Published Parliamententary Papers - retain for historical reasons. Review for knowledge value. Permanent retention (Plan) and 1 year for reports

Transcription

1 CORPORATE GOVERNANCE & OFFICE MANAGEMENT IT REF. ACTIVITY / RECORDS SERIES DESCRIPTION / EXAMPLES OF RECORD TYPES SCS CORPORATE & GENERAL BUSINESS ACTIVITIES Annual Reports Continuity Plans Plans Statutory - Ethical Standards in Public Life etc. as amended Plan and records documenting responses and experiences from testing of plan Plans and Reports against planned activities TRIGGER (event that prompts start of retention RENTION PERIOD ACTION CUSTODIAN AUTHORITY CITATION/NOTES COPIES HELD Published Parliamententary Papers - retain for historical reasons 2 years Permanent retention (Plan) and 1 year for reports Retain BM Statutory Review for knowledge value Retain / Destroy Statutory / Reports held in SCS meetings papers Published version posted to website Copies held by Executive Team and Members of SCS Published version posted to website / Strategic Plans Plans & Reports against planned activities Permanent retention (Plan) and 1 year for reports Retain / Destroy ED Statutory / Reports held in SCS meetings papers Published version posted to website Risk Policy and Register Register and report on activites and contols to mitigate risks 3 Years Destroy Standards Commission Meetings Minutes & Papers Permanent retention Retain Statutory Record of decision making and development of Strategic and Operational Matters Current plus 2 years published on website Standards Commission Committees Communications Strategy Terms of reference Policy Document 2 Years Destroy BM 2 years Destroy ED Annex 5B - Records Memorandum of Understanding / Service Level Agreements Agreements for the provisions of shared services or information sharing 2 years Destroy FINANCE & ACCOUNTS Annual accounts Statutory Financial Returns Published Parliamententary Papers - retain for historical reasons Retain ED Statutory Taxes Act 1970, Published version posted to website 1

2 Preparation of SCS's annual accounts Asset & Register Supporting documentation Fixed Asset Register Audit 6 years Destroy ED Statutory Financial year 6 years Taxes Act 1970, c9; (Scotland) Act 1973 c53 and 1984 c45; VAT Act 1994; Audit Commission Act 1998 Taxes Act 1970, c9; (Scotland) Act 1973 c53 and 1984 c45; VAT Act 1994; Audit Commission Act 1998 Paper / Electronic Internal Audit Reports Final Report Audit 6 years Destroy ED Electronic External Audit reports Final Report, Interim Reports and Correspondence Audit 6 years Destroy ED Electronic BUDG AND ACCOUNTS MANAGEMENT Annual budget - setting annual budget Annual budget report, draft budgets, estimates, correspondance 6 years Destroy Paper/electronic Budget monitoring Records documenting the monitoring of income and expenditure against annual operating budgets, and action taken to deal with variances - Budget Monitoring Reports, Financial Reports 6 years Destroy BM Paper/electronic Records documenting the receipt and payment of purchase invoices 6 years Taxes Act 1970; HMRC 700/21 Paper/electronic Records detailing issue of credit card and transaction reports SCS Credit Card(issued by Scottish Parliament) issues and transaction reports 6 years Destroy BM Taxes Act 1970; HMRC 700/21 Paper/electronic INSURANCE 2

3 Government & Policy documents and related correspondence Termination 5 years (Scotland) Acts 1973 and 1984; Electronic Government & Certificate of Employers Liability Insurance Termination 40 years from the date all obligations and entitlements concluded. (Scotland) Acts 1973 and 1984; Paper/ Electronic PROCUREMENT Contract management Non-tendered procurement Final, extensions and amendments, reports from ors, surveys and inspections, complaints, payment disputes, minutes and papers of meetings After expires 5 years Destroy/review BM Statutory (Scotland) Act Documentation may be used for reference when preparing future related tenders Quotes, purchase orders, delivery notes and related 6 yrs Taxes Act 1970 correspondence Tender Initial proposal case/requisition; advertisement, statements of interest (successful); prequalification questionnaire (PQQ) and evaluation, draft and agreed specification, evaluation criteria, invitation to tender 5 years Destroy Statutory (Scotland) Act Keep in file once awarded Tenders - Issue of invitations to Tender and handling of incoming tenders records Tender receipt records, Tender opening record Award of 1 year Destroy BM Tenders - unsuccessful Includes statements of interest, tender document, tender responses and notification records, tender evaluation Award of 1 year Destroy BM 3

