Corporate Records Retention Schedule

Transcription

1 Level3 Corporate Records Retention Schedule This document is the property of Network Rail. It shall not be reproduced in whole or part nor disclosed to a third party without the written permission of Network Rail. Copyright 2017 Network Rail. Uncontrolled copy once printed from its electronic source. Published and Issued by Network Rail, 2nd Floor, One Eversholt Street, London, NW1 2DN.

2 User information This Network Rail standard contains colour-coding according to the following Red Amber Green classification. Red requirements no variations permitted Red requirements are to be complied with and achieved at all times. Red requirements are presented in a red box. Red requirements are monitored for compliance. Non-compliances will be investigated and corrective actions enforced. Amber requirements variations permitted subject to approved risk analysis and mitigation Amber requirements are to be complied with unless an approved variation is in place. Amber requirements are presented with an amber sidebar. Amber requirements are monitored for compliance. Variations can only be approved through the national variations process. Non-approved variations will be investigated and corrective actions enforced. Green guidance to be used unless alternative solutions are followed Guidance should be followed unless an alternative solution produces a better result. Guidance is presented with a dotted green sidebar. Guidance is not monitored for compliance. Alternative solutions should be documented to demonstrate effective control. Page 2 of 11

3 Compliance This Network Rail standard/control document is mandatory and shall be complied with by Network Rail Limited and its contractors if applicable from 3rd March Where it is considered not reasonably practicable 1 to comply with the requirements in this standard/control document, permission to comply with a specified alternative should be sought in accordance with the Network Rail standards and controls process, or with the Railway Group Standards Code if applicable. If this standard/control document contains requirements that are designed to demonstrate compliance with legislation they shall be complied with irrespective of a project s GRIP stage. In all other circumstances, projects that have formally completed GRIP Stage 3 (Option Selection) may continue to comply with any relevant Network Rail standards/control documents that were current when GRIP Stage 3 was completed. NOTE 1: Legislation includes Technical Specifications for Interoperability (TSIs). NOTE 2: The relationship of this standard/control document with legislation and/or external standards is described in the purpose of this standard. Disclaimer In issuing this standard/control document for its stated purpose, Network Rail Limited makes no warranties, expressed or implied, that compliance with all or any standards/control documents it issues is sufficient on its own to provide safety or compliance with legislation. Users are reminded of their own duties under legislation. Compliance with a Network Rail standard/control document does not, of itself, confer immunity from legal obligations. Where Network Rail Limited has granted permission to copy extracts from Network Rail standards or control documents, Network Rail Limited accepts no responsibility for, nor any liability in connection with, the use of such extracts, or any claims arising there from. This disclaimer applies to all forms of media in which extracts from Network Rail standards and control documents might be reproduced. Supply Copies of standards/control documents are available electronically, within Network Rail s organisation. Hard copies of this document might be available to Network Rail people on request to the relevant controlled publication distributor. Other organisations can obtain copies of this standard/control document from an approved distributor. 1 This can include gross proportionate project costs with the agreement of the Network Rail Assurance Panel (NRAP). Page 3 of 11

4 Issue record Issue Date Comments 1 07 March 2009 New standard 2 04 September 2010 Amended to reflect the addition of a Corporate Archive as part of the records management process and group of standards December 2017 Amended to remove the reference to the schedule being published as an appendix. Legislation referenced Reference documentation NR/L2/INF/02220 NR/L2/INF/02230 NR/L3/INF/02221 NR/L3/INF/02222 NR/L3/INF/02223 NR/L3/INF/02224 NR/L3/INF/02225 NR/L3/INF/02231 Document and records management Corporate Archive Policy Document creation and approval Metadata for documents and records Information security classification Sharing framework for information Records management Disposal of Records Legislation This standard/control document has been reviewed to confirm it complies with the following legislation: Claims and Payments Regulations 1979 Companies Act 2006 Conservation (Natural Habitats) Regulations 1994 Construction (Design and Maintenance) Regulations 2015 Control of Asbestos at Work Regulations 2012 Control of Lead at Work Regulations 2002 (CLW) Control of Substances Hazardous to Health Regulations 2002 (COSHH) Copyright, Design and Patents Act 1988 Data Protection Act 1998 Disability Discrimination Act 1995 Employers Liability Act 1969 Page 4 of 11

