Retention and Disposal Schedule
March 2013
NRS Retention and Disposal Schedule
Document Control
Title Retention and Disposal Schedule Prepared By Records Manager, February 2013 Approved By Head of Corporate Services Division Date of Approval 13 March 2013 Version Number 1.0 Review Frequency Annually for the first 2 years, then every 2 years Next Review Date January 2014
Status Control
Version Date Status Prepared by Reason for Amendment
NRS Retention and Disposal Schedule
1. INTRODUCTION 1.1 The Retention and Disposal Schedule details the recommended retention periods for records created
or received by National Records of Scotland (NRS), in line with business need, legislative, statutory and regulatory requirements. The schedule relates to all records, regardless of their format.
1.2 Some of the retention periods are laid down by statute (which is identified in the Rationale column);
whilst others are guidelines following best practice or in line with business need. Every effort has been made to ensure that the retention periods are compliant with the legislative framework within which we operate. The schedule has been agreed following a period of consultation with all divisions.
2. HOW TO USE THIS SCHEDULE 2.1 The schedule has been developed in line with NRS’s Business Classification Scheme and so it should
be clear which section you need to refer to for guidance on retention and disposal. If it is unclear, a free text search can be performed in order to locate the relevant documents.
2.2 There are generally three procedures to follow with regards to the disposal of your records once they
have reached the end of their recommended retention period:
I. ‘Confidential destruction‘– if the records are no longer required for business purposes and have been retained for the recommended retention period, in line with any legislative or statutory obligations, the record should be confidentially destroyed/deleted, in line with NRS’s Records Disposal Policy.
II. ‘Transfer to Archive/Review for Archival Value’ – all records that are of potential historical value
should be transferred to the archive branches of NRS for permanent preservation, once their administrative use is concluded. Please refer to NRS’s Archiving Arrangements for guidance.1
III. ‘Retain for operational purposes’ - In some cases records will need to be retained for long-term
operational purposes. Owners of the records should ensure that these records remain accessible for as long as required and are managed appropriately throughout their lifecycle.
3. IMPORTANT NOTES FOR CONSIDERATION 3.1 If you only have a convenience copy of a document, and did not create or have responsibility for it,
then you may destroy it as soon as you no longer require it for administrative purposes. 3.2 If litigation is ongoing, some records may need to be retained for longer than is specified within the
schedule in order to support any litigation process. Furthermore, if records are subject to a current Freedom of Information or Data Protection request, they must be retained for 40 days after the request has been fulfilled2.
4. LEGISLATIVE FRAMEWORK AND RATIONALE 4.1 Whilst most of the records generated and held by National Records of Scotland are retained in line with
business requirements, some are retained in line with legislative and statutory recordkeeping obligations. A list of some of the can be found below and where they are relevant to a particular record type, they will be identified in the Rationale column, by their abbreviated reference.
1 Please note it is not necessary to transfer numerous copies of the same document to archives. Where there are duplicates in existence, for example policies, only one copy should be transferred for preservation. The Branch responsible for the record (as identified in the Owner column) should ensure it is transferred. 2 For details of current FOI/DP requests, please contact the Corporate Planning and Development team.
NRS Retention and Disposal Schedule
The Reporting of Injuries, Diseases and Dangerous Occurrences (Amendment) Regulations
2012 = SI 2012/199
The Control of Asbestos Regulations 2012 = SI 2012/632
Equality Act 2010 = 2010 c. 15
Regulatory Reform (Fire Safety) Order 2005 = SI 2005/1541
Management of Health and Safety at Work Regulations 1999 = SI 1999/3242
Audit Commission Act 1998 = 1998 c. 18
Data Protection Act 1998 = 1998 c. 29
The Gas Safety (Installation and Use) Regulations 1998 = SI 1998/2451
The Value Added Tax Regulations 1995 = SI 1995/2518
The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 = SI
1995/3163
Value Added Tax Act 1994 = 1994 c. 23
Environmental Protection (Duty of Care) Regulations 1991 = SI 1991/2389
Health and Safety at Work etc. Act 1974 = 1974 c. 37
Prescription and Limitation (Scotland) Act 1973 = 1973 c. 52
Taxes Management Act 1970 = 1970 c. 9
Payment Card Industry Data Security Standard = PCI DSS
NRS Retention and Disposal Schedule
CONTENTS Collections Management p 9-13 └ Access to Collections p 9-11 └ Administration p 9 └ Collections Research p 9 └ Extract Production p 9 └ Library Management p 9-10 └ Online Access p 10 └ Onsite Access p 10-11 └ Client Management p 11 └ Conservation and Preservation p 11-12 └ Conservation Assessment p 11-12 └ Digital Preservation p 12 └ Preservation and Storage Management p 12 └ Digital Imaging p 12-13 └ Image Capture p 12-13 └ Retransmissions p 13 └ Administration p 13 Customer and Stakeholder Relations p 14-19 └ Engagement and Outreach p 14-18 └ Advice and Guidance p 14 └ Consultation and Engagement p 14-15 └ Education p 15 └ Events and Exhibitions p 15 └ Groups and Committees p 15-16 └ Management p 16-17 └ Marketing p 17-18 └ Projects p 18 └ Talks and Visits p 18 └ Training p 18 └ Websites and Online Activities p 18 └ Requests for Information p 18-19 └ Disclosure p 18-19 └ Enquiries p 19 └ Parliamentary Questions, Correspondence with Ministers and Briefing p 19 Estates Management p 20-21 └ Property Construction p 20 └ Design and Construction p 20 └ Property Maintenance p 20 └ Major Maintenance p 20 └ Minor Maintenance p 20 └ Routine Maintenance p 20 └ Property Management p 20-21 └ Energy Efficiency p 20-21 └ Lease Management p 21 └ Location Management p 21 └ Security p 21 └ Tenant Management p 21 └ Waste Disposal p 21 Finance p 22-30 └ Asset Management p 22
NRS Retention and Disposal Schedule
└ Disposal of Assets p 22 └ Financial Monitoring and Reporting p 22-23 └ Reporting p 22-23 └ Financial Provisions Management p 23-25 └ Budget Management p 23-25 └ Financial Transactions Management p 25-27 └ Expenditure and Income p 25-27 └ Fees and Charges p 27 └ Recharging p 27 └ Payroll p 27-28 └ Payment of Employees p 27-28 └ Procurement p 28-29 └ Assessment p 28 └ Contract Management p 28-29 └ Requisitioning p 29 └ Taxation p 29 └ Local Taxation p 29 └ National Taxation p 29 Geography p 30-32 └ Arc Gis p 30 └ Postcode production p 30 └ Data Suppliers p 30 └ External p 30 └ Internal p 30 └ Maintenance p 30-31 └ Boundary p 30 └ Geographic Areas p 31 └ Postcode p 31 └ Research p 31 └ Products p 31-32 └ Addressing p 31 └ Archiving p 31 └ Extracts p 31 └ Geographic p 31-32 └ Research p 32 Health and Safety p 33-34 └ Monitoring p 33-34 └ Accident and Incident Reporting p 33 └ Auditing and Inspections p 33 └ First Aid p 33 └ Maintenance and Testing p 33-34 └ Protective Equipment p 34 Human Resources p 35 └ Development and Training p 35-36 └ Inductions p 35 └ Personal Learning and Development p 35 └ Resources p 35 └ Training Courses and Seminars p 35-36 └ Equal Opportunities p 36 └ Equalities and Diversity p 36 └ Managing Employees p 36-37 └ Employee Case Files p36-37 └ Managing Teams p 37 └ Away Days p 37
NRS Retention and Disposal Schedule
└ Team Planning p 37 └ Managing Volunteers and Work Experience p 37 └ Case Files p 37 └ Programmes p 37 └ Occupational Health p 37-38 └ Assessments p 37 └ Health and Wellbeing p 37 └ Inductions p 38 └ Recruitment p 38 └ Advertising p 38 └ Applications p 38 └ Authorisation and Approval p 38 └ Interviewing p 38 ICT Management p 39-42 └ Infrastructure Management p 39-42 └ Data Updates p 39 └ Systems and Applications Support p 39 └ Systems Audits p 39 └ Systems Design and Development p 40 └ Systems Management p 40-42 └ Systems Testing p 42 Information Governance p 44-47 └ Compliance p 44 └Data Protection p 44 └ Freedom of Information p 44 └ Information Security and Assurance p 44-46 └ Data and Systems Access and Control p 45 └ Incident Reporting p 45 └ Information Assurance p 45-46 └ Intellectual Property p 46 └ Licensing p 46 └ Permissions p 46 └ Re-Use p 46 └ Royalties p 46 └ Records Management p 46 └ Auditing p 46 └ Classification p 46 └ Physical Records Management p 46-47 └ Retention and Disposal p 47 Registration p 48-54 └ Assessment and Evaluation p 48-49 └ Archives Accreditation p 48 └ Assessing Records Management Plans p 48 └ Examining and Assessing Registrars p 48-49 └ Casework Processing p 49-53 └ Adoptions and Parental Orders p 49 └ Bigamy p 49 └ Births p 50 └ Birth Re-Registrations p 50 └ Book of Scottish Connections p 50 └ Change of Name p 50-51 └ Civil Partnerships p 51 └ Correction of Errors p 51 └ Deaths p 51
NRS Retention and Disposal Schedule
└ Extract Authentications p 51-52 └ False Information p 52 └ Gender Reassignments p 52 └ Marriages p 52 └ National Register of Archives for Scotland p 52 └ PRSA Records Management Plans p 52-53 └ Royal Congratulatory Messages p 53 └ Still-Births p 53 └ Tartans p 53 └ Developing and Implementing Policy and Legislation p 53-54 └ Developing Policy and Legislation p 53-54 └ Implementing Policy and Legislation p 54 Statistics p 55-58 └ Data Collection, Analysis, Processing and Quality Assurance p 55-56 └ Data Coding p 55 └ Data Collection and Sources p 55 └ Data Processing and Analysis p 55-56 └ Development and Research p 56-57 └ External Statistical Development and Research p 56 └ Internal Statistical Development and Research p 56 └ Research and Small Scale Testing p 56 └ Review and Evaluation p 57 └ Specification and Testing p 57 └ Statistical Legislation p 57 └ Statistical Methodology p 57 └ Survey Design p 57 └ Released Statistical Outputs p 57-58 └ Output Dissemination p 57-58 └ Output Production p 58 Strategic Management p 58-65 └ Business Planning and Monitoring p 58-59 └ Organisational Structure p 58 └ Planning p 58-59 └ Internal Communications p 60 └ Consultation p 60 └ Internal Inquiries p 60 └ Internal Meetings p 60 └ Notices and Announcements p 60 └ Internal Policy and Procedure p 61 └ Forms and Templates p 61 └ Internal Policies, Procedures and Guidance p 61 └ Internal Policy Research and Development p 61 └ Project and Programme Management p 62 └ Quality and Performance Management p 62 └ External Auditing and Assessment p 62 └ Internal Auditing and Assessment p 62 └ Performance Measurement p 62 └ Performance Reporting p 62-63 └ Professional Standards p 63 └ Staff Surveys p 63 └ Risk Management p 64-65 └ Accreditation p 64 └ Business Continuity Planning p 64 └ Risk Assessment p 65
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BCS LEVEL 1 FUNCTION: COLLECTIONS MANAGEMENT
BCS LEVEL 2: ACTIVITY
BCS LEVEL 3: TRANSACTION
RECORD TYPES DESCRIPTION OF RECORDS RETENTION PERIOD
DISPOSAL ACTION
RATIONALE VITAL STATUS
OWNER
Access to Collections
Administration Administrative Administrative records relating to the management of NRS collections,
including archive material held in the Dome, Census Transcription
Licences*, Mormon Index to OPRs & Census Returns, recovery of
OPRs/refusals to transmit
PERMANENT Retain for operational purposes
Business need
*VITAL
RE
Collections Research
Research Documentation relating to research carried out into specific collections
held by NRS
PERMANENT Retain for operational purposes
Business need
VITAL
CSB/ PSB
Extract Production
Certificates Documentation relating to the production of certificates, including
the ESDAR Database and Templates
DESTROY – 7 years from completion of
order
Confidential destruction
Business need
VITAL
RE
Enquiries Documentation relating to enquiries processed by Extract Services,
including Lost In Post, 1939 Requests, Bulk Orders, Declined &
Returned
DESTROY – 7 years from completion of
enquiry
Confidential destruction
Business need
VITAL
RE
Orders Documentation relating to extract orders, including RMS Till Software,
GINTOPS
DESTROY – 7 years from completion of
order
Confidential destruction
Business need
VITAL
RE
Telephone Extract Ordering Service
General information relating to the Telephone Extract Ordering Service
DESTROY – once administrative use is
concluded
Confidential destruction
Business need
RE
Library Management
Acquisitions Documentation relating to new library acquisitions, including
correspondence with donors, subscription renewals & requests, &
accession lists