4 Tenders - successful Includes tender document, tender responses and notification records, tender evaluation 5 years Destroy Statutory (Scotland) Act It is important that a record of all s and related transactions is kept. The files must contain a complete and accurate record of all internal and external documentation so that the stages and reasoning of the transactions are apparent. OFFICE PROCEDURES Policies and procedures (non SPCB) SCS Specific policies and procedures for example Flexible Working Hours Appraisal/Competency Annual Leave etc. 2 years Destroy Standard forms and templates Statutory Reporting INFORMATION MANAGEMENT Records documenting the collection, collation and submission of statutory performance data as required by a statutory authority. Retained to meet statutory s None Destroy BM None Data Protection Subject Access Requests Data Protection policy & Data protection compliance Data Protection Notification and Changes Subject Access Requests (and responses) Files re. DP audit, general compliance, data breaches, security, training, etc., Data protection - Notification and changes request current year Year of notification 3 years Data Protection Act 1998 s.7 3 years Destroy 3 years Destroy Statutory Data Protection Act 1998 s.20. EIR requests EIR requests (and responses) current year 3 years Destroy BM FOISA requests S1 FOISA requests (and responses) request 3 years Destroy BM 4

5 FOISA SCS Publication Scheme superseded 3 years Destroy BM Website FOISA/EIR reviews Year of review completion 6 years Destroy ED RECORDS MANAGEMENT Record surveys and audits - key records - destruction report report approval 3 years Destroy Classification schemes Until superseded 2 years Destroy Consider historical value. Retention schedules Until superseded 2 years Destroy Retained in line with legislation and or SCS strategic/operational s HUMAN RESOURCES, PAYROLL AND PENSION REF. ACTIVITY / RECORDS SERIES DESCRIPTION / EXAMPLES OF RECORD TYPES PENSION Pensions Pension records All pensions related correspondence TRIGGER (event that prompts start of retention Termination of employment RENTION PERIOD ACTION AUTHORITY CITATION/NOTES COPIES HELD Until employee is 75 Taxes Act 1970; Income and Corporation Taxes Act 1988 PAYROLL Payroll Payroll Reports & Salary Information 6 years Income Tax (Employments) Regulations 1993 / 744; National Minimum Wage Regulations 1999 S.I / 584; Taxes Act 1970; (Scotland) Acts 1973 and 1984 Payroll Expenses 6 years Taxes Act

6 Payroll Payroll Occupational and Statutory Sick Pay scheme records Occupational and Statutory Maternity Pay scheme records 6 years from termination date 3 years Statutory Sick Pay (General) Regulations 1982 / 894. Access to Medical Records Report Act 1988 c28 provides the general provisions on the right of access to records created after 1 Jan 1989 The Statutory Maternity Pay (General) Regulations 1986 / 1960 HUMAN RESOURCES Records documenting disciplinary proceedings against the employee Correspondence, investigation records Employee personal details Employment application, of employment, changes to terms and conditions of employment Job Descriptions Address, next of kin, emergency contacts Case closure 5 years Destroy Statutory Termination of employment Records documenting the employee's application for employment, terms and conditions of employment, offer letter and subsequent changes Termination of to T&C of employment employment with SCS, references received during recruitment process and termination of employment. Roles and Responsibilities of posts within SCS 25 years from termination date 5 years Destroy Statutory Superseded 5 years Destroy Statutory (Scotland) Act 1973; Data Protection Act 1998 (Scotland) Act 1973, s 6 Retain current information throughout employment. to retain record of Name, DoB, Date of Appointment, Work Histroy Detials, Titles and dates of posts held as evidence of employment and for pension purposes (Scotland) Act 1973 s 6 except information which is not relevant to the on-going employee relationship (Scotland) Act 1973 s 6 Leave General staffing file holiday year 1 year Destroy Retain current information throughout employment Medical assessments Equal Opportunities (EO) Forms Register of Interests and individual declarations Staff file Termination of employment Once data entered Termination of 5 years Destroy Statutory (Scotland) Act 1973 s 6 None Data Protection Act 1998 Current Destroy 6