5 Environmental Protection (Duty of Care) Regulations 1991 Finance Act 1998 Regulatory Reform (Fire Safety Order) 2005 Fire Scotland Act 2005 The Fire Precautions (Sub-surface Railway Stations) England Regulations 2009 The Fire precautions (Subsurface Railway Stations) Regulations 1989 (Scotland only) The Dangerous Substances and Explosive Atmosphere Regulations 2002 Health and Safety at Work Act 1974 Income Tax (Employments) Regulations 1993 Ionising Radiations Regulations 1999 (IRR) Latent Damage Act 1986 Limitation Act 1980 Management of Health and Safety at Work Regulations 1999 Noise at work regulations 1999 Occupational Pension Schemes (Scheme Administration) Regulations 1996 Pensions Act 1995 Race Relations Act 1976 Railway (Interoperable) (High Speed) Regulations 2002 Railway Heritage Committee Designation 1999 Railway Safety Case Regulations 2000 Railways and other Transport Systems (New Work, Plant and Equipment) Regulations 1994 Railways, Transport and Competition Acts Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (RIDDOR) Retirement Benefit Schemes (Information Powers) Regulations 1996 Sex Discrimination Act 1975 Social Security (Claims and Payment) Regulations 1979 Special Waste Regulations 1996 Statutory Maternity Pay (General) Regulations 1982 Statutory Sick Pay (General) Regulations 1982 Taxes Management Act 1970 Value Added Tax Act 1994 Working time Regulations 1998 Page 5 of 11

6 Compliance with this standard/control document does not, on its own, provide compliance with the legislation listed. Page 6 of 11

7 Contents 1 Purpose 8 2 Scope 8 3 Accountable and responsible roles 8 4 Definitions 8 5 Hierarchy of standards and policies 9 6 Retention periods 9 7 Disposal of records at end of retention period 11 8 Updating the Schedule 11 Figure 1 Suite of standards published to support the Document Management and Records Management Policies 9 Page 7 of 11

8 1 Purpose This work instruction is part of a suite of standards published to support the Document Management Policy and the Records Management Policy NR/L2/INF/ NOTE 1: These standards are listed in figure 1. Implementation of a Corporate Records Retention Schedule allows Network Rail to: a) retain records for no longer than necessary; b) implement a consistent approach across Network Rail; c) promote the prompt and auditable disposal of records when they are no longer required; d) comply with legislation and regulation relevant to the business of Network Rail including in relation to personal data, the Data Protection Act and its principles NOTE 2: Further information regarding the Data Protection Act, is given in Network Rail s Data Protection Policy. e) protect its rights and interests and those of its employees, customers, suppliers and the general public affected by its operations. 2 Scope This business process and associated schedule specifies authorised retention periods for Network Rail s corporate records. It covers: a) all records created, received and managed by Network Rail; and b) the processes, tools and resources used to manage those records. This business process applies to all Owners responsible for the management of records within or on behalf of Network Rail. 3 Accountable and responsible roles Custodian nominated person or role who takes on defined accountabilities for the management of the record consistent with appropriate Network Rail standards Owner business manager who is responsible for the records in the business context 4 Definitions Corporate archive Records irrespective of age or physical format that are deemed worthy of permanent retention because of their value to the business and the nation. NOTE 1: This might include records that still have an operational value to the business, but because of their additional value as historically significant items may need extra protection and management. Disposal The removal of records through destruction, deletion, transfer to the Corporate Archive or transfer to another body through gift, loan or sale. Document Recorded information that can be used as a unit. Page 8 of 11