DESTROY – 5 years from date of acquisition
Confidential destruction
Business need
RE
Book Lists Lists of reference materials available to staff from the Corporate Planning &
Development Team and ICT
DESTROY – once administrative use is
concluded
Recycle Business need
CPD/ICT
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Catalogues Library catalogues PERMANENT Retain for operational purposes
Business need
VITAL
RE
Classification Scheme
Documentation relating to and including the library classification
scheme
PERMANENT Retain for operational purposes
Business need
VITAL
RE
Collection Guides Documentation relating to and including guides to the library
collections
DESTROY – once superseded
Recycle Business need
RE
Disposals Lists of library disposals and correspondence relating to them
DESTROY – 5 years from disposal
Confidential destruction
Business need
RE
Loans Details of all library loans, including inter-library loans
DESTROY – 7 years from date of return
Confidential destruction
Business need
RE
Locations Location guides and system records for library classes
PERMANENT Retain for operational purposes
Business need
VITAL RE
Missing Books Documentation relating to missing books from the library
REVIEW – after 2 years
Recycle Business need
RE
Repairs Lists of repairs to library materials DESTROY – 7 years after repair
Recycle Business need
RE
Serials Serials lists of all holdings and current subscriptions
REVIEW – after 5 years
Recycle Business need
RE
Online Access Methodology Supporting software documentation and publications
PERMANENT Retain for operational purposes
Business need
PSB
Reports Reporting on online access PERMANENT Transfer to Archive
Historical value
PSB
Server Log Files CSV files copied from Web server to USB drive for processing
DESTROY - after 5 years
Confidential destruction
Business need
PSB
Statistics Statistical documentation relating to online access
PERMANENT Transfer to Archive
Historical value
PSB
Onsite Access Daily Copy Sheets List of copy requests, in person and via correspondence
DESTROY – after 1 year
Confidential destruction
Business need
VITAL (when
current – cease to be vital after 3
months)
PSB
Production Books Record of productions in search rooms and to staff
PERMANENT Transfer to Archive
Historical value
VITAL PSB
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Production Slips Record of productions in search rooms and to staff
DESTROY – after 3 years
Confidential destruction
Business need
PSB
Register Pages Original records of events registered in Scotland
PERMANENT Transfer to Archive
Historical value
VITAL RD
Search Room Orders
Including photocopy and digital copy orders
DESTROY – after 1 year
Confidential destruction
Business need
VITAL (when
current – cease to be vital after 3
months)
PSB
Trolley Sheets List of records sent to DIU for copying DESTROY – after 1 year
Recycle Business need
VITAL (when
current – cease to be vital after 3
months)
PSB
Client Management
[Client Files] Case Files Client case files including information relating to Accessions, Deaccessions,
Background Information, Advice Given, Meetings, Correspondence, Arrangements, Instructions, Service
Level Agreements, Decisions, Negotiations, Retention Schedules,
Transfer Receipts, Uplifts, Visits, Charge & Superintendence
Agreements
PERMANENT Transfer to Archive
Historical value
VITAL GRB/ CLP/CSB
Client Management Lists
List of current clients REVIEW - after 5 years
Confidential destruction
Business need
GRB
Conservation & Preservation
Conservation Assessment &
Treatment
Collection Surveys Surveys of collections and identification of records requiring
treatment
REVIEW – after 7 years
Review for archival value
Business need /
Historical value
CSB
Condition Reports Condition reports of records and collections
REVIEW – after 7 years
Recycle Business need
CSB
Treatment Documentation relating to conservation treatment carried out on collections, including the rebinding of
REVIEW – after 7 years
Recycle Business need
VITAL RE/CSB
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Statutory Registers and Old Parish Registers
Digital Preservation
Administration Documentation relating to the administration of the Digital Data
Archive
REVIEW – after 5 years
Confidential destruction
Business need
ERU
Digital Data Archive Development
Documentation relating to the development of the DDA, including
the access module
PERMANENT Transfer to Archive
Historical value
VITAL ERU
Digital Laboratory Records relating to the development and use of the E-Records Unit Digital
Laboratory
REVIEW – after 5 years
Confidential destruction
Business need
ERU
Knowledge Base Records relating to the development and maintenance of the E-Records
Knowledge Base
PERMANENT
Transfer to Archive
Historical value
ERU
Maintenance Records relating to maintenance of the DDA
PERMANENT
Transfer to Archive
Historical value
VITAL ERU
Process Planning Records relating to digital preservation process planning
PERMANENT
Transfer to Archive
Historical value
ERU
Reports Reporting on Digital Preservation issues, including DDA Reports
PERMANENT
Transfer to Archive
Historical value
ERU/ CSB
Preservation & Storage
Management
Accommodation Documentation relating to the storage of collections
PERMANENT
Transfer to Archive
Historical value
VITAL CSB
Environmental Monitoring
Documentation relating to the environmental monitoring and
assessment carried out in NRS buildings
REVIEW – after 7 years
Recycle Business need
VITAL CSB
Preservation Work Documentation relating to preservation activities carried out on collections, including sealing letters
patent
REVIEW – after 7 years
Recycle Business need
CSB
Digital Imaging
Image Capture Digital Capture Management Data
SQL log files, generated on each camera station and copied to SQL
server
PERMANENT Retain for operational purposes
Business need
PSB
Images Jpegs on Image drive and Tiff images on external hard drives in USB library
PERMANENT Transfer to Archive
Historical value
VITAL PSB/ CSB/RE
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Quality Control Data
Records of quality control process for each digital volume captured
DESTROY – after 2 years
Recycle Business need
PSB
Retransmissions
Administration Order Slips Order slips for retransmissions DESTROY – after 5 years
Confidential destruction
Business need
GRB
Original Requests Details of original requests for retransmissions
DESTROY – after 5 years
Confidential destruction
Business need
GRB
Receipts Receipts for retransmissions DESTROY – after 5 years
Confidential destruction
Business need
GRB
Retransmissions Database
Summary information relating to the processing of retransmissions
PERMANENT Retain for operational purposes
Business need
VITAL GRB
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BCS LEVEL 1 FUNCTION: CUSTOMER & STAKEHOLDER RELATIONS
BCS LEVEL 2: ACTIVITY
BCS LEVEL 3: TRANSACTION
RECORD TYPES DESCRIPTION OF RECORDS RETENTION PERIOD
DISPOSAL ACTION
RATIONALE VITAL STATUS
OWNER
Engagement & Outreach
Advice & Guidance
Newsletters Newsletters produced and distributed by NRS
PERMANENT Transfer to Archive
Historical value
RD
NRAS Case Files Containing Background Info, Access Conditions, Terms of Use, Contact
Details, Advice Give, Meetings Papers, Reports of Productions,
Selected Biographical Info, Correspondence, Enquiries
PERMANENT Transfer to Archive
Historical value
VITAL CLP
Published Advice & Guidance
Professional guidance provided to stakeholders, including Managing
Electronic Records Guidance, information governance guidance,
Registrars Handbooks, How To Guides, Instructions on the FER, PRSA Model Plan & Guidance
PERMANENT Transfer to Archive
Historical value
VITAL Various
Consultation & Engagement
Case Files Documentation relating to NHSCR’s Customer & Stakeholder
Engagement, including policies, consultancy services, procedures, performance, quality assurance,
analysis, development
REVIEW – 7 years from closure
Confidential destruction
Business need
NHS-CR
Community Liaison Documentation relating to community liaison, including correspondence and
consultations
REVIEW – after 5 years
Confidential destruction
Business need
CEN
Consultations Documentation relating to customer and stakeholder consultations carried
out by NRS, including focus and working groups
REVIEW – after 5 years
Transfer to Archive
Historical value
VITAL Various
Customer Satisfaction
Questionnaires, feedback and analysis on performance in relation to
services or other aspects of NRS business
DESTROY – 7 years after administrative use is concluded or no longer referred to
for marketing
Confidential destruction
Business need
VITAL PSB
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purposes
Surveys & Questionnaires
Documentation relating to surveys and questionnaires designed by NRS and completed by customers and/or
stakeholders
REVIEW – after 5 years
Transfer to Archive
Historical value
VITAL RE/PSB
Education [Project Files] Including records relating to the Donald Dewar Debating Tournament, Scottish Learning Festival, Education
Open Days, Bell Rock 200 and Production of Schools Programme
REVIEW – after 5 years
Review for historical
value
Business need
PSB
Events & Exhibitions
Events Records relating to the management of internal and external events
REVIEW – after 5 years
Review for historical
value
Business need
VITAL PSB
Exhibitions Including administrative data relating to exhibitions held by NRS, records
relating to cases, exhibitions materials, display content & images,
loans
PERMANENT Transfer to Archive
Historical value
VITAL DAC/ PSB/ CSB
Media Access Documentation relating to media access, including fees, filming and recording guidance, online sales
admin and research
PERMANENT Retain for operational purposes
Business need
VITAL PSB/RE
Groups & Committees
Case Files Background papers and case files relating to work undertaken with external agencies and partners, including reports and analysis
REVIEW – after 10 years
Review for historical
value
Business need
VITAL Various
Communications Communications with external agencies and partners
REVIEW – after 10 years
Confidential destruction
Business need
VITAL Various
Consultancy Documentation relating to external consultancy services, including
requests for advice and details of advice provided
REVIEW – after 5 years
Confidential destruction
Business need
VITAL PSB
Meetings (NRS lead)
Agendas, Papers & Minutes from meetings with external agencies
and/or partners, where NRS is the lead body
REVIEW – after 10 years
Review for historical
value
Business need
VITAL Various
Meetings (NRS non lead)
Agendas, Papers & Minutes from meetings with external agencies
and/or partners, where NRS is not the
REVIEW – after 10 years
Confidential destruction
Business need
VITAL Various
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lead body
User Groups Correspondence and meetings held with ScotlandsPeople Search Room User Group and Internet User Group
PERMANENT Transfer to Archive
Historical value
VITAL SPC
Management Agreements - Other Agreements set up with external agencies and partners including,
Central Postcode, Gridlink, Office for National Statistics, Public Sector,
Scottish Government
REVIEW – after 5 years
Confidential destruction
Business need
CEN
Complaints Complaints received by the organisation and NRS’s response to
them
DESTROY – after 10 years
Confidential destruction
1973 c. 52 VITAL Various
Compliments Compliments and comments and response to them
DESTROY – after 6 years
Confidential destruction
Business need
VITAL Various
Consultancy Agreements set up with external consultants
REVIEW – 7 years after the agreement
has ended
Confidential destruction
Business need
VITAL PSB
Contracts Contracts set up with external agencies and partners, including
those relating to exhibitions, events, advertising, publishing and marketing
PERMANENT Retain for operational purposes
Business need
VITAL PSB
Customer Database
Contact details and purchases made by customers
DESTROY – 7 years after customer last
visit
Confidential destruction
Business need
VITAL SPC
Licensing Licensing agreement set up with external agencies and partners
PERMANENT Retain for operational purposes
Business need
VITAL PSB
Memorandum of Understanding
Initial agreements set up with external agencies and partners, including
those relating to the establishment of the Tartan Register
PERMANENT Retain for operational purposes
Business need
VITAL PSB
Readers Tickets & Database
Personal info and photos, required for issue
PERMANENT Retain for operational purposes
Business need
VITAL PSB
Registrars’ Database
Database containing information relating to local authority registration
staffing and operational matters
REVIEW – after 5 years
Confidential destruction
Business need
VITAL RD
Season Ticket Holders