7 Salary Salary Recruitment campaigns Recruitment successful candidates Recruitment process Recruitment unsuccessful candidates Advertisements and associated correspondence Evaluation template, interview questions / tasks, timetables Applications, evaluations, correspondence, security vetting, references Date superseded Appointment 6 months Records form part of the employee's file 6 months Review for ongoing value and destroy the rest Review for ongoing value and destroy the rest Statutory Appointment 6 months Destroy Statutory Data Protection Act 1998; Employment Equality (Age) Regulations 2006/1031 Regulations 7, 36 and 42; Employment Equality (Religion or Belief) Regulations 2003/1660 Regulations 6, 28 and 34; Employment Equality (Sexual Orientation) Regulations SI 2003/1661 Regulations 6, 28 and 34 Data Protection Act 1998; Employment Equality (Age) Regulations 2006/1031 Regulations 7, 36 and 42; Employment Equality (Religion or Belief) Regulations 2003/1660 Regulations 6, 28 and 34; Employment Equality (Sexual Orientation) Regulations 2003/1661 Regulations 6, 28 and 34 Received during Following 6 months after References Destroy Statutory Data Protection Act 1998 recruitment process appointment appointment Request for reference by Date of References provided by SCS 6 months Destroy SCS provision Statutory Maternity/paternity leave Maternity and Parental Leave etc. Staff file 6 years entitlement entitlement Regulations 1999/3312 Staff & Members Performance Performance and Superseded 3 years Destroy Records Appraisal forms Employee's absence due Termination of Sickness 40 years Inland Revenue CA30 to sickness. employment Following conclusion of campaign files thereafter transferred to files TRAINING Members and Employee induction programme records induction 1 year Review for ongoing value and destroy the rest Individual training records Records documenting Members and employees training and development needs or completion of job-specific statutory/regulatory training s for the employee. Expiry of certification + OR Superseded 5 years Destroy & Statutory 7

8 Training plan Learning and Development Plan End business year 5 years Destroy STAKEHOLDERS AND CASEWORK REF. ACTIVITY / RECORDS SERIES DESCRIPTION / EXAMPLES OF RECORD TYPES / Legal Advice Advice notes relating to the & functions or about specific matters pertinent to Cases referred by CESPLS TRIGGER (event that prompts start of retention period RENTION PERIOD ACTION AUTHORITY CITATION/NOTES COPIES HELD Information retained until such time as legislative change impacts on the advice Destroy Paper / Electronic Breach Reports and Casework Files Hearing Recording Hearing Panel Decisions Breach reports submitted by CESPLS for consideration of SCS & SCS Case Files & associated Legal Advice The SCS sound recording of the public Hearing. Written Decision of the Hearing Panel Last activity date Date Hearing ends Date of publication of Hearing Panel Decision Hearings Case files are permanently deleted/destroyed after 5 years after the date of the last activity (case closure date or date of appeal by respondent) At the end of the period for submitting a valid appeal or where an appear is submitted to a sheriff principal following the conclusion of the appeal process Destroy The SCS reserve the right to identify any case where the information is to be retained beyond the stated retention period where the case is a of significant public interest Destroy BM - Hearing Rules Permanent The SCS reserve the right to identify any case where the information is to be retained beyond the stated retention period where the case is a of significant public interest Decisions will be removed from the SCS website after 5 years, written copies of Hearing Panel decisions will be retained indefinitely Paper / Electronic Recording - Recorder and Hearing Folder Paper / Electronic/Website Stakeholder Communications Guidance & Dispensations, Code of Conduct, Queries & Stakeholder engagement Permanent unless organisation no longer covered by the Ethical Standards Framework Permanent retention whilst organisation falls within ESF. On removal of organisation from ESF destroy paperwork 1 year after date of removal. Core Activities relating to the SCS statutory activities in promoting and encouraging key stakeholders in the application of the ethical standards framework Paper / Electronic 8