Disposal schedule - Section J

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

 

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