Contact details for customers, details of season tickets purchases
REVIEW – ongoing (Update &/or
Confidential destruction
Business need
VITAL SPC
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DESTROY as customers change)
Service Level Agreements
Including customer and stakeholder agreements
REVIEW – 7 years from closure
Confidential destruction
Business need
NHS-CR
Marketing
Advertising & Design
Records relating to design and layout of advertising
REVIEW – after 5 years
Review for historical
value
Business need
PSB
Brand Management Documentation relating to the creation and use of a brand identity, including
logos
PERMANENT Transfer to Archive
Historical value
VITAL Various
Competitions Details of competitions held within NRS
PERMANENT Transfer to Archive
Historical value
PSB
Launches Case files relating to launches, including photos, speeches, launch material, media coverage, impact on
business
PERMANENT Transfer to Archive
Historical value
SPC
Media Relations Documentation relating to communications with the media
REVIEW – after 5 years
Confidential destruction
Business need
VITAL DAC/ CEN
Photographs Interior and exterior photographs of NRS
PERMANENT Transfer to Archive
Historical value
VITAL SPC
Press Releases Documentation relating to media releases for the promotion of
business
REVIEW – after 5 years
Review for historical
value
Business need
PSD
Promotions Documentation relating to Visit Scotland and ScotlandsPeople Centre
joint promotions, as well as internet and shop promotions
REVIEW – after 5 years
Review for historical
value
Business need
VITAL SPC
Publicity Including presentations, publicity text, speaker biographies, conference programmes, joining instructions,
memoranda, lists of publicity targets and other contacts
REVIEW – after 5 years
Review for historical
value
Business need
Various
Published Materials Including articles, publications, postcards, posters, leaflets
REVIEW – after 3 years
Review for historical
value
Business need
VITAL Various
Sales Including details of products and suppliers and estimates in relation to
sales of the Tartan Image
REVIEW – after 7 years
Confidential destruction
Business need
VITAL SPC/ PSB
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Projects
Project Files (NRS lead)
Documentation relating to projects carried out with external agencies and/or partners, where NRS is the
lead body
PERMANENT Transfer to Archive
Historical value
VITAL (during
project life)
Various
Project Files (NRS non lead)
Documentation relating to projects carried out with external agencies
and/or partners, where NRS is not the lead body
REVIEW – after 10 years
Confidential destruction
Business need
Various
Training, Talks & Visits
Talks & Visits Including Interesting Entries, Information about the Records, Open
Days, Presentations, Speeches, Talks, Tours, Workshops
REVIEW – after 5 years
Review for historical
value
Business need
VITAL Various
Attendance Records
Records of individuals attending training sessions delivered by NRS
REVIEW – after 5 years
Confidential destruction
Business need
RD-Training
Evaluation Sheets Evaluation records following attendance at Registration training
sessions delivered by NRS
REVIEW – after 3 years
Confidential destruction
Business need
RD-Training
Hotel Bookings Hotel bookings for individuals attending training sessions delivered
by NRS
DESTROY – 1 year after attendance
Confidential destruction
Business need
RD-Training
Training Materials & Packs
For training delivered by NRS, including Training & Awareness CDs
REVIEW – after 5 years
Confidential destruction
Business need
VITAL RD-Training/
PSB Websites &
Online Activities [Web Files] Including Development &
Improvement, Reviews, User Feedback, Stats, Change Requests, Server Log Files, HTML, PDF, RTF,
Images etc to be uploaded to the web, Web files and publications
produced in relation to NRS website, including the Beyond 2011 Project
REVIEW – after 5 years
Review for historical
value
Business need
VITAL Various
Requests for Information
Disclosure Access to Census Records
Correspondence relating to requests for access to Census records
REVIEW – after 5 years
Confidential destruction
Business need
VITAL RE
Data Protection Enquiries & Subject Access Requests
Including internal correspondence between branches, general enquiries
and the enquiry log
DESTROY – 6 years from enquiry closure
Confidential destruction
Business need
VITAL CPD
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Environmental Information
Documentation relating to EIR enquiries received by NRS including
the initial request and response
DESTROY – 6 years from enquiry closure
Confidential destruction
Business need
CPD
Freedom of Information
Documentation relating to FOI enquiries received by NRS, relating to
its records and business practices, including the initial request and
response
DESTROY – 6 years from enquiry closure
Confidential destruction
Business need
VITAL CPD
Enquiries Enquiries – General
Records relating to general enquiries received by NRS and responses to
them
REVIEW – 10 years from enquiry closure
Confidential destruction
Business need
VITAL (when
current)
Various
Enquiries - Historical
Documentation relating to specific enquiries regarding collections held
by NRS
REVIEW – 10 years from enquiry closure
Confidential destruction
Business need
VITAL (when
current)
PSB
Enquiries – Statistical
Documentation relating to specific enquiries regarding Statistics,
including Ad Hoc Statistical Enquiries
REVIEW – 10 years from enquiry closure
Confidential destruction
Business need
VITAL Various
Enquiries - Tartan General enquiries received in relation to the Tartan Register
REVIEW – 10 years from enquiry closure
Confidential destruction
Business need
PSB
Enquiries - Geography
Documentation relating to specific enquiries regarding Geography
REVIEW – 10 years from enquiry closure
Confidential destruction
Business need
Geog
Enquiry Log Summary information relating to enquiries received and the responses
to them
PERMANENT Retain for operational purposes
Business need
VITAL Various
Parliamentary Questions,
Correspondence with Ministers &
Briefing
Ministerial Briefings Provision of briefing notes and information as requested by Ministers
REVIEW – after 5 years
Confidential destruction
Business need
VITAL Various
Ministerial Correspondence
Correspondence with Ministers including original correspondence, response preparation material and
responses
REVIEW – after 5 years
Confidential destruction
Business need
Various
Ministerial Returns Replies REVIEW – after 5 years
Confidential destruction
Business need
Various
Ministerial Submissions
Provision of formal advice to Ministers REVIEW – after 5 years
Confidential destruction
Business need
Various
Parliamentary Questions
The processing of Parliamentary Questions within NRS, including
answer preparation material, questions and answers
REVIEW – after 5 years
Confidential destruction
Business need
VITAL Various
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BCS LEVEL 1 FUNCTION: ESTATES MANAGEMENT
BCS LEVEL 2: ACTIVITY
BCS LEVEL 3: TRANSACTION
RECORD TYPES DESCRIPTION OF RECORDS RETENTION PERIOD
DISPOSAL ACTION
RATIONALE VITAL STATUS
OWNER
Property Construction
Design & Construction
Architect’s Plans Architect’s plans for NRS buildings PERMANENT Transfer to Archive
Historical value
VITAL NHS-CR/ P&A
Building Layouts Plans & layouts of NRS buildings PERMANENT Transfer to Archive
Historical value
VITAL SPC/ PSB/P&A
Property Maintenance
Major Maintenance
Major Maintenance Works
Records documenting major maintenance/building works to
property
PERMANENT Retain for operational
purposes and pass to new
owners if asset is sold
Business need
P&A
Minor Maintenance
Minor Maintenance Works
Records documenting minor maintenance/building works to
property/assets worth £50,000 and over
DESTROY – 20 years from
completion of works
Confidential destruction
1973 c. 52 P&A
Records documenting minor maintenance/building works to property/assets worth less than
£50,000
DESTROY – 5 years from completion of
works
Confidential destruction
1973 c. 52 P&A
Routine Maintenance
Maintenance Files Information relating to routine maintenance undertaken at NRS buildings, for example, cleaning,
decorating, gardening (not including equipment)
DESTROY – 5 years from completion of
works
Confidential destruction
1973 c. 52 NHS-CR/ P&A
Property Management
Energy Efficiency Carbon Reduction Commitment
Scheme
Documentation on NRS role in the Carbon Reduction Commitment
Scheme
REVIEW – after 3 years
Confidential destruction
Business need
P&A
Carbon Management Plan
Documentation on the NRS Carbon Management Plan
REVIEW – after 3 years
Confidential destruction
Business need
P&A
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Sustainability Documentation and research into low energy storage solutions for archive
collections
REVIEW – after 7 years
Confidential destruction
Business need
CSB
Lease Management
Long Term Lease Agreements
Documentation relating to long term leasing of property/assets worth
£50,000 and over
DESTROY – 20 years from end of lease agreement
Confidential destruction
1973 c. 52 P&A
Short Term Lease Agreements
Documentation relating to short term/temporary leasing of
property/assets worth under £50,000
DESTROY – 5 years from end of lease
agreement
Confidential destruction
1973 c. 52 NHS-CR/ P&A
Location Management
Maps and Directions
Maps and directions relating to NRS property locations
DESTROY – once administrative use is
concluded
Recycling Business need
PSB
Signage Documentation relating to the management, production and location
of NRS signage
REVIEW – after 3 years
Confidential destruction
Business need
SPC/ PSB
Security Access Requests Requests for access to NRS buildings DESTROY – 7 years from last action
Confidential destruction
Business need
P&A
Collections Security Documentation relating to the physical security of collections
PERMANENT Retain for operational purposes
Business need
CSB
Door Entry Fobs Log
Summary log of access to and from NRS buildings using security passes
PERMANENT Retain for operational purposes
Business need
NHS-CR
Fire & Security Documentation relating to fire and security arrangements in NRS
PERMANENT Retain for operational purposes
Business need
NHS-CR/ P&A
Issues Records relating to security issues within NRS buildings
REVIEW – after 2 years
Confidential destruction
Business need
SPC/ P&A
Key Safe Documentation relating to the key safe
PERMANENT Retain for operational purposes
Business need
NHS-CR
Tenant Management
Tenant Recharging The mechanism for recharging costs to tenants
DESTROY – 7 years after the conclusion of the transaction
Confidential destruction
1973 c. 52 VITAL FAB
Waste Disposal Disposal Notes Disposal of waste notes DESTROY – after 3 years
Confidential destruction
SI 1991/2389 1974 c. 37
P&A
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BCS LEVEL 1 FUNCTION: FINANCE
BCS LEVEL 2: ACTIVITY
BCS LEVEL 3: TRANSACTION
RECORD TYPES DESCRIPTION OF RECORDS RETENTION PERIOD
DISPOSAL ACTION
RATIONALE VITAL STATUS
OWNER
Asset Management
Disposal of Assets
Disposal of assets over £50,000
Documentation relating to the disposal of hardware and software with a value of more than £50,000
DESTROY – 20 years after all obligations/ entitlements concluded
Confidential destruction
1973 c. 52 1970 c. 9
ICT
Disposal of assets under £50,000
Documentation relating to the disposal of hardware and software with a value of less than £50,000
DESTROY – 5 years after all obligations/
entitlements concluded
Confidential destruction
1973 c. 52 1970 c. 9
ICT
Financial Monitoring & Reporting
Reporting Benchmarking Records providing evidence of how calculations are constructed
DESTROY – after 7 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG
Cash Releasing Efficiency Gains
Including plans, targets and outcomes DESTROY – after 10 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG
Fixed Asset Thresholds
NRS guidelines on the monetary value for deeming items as
appropriate to Capital Budget and Fixed Asset status
DESTROY – after 10 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG
Monitoring Reports Monthly financial monitoring reports provided to Scottish Government
DESTROY – after 7 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG
SEAS Reports Including Transaction Reports provided to NRS budget managers
and SMT
DESTROY – after 3 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG / SPC/RD
IT
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SEAS Uploads Post budget exercises detailed monthly budgets are upload to SEAS
by SG Finance
DESTROY – after 3 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG
Workforce Planning Documentation relating to workforce management, including Post Based
Control, Staff Change Forms, Vacancy Board info.
