors, professional staff/team meetings (Master Copies)	10 years - Normal Review Process		Determined on review
J4	Meetings and minutes papers (other, including reference copies of major committees)	two years		Destroy
J5	Advance letters (for example, DH guidance)	six years		Destroy
J6	Ambulance administrator record, that is, records containing non-clinical details only for example, records of journeys	two years from the end of the year to which they relate.		Destroy
J7	Annual/corporate Reports (Background papers)	three years		Destroy
	Annual/corporate reports (published report)	three years		PRONI should be added to the circulation list and a copy of each published annual / corporate Report sent to them
J8	Assembly Questions(AQ), Parliamentary Questions(PQ) MLA/MP Enquiries These documents include all information provided by the organisation in response to a AQ/PQ (for example, background note to the Minister or the Minster may amend the response) all of which may not be used in the response and therefore it will not be in the public domain	five years		Permanently preserve electronic, review paper
J9	Business Plans including Health and Well Being Investment Plans (HWIPs) and Trust Delivery Plans (TDPs) Strategic Plans	20 years		Destroy PRONI should be added to the circulation list and a copy of each published HWIP/TDP sent to them.
J10	Close Circuit TV Images	See AM-002 To be retained for 28 days and then permanently erased unless required for evidential purposes (in line with DATA Commissioner’s Code of Conduct).	Information Commissioner’s Code of Conduct	Destroy Erase permanently
J11	Commissioning decisions
	Appeal documentation	six years from date of appeal decision.		Destroy under confidential conditions
	Decision documentation	six years from date of decision.		Destroy under confidential conditions
J12	Contact details	one year after details change or no longer required.		Destroy
J13	Library Services
	Copyright declaration forms	six years	Copyright, Designs and Patents Act 1988	Destroy
	Acquisition, Catalogues Circulation Customer Services, Advice and Guidance	two years		Destroy
J14	Correspondence and other papers of minor or ephemeral importance not covered elsewhere for example, advertising matter printing covering letters Compliments and appreciations queries reminders letters making appointments anonymous or unintelligible letters drafts duplicates of documents known to be preserved elsewhere (unless they have important minutes on them) indexes and registers compiled for temporary purposes routine reports punched cards other documents which have ceased to be of value on settlement of the matter involved	three years after the settlement of the matter to which it relates.		Destroy
J15	Data Input Forms (where the data/information has been input to a computer system)	two years		Destroy
J16	Departmental Enquiries	10 years - Normal Review Process		Determined on review
J17	Diaries
	Chief Executive	Review five years following the calendar year to which they relate.		Destroy
	Minister and Ministers private secretary	See GMGR Section J35		Destroy
J18	Diaries which contain details of staff travelling	6 years following the calendar year to which they relate.		Destroy
J19	Diaries – professional for example, health visitors, district nurses, social workers and Allied Health Professionals	two years after the end of the year to which the diary relates. Patient specific information should be transferred to the patient record. Any notes made in the diary as an ‘aide memoire’ must also be transferred to the patient record as soon as possible.		Destroy
J20	Diaries (office)	one year after the end of the calendar year to which they refer.		Destroy
J21	Records Management
	Disposal Schedules/Indexes (documents describing public records marked for permanent preservation or containing the management of public records) correspondence and papers relating to the compilation of disposal schedules	Review at 10 years	Public Records Act (Northern Ireland) 1923 Information management records retention schedule	Determined on review
	Disposal Schedules (Actual Signed Schedule) or indexes	Permanent		A copy is permanently retained in the organisation and a copy should be sent to PRONI
	Registry lists of public records marked for permanent preservation, or containing the record of management of public records	30 years		Retain
	File lists and document lists where public records or their management are not covered	30 years	Information management records retention schedule	Determined on review
	Review Lists	five years		Destroy
	Lists, certificates, docket books or databases of records destroyed	Retain permanently		Retain
	Records relating to the transfer and retrieval from and to off-site storage	two years		Destroy
	Records relating to contracts with storage providers	six years from the end of the contract.		Destroy
	Disaster planning records	Until superseded		Destroy
	Information Surveys record audits and registry inspections	five years		Destroy
	Public Access Requests	See GMGR Section J28 Freedom of Information Requests	FOI model retention schedule	Destroy
	Records relating to the control of record keeping systems	When the system is superseded.	Information management records retention schedule	Destroy
	Documentation of record series	Preserve permanently for series from which records have been transferred to PRONI, destroy when all records in the series have been destroyed.		Destroy
	General administrative records, including routine correspondence relating to the provision of information management services	two years		Destroy
	Security of records	five years		Destroy
