Disposal Schedule - Section L

Work Area - Personnel

This section covers the information held on individuals, commonly called Personnel Files.  The records held in Personnel Files cover six broad areas:

  • Employment and career
  • Health
  • Pay
  • Pension
  •  Welfare
  • Security

All six areas of information may not be held on one central file but may be retained as separate collections  The retention of the records should follow these guidelines regardless of how or on what medium the records are held.  Personal files of Chief Executives, Directors should always be transferred to PRONI.  

Where a type of record has not been named specifically it may be possible to determine which category it best fits. For advice relating to volunteers see AD011.

A previous retention period of until “age 72” for records required for pension purposes has been increased and such records should now be kept for 100 years from birth.  Organisations are free to seek their own legal advice where there are cases of doubt.  A personnel record can be kept longer than the recommended retention period if this is in accordance with legal advice.  These retention periods are based on the guidance issued by the National Archives and endorsed by Cabinet Office.  Both Medical Staff Records and Agency locums staff records should be treated as personnel and retained accordingly.

Ref Record Type Minimum Retention Period Relevant Legisaltion/Derivation Final Action
L1 Access NI checks with effect from April 2008 (see Glossary)      
 

original information and all copies

(See also GMGR Section J60).  Prior to these arrangements, checking processes were accommodated under PECS (1982 – March 2005, See Glossary), which was replaced by POCVA (April 2005 – March 2008, See Glossary)”

Until final decision about the applicants suitability is determined.  This should not exceed six months.

Access NI will approve the retention of the disclosures for a longer period in exceptional circumstances and where there is a requirement to retain so that the RQIA can have access to fulfil its statutory duties.

Access NI Code of Practice in accordance with section 122(2) of the Police Act 1997

Explanatory Guide to the Code
 

Destroy immediately by shredding, pulping or burning
 

A record should be kept on the personnel file of:

  • the date of the disclosure
  • the name of the subject of the disclosure
  • the type of the disclosure namely, whether it is the Basic, Standard or Enhanced type
  • the position which the disclosure was applied for
  • the unique number that was issued by Access NI for that Disclosure; and
  • The recruitment decision taken

Age 100

The records should be signed and dated by a person of sufficient authority and seniority who could represent the organisation in court.

The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Destroy immediately by shredding, pulping or burning
L2 Annual/Assessment/ Appraisal or Summary of Performance       
  Reports

FIve years

See P42

The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance

Destroy

Personal files of Chief Executive, Directors should be transferred to PRONI. All other files destroyed.

  Chief Executive/Directors Annual/Assessment Reports Retain permanently in personal file The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance

Destroy

Personal files of Chief Executive, Directors should be transferred to PRONI. All other files destroyed.

  Assessment Report where appeal or legal proceedings are underway Five years from the result of the appeal The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance

Destroy

Personal files of Chief Executive, Directors should be transferred to PRONI. All other files destroyed.

  Report of Appeal Five years  The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance

Destroy

Personal files of Chief Executive, Directors should be transferred to PRONI. All other files destroyed.

  Reports for last five years of service Age  The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance

Destroy

Personal files of Chief Executive, Directors should be transferred to PRONI. All other files destroyed.

  Assessment/ Performance Appraisal Interview/meeting Sheet Five years The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance

Destroy

Personal files of Chief Executive, Directors should be transferred to PRONI. All other files destroyed.

  Assessment of Board Members ( by Chairman) Seven years http://www.afmdni.gov.uk/
pubs/DAOs/ daodfp0807.doc
Destroy
  GP Appraisal Appraisee / Appraiser Records Six years after the appraisal year to which it relates. In line with revalidation periods Destroy
L3 Annual Leave      
  Cards (held by individual members of staff) Two years The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Destroy
  Annual leave records Two years The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Destroy
  Copy of Annual leave entitlement As part of the contract of employment until age 100 The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Destroy
L4 Attendance Book/Register Two years   Destroy
L5 Career Summary– Consolidated record of whole career, location detail Until age 100 The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.
  Career Development See GMGR Section L53 The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.
L6 Change of address Until age 100 The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.
L7 Change of grade notification Until age 100 The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.
L8 Commendations Until age 100   Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.
L9 Consultants, Senior staff (records relating to the recruitment of)  Five years

NHS (Appointment of Consultants) Regulations, good practice guidelines, page 11, para. 5.3

www.dh.gov.uk/ assetRoot/04/10/27/ 50/04102750.pdf

Destroy 
L10

CVs for non-executive directors/Public Appointments

See-AM010

 

www.dfpni.gov.uk/ index/finance/afmd-key-guidance/afmd-daos/daodfp0807.pdf

 
  successful Review seven years following term of office/ appointment ends (including reappointment)   Determined on review
  unsuccessful applicants Two years following application   Destroy
L11 Decree absolutes Return originals to provider, retain copy until Age 100 The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Destroy
L12