DESTROY – after 7 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG
Financial Provisions Management
Budget Management
Assurance Statements
Including Divisional Heads Assurance Statements and Checklists
DESTROY – after 7 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG
Autumn Budget Review (ABR)
Autumn Budget Review publication DESTROY – after 10 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG
Budget Accountability
Documentation relating to budget accountability within branches
REVIEW – after 7 years
Confidential destruction
Business need
VITAL DAC
Budget Bill Documentation relating to the publication of the Budget Bill
DESTROY – after 10 years
Confidential destruction
SG guidance VITAL (for 2 years
after financial
year end)
RaG
Budget Papers Correspondence relating to profiling and monitoring branch budgets as
well as requested budgets and actual budgets
DESTROY – after 7 years
Confidential destruction
Business need
Various
Budget Revision Activities involved in the review and revision of budgets, including Autumn Budget Review (ABR), Spring Budget
Review (SBR), explanations for variance and divisional/branch
summaries
DESTROY – after 10 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
Various
Budget Setting Activities involved in planning and monitoring the annual budget, including timetables, historical
budgets, divisional/branch bids, historical expenditure & income
DESTROY – after 10 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
Various
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patterns, discussions & outcomes, approved allocations and budget
profiles Budget Spend Log Documentation detailing estimated
and actual spends against budgets, and logs of posts on SEAS
DESTROY – after 7 years
Confidential destruction
Business need
VITAL SPC
Carbon Accounting Including annual charges DESTROY – after 10 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG
Chart of Accounts Include NRS’s Chart of Accounts, updates, cost centre requests,
account code requests, sub-analysis requests and lists of budget
managers
DESTROY – after 7 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG
Cost Centre Budget Activities involved in the monitoring, review and revision of branch (cost
centre) budget, including budget profiling, Autumn Budget Review
(ABR), Spring Budget Review (SBR) and explanations for variance
DESTROY – after 7 years
Confidential destruction
Business need
VITAL RD IT
Draft Budget Calculation of NRS future budget requirements for inclusion in SG
future budget requirements
DESTROY – after 10 years
Confidential destruction
SG guidance VITAL (for 2 years
after financial
year end)
RaG
Floats Float spreadsheets DESTROY – after 7 years
Confidential destruction
Business need
VITAL SPC
Forecast Outturn Including monthly pressures & savings, year end projections and
year end final positions
DESTROY – after 7 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG
Funding Applications & Bids
Activities relating to applications for grant funding by external bodies
REVIEW – after 10 years
Confidential destruction
Business need
VITAL CPD/ HEP/ P&MS
Grants Including Memoranda of Understanding, monitoring and
outturn records
DESTROY – 7 years after the grant has been audited OR
DESTROY – when administrative use is concluded if the bid
Confidential destruction
1973 c. 52; 1994 c. 23; 1970 c. 9; 1998 c. 18
VITAL (for 2 years
after financial
year end)
RaG/ CSB
NRS Retention and Disposal Schedule E011
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was unsuccessful
Memorandum to Budget Managers
Including records relating to financial responsibility statements and
delegated authority
DESTROY – after 7 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG
Overtime Authorisations
Authorisations and approvals for staff working overtime
DESTROY – after 7 years
Confidential destruction
1970 c. 9 VITAL ICT/RD IT
Petty Cash Documentation relating to the management of petty cash
DESTROY – after 7 years
Confidential destruction
1973 c. 52; 1994 c. 23
RE
Position Papers Branch costings and other calculations
REVIEW – after 1 years
Confidential destruction
Business need
CLP
Severance Packages
Including documentation relating to Approved Early Retirements (AER)
and Voluntary Exits
DESTROY – after 7 years
Confidential destruction
Business need
VITAL RaG
Spending Review Including Scottish Spending Reviews, Shaping Up Reviews
DESTROY – after 10 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG
Spring Budget Review (SBR)
Spring Budget Review publication DESTROY – after 10 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG
Financial Transactions Management
Expenditure & Income
Bounced Cheques Documentation relating to and including bounced cheques
DESTROY – 7 years from date of cheque
Confidential destruction
1994 c. 23 RE
Expenses Documentation relating to financial spending throughout the year
DESTROY – after 7 years
Confidential destruction
1970 c. 9 1973 c. 52
VITAL Various
Income Activities involved in the collection of money, including rent payments and till rolls for income generated through ScotlandsPeople Centre (Brightsolid),
Café, Shop, Adoptions, Extracts, Internet, Search Rooms, Local Family
History Centres, Seminars, Registration Services (Changes of
Name, Book of Scottish Connections,
DESTROY – 7 years after the conclusion of the transaction
Confidential destruction
1994 c. 23 1970 c. 9 1973 c. 52
VITAL (when
current)
Various
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Extract Authentications, Provision of Extracts to Government Departments,
Marriages), NHSCR Customers etc Income Splits Documentation detailing sums paid to
the Lyon Office and other branches DESTROY – after 7
years Confidential destruction
1994 c. 23 SPC
Invoices Documentation relating to and including Invoices
DESTROY – after 7 years
Confidential destruction
1994 c. 23 1970 c. 9 1973 c. 52
VITAL Various
Merchant Copies Merchant copies of credit card transactions
DESTROY – 3 months after conclusion of transaction
Confidential destruction
Business need
PCI DSS
VITAL RE
Receipts Documentation relating to and including receipts - including Travel, &
Worldpay
DESTROY – 7 years after the conclusion of the transaction
Confidential destruction
1973 c. 52 1994 c. 23 1970 c. 9 1998 c. 18
VITAL PSB/RE /RD IT
Refunds Documentation relating to and including Refunds
DESTROY – 7 years after the conclusion of the transaction
Confidential destruction
1973 c. 52 1994 c. 23 1970 c. 9 1998 c. 18
VITAL RE/SPC/ PSB
Rent & Utilities Documentation relating to the payment of rent & utilities
DESTROY – 7 years after the conclusion of the transaction
Confidential destruction
1994 c. 23
VITAL
Scottish Government Enterprise
Accounting System (SEAS)
Documentation held on and relating to the SEAS system, including
correspondence, invoice payments, queries and accounts receivable
DESTROY – 7 years after the conclusion of the transaction
Confidential destruction
1994 c. 23
VITAL FAB
Stock Take Documentation detailing the rolling programme of stock takes and any
discrepancies
DESTROY – after 7 years
Confidential destruction
1994 c. 23
VITAL SPC
Suspense Accounts
Documentation held on and relating to the activities and reconciliation of the
Suspense Accounts
DESTROY – 7 years after the conclusion of the transaction
Confidential destruction
1994 c. 23
VITAL FAB
Travel Claims Prime documents relating to and including Travel Expenses
DESTROY – 7 years after the conclusion of the transaction
Confidential destruction
1973 c. 52 1994 c. 23 1970 c. 9 1998 c. 18
Various
Vouchers Documentation relating to and including vouchers
DESTROY – 7 years after the conclusion
Confidential destruction
1973 c. 52 1994 c. 23
VITAL SPC
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of the transaction 1970 c. 9 1998 c. 18
ZZ Reports Daily till summary reports DESTROY – 7 years after the conclusion of the transaction
Confidential destruction
1994 c. 23
VITAL RE
Fees & Charges Correspondence Correspondence relating to fees & charges
PERMANENT Retain for operational purposes
Business need
VITAL RD
Credit Cards Documentation relating to fees and charges by credit card
DESTROY – 7 years after the conclusion of the transaction
Confidential destruction
1973 c. 52 RE
Fees Record of monies received including fee papers and inspection fees
DESTROY – after 7 years
Confidential destruction
1973 c. 52 VITAL (when
current – cease to be vital after 3
months)
PSB
Income Generation Review
Including charging for services, review, and marketing outcomes
DESTROY – after 10 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG
Memorandum Trading Accounts
Including those of NHSCR, ScotlandsPeople Centre,
ScotlandsPlaces and the Scottish Tartan Authority
DESTROY – after 10 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG / SPC/
NHS-CR
Recharging Absorption Rates Including budgeted overheads, budgeted outturns, projected
overheads & Cost Driver Reviews
DESTROY – after 7 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG
Hourly Rates NRS costing tool used for calculating proposed costs (e.g. overtime per
grade)
DESTROY – after 7 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG
Internal Recharging The mechanism for recharging costs within NRS
DESTROY – 7 years after the conclusion of the transaction
Confidential destruction
Business need
VITAL FAB
Payroll
Payment of Employees
Monthly Reconciliations
Accuracy check of monthly NRS payroll reports and resolving
DESTROY – after 7 years
Confidential destruction
1970 c.9 1973 c. 52
VITAL (for 2 years
RaG
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anomalies with SG Payroll after financial
year end) Pay Awards In line with the SG pay awards,
ensuring appropriate uplifts are incorporated to the NRS average
salaries
DESTROY – after 7 years
Confidential destruction
1970 c.9 1973 c. 52
VITAL (for 2 years
after financial
year end)
RaG
Payroll Database Merging individual NRS cost centre payroll reports into one NRS payroll
database
DESTROY – after 7 years
Confidential destruction
1970 c.9 1973 c. 52
VITAL (for 2 years
after financial
year end)
RaG
Payroll Mispostings Identifying anomalies, liaising and instructing SG payroll on corrective
action
DESTROY – after 3 years
Confidential destruction
1970 c.9 1973 c. 52
VITAL (for 2 years
after financial
year end)
RaG
Payroll Records Records of staff payroll DESTROY – after 7 years
Confidential destruction
1970 c.9 1973 c. 52
VITAL CEN
Payroll Report Monthly payroll spreadsheet DESTROY – after 7 years
Confidential destruction
1970 c.9 1973 c. 52
VITAL RE
PerTemps Database
Compilation of weekly PerTemp invoices for NRS workforce planning
and staff costs monitoring
DESTROY – after 7 years
Confidential destruction
1970 c.9 1973 c. 52
VITAL (for 2 years
after financial
year end)
RaG
Salaries Documentation relating to salaries, including NRS average salaries
calculated and used in budget setting and recharging exercises
DESTROY – after 7 years
Confidential destruction
1970 c.9 1973 c. 52
VITAL (for 2 years
after financial
year end)
RaG
Procurement
Assessment Capability Assessment
Reports
Capability Assessment Reports REVIEW – after 10 years
Confidential destruction
Business need
P&A
Contract Management
Change Requests & Controls
Documentation related to proposed changes in contracts
DESTROY – 10 years after the term of the contract has
expired
Confidential destruction
1973 c. 52 P&A
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Clarification of Contracts
Negotiation of a contract after a preferred tender has been selected
DESTROY – 10 years after the term of the contract has
expired
Confidential destruction
1973 c. 52 P&A
Contract Case Files Documentation relating to the management of contracts
DESTROY – 10 years after the term of the contract has
expired
Confidential destruction
1973 c. 52 VITAL P&A
Pricing Schedule Documentation relating to the pricing schedules of contracts
DESTROY – 10 years after the term of the contract has
expired
Confidential destruction
1973 c. 52 P&A
Service Level Agreements
Service Level Agreements in relation to awarded contracts
DESTROY – 10 years after the term of the contract has
expired
Confidential destruction
1973 c. 52 P&A
Statement of Requirements
Documentation related to system or service requirements for a contract
DESTROY – 10 years after the term of the contract has
expired
Confidential destruction
1973 c. 52 P&A
Tenders - Unsuccessful
Documentation relating to unsuccessful tenders, including quotations and rejection letters
DESTROY – 1 year after start of contract
Confidential destruction
1973 c. 52 P&A
Requisitioning Goods Received Documentation relating to receiving and checking goods, works or
services are delivered as required
DESTROY – 7 years after the conclusion of the transaction
Confidential destruction
1973 c. 52 Various
Purchase Orders/ RD1 Forms / Requisitions
Internal documentation relating to requisitions
DESTROY – 7 years after the conclusion of the transaction
Confidential destruction
1973 c. 52 VITAL Various
Taxation
Local Taxation Council Rates Activities involved in managing the payment of taxes by the organisation
DESTROY – 7 years from closure
Confidential destruction
1994 c. 23 1970 c. 9
SI 1995/2518
NHS-CR
National Taxation VAT Returns Documentation held on and relating to the VAT Returns made to HMRC
DESTROY – 7 years from the conclusion
of transaction
Confidential destruction
1994 c. 23 1970 c. 9
SI 1995/2518
VITAL FAB
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BCS LEVEL 1 FUNCTION: GEOGRAPHY
BCS LEVEL 2: ACTIVITY
BCS LEVEL 3: TRANSACTION
RECORD TYPES DESCRIPTION OF RECORDS RETENTION PERIOD
DISPOSAL ACTION
RATIONALE VITAL STATUS
OWNER
Arc Gis
Postcode Production
Administrative including reports
Documentation relating to user requirements, procedures, QA processes and Review. Reports containing results from various analysis, testing, error trapping, performance. Monitoring logs. System enhancements. Meeting notes.
Review after 5 years Confidential destruction
Business need
Geog
Data Suppliers
External Products All digital data, data, metadata, Product and User Guides, support from suppliers
Review after 5 years Confidential destruction
Business need
Geog
Administrative Correspondence and advice, contacts list, seminars/workshops/user forums, meeting notes
Review after 5 years Confidential destruction
Business need
Geog
Internal Products Digital data, data, metadata, Product and User Guides
Review after 5 years Confidential destruction
Business need
Geog
Administrative Correspondence and advice, meeting notes, seminars and workshops
Review after 5 years Confidential destruction
Business need
Geog
Maintenance
Boundary Administrative Correspondence, investigation, meeting notes
Review after 10 years Confidential destruction
Business need
Geog
Methods Boundary maintenance policy for NRS and non NRS data, guidance and procedures, quality assurance measures, exceptions
Review after 10 year Confidential destruction
Business need
Geog
Data Spatial files and data, databases Documentation and metadata
Review after 10 year Confidential destruction
Business need
Geog
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Geographic Areas
Data Spatial data files for all geographies Documentation and Metadata Databases and spreadsheets
Review after 5 years Confidential destruction
Business need
Geog
Postcode Methods Digitising guidelines and policy Procedural notes for digitising various postcode types. Instructions.