J22	Documents more than 100 years old	Any records currently held should be referred for a special PRONI review.		Special review by PRONI
J23	Equality and good relations: documents created or used specifically for the purposes of meeting statutory duties placed on public bodies regarding the promotion of equality and good relations, inc. Equality Schemes and background documents; documents relating to the equality-screening of policies and Equality Impact Assessments; annual statements to the Equality Commission on the implementation of the duties; equality training plans and materials	seven years		Determined on review
J24	Garden Parties and Public Functions	five years		Destroy
J25	Honours	75 years		Destroy
J26	Hospitality
	Gifts and Hospitality Registers including the offers of gifts	six years	DFP Guidance on the Acceptance and Provision of Gifts and Hospitality	Destroy
	Catering forms	six years		Destroy
	Guidance on the provision and acceptance of gifts	See GMGR Section J31		Destroy
J27	Records of Incoming mail	three years		Destroy
J28	Information Access Requests and Responses
	Data Protection Act and Access to Health Records- Subject Access Requests – record of requests	three years after last action.		Destroy
	Policy and procedures for handling FOI Requests. Case records which lead to the development of precedents and best practice	five years after the policy or procedures have been superseded.	FOI model retention schedule	Destroy
	Freedom of Information and Environmental Information Request case file records, detailing the FOI request, the consideration of possible exemptions and subsequent appeals	three years after last action.	FOI model retention schedule	Destroy
	Details of access decisions taken and any redacted versions of documents released See AD-024	This information may be required for longer as it could be considered current until superseded by a subsequent decision. Retain 10 years.	FOI model retention schedule	Destroy
	Monitoring records Statistical data about the number of requests and outcomes.	10 years	FOI model retention schedule	Destroy
	Records relating to Data Sharing arrangements between organisations including Data Access Agreements	seven years		Destroy
J29	Inquiries Under Inquiries Act 2005	See guidance on Special Category Records in Part 1.		PRONI to determine on review after completion of the Inquiry
J30	Governance and quality assurance/controls records
	Annual report on the discharge of delegated Statutory functions and corporate parenting report	three years		Destroy
	Quality assurance records (for example, Healthcare Commission, Audit Commission, King’s Fund Organisational Audit, Investors in People NIMDTA)	15 years		Destroy
	Controls Assurance Standards	five years		Destroy
	Controls Assurance Exercise Documents	two years		Destroy
	Assessment of performance against controls Assurance Standards	five years		Destroy
	Liaison between organisations relating to governance	five years		Destroy
	Records relating to internal organisational, team standards	five years		Destroy
	Risk Registers	five years after cancelled or superseded.		Destroy
	Accountable Officer Records
	Declaration and self assessment	five years		Destroy
	Records of auditing and monitoring	five years from formal approval of the audit.		Destroy
	Occurrence reports	10 years		Destroy
	Records of concern and the assessment and investigation of concerns	See GMGR Section A2 – A4 and GMGR Section A6		Destroy
	Local Intelligence Network Records	Review the records (see Part 1 for guidance) after 10 years to consider whether the records should be destroyed or retained up to the death or end of working life of any individual concerned.		Destroy
	Medicines Regulatory Group (DHSSPS) (previously Inspection and Enforcement Group)
	Inspections	five years from the date of the inspection.		Determined on Review
	Investigations	10 years (see GMGR Section F26).		Determined on Review
J31	Guidance and Circulars
	Received by organisations (for example, from the Department)	Until cancelled or superseded		Destroy
	Creator’ background papers	See GMGR Section J39		Destroy
J32	Legislation
	Actual sealed copy	Paragraph 9.1.4 ofOFMDFM’S Handbook on Subordinate Legislation advises the “Original of a Statutory Rule is retained permanently by the Department in a secure place.” The DHSSPS Departmental Records Officer has approved that all Statutory Rules and Sealed Directions should be sent to PRONI.		Transferred to PRONI within three months
	Background papers
	Primary Legislation	Permanent Preservation		Determined on Review
	Subordinate legislation	Review 20 years. Papers should be considered for destruction if the legislation has been superseded.		Determined on Review
	Administrative records associated with the legislation process	five years after closure.		Destroy
J33	Mailing lists	one year after list changes or no longer applicable.		Destroy
J34	Manuals – policy and procedure (administrative and clinical, strategy documents)	10 years after life of the system (or superseded) to which the policies or procedures refer.		Determined on review
J35	Ministerial Records
	Ministers Diary (paper diary or electronic diary) Ministers notebooks	Pass to the Departmental Information Manager at the end of a minister’s tenure in Office. The DIM should transfer all electronic records to PRONI and request PRONI to review any paper records.	The National Archives guidance on the Management of Private Office Papers	Permanently preserve electronic, paper to be determined by DIM and PRONI
	Private secretary’s notebooks	six months	The National Archives guidance on the Management of Private Office Papers	Permanently preserve electronic, paper to be determined by DIM and PRONI