Disciplinary Records– Papers relating to disciplinary action which has resulted in any change to terms and conditions of service, salary, performance pay or allowances

See AD-031

Until age 100   Destroy
L13 Duty rosters clock cards, time sheets      
  Duty rosters clock cards, time sheets.  Two years The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Destroy
  Organisation or departmental duty rosters, not the ones held on the individual’s record. Four years after the year to which they relate The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Destroy
  Time Sheets (relating to a group or Department for example, Ward where the timesheets are kept as a tool to manage resources, staffing levels) Six months The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Destroy
  Timesheets (for individual members of staff)

Two years after the year to which they relate

Timesheets (for all individuals including locum doctors) held on the personnel record are minor records – retain for two years.

The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Destroy
L14 Employee Welfare Reports and Papers   The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Destroy
L15 Exposure monitoring records  Five years from the date the record was made  Control of Substances Hazardous to Health Regulations 2002 (reg.10(5)) Destroy 
L16 Health declaration Until age 100 The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.
L17 Health referrals– including Medical Reports from doctors and consultants and any correspondence with the Occupational Health Service Until age 100 The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.
L18 History records of pay scales Permanent   Retain permanently
L19 HRMS Refer to individual record types in this section   Destroy
L20 Income Tax form P45 Until age 100   Destroy
L21 Industrial relations (not routine staff matters), including industrial tribunals 10 years - Normal Review Process   Determined on review
L22 Interview documentation One year The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Destroy
L23 Job advertisements  One year   Destroy
L24 Job applications successful (following termination of employment) see AD011 Three years    Destroy
L25 Job Applications – Unsuccessful      
  Documents One year   Destroy
  Interview Documentation Three years   Destroy
  Note confirming that an Access NI check was carried out and offer of appointment withdrawn Three years   Destroy
  Equality Monitoring returns Three years   Destroy
L26 Job descriptions (following termination of employment) Three years   Destroy
L27 Leavers dossiers (provided a summary retained) Six years after subject leaves the service  

Destroy

Personal files of Chief Executive, Directors should be transferred to PRONI. All other files destroyed.

  Leavers dossiers Summary (retained on file) Age 100  

Destroy

Personal files of Chief Executive, Directors should be transferred to PRONI. All other files destroyed.

L28 Letter of appointment/ contracts Life of file – Age 100 The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.
L29 Marriage certificates

Return originals to provider

Retain copy until age 100

  Destroy
L30 Medical/Self certificates unrelated to Industrial Injury (see also GMGR Section L33) Four years The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Destroy
L31 Nurse training records (from hospital-based nurse training schools prior to the introduction of academic-based training) 30 years   Destroy
L32 Overpayment documentation Six years after repayment or write-off   Destroy
  Performance Pay Seven years   Destroy
  Special Bonus Papers Seven years   Destroy
  Third party client/advances in lieu of pay Six years after repayment   Destroy
  Eyesight test documents Retain currently only   Destroy
L33 Papers relating to any injury on duty Until Age 100 The National Archives – Employee and Personnel Records Good Practice Guidance (March 2006) Destroy
L34 Part-time/Job sharer/Term time applications, decisions  Until age 100 The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Personal files of Chief Executives, Directors should be transferred to PRONI.  All other files destroyed.
L35

Personal Payroll History:

  • records of pay
  • performance pay
  • overtime pay
  • allowances (including deputising and substitution)
  • pay enhance-ments
  • taxable allowances
  • payment for untaken leave
  • reduced pay
  • no pay
  • maternity leave
  • complete sickness absence record
Until Age 100 Until Age 100 Destroy
L36 Pension Forms (all)      
  Pension forms that relate to monies received, monies owed, payments made and administration of the HSC Pension Scheme Seven years HMRC Technical Pension Notes for registered pension schemes under regulation 18 of SI2006/567 – ‘RPSM12300020 – Scheme Administrator Information Requirements and Administration for General Retention of Records’ Destroy
  Pensions estimates/awards Seven years HMRC Technical Pension Notes for registered pension schemes under regulation 18 of SI2006/567 – ‘RPSM12300020 – Scheme Administrator Information Requirements and Administration for General Retention of Records’ Destroy
L37

Qualifications and References

See AM-009

Six years after employment has ended   Destroy
  Professional Qualifications and References Until age 100   Destroy
L38 Resignation/ termination/ retirement letters Until age 100 The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Destroy
L39 Return to Work Interviews Four years    Destroy
L40 Security Personnel Files Five years after leaving ( if at normal retirement age) or 10 years after leaving (if before normal retirement age) The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Destroy
L41 Special Leave      
  Application for special leave/study leave – Paid Seven years The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance

Destroy

Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.