Review after 5 years Confidential destruction
Business need
Geog
Reports Exception and anomalies, spreadsheets and databases
Review after 5 years Confidential destruction
Business need
Geog
Administrative Correspondence and investigation, meeting notes
Review after 5 years Confidential destruction
Business need
Geog
Research Data Analysis of data/alternative data, new procedures and methods. Pilot studies of new work, testing and investigation. Planning. Documentation and metadata
Review after 5 years Confidential destruction
Business need
Geog
Products
Addressing Data Database and spreadsheets. Spatial files Documentation and metadata inc health warnings
Review after 5 years Confidential destruction
Business need
Geog
Administrative Correspondence with users, meeting notes, user groups, user requirements, policy and procedural notes, health warnings
Review after 5 years Confidential destruction
Business need
Geog
Archiving Methods Policy and procedures for archiving Review after 5 years Confidential destruction
Business need
Geog
Data Relates to customer extracts : Spatial data, databases, customer bulletins, ad hoc requests
Review after 10 years
Review for historical value
Business need
Geog
Extracts Data Relates to customer extracts: Spatial data, databases, customer bulletins, documentation and metadata, health warnings
Review after 5 years Confidential destruction
Business need
Geog
Geographic Data Spatial data, databases, spreadsheets, reports, documentation and metadata, lookup files, user
Review after 5 years Confidential destruction
Business need
Geog
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guides, general reference, anomalies and health warnings (includes census geographic reference material)
Research Data Spatial data, databases, spreadsheets, reports, research findings, plans and schedules
Review after 5 years Confidential destruction
Business need
Geog
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BCS LEVEL 1 FUNCTION: HEALTH & SAFETY
BCS LEVEL 2: ACTIVITY
BCS LEVEL 3: TRANSACTION
RECORD TYPES DESCRIPTION OF RECORDS RETENTION PERIOD
DISPOSAL ACTION
RATIONALE VITAL STATUS
OWNER
Monitoring
Accident & Incident
Reporting
Accident & Incident Log
Reports of accidents and incidents, for staff and visitors (adults)
DESTROY – 7 years from date of accident
Confidential destruction
SI 1995/3163
VITAL SPC/ NHS-CR/
P&A Reports of accidents and incidents,
for staff and visitors (children) DESTROY – 25
years from date of accident
Confidential destruction
SI 1995/3163
VITAL P&A
Investigations Activities relating to internal or external investigations
DESTROY – 7 years from date of accident
Confidential destruction
1973 c. 52 P&A
Major Injuries Documentation relating to major injuries – accident reports
DESTROY – 12 years from date of
accident
Confidential destruction
SI 1995/3163 1974 c. 37
SI 2012/199 1973 c. 52
P&A
Auditing & Inspections
Access Audits Reports provided from access audits carried out by independent health and
safety auditors
DESTROY – 7 years from closure
Confidential destruction
2010 c. 15 P&A
Inspections Process of inspecting equipment to ensure it is safe
DESTROY – 5 years after equipment is
decommissioned or DESTROY – 20
years after equipment is decommissioned if there is a history of
accidents concerning the equipment
Confidential destruction
1973 c. 52 P&A
First Aid First Aiders List of First Aiders within the organisation
DESTROY – 7 years from closure
Confidential destruction
Business need
VITAL CPD/ NHS-CR
Training Records relating to First Aid training undertaken by staff
DESTROY – 6 years from leaving date
Confidential destruction
1973 c. 52 NHS-CR
Maintenance & Testing
Fire Precautions Documentation relating to fire inspections of NRS buildings
REVIEW – after 5 years
Confidential destruction
SI 2005/1541
P&A
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Fire Test Logs Log book recording fire alarm tests REVIEW – after 5 years
Confidential destruction
Business need
VITAL RE
Equipment Maintenance
Process of maintaining equipment to ensure it is safe
DESTROY – 5 years after equipment is
decommissioned or DESTROY – 20
years after equipment is decommissioned if there is a history of
accidents concerning the equipment
Confidential destruction
1973 c. 52 1974 c. 37
P&A
Testing Documentation recording dates and results of examinations/tests of
equipment, including Respiratory Protective Equipment (except
Disposable RPE), and exhaust ventilation equipment
DESTROY – 5 years after equipment is
decommissioned or DESTROY – 20
years after equipment is decommissioned if there is a history of
accidents concerning the equipment
Confidential destruction
1973 c. 52 SI
1998/2451
P&A
Protective Equipment
Asbestos Documentation recording exposure to asbestos and provision of any
Respiratory Protective Equipment (RPE) to employees
DESTROY – 40 years from the date
of the last entry
Confidential destruction
SI 2012/632 1974 c. 37
VITAL P&A
Personal Protective Equipment
Records relating to the issuing of personal protective equipment
DESTROY – 6 years from leaving date
Confidential destruction
1973 c. 52 CSB
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BCS LEVEL 1 FUNCTION: HUMAN RESOURCES
BCS LEVEL 2: ACTIVITY
BCS LEVEL 3: TRANSACTION
RECORD TYPES DESCRIPTION OF RECORDS RETENTION PERIOD
DISPOSAL ACTION
RATIONALE VITAL STATUS
OWNER
Development & Training
Inductions Checklists New starter checklist REVIEW – after 5 years
Confidential destruction
Business need
VITAL CPD/ P&MS
Induction Packs Induction Packs for new starters PERMANENT Transfer to Archive
Historical value
VITAL CPD
Log Summary training log of members of staff attending Induction
DESTROY – 5 years from closure
Confidential destruction
Business need
NHS-CR
Tours Details of tours completed during Induction
DESTROY – once administrative use is
concluded
Confidential destruction
Business need
CPD
Personal Learning &
Development
BCS RoleModel Scheme
Documentation and database containing details of The Chartered
Institute for IT’s best practice framework for IT professionals
DESTROY – 6 years from leaving date
Confidential destruction
Business need
ICT/IAS/RD IT
Lifelong Learning Applications and details of offers relating to Lifelong Learning
DESTROY – 6 years from leaving date
Confidential destruction
Business need
VITAL CPD
Personal Learning Logs (PLLs)
Summary learning logs of training completed
DESTROY – 6 years from leaving date
Confidential destruction
Business need
RD-Training
Personal Learning Plans (PLPs)
Identification of training requirements DESTROY – 6 years from leaving date
Confidential destruction
Business need
VITAL CPD
Reports Annual reports DESTROY – 6 years from leaving date
Confidential destruction
Business need
RD-Training
Work Shadowing Opportunities
Lists of work shadowing opportunities available within NRS
DESTROY – once superseded
Confidential destruction
Business need
CPD
Resources Kindle Summary log and sign out sheets detailing members of staff borrowing
the Kindle for work or training purposes
REVIEW – after 2 years
Confidential destruction
Business need
VITAL CPD
Training Courses & Seminars
Feedback Feedback from members of staff attending internal training courses
DESTROY – after 3 years
Confidential destruction
Business need
CPD/IAS
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Training Log Summary log of staff attending internal training courses
DESTROY – 5 years from closure
Confidential destruction
Business need
NHS-CR
Training Manuals, Materials & Content
Details of internal training delivered to staff, including presentations,
seminars, course notes and papers
REVIEW – after 5 years
Confidential destruction
Business need
VITAL Various
Training Records Individual staff training records, including attendance records and
awards and certificates
DESTROY – 6 years from leaving date
Confidential destruction
Business need
Various
Training Requests Requests for training from members of staff
DESTROY – once administrative use is
concluded
Confidential destruction
Business need
RD IT
Equal Opportunities
Equalities & Diversity
Equality Impact Assessments
Documentation relating to the production of Equality Impact
Assessments
REVIEW – after 3 years
Confidential destruction
2010 c. 15 VITAL CPD
Equality Outcomes Records relating to the identification of equality outcomes
REVIEW – after 4 years
Confidential destruction
2010 c. 15 VITAL CPD
Mainstreaming Equality Reports
Reports on mainstreaming equality REVIEW – after 4 years
Confidential destruction
2010 c. 15 VITAL CPD
Gender Pay Gap Reports
Reports on gender pay gaps REVIEW – after 4 years
Confidential destruction
2010 c. 15 VITAL CPD
Statements on Equal Pay
Statements on equal pay REVIEW – after 4 years
Confidential destruction
2010 c. 15 VITAL CPD
Managing Employees
Employee Case Files
Case Files Documentation held by line managers relating to the management of employees in NRS, including
overtime, conflicts of interest, issues, meetings, monthly conversations,
objectives. NB: HR information, relating to
absence, leave, disciplinary issues and contractual records are retained
by SG
REVIEW – after 2 years
Confidential destruction
Business need
VITAL Various
Performance Management
Documentation relating to the monitoring and assessment of
performance, including in year and
DESTROY – 3 years after superseded
Confidential destruction
Business need
Various
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end year reviews
Managing Teams
Away Days Away Days Documentation relating to team/branch away days
REVIEW – after 5 years
Confidential destruction
Business need
CPD/ NHS-CR
Team Planning Team Responsibilities
Identification of team responsibilities PERMANENT
Transfer to Archive
Historical value
VITAL Various
Managing Volunteers & Work Experience
Volunteer Case Files
Case Files Documentation relating to volunteers at NRS, including Family Search
DESTROY – 6 years from leaving date
Confidential destruction
Business need
PSB/ BMU
Programmes Certificates Details of certificates issued to work experience placements
DESTROY – 6 years from leaving date
Confidential destruction
Business need
CPD
Internships Details of the ESRC Internship programme
REVIEW – after 5 years
Confidential destruction
Business need
DAC
Placements Details of placements available within NRS
REVIEW – after 5 years
Confidential destruction
Business need
Various
Secondment Documentation relating to the process of secondments to or from NRS
DESTROY – 6 years from leaving date
Confidential destruction
Business need
Various
Welcome Pack Welcome packs for work experience students/placements
DESTROY – once superseded
Confidential destruction
Business need
CPD
Work Experience Programme
Details of the work experience programme available within NRS
DESTROY – once superseded
Confidential destruction
Business need
CPD
Work Shadowing Documentation relating to work shadowing opportunities in NRS
REVIEW – after 5 years
Confidential destruction
Business need
RD-Training
Occupational Health
Assessments Display Screen Equipment / Visual
Display Unit Assessments
Completed DSE/VDU/desk assessments
DESTROY – 6 years from leaving date
Confidential destruction
1973 c. 52 RD-Training/ NHS-CR
Health & Wellbeing
Health Checks Staff participation in health checks carried out at Cairnsmore House
DESTROY – 6 years from leaving date
Confidential destruction
1973 c. 52 NHS-CR
Healthy Working Lives
Offers, presentations & seminars DESTROY – 5 years from closure
Confidential destruction
Business need
CPD/ NHS-CR
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Inductions Health & Safety Inductions
Completed forms following Health & Safety Inductions
DESTROY – 6 years from leaving date
Confidential destruction
1973 c. 52 RD-Training
Recruitment
Advertising Advertisements Advertisements for a vacant position REVIEW – after 5 years
Confidential destruction
Business need
Various
Job Descriptions Job descriptions and person specifications for posts
DESTROY – 1 year after completion of
job role
Confidential destruction
Business need
VITAL Various
Applications Application Forms – Successful Candidates
Applications for a vacant position – successful candidates
DESTROY – 6 years from leaving date
Confidential destruction
1973 c. 52 Various
Application Forms – Unsuccessful
Candidates
Applications for a vacant position – unsuccessful candidates
DESTROY – 6 months after
recruitment finalised
Confidential destruction
2010 c. 15 Various
Contact Details Contact details of candidates applying for vacant positions
DESTROY – once administrative use is
concluded
Confidential destruction
Business need
CPD
Feedback Written feedback provided to candidates
DESTROY – 6 months after
recruitment finalised
Confidential destruction
2010 c. 15 VITAL CPD
Authorisation & Approval
Authorisations & Approvals of Post
Authorisations to appoint and advertise a vacancy
REVIEW – after 5 years
Confidential destruction
Business need
Various
Business Cases Business Cases and financial papers relating to recruitment of a post
REVIEW – after 5 years
Confidential destruction
Business need
Various
Interviewing Interview Notes & Scoring –
Successful Candidates
Notes and scoring from interviews of successful candidates
DESTROY – 6 years from leaving date
Confidential destruction
1973 c. 52 VITAL Various
Interview Notes & Scoring –
Unsuccessful Candidates
Notes and scoring from interviews of unsuccessful candidates
DESTROY – 6 months after
recruitment finalised
Confidential destruction
2010 c. 15
VITAL Various
Invites to Interview Details of invites to interview DESTROY – 6 months after
recruitment finalised
Confidential destruction
2010 c. 15 VITAL Various
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BCS LEVEL 1 FUNCTION: ICT MANAGEMENT
BCS LEVEL 2: ACTIVITY
BCS LEVEL 3: TRANSACTION
RECORD TYPES DESCRIPTION OF RECORDS RETENTION PERIOD
DISPOSAL ACTION
RATIONALE VITAL STATUS
OWNER
Infrastructure Management
Data Updates Data Change Control
Documentation relating to corporate database data changes
DESTROY – once system no longer
used
Confidential destruction
Business need
ICT/RD IT
Systems & Applications
Support
Census Systems Support
Census systems support records, including Census Field Operations,
Census Outputs, Beyond 2011, Printing and Logistics
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
CEN
Help Desk Internal customer reporting of faults DESTROY – 5 years from job closure
Confidential destruction
Business need
ICT/RD IT
Issues Details of issues and problems raised with ICT
REVIEW – after 2 years
Confidential destruction
Business need
VITAL Various
Requests for Change
Documentation relating to requests for change
REVIEW – after 2 years
Confidential destruction
Business need
VITAL Various
Service Desk Documentation relating to system monitoring including system metrics