9 Event Specific action or occurrence that starts the retention period of a record. Physical records Records held on a physical media. NOTE 2: Includes paper, microforms, CDs, magnetic and CCTV tapes, floppy disks Record Information created, received, and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of business. Record type Corporate records that share a common content and/or format. Retention period Period of time during which a corporate record is retained and managed by the company, commencing from the date the record is produced or from an event that triggers the start of the retention period. 5 Hierarchy of standards and policies Figure 1 illustrates the suite of Network Rail standards published to support the Document Management and Records Management Policies. The policies are reproduced in appendices A and B of NR/L2/INF/ Document Management Policy Records Management Policy Document and Records Management Corporate Archive Document Creation and Approval Metadata for Documents and Records Information Classifications Security Sharing Framework for Information Records Management Corporate Records Retention Schedule Disposal of Records Figure 1 Suite of standards published to support the Document Management and Records Management Policies 6 Retention periods Record retention periods shall reflect these external and internal drivers: Page 9 of 11

10 a) statutory requirements, including various Acts of Parliaments and statutory codes, e.g. Limitations Acts and Data Protection Act; b) regulatory requirements set by Government and other regulatory bodies, e.g. Health and Safety Executive; c) evidential requirements, e.g. records that might be needed to protect Network Rail in legal proceedings; d) operational need of the record owners, e.g. project deliverables may be used to inform a subsequent project; e) business need, including the requirements of internal and external auditors, e.g. cost centre financial records; f) industry best practice, e.g. where no other criterion for retention exists, the practice of other organisations may inform a retention decision. If these requirements conflict for a given record type, the Schedule shall reflect the longest retention period given. The cost of record storage may be taken into consideration if the proposed operational or business retention period is significantly longer than the statutory or regulatory requirement.corporate Records Retention Schedule The Head of Corporate Records Management shall maintain a Corporate Records Retention Schedule in liaison with Business Functions. The Head of Corporate Records Management shall: a) manage this Schedule under change control; and b) amend entries in the Schedule to reflect changes in: i. statutory; ii. iii. iv. regulatory; legal; operational; or v. business needs. Where a retention period is based on a statutory provision, reference shall be made in the schedule to the relevant statute. The Retention Schedule shall be defined by: a) Business Functions; b) activities; c) processes; and d) transactions. The Retention Schedule shall: a) show retention periods as a specific time period commencing either with the start date of the record or an alternative, defined event; or Page 10 of 11

11 b) indicate a Review date The Retention Schedule shall indicate where records are to be offered to the Corporate Archive. 7 Disposal of records at end of retention period Records shall be disposed of at the end of the retention period following the process defined in NR/L3/INF/ Updating the Schedule If a record type is not included in the Schedule or the entry needs to be amended, the Owner of that record type shall determine the operational requirement to retain the record by taking into account these prompts: a) are the records likely to be required by the organisation in relation to current and future operations and, if so, for how long and for what reason; b) are the records required to enable the business to continue to function. When will the activity to which they relate be complete; c) are there any internal requirements to retain the records, e.g. company standards and safety cases; d) is the record duplicated, that is, do other Functions or Teams hold the same record? If so, is this the original or a copy? If copies are distributed to several locations, who will manage the original; e) does the record have a commercial value, such as the commercial advantage to be gained by providing contractors with the correct information? If so, for how long will it retain its commercial value. The Owner shall inform the Head of Corporate Records Management of the record type and the operational retention requirement. If a record type is to be removed from the Schedule, the Owner of the record type shall inform the Head of Corporate Records Management. The Head of Corporate Records Management shall: a) determine the statutory and regulatory retention requirements; and NOTE: The Head of Corporate Records Management might need to consult Legal Services to determine these requirements. b) obtain sign-off to the addition, amendment or removal of a retention period from the Functional Head. The retention schedule is a live document that is reviewed and updated as necessary. All updates are authorised with Legal Services and the Head of Corporate Records Management before being published. The standards webpage provides a link to the schedule. Page 11 of 11