  Application for special leave/study leave – Unpaid Age 100 The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance

Destroy

Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.

  Unpaid Leave periods (maternity leave etc.) Age 100 The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance

Destroy

Personal files of Chief Executives, Directors should be transferred to PRONI.  All other files destroyed.

L42 Staff car parking permits  Three years   Destroy 
L43 Staff photographs – held in personal file Until age 100   Disposal method of Personal file
L44 Statutory maternity and statutory sick pay documents Six years    Destroy
  Temporary variation forms Three years after employment has ended   Destroy
  Trade Union Schedules One year after employment has ended   Destroy
  Salary requests from bank/building society pay details One year only   Destroy
L45 Substances Hazardous to Health Records      
  Monitoring exposure of employees to substances hazardous to health record  Where the record is representative of the personal exposures of identifiable employees for at  40 years or in any other case for at least five years from the date of the last entry made in it.
 
Control of Substances Hazardous to Health Regulations (NI) 2003 (reg.10(5)) Destroy
  Health surveillance records of employees who are, or are liable to be exposed to a substance hazardous to health   40 years from the date of the last entry made in it Control of Substances Hazardous to Health Regulations (NI) 2003 (reg.10(5)) Destroy
  Health surveillance records of employees who are, exposed to asbestos 40 years from the date of the last entry made in it Control of Asbestos Regulations (NI) 2007 (reg. 22) Destroy
  Health surveillance records of employees who are, exposed to lead 40 years from the date of the last entry made in it Control of Lead at Work Regulations (NI) 2003 (reg.10(5)) Destroy
  Records relating to doses of ionising radiation received by employees designated as classified persons 50 years from the date of the last entry or age 75 whichever is the longer Ionising Radiations Regulations (NI) 2000 (reg. 21) Destroy
  Health surveillance records of relevant employees engaged in work with ionising radiation 50 years from the date of the last entry or age 75 whichever is the longer Ionising Radiations Regulations (NI) 2000 (reg. 21) Destroy
  Record of assessment of any accident or occurrence likely to result in a person receiving an effective dose of ionising radiation 50 years from the date of the last entry or age 75 whichever is the longer Ionising Radiations Regulations (NI) 2000 (reg. 21) Destroy
L46 Superannuation      
  Accounts 10 years The National Archives – Employee and Personnel Records Good Practice Guidance (March 2006) Destroy
  Added voluntary contributions Age 100 The National Archives – Employee and Personnel Records Good Practice Guidance (March 2006) Destroy
  Added years Age 100 The National Archives – Employee and Personnel Records Good Practice Guidance (March 2006) Destroy
  Registers 10 years The National Archives – Employee and Personnel Records Good Practice Guidance (March 2006) Destroy
  Death benefit nomination and revocation forms

Until age 100

(Return originals to provider)

The National Archives – Employee and Personnel Records Good Practice Guidance (March 2006) Destroy
  Death certificates

Retain copy until Age 100

(Return originals to provider)

The National Archives – Employee and Personnel Records Good Practice Guidance (March 2006) Destroy
L47 Tax forms – change of tax code Seven years   Destroy
L48 Training plans  see GMGR Section J67   Destroy 
 
L49

Training records – all staff

See AD-020

Age 72 or six years after employment has ended whichever is the later.  For independent contractors the minimum retention should be the duration of employment plus three years, although it is recommended the duration of employment plus six years   Destroy
L50 Transport (staff pool car documentation)  Three years unless litigation ensues   Destroy 
L51 Wages/Salary records      
  Bank details – current only Six years after employment has ended   Destroy
  Category analysis print outs 2 years after employment has ended   Destroy
  Clock cards and time sheets Two years after employment has ended   Destroy
  Computer payroll printout Seven years after employment has ended   Destroy
  Cumulative adjustment forms 2 years after employment has ended   Destroy
  Payment analysis print outs Two years after employment has ended   Destroy
L52 Working Time Directive opt out forms  Three years after the opt out has been rescinded or has ceased to apply The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance Destroy
L53

Workforce Planning

Records documenting the assessment, development, planning, management  and analysis of workforce requirements, and the identification and evaluation of options for meeting these requirements

10 years   Destroy
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