	Records of formal meetings with outside interest groups /lobbyists	Pass to the Departmental Information Manager at the end of a minister’s tenure in Office. The DIM should transfer all electronic records to PRONI and request PRONI to review any paper records.		Permanently preserve electronic, paper to be determined by DIM and PRONI
	Photographs Image Library records	See GMGR Section J40		Destroy
J36		two years after cancelled or superseded		Destroy
J37	Patient/customer information leaflets	six years after the leaflet has been superseded		Destroy
J38	Patient/ client/ customer surveys	two years		Destroy
J39	Policy, procedures and guidelines – (development background papers including Cross Border Initiatives)	Until policy or procedures are revised. Review at change/ revision and or first and second review procedures. Libraries will retain a copy as reference.		Determined on review
J40	Press and Public Relations Records
	Events, Exhibitions and Fairs	two years		Destroy
	Media Briefing	seven years		Destroy
	Official Briefings – responses Briefing requests and their responses from private offices, select and standing committees	See GMGR Section J35 Pass to the Departmental Information Manager at the end of a minister’s tenure in Office. The DIM should transfer all electronic records to PRONI and request PRONI to review any paper records.	The National Archives guidance on the Management of Private Office Papers	Permanently preserve electronic, paper to be determined by DIM and PRONI
	Photographs Image Library records	one year or sooner if no longer required	National Archives Records Management Retention Scheduling Press and Public Relations Records	Destroy
	Press Conference reports	three years	National Archives Records Management Retention Scheduling Press and Public Relations Records	Destroy
	Reports on media/public relations, correspondence with media, press reports	seven years	National Archives Records Management Retention Scheduling Press and Public Relations Records	Determined on review
	Press Cuttings (paper)	one year	National Archives Records Management Retention Scheduling Press and Public Relations Records	Destroy
	Press Cuttings Electronic Copies	28 Days	National Archives Records Management Retention Scheduling Press and Public Relations Records	Destroy
	Press Releases	seven years	National Archives Records Management Retention Scheduling Press and Public Relations Records	Destroy
	Speeches and Interviews – preparation and delivery of speeches and interviews on behalf of ministers, permanent secretary, and chief executives as well as other officials.	For ministerial records see See GMGR Section J35 Pass to the Departmental Information Manager at the end of a minister’s tenure in Office. The DIM should transfer all electronic records to PRONI and request PRONI to review any paper records. For all others four years. The DIM should transfer all electronic records to PRONI and request PRONI to review any paper records.		Permanently preserve electronic, review paper
J41	Project Initiation Documents and supporting documentation including business cases	10 years after completion of the project	Records Management Retention Scheduling - Project Records	Determined on Review
J42	European Projects	15 years	Article 90 of the Council Regulations (EC) No 1083/2006 requires that supporting documents regarding expenditure and audit should be kept available for a period of seven years following the closure of the Programme.	Determined on Review
J43	Project board files (excluding estates)
	Project files (over £100,000 on termination, including abandoned or deferred projects)	Review – six years after project completed	Records Management Retention Scheduling - Project Records	Determined on Review
	Project files (less than £100,000 on termination include )	Review – two years after project completed	Records Management Retention Scheduling - Project Records	Destroy
J44	Project Team files
	Project files (over £100,000 on termination, including abandoned or deferred projects)	Review - six years after project completed or abandoned	Records Management Retention Scheduling - Project Records	Determined on Review
	Project Team files (less than £100,000) on termination, including abandoned or deferred projects	Review - two years after project completed or abandoned	Records Management Retention Scheduling - Project Records	Destroy
J45	Project team files (summary retained)	three years		Destroy
J46	Publications internal, corporate identity. translations	When superseded See GMGR Section J37 for Patient/customer Information publications		Destroy
J47	Publication Scheme background papers relating to the development of the Publication Scheme	10 years Close when Publication Scheme finalised		Destroy
J48	Finalised Publication Scheme	Permanently within the HSCB/Trust/Agency		Retain permanently
J49	Records related to recognised chartermarks, standards, models e.g. investors in people	Until standard or chartermark has been reassessed or 10 years		Destroy
J50	Requests for access to records, other than Freedom of Information or subject access requests	six years after last action		Destroy
J51	Phone Message Books	two years NB Any clinical information should be transferred to the patient health record		Destroy
J52	Record of custody and transfer of keys	six years		Destroy
J53	Register of Board members’ and Senior Managers’ interests	six years after the person leaves the organisation		Transfer to PRONI
J54	Registered Staff Lists	1 year		Destroy
J55	Reports (major)	30 years		Transfer to PRONI