REVIEW – 5 years from job closure
Confidential destruction
Business need
ICT
User Administration Documentation relating to systems and applications user administration
DESTROY – once system no longer
used
Confidential destruction
Business need
RD IT
Systems Audits Internet Usage - Detailed
Detailed breakdown of specific internet activity
DESTROY – after 3 years
Confidential destruction
Business need
IAS
Internet Usage - Weekly
Report on top 20 staff internet users DESTROY – after 3 months
Confidential destruction
Business need
IAS
Protective Monitoring Server
Reports
Audit reports and analysis of IT activity
DESTROY – after 7 years
Confidential destruction
Business need
IAS
Server Patching Reports
Details of IT server patches DESTROY – after 7 years
Confidential destruction
Business need
IAS
Stand Alone Audit Reports
Audit reports on stand alone PCs in NRS
DESTROY – after 7 years
Confidential destruction
Business need
IAS
USB Audit Reports Audit reports on employees USB keys DESTROY – after 7 years
Confidential destruction
Business need
IAS
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Systems Design & Development
Active Directory Design records and diagrams relating to the Active Directory
PERMANENT Retain for operational purposes
Business need
ICT
Code Application and system code versions that deliver application functionality
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
VITAL ICT/RD IT
Configuration Documentation relating to the configuration of the system
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
ICT
Databases Databases of data supporting the persistent delivery of system functions
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
VITAL RD IT
Design and Construction
Documentation relating to the design and construction of systems
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
VITAL Various
Development Documentation relating to the development of systems and
software, including web technology development, programming
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
ICT/RD IT
Quality Assurance Documentation relating to formal peer review and sign-off of requirements,
design, specifications and other systems documentation
DESTROY – once system no longer
used
Confidential destruction
Business need
ICT/RD IT
Requirements Documentation supporting requirements analysis and
specification of the business area for which the system is being developed
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
ICT/RD IT
Specifications Documentation relating to the identification of systems specifications
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
VITAL Various
Systems Management
Broadband Broadband documentation REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
ICT
Build & Installation Guides
Build and installation guides for systems in operation within NRS
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
VITAL ICT
Case Files Documentation relating to the management of internal and external
ICT systems, including policy documents, agreements, costing,
REVIEW – 7 years from closure
Confidential destruction
Business need
NHS-CR
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assessments
Computer Hall Documentation relating to the management and monitoring of climate control and power in the
computer hall
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
ICT
Data Management Documentation relating to the management of specific systems data
which includes back ups, mirroring, and systems interfaces
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
VITAL ICT/SLS
Disposals Documentation relating to the disposal of systems, including
Register of Degausser Items and Bankcco Certificates of Data Wipe
PERMANENT Retain for operational and audit purposes
Business need
ICT
Hardware Lists / Assets
Including: Storage Area Network, Blades, Network Devices, Desktops, Laptops, Servers, Loan Pools, 3G,
USB, Mobile Phones
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
ICT/SLS
Implementation Documentation relating to systems implementation
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
VITAL ICT
Infrastructure Documentation relating to systems infrastructure
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
VITAL ICT
Integration Documentation in relation to data conversion, data matching, data mapping and system interfacing
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
ICT
Issues Logs Summary logs of systems issues REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
ICT/SLS
Leased Lines Documentation relating to leased lines
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
ICT
Licences Documentation in relation to software licensing
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
VITAL Various
Log Files Information about the performance and interactions on systems
generated by operating systems, application middleware, system
RETAIN – all audit trail data for at least the same period as the information to
Confidential destruction
Business need
RD IT
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components and applications which it refers. Thereafter, it may be appropriate to retain selected elements of this audit trail data to
serve as a destruction log of the
original records Maintenance –
Network & Servers Documentation relating to the
maintenance and support of the network and system servers
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
ICT
Maintenance - Systems
Documentation relating to the maintenance and support of software and systems, including daily checks
and rota
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
ICT/PSB
Manuals & Operating
Procedures
User manuals and support information relating to specific systems or pieces of software
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
Various
Patching Documentation relating to cable patching
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
VITAL ICT
Safe Setting Documentation relating to the use of the safe setting
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
SLS
Service Catalogue Documentation relating to definition of all services both live and in
development
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
VITAL ICT
Service Level Agreements
Information relating to agreements made between internal teams and
ICT on a contractual basis
DESTROY – 2 years after the terms of the agreement/contract
have expired
Confidential destruction
Business need
VITAL ICT/RD IT
Software Deploy Versions
Discrete versions of compiled program code delivering system
functionality and/or changes to that functionality
REVIEW - within 1 year of system no
longer used
Confidential destruction
Business need
VITAL RD IT
Storage Documentation relating to storage systems and servers
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
VITAL ICT
Technologies VMWare, Clariion SAN, Compellant SAN
REVIEW – 5 years after system no
Confidential destruction
Business need
ICT
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longer used
Telephone Systems and
Networks
Documentation relating to the installation and configuration of individual systems and overall
network design and configuration
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
ICT
Web Development Includes development of internet, intranet and extranet
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
ICT
Systems Testing Pilots Documentation relating to pilots of systems
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
ICT
Tests Documentation relating to systems testing, including Test Plans and Test
Records
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
ICT/RD IT
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BCS LEVEL 1 FUNCTION: INFORMATION GOVERNANCE
BCS LEVEL 2: ACTIVITY
BCS LEVEL 3: TRANSACTION
RECORD TYPES DESCRIPTION OF RECORDS RETENTION PERIOD
DISPOSAL ACTION
RATIONALE VITAL STATUS
OWNER
Compliance
Data Protection Enquiry Log Summary information relating to Subject Access Requests processed
by NRS
DESTROY – after 10 years
Confidential destruction
Business need
CPD
Notification Process of notifying the Information Commissioner on data held
DESTROY – 1 year after previous
notification
Confidential destruction
Business need
CPD
Privacy Notices Statements explaining why we are collecting personal data, what we are going to use it for, who we are going to share it with, how an individual can access information held about them
and how we will ensure that the information is kept securely
RETAIN – for as long as the collected data
is retained
Confidential destruction
Business need;
1998 c. 29
VITAL Various
Freedom of Information
30 Day Enquiries Requests for information under FOI from closed public records
DESTROY – after 5 years
Confidential destruction
Business need
GRB
Enquiry Log Central enquiry log for the management of all FOI enquiries
REVIEW – after 12 years
Confidential destruction
Business need
CPD
File Release Exercises
Documentation on release of public records to public access on expiry of
closure/exemption
REVIEW – after 5 years
Confidential destruction
Business need
GRB
Publication Scheme
Detailing the routine publication of certain classes of information
PERMANENT Transfer to Archive
Historical value
VITAL CPD
Reviews Review of the Section 61 Code of Practice
REVIEW – after 5 years
Confidential destruction
Business need
GRB
Schedules Copies of FOI paperwork issued to depositing bodies
DESTROY – once administrative use is
concluded
Confidential destruction
Business need
GRB
Information Security & Assurance
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Data & Systems Access & Control
Clearance Details of standard vetting of employees
REVIEW – after 5 years
Confidential destruction
Business need
VITAL IAS
Confidentiality Agreements, Lists
& Declarations
Details of Confidentiality statements held between NRS and third parties
REVIEW – after 5 years
Confidential destruction
Business need
VITAL Various
Data Access Agreements
Details of Data Access Agreements held between NRS and third parties
REVIEW – after 5 years
Confidential destruction
Business need
VITAL Various
Data Sharing Agreements
Details of Data Sharing Agreements held between NRS and third parties
REVIEW – after 5 years
Confidential destruction
Business need
VITAL DAC
Decommissioning IT services provided to NHSCR by stakeholders
REVIEW – after 5 years
Confidential destruction
Business need
NHS-CR
Disclosure Control Documentation relating to the process of disclosure control
REVIEW – after 5 years
Confidential destruction
Business need
NHS-CR/ P&MS
Security Documentation relating to security requirements, controls and reviews
REVIEW - within 1 year of system no
longer used
Confidential destruction
Business need
RD IT
Incident Reporting
Incident Register Index of all NRS incidents and vulnerabilities
PERMANENT Retain for operational purposes
Business need
VITAL IAS
Incident Reports Details of information security incidents, vulnerabilities, threats and
events
REVIEW – after 5 years
Confidential destruction
Business need
IAS/NHS-CR/CEN
Incident Returns Quarterly incident reporting returns DESTROY – after 5 years
Confidential destruction
Business need
IAS
Information Assurance
Advisory Notices Government Advisory Notices and alerts
REVIEW – after 5 years
Confidential destruction
Business need
IAS/ICT/CEN
Anti Virus Documentation relating to weekly AV updates deployed across NAS.net, to ensure AV protection of systems and servers; and alerts or warnings issued
in relation to potential viruses
REVIEW – after 5 years
Confidential destruction
HMG Standards
ICT
Independent Information
Assurance Review
Details of information assurance reviews carried out by NRS or
appointed third parties
REVIEW – after 5 years
Review for historical
value
Business need
ICT/CEN
Password Logs Super administrator password logs REVIEW – annually Confidential destruction
Business need/HMG Standards
VITAL ICT
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Penetration Tests Reports of penetration tests REVIEW – 5 years from creation date
Review for historical
value
Business need
ICT
Privacy Compliance
Checks
Assessments of compliance with privacy legislation
REVIEW – after 5 years
Confidential destruction
Business need
VITAL DAC
Security Review Details of information security reviews carried out by NRS or appointed third
parties
REVIEW – after 5 years
Review for historical
value
Business need
CEN
System Event Logs .CSV files REVIEW – after 5 years
To be overwritten
HMG Standards
ICT
Intellectual Property
Licensing Licensing Documentation relating to licensing, including licensing of NRS collections
and Geography
DESTROY – 6 years from termination of
agreement
Confidential destruction
1973 c. 52 VITAL ERU/RE Geog
Permissions Copyright Declaration Forms
Documentation relating to the use of archives with regards to copyright
DESTROY – 6 years from date of form
Confidential destruction
1973 c. 52 PSB
Permissions Requests for permission to publish material from the collection, including
photograph permissions forms
DESTROY – 6 years from date of form
Confidential destruction
1973 c. 52 VITAL RE
Re-Use Public Sector Information
Documentation relating to the re-use of public sector information
REVIEW – after 5 years
Confidential destruction
Business need
ERU
Royalties Administration Correspondence relating to payment of royalties to data suppliers and
collection of royalties from customers
REVIEW – after 5 years
Confidential destruction
Business need
Geog
Records Management
Auditing Information Audit Comprehensive audit carried out within NRS to examine recordkeeping
systems, processes and strategies
PERMANENT Transfer to Archive
Historical value
CPD
Classification Business Classification
Scheme
Detailing the functions, activities and transactions of NRS
PERMANENT Transfer to Archive
Historical value
CPD
Physical Records Management
RMU Database Database to manage the contents of the RMU, including transfers,
retrievals, reviews and disposals
PERMANENT Retain for operational purposes
Business need
GRB
RMU Enquiries General enquiries received by the RMU
DESTROY – 6 years from enquiry closure
Confidential destruction
Business need
GRB
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RMU Reminders Documentation relating to the process of reminding staff with records on loan
from the RMU that they are due for return
DESTROY – 1 year after records have
been returned to the RMU
Confidential destruction
Business need
GRB
RMU Retrievals Correspondence requesting the retrieval of records from the RMU and
forms detailing the retrievals
DESTROY – 12 years after disposal
of records
Confidential destruction
Business need
GRB
RMU Reviews Documentation relating to the review of records held within the RMU once they have reached the end of their
retention period
DESTROY – 12 years from last action
Confidential destruction