12 Standard and control document briefing note Ref: Title: Corporate Records Retention Schedule Publication date: 02/12/2017 Compliance Date: 03/03/2018 Standard/Control Document Owner: Head of Corporate Records Management Non-compliance rep (Approver of TRACKER applications): Kirsty Duggan Document Control Manager Technical lead/contact for briefings: Kirsty Duggan Tel: Purpose: Implementation of a Corporate Records Retention Schedule will allow Network Rail to: retain records for no longer than necessary implement a consistent approach across Network Rail promote the prompt and auditable disposal of records when they are no longer required to be compliant with legislation and regulation relevant to the business of Network Rail including in relation to personal data the Data Protection Act and its principles see Network Rail s Data Protection Policy protect Network Rail s rights and interests and those of its employees, customers, suppliers and the general public affected by its operations. Scope: This Network Rail standard and associated schedule specifies authorised retention periods for Network Rail s corporate records. It covers all records created, received and managed by Network Rail and the processes, tools and resources used to manage those records. This standard applies to all Owners responsible for the management of records within or on behalf of Network Rail. What s new/ what s changed: The table below summarises all the sections/clauses that have been amended/deleted/added: Section/ clause NOTE: It is the duty of those briefed or notified, to read through this document and familiarise themselves with its content. Amended/ deleted/ new Summary of changes New The Retention Schedule has been converted from a static list into an electronic format on hub. Link to schedule will be available on the standards page. New/Amended 11 new entries to the schedule are listed below and a full list of the 135 Amendments can be viewed at the following link Summary of Changes. Amended 17 entries have amended retention periods, 26 Entries have amended text and 49 entries have been consolidated into 19 new entries. This includes removal of duplicated entries. A2.1 New Agenda, papers and signed minutes of all meetings of: the Board, Executive Committees, Annual General Meetings and Extraordinary General Meetings: Permanent - Contact Corporate Archive A2.4 New Correspondence of Board and Executive Committee members : Permanent - Contact Corporate Archive D3.01 New Telecoms Trouble Tickets: 7 years from the data the ticket was closed. NB: If the ticket relates to is involved in an investigation the ticket must be retained at least until the investigation has finished. D8.04 New Extract and provide Mining Records information: Permanent G3.02 New Level Crossing Record of telephone calls: 2 years J3.02 New Medical reports of people exposed to Electro Magnetic Fields (EMF): 40 years J3.05 New Design Advice, Statutory Fire Authority Liaison, Fire Protection Systems Maintenance and User Testing, Performance Review, Fire Safety Training, Fire Risk Assessment & DSEAR Assessment : 3 years on premises + 3 years archive : 6 years in Total J3.05 New Imported Risk Inspection, Fire Investigation and Reporting:5 years on premises + 5 years archive: 10 years in Total J3.05 New Health surveillance of employees exposed or liable to be exposed to noise: 40 years from last entry J3.05 New Health surveillance of employees exposed or liable to be exposed to vibration: 40 years from last entry J3.05 New Employee records relating to radiation dose assessments and accidents involving exposure to radiation: Until person has or would have attained the age of 75, but in any event for at least 50 years from the date of the last entry. Reasons for change: The Schedule has been converted to an electronic format.this will provide improved search by record type and enable quicker future updates. The Schedule has been updated to reference the correct legislation and to make sure that where specific sections of an act have been referenced that these are correctly noted and haven t changed.

13 New record types have been added as they were not previously referenced within the schedule. Entries have been consolidated to improve usability and remove duplicates. Affected documents: Reference /SCHEDULES Impact Withdrawn Briefing requirements: Technical briefings are given to those who have specific responsibilities within this standard/control document. Awareness briefings are given to those who might be affected by the content but have no specific responsibilities within the standard/control document. Details of the briefing arrangements are included in the associated briefing programme. Briefing (A-Awareness/ T-Technical) Post Function Responsible for cascade briefing? Y/N T Information Controllers ALL Y T Assistant Information Controllers ALL Y T Document Controllers ALL Y T Document Control Managers ALL Y T Team Organisers ALL Y T Record Centre Manager NRG/Route Services Y T Record Liaison Managers NRG/Route Services Y T Record Controllers NRG/Route Services N T Record Assistants NRG/Route Services N A Company Wide update via cascade ALL N NOTE: Contractors are responsible for arranging and undertaking their own Technical and Awareness Briefings in accordance with their own processes and procedures.