J56	Research and development records (scientific, technology, medical and other)	Review five years after the research has been completed. Where possible review of this material should be made in consultation with medical professionals involved in the trials.		Determined on Review
J57	Clinical Trials of Investigational Medicinal Products (CTIMPs) See AD-003
	Trial Master File (responsibility of Sponsor & Chief Investigator to ensure that documents are retained)	Five years after the conclusion of the trial	Regulation 31A(7) of the Medicines for Human Use (Clinical Trials) Regulations 2004 (as inserted by regulation 18 of the Medicines for Human Use (Clinical Trials) Amendment Regulations 2006	Destroy
	Research Ethics Committee Records	An ethics committee shall retain all the documents relating to a clinical trial on which it gives an opinion for: where the trial proceeds, at least three years from the conclusion of the trial where the trial does not proceed, at least three years from the date of the opinion. Five years after the conclusion of the trial.	Governance Arrangements for NHS Research Ethics Committees (GAfREC)	Destroy under Confidential conditions
	Trial Subject’s Medical Files (Sponsor & Chief Investigator’s responsibility to ensure retained)	There should be a flag or divider in health records for documents pertaining to research indicating that the patient has been recruited to a clinical trial or other research.		Destroy
	Marketing authorisation (holders must arrange for essential clinical trial documents (including case report forms) other than subject’s medical files, to be kept by the owners of the data):	15 years after completion or discontinuation of the trial, or two years after the granting of the last marketing authorization in the European Community and when there are no pending or contemplated marketing applications in the European Communit, or two years after formal discontinuation of clinical development of the investigational product.	Paragraph 5.2(c) of Annex 1 to Commission Directive 2001/83/EC (as amended by Commission Directive 2003/63/EC (implemented in UK by the Medicines for Human Use (Marketing Authorisations Etc.) Regulations 1994 (as amended by regulation 7 of the Medicines for Human Use (Fees and Miscellaneous Amendments) Regulations 2003)	Destroy
	Trial subject’s medical files	Retain in accordance with applicable legislation and in accordance with the maximum period of time permitted by the hospital, institution or private practice. Documents can be retained for a longer period, however, if required by the applicable regulatory requirements or by agreement with the sponsor. It is the responsibility of the sponsor to inform the hospital, institution or practice as to when the documents no longer need to be retained.		Destroy
	All other documentation pertaining to the trial (retention of documentation is the responsibility of the sponsor or other owner of the data)	Retain as long as the product is authorised.		Destroy
	Final Report (responsibility of sponsor or subsequent owner’s to retain documents)	Five years after the medicinal product is no longer authorised.		Destroy
	Data collected in the course of research	Retain for an appropriate period, to allow further analysis by the original or other research teams subject to consent, and to support monitoring by regulatory and other authorities.	Good Research Practice (MRC Ethics Series, 2000, updated 2005) – paragraph 5.2 Personal Information in Medical Research (MRC Ethics Series, 2000, updated 2003) – chapter7 Data Protection Act 1998 – Part IV, Section 33 (3)	Destroy
J58	Research and development (organisation) See AD-003 i.e. all the organisation’s records associated with research and development and not individual trial records or information on patients.	30 years	Medical Research Council	Determined on review
J59	Security Pass	Retain current only		Destroy
J60	Security policy covering the correct handling and safekeeping of Disclosure Information in line with Access NI Code of Practice (See also GMGR Section L1)	See GMGR Section J39	Access NI Code of Practice	Destroy
J61	Stock Control reports Stock Orders and Non Stock Orders	two years following the end of the financial year to which they relate		Destroy
J62	Stores records - major (stores ledgers etc)	six years following the end of the financial year to which they relate		Destroy
J63	Stores records - minor (requisitions, issue notes, transfer vouchers, goods received, books etc)	two years following the end of the financial year to which they relate		Destroy
J64	Supplies records - minor (for example, invitations to tender and inadmissible tenders, routine papers relating to catering and demands for furniture, equipment, stationery and other supplies)	two years following the end of the financial year to which they relate		Destroy
J65	Training evaluation - general feedback provided at the end of training by the trainee	two years		Destroy
J66	Training materials - manuals, videos, photographs created for the purposes of training clinical staff	Retained for as long as required for training purposes		Destroy
J67	Training Plans	two years		Destroy
J68	Trust documents without permanent relevance/not otherwise mentioned	six years		Destroy
J69	Unpublished material of the history of the Organisation or its predecessors, the organisation and procedures.	10 years - Normal Review Process
J70	Hospital (trust) services i.e. service that the Trust provides e.g. catering, hotel services.	10 years		Destroy

Disposal schedule - Section J

Organisation

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