Business need
GRB
RMU Transfers Documentation relating to the transfer of records from divisions/branches to
the RMU
DESTROY – 12 years after disposal
of records
Confidential destruction
Business need
GRB
Retention & Disposal
Disposals Documentation relating to the disposal of records
DESTROY – 12 years from last action
Confidential destruction
Business need
P&A
Retention and Disposal Schedules
Documentation detailing recommended retention periods for
records
PERMANENT Retain for audit
purposes
Business need
VITAL CPD
Shredding Facilities Documentation relating to the use of onsite/offsite shredding facilities for
the confidential destruction of records
DESTROY – 12 years from last action
Confidential destruction
Business need
P&A
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BCS LEVEL 1 FUNCTION: REGISTRATION
BCS LEVEL 2: ACTIVITY
BCS LEVEL 3: TRANSACTION
RECORD TYPES DESCRIPTION OF RECORDS RETENTION PERIOD
DISPOSAL ACTION
RATIONALE VITAL STATUS
OWNER
Assessment & Evaluation
Archives Accreditation
Accreditation Documentation relating to the accreditation of archive services
across Scotland
PERMANENT Transfer to Archive
Historical value
CLP
Assessing Records
Management Plans
Assessment Documentation relating to the assessment of submitted Records
Management Plans
REVIEW – after 5 years
Review for historical
value
Business need
GRB
Collected Evidence Evidence submitted to support a Records Management Plan
REVIEW – after 5 years
Confidential destruction
Business need
GRB
Failure to Agree Documentation relating to failures to agree an organisation’s RMP
REVIEW – after 5 years
Review for historical
value
Business need
GRB
Formal Agreements Formal agreements of submitted Records Management Plans
REVIEW – after 5 years
Review for historical
value
Business need
GRB
Invitations to Revise Plans
Formal invitations to revise a submitted Records Management Plan
REVIEW – after 5 years
Confidential destruction
Business need
GRB
Invitations to Submit
Formal invitations to submit a Records Management Plan
REVIEW – after 5 years
Confidential destruction
Business need
GRB
Post-Implementation
Reports
Post-implementation reporting on the Public Records (Scotland) Act 2011
PERMANENT Transfer to Archive
Historical value
GRB
Submissions Submitted Records Management Plans
PERMANENT Transfer to Archive
Historical value
GRB
Examining & Assessing Registrars
Complaints Complaints received by NRS about registration services throughout
Scotland
DESTROY – after 10 years
Confidential destruction
Business need
RD
Contributions Training material REVIEW – after 5 years
Confidential destruction
Business need
RD-Training
Exam Board Papers & Files
Agendas, minutes, and associated papers for Exam Board
PERMANENT Transfer to Archive
Historical value
RD-Training
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Exam Candidates Lists of annual exam candidates (including re-sits)
REVIEW – after 5 years
Confidential destruction
Business need
RD-Training
Examination of Registers
Including Batch Slips, Error Sheets, Reports for Districts and Summaries
of Performance
DESTROY – after 5 years
Confidential destruction
Business need
RD-Training
Letters Letters to managers regarding their exam candidates
REVIEW – after 5 years
Confidential destruction
Business need
RD-Training
Mock & Test Papers
Training material REVIEW – after 5 years
Confidential destruction
Business need
RD-Training
Reports Including reports to Exam Board (exam feedback and papers for future
consideration of Exam Board) and District Examiners performance
reports
REVIEW – after 5 years
Review for historical
value
Business need
RD
Trainers Forum Including details of forum members, meetings and delegates
REVIEW – after 5 years
Confidential destruction
Business need
RD-Training
Workshops Training workshops held for exam candidates
REVIEW – after 5 years
Review for historical
value
Business need
RD-Training
Casework Processing
Adoptions & Parental Orders
Case Files Case files relating to the processing/registration of adoptions
and parental orders
PERMANENT Transfer to Archive
Historical value
RD
Casework Log Documentation logging details of case with start and end dates which
calculate performance against targets
PERMANENT Transfer to Archive
Historical value
RD
Court Process Papers
Sealed envelopes containing individual sets of legal papers relating to each adoption made by the courts
PERMANENT Transfer to Archive
Historical value
VITAL RD
Secret Index Series of index cards linking original birth details to adoption details
PERMANENT Transfer to Archive
Historical value
VITAL RD
Bigamy Case Files Case files relating to the processing/registration of bigamy
PERMANENT Transfer to Archive
Historical value
RD
Casework Log Documentation logging details of case with start and end dates which
calculate performance against targets
PERMANENT Transfer to Archive
Historical value
RD
NRS Retention and Disposal Schedule E011
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Births Case Files Case files relating to the processing/registration of births
DESTROY – 5 years from case closure
unless they contain statutory declarations
which are to be retained for 100
years
Precedent cases = PERMANENT
Confidential destruction
Transfer to Archive
Business need
Historical value
RD
Casework Log Documentation logging details of case with start and end dates which
calculate performance against targets
PERMANENT Transfer to Archive
Historical value
RD
Birth Re-Registrations
Case Files Case files relating to the re-registration of births
DESTROY – 5 years from case closure
unless they contain statutory declarations
which are to be retained for 100
years
Precedent cases = PERMANENT
Confidential destruction
Transfer to Archive
Business need
Historical value
RD
Casework Log Documentation logging details of case with start and end dates which
calculate performance against targets
PERMANENT Transfer to Archive
Historical value
RD
Book of Scottish Connections
Case Files Case files relating to the processing/registration of entries in the Book of Scottish Connections
DESTROY – 5 years from case closure
Precedent cases =
PERMANENT
Confidential destruction
Transfer to
Archive
Business need
Historical
value
RD
Casework Log Documentation logging details of case with start and end dates which
calculate performance against targets
PERMANENT Transfer to Archive
Historical value
RD
Change of Name Case Files Case files relating to the processing/registration of changes of
name
DESTROY – 5 years from case closure unless for children
under 16 = DESTROY – on or after 16th Birthday
Confidential destruction
Business need
RD
NRS Retention and Disposal Schedule E011
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Casework Log Documentation logging details of case with start and end dates which
calculate performance against targets
PERMANENT Transfer to Archive
Historical value
RD
Civil Partnerships Case Files Case files relating to the processing/registration of civil
partnerships
DESTROY – 5 years from case closure
Precedent cases =
PERMANENT
Confidential destruction
Transfer to
Archive
Business need
Historical
value
RD
Casework Log Documentation logging details of case with start and end dates which
calculate performance against targets
PERMANENT Transfer to Archive
Historical value
RD
Correction of Errors
Case Files Case files relating to the processing/registration of corrections
of errors
DESTROY – 5 years from case closure
unless they contain statutory declarations
which are to be retained for 100
years
Confidential destruction
Business need
RD
Casework Log Documentation logging details of case with start and end dates which
calculate performance against targets
PERMANENT Transfer to Archive
Historical value
RD
Vital Events Entries & Correspondence
Copies of entries for the Register of Corrections as processed by the Vital
Events branch, and associated correspondence
DESTROY – 2 years after entry
Confidential destruction
Business need
VE
Deaths Case Files Case files relating to the processing/registration of deaths
General Death Files = DESTROY – 5 years from case
closure
Declarator of Death Files = PERMANENT
Confidential destruction
Transfer to Archive
Business need
Historical value
RD
Casework Log Documentation logging details of case with start and end dates which
calculate performance against targets
PERMANENT Transfer to Archive
Historical value
RD
Extract Authentications
Case Files Case files relating to the processing/registration of extract
authentications
DESTROY – 5 years from case closure
Confidential destruction
Business need
RD
Casework Log Documentation logging details of case with start and end dates which
PERMANENT Transfer to Archive
Historical value
RD
NRS Retention and Disposal Schedule E011
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calculate performance against targets
False Information Case Files Case files relating to the processing/registration of false
information
DESTROY – 5 years from case closure if no action taken or DESTROY – after 100 years if action
taken
Confidential destruction
Business need
RD
Casework Log Documentation logging details of case with start and end dates which
calculate performance against targets
PERMANENT Transfer to Archive
Historical value
RD
Gender Reassignments
Case Files Case files relating to the processing/registration of gender
reassignments
PERMANENT Transfer to Archive
Historical value
RD
Casework Log Documentation logging details of case with start and end dates which
calculate performance against targets
PERMANENT Transfer to Archive
Historical value
RD
Secret Index Gender reassignments index PERMANENT Transfer to Archive
Historical value
VITAL RD
Marriages Case Files Case files relating to the processing/registration of marriages
DESTROY – 5 years from case closure
Precedent cases =
PERMANENT
Confidential destruction
Transfer to
Archive
Business need
Historical
value
RD
Casework Log Documentation logging details of case with start and end dates which
calculate performance against targets
PERMANENT Transfer to Archive
Historical value
RD
Celebrants Database
Database containing information about authorised celebrants in
Scotland
PERMANENT Transfer to Archive
Historical value
RD
National Register of Archives for
Scotland
Register Summary lists or 'surveys' describing papers held by private individuals and
families, landed estates, clubs and societies, businesses and law firms.
The Register also includes surveys of similar papers which have been
deposited in the archives and libraries of local authorities and universities
PERMANENT Transfer to Archive
Historical value
CLP
PRSA Records Management
Records Management Plan
Approved & Registered Records Management Plans
PERMANENT Transfer to Archive
Historical value
GRB
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Plans
Royal Congratulatory
Messages
Case Files Case files relating to the processing/registration of Royal
Congratulatory Messages
DESTROY – 5 years from case closure
Confidential destruction
Business need
RD
Casework Log Documentation logging details of case with start and end dates which
calculate performance against targets
PERMANENT Transfer to Archive
Historical value
RD
Still-Births Case Files Case files relating to the processing/registration of still-births
PERMANENT Transfer to Archive
Historical value
RD
Casework Log Documentation logging details of case with start and end dates which
calculate performance against targets
PERMANENT Transfer to Archive
Historical value
RD
Secret Index Still-births index PERMANENT Transfer to Archive
Historical value
RD
Tartans Case Files Paperwork relating to appeals made to the Keeper regarding tartans
included on the Register including appeals and applications
PERMANENT Transfer to Archive
Historical value
VITAL PSB
Failed Applications Correspondence, applications, appeals relating to failed registrations
PERMANENT Transfer to Archive
Historical value
VITAL PSB
Tartan Register Online website PERMANENT Transfer to Archive
Historical value
VITAL PSB
Developing & Implementing Policy & Legislation
Developing Policy &
Legislation
Correspondence Correspondence relating to the development of new legislation
REVIEW – after 5 years
Confidential destruction
Business need
VITAL (when
current)
RD
Public Records Bill Including Minutes, Agendas, Papers, Recommendations, Website Steering
Group & Website Content Group documentation
PERMANENT
Transfer to Archive
Historical value
GRB
Development of the Public Records
(Scotland) Act 2011
Including external assessment mechanism tools, client management,
reports, correspondence, mapping exercises, publications, external sources, consultation papers &
responses, minutes, FAQs, FOISA review documents, objectives,
PERMANENT Transfer to Archive
Historical value
GRB
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timetables
Discussion Boards Records relating to the establishment of Discussion Boards, including
invitations to join discussion board; discussion board submissions;
reports on discussion board
REVIEW – after 5 years
Review for historical
value
Business need
GRB
Implementing Policy &
Legislation
Implementation of the Public Records (Scotland) Act 2011
Including correspondence, details of sponsors, ministerial briefings, enquiries, details of scheduled
authorities
REVIEW – after 5 years
Review for historical
value
Business need
GRB
Surgeries Including invitations and responses, correspondence, presentations and
enquiries
REVIEW – after 5 years
Review for historical
value
Business need
VITAL GRB
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BCS LEVEL 1 FUNCTION: STATISTICS
BCS LEVEL 2: ACTIVITY
BCS LEVEL 3: TRANSACTION
RECORD TYPES DESCRIPTION OF RECORDS RETENTION PERIOD
DISPOSAL ACTION
RATIONALE VITAL STATUS
OWNER
Data Collection, Analysis, Processing & Quality Assurance
Data Coding Coding Instructions & Code Lists
Material describing the codes that should be used for (e.g.) occupations, and notes on what should be done in
particular circumstances
PERMANENT Retain for operational purposes
Business need
VITAL VE
Correspondence Correspondence with Medical Adviser and ICD Specialists
DESTROY – once administrative use is
concluded
Confidential destruction
Business need
VE
Data Collection & Sources
Amended Form 11s Received from Registrars or Doctors, and associated correspondence
DESTROY – 2 years after receipt
Confidential destruction
Business need
VITAL (until used)
VE
Drug Death Information Forms
Correspondence with pathologists, names of any drugs found and other information about deaths which may
be drug-related
DESTROY – 2 years after receipt
Confidential destruction
Business need
VITAL (until used)
VE
Medical Enquiry Letters & Forms
Additional or revised information about the causes of deaths and associated correspondence with
certifying doctors
DESTROY – 2 years after receipt
Confidential destruction
Business need
VITAL (until used)
VE
Methodology Documentation relating to the process of collecting and analysing sources
REVIEW – after 10 years
Confidential destruction
Business need
VITAL AS/ P&MS
Procurator Fiscal Forms
Documentation describing the outcome of the Procurator Fiscal’s
investigations of deaths, occasionally specifying changes to be made to the
public record of the cause of death
DESTROY – 2 years after receipt
Confidential destruction
Business need
VITAL (until used)
VE
Sources Including source data, correspondence, contact lists, maps,
software code and SAS files
REVIEW – after 10 years
Review for historical
value
Business need
VITAL Various
Data Processing & Analysis
Quality Assurance & Checking
Including image checking, results of periodic checks on aspects of the
quality of data, and identification of cases to be corrected
REVIEW – after 10 years
Confidential destruction
Business need
VITAL VE/ P&MS
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Statistical Processing
Documentation relating to statistical processing, including analysis and working, charts and graphs, checks
and comments, correspondence, data files, methodology, software code, data capture (coding), coverage
assessment, coverage adjustment, coverage survey, quality, downstream
processing, extracts, governance, image checking and IT systems
REVIEW – after 10 years
Review for historical
value
Business need
VITAL Various
Vital Events Datasets
Including INGRES and SAS Datasets for Births, Adoptions, Marriages,
Deaths, Divorces etc
PERMANENT Retain for operational purposes
Business need
VITAL VE
Development & Research
External Statistical
Development & Research
Case Files Case files relating to external statistical development and research
including data collected, analysis, reports and correspondence
REVIEW – after 10 years
Review for historical
value
Business need
VITAL VE/ P&MS/
SLS
Data Documentation of aspects of the data PERMANENT Retain for operational purposes
Business need
VITAL VE/ P&MS
Meetings Notes of meetings with data suppliers PERMANENT Retain for operational purposes
Business need
VE/ P&MS
Internal Statistical Development &
Research
Case Files Case files relating to internal statistical development and research
including data collected, analysis, reports and correspondence
REVIEW – after 10 years
Review for historical
value
Business need
VITAL VE/HEP/P&MS/
SLS
Data Documentation of aspects of the data PERMANENT Retain for operational purposes
Business need
VITAL VE/ P&MS
Meetings Notes of meetings with data suppliers PERMANENT Retain for operational purposes
Business need
VE/ P&MS
Research & Small Scale
Testing
Case Files Documentation relating to internal and external research and small scale testing, including correspondence,
planning, specifications, reports and spreadsheets
REVIEW – after 10 years
Review for historical
value
Business need
CEN
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Review & Evaluation
Case Files Documentation relating to reviews and evaluations, including correspondence, planning, specifications, reports and
spreadsheets
REVIEW – after 10 years
Review for historical
value
Business need
CEN
Specification & Testing
Case Files Documentation relating to specification and testing, including
correspondence, planning, specifications, reports and
spreadsheets
REVIEW – after 10 years
Review for historical
value
Business need
CEN
Statistical Legislation
Development Documentation relating to the development of statistical legislation
including analysis, briefing, correspondence and data
REVIEW – after 10 years
Review for historical
value
Business need
P&MS
Planning Documentation relating to the planning and implementation of
statistical legislation
PERMANENT Transfer to Archive
Historical value
VITAL CEN
Statutory Publications
Documentation relating to statistical publications
PERMANENT Transfer to Archive
Historical value
VITAL CEN
Statistical Methodology
Census Coverage Survey
Documentation relating to the Census Coverage Survey, including statistical
processing documentation
REVIEW – after 10 years
Review for historical
value
Business need
VITAL CEN
Census Quality Survey
Documentation relating to the Census Quality Survey, including statistical
processing documentation
REVIEW – after 10 years
Review for historical
value
Business need
VITAL CEN
Survey Design Case Files Documentation relating to survey design, including correspondence,
planning, specifications, reports and spreadsheets
REVIEW – after 10 years
Review for historical
value
Business need
CEN
Released Statistical Outputs
Output Dissemination
Briefings Briefing for Ministers, policy officials and others
REVIEW – after 10 years
Confidential destruction
Business need
P&MS
Case Files Documentation relating to output dissemination, including
correspondence, planning, specifications, reports and
spreadsheets
REVIEW – after 10 years
Review for historical
value
Business need
VITAL CEN/ P&MS
NRS Retention and Disposal Schedule E011
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Presentations Internal and external presentations given my members of the branch.
Includes PowerPoint presentations, charts and workings.
REVIEW – after 10 years
Confidential destruction
Business need
HEP/ P&MS
Published Information
Statistical publications, separate statistical tables and charts, statistical
datasets, documentation and other material which is made publicly-
available
PERMANENT Retain for operational purposes
Business need
VITAL Various
Reports Reports covering statistical information, e.g. feasibility reports
PERMANENT Transfer to Archive
Historical value
AS/ P&MS
Supplied Information
Information supplied to other bodies for external publications, including
regular data supply
PERMANENT Transfer to Archive
Historical value
VITAL VE
Output Production
Assessments Assessment of our statistical outputs by external and internal groups
REVIEW – after 10 years
Confidential destruction
Business need
P&MS
Case Files Documentation relating to output production, including correspondence, planning, specifications, reports and
spreadsheets
REVIEW – after 10 years
Review for historical
value
Business need
VITAL Various
Pre-Release Access
Email documentation relating to pre-release access for all National
Statistics publications
PERMANENT Retain for operational purposes
Business need
VE/ P&MS
Publication Production
Including text, figures, maps and data REVIEW – after 10 years
Review for historical
value
Business need
VITAL P&MS
Validated Data Description to be added by Statistical Information Services branch
DESTROY – once administrative use is
concluded
Confidential destruction
Business need
SIS
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BCS LEVEL 1 FUNCTION: STRATEGIC MANAGEMENT
BCS LEVEL 2: ACTIVITY
BCS LEVEL 3: TRANSACTION
RECORD TYPES DESCRIPTION OF RECORDS RETENTION PERIOD
DISPOSAL ACTION
RATIONALE VITAL STATUS
OWNER
Business Planning & Monitoring
Organisational Structure
Lead Responsibilities
Documentation detailing responsibilities of branches and
senior staff within NRS
PERMANENT Transfer to Archive
Historical value
VITAL CPD
Organisational Charts
Charts and diagrams detailing the organisation’s structure
PERMANENT Transfer to Archive
Historical value
VITAL (for 2 years
after financial
year end)
CPD
Team/Branch Structures
Charts and diagrams detailing team and branch structures
DESTROY – once superseded
Recycle Business need
ICT
Planning Action Plans Action Plans detailing key tasks to be completed in line with BIOs
DESTROY – 5 years after BIO ends
Confidential destruction
Business need
NHS-CR
Business Improvement
Objectives (BIOs)
Business Improvement Objectives set by each branch in line with NRS’s
Strategy
PERMANENT Transfer to Archive
Historical value
VITAL CPD
Branch Plans
Plans & reports setting out the annual aims & objectives for each branch
PERMANENT Transfer to Archive
Historical value
VITAL (for 2 years
after financial
year end)
CPD
Business Process Design
Diagrams and papers relating to the breakdown, analysis and assessment of business processes and systems
PERMANENT Transfer to Archive
Historical value
VITAL CEN/ CPD
Corporate & Business Plans
Corporate & Business Plans for NRS PERMANENT Transfer to Archive
Historical value
VITAL CPD
Development Documentation relating to the development of Corporate & Business
Plans and Strategic Plans
REVIEW – after 10 years
Confidential destruction
Business need
VITAL CEN
Portfolio Management
Including Roadmaps and Proposals PERMANENT Transfer to Archive
Historical value
VITAL NHS-CR
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Reviews Documentation relating to the monitoring and reviewing of Branch
Plans, BIOs & Strategic Plans
DESTROY – 5 years from date of review
Confidential destruction
Business need
CPD
Strategic Plans
Documentation relating to strategic planning within NRS, including the
development and review of strategic plans
PERMANENT Transfer to Archive
Historical value
VITAL CPD
Strategies Detailed strategies for NRS, including the Communications Strategy, Marketing Strategy, Records
Management Strategy
PERMANENT Transfer to Archive
Historical value
VITAL Various
Team Planning & Monitoring of
Objectives
Documentation relating to the planning and monitoring of team
objectives
DESTROY – 3 years from closure
Confidential destruction
Business need
GRB
Work Plans Team/Branch work plans and objectives
REVIEW – after 5 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
Various
Internal Communications
Consultation Staff Forum Including Agendas, Invitations, Minutes and Notes
REVIEW – after 5 years
Review for historical
value
Business need
RD-Training
Internal Enquiries Correspondence & Enquiries
Ad hoc advice provided to other branches, correspondence between branches and responses to internal
enquiries
REVIEW – after 5 years
Confidential destruction
Business need
VITAL Various
Internal Meetings Agendas, Minutes & Business Papers
Agendas, minutes and papers from internal meetings
REVIEW – after 5 years
Review for historical
value
Business need
VITAL Various
Audio Tapes Audio taped recordings from meetings DESTROY – once minutes have been
confirmed
Confidential destruction
Business need
CPD
Terms of Reference
Documentation describing the purpose and structure of a meeting
REVIEW – after 5 years
Review for historical
value
Business need
VITAL CPD
Notices & Announcements
Staff Notices Including Budget Management, SEAS Notices, Information Security Notices
REVIEW – after 5 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
Various
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Internal Policy & Procedure
Forms & Templates
Forms Documentation relating to and including the use of standard forms in
NRS
DESTROY – 2 years after superseded
Confidential destruction
Business need
Various
Templates Documentation relating to and including the use of standard
templates in NRS
DESTROY – 2 years after superseded
Confidential destruction
Business need
Various
Internal Policies, Procedures &
Guidance
Desk Notes & Instructions
Desk Notes for staff to refer to in the course of conducting business
REVIEW – after 10 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
Various
Guidance General guidance provided to employees of NRS
REVIEW – after 10 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
Various
How Do I….? Guides on how to do certain tasks, for example How Do I…book a meeting
room?
REVIEW – after 10 years
Confidential destruction
Business need
CPD
Policies Established and agreed policies of NRS
REVIEW – after 10 years
Review for historical
value
Business need
VITAL Various
Procedures Established and agreed procedures of NRS
REVIEW – after 10 years
Confidential destruction
Business need
VITAL Various
Protocols Established and agreed protocols of NRS
REVIEW – after 10 years
Confidential destruction
Business need
VITAL Various
Internal Policy Research &
Development
Changes to Procedures
Documentation relating to changes in NRS procedures
PERMANENT
Transfer to Archive
Historical value
Various
Meeting Notes Notes from meetings discussing changes to procedures
DESTROY – after 5 years
Confidential destruction
Business need
Various
Policy Formulation Documentation relating to the formulation of policies
PERMANENT
Transfer to Archive
Historical value
VITAL Various
Policy Implementation and
Development
Documentation relating to the implementation and development of
policies and procedures
PERMANENT Transfer to Archive
Historical value
Various
Precedents Documentation relating to precedents within NRS
PERMANENT Transfer to Archive
Historical value
VITAL Various
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Project & Programme Management
Project & Programme
Management
Project Files Including Background Information, Business Cases, Case Studies,
Consultations, End of Stage Reports, Engagement, Evaluations, Highlight
Reports, Index Data, Key Documents, Meetings, Metadata, Project
Definitions, Exception Reports, Project Initiations, Project
Management Plans, Quality Control, RAID Logs, Reports, Schedules, Scoping, Specifications & Plans,
Statistics, Timescales, Work Sheets
REVIEW – 10 years from project closure
Review for historical
value
1973 c. 52 VITAL (during
project lfe)
Various
Quality & Performance Management
External Auditing & Assessment
External Audits Documents produced during the course of an external audit, including
recommendations and final report
PERMANENT Transfer to Archive
Historical value
VITAL (for 2 years after report
date)
Various
Internal Auditing & Assessment
Assessments & Plans
Internal Audit Plans and Needs Assessments
REVIEW – after 3 years
Confidential destruction
Business need
VITAL (for 2 years
after assessment
date)
RaG
Internal Audits Documents produced during the course of a routine audit, including recommendations and a final report
REVIEW – after 3 years
Confidential destruction
Business need
VITAL (for 2 years after report
date)
Various
Performance Measurement
Critical Success Factors
Documentation relating to definition, measurement and monitoring of
CSFs, measures and targets
REVIEW – after 3 years
Confidential destruction
Business need
CEN
Output Logs For stakeholder key performance indicators
DESTROY – 5 years from closure
Confidential destruction
Business need
NHS-CR
Performance Reporting
Annual Reports & Accounts
Annual summary of reports and financial statements
PERMANENT
Transfer to Archive
Business need
VITAL (for 2 years
after publication
date)
Various
Archives Accreditation
Reports
NRS papers drawn up while participating in Archives Accreditation
assessments
PERMANENT
Transfer to Archive
Historical value
VITAL (during
project life)
CLP
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Audit Committee Reports
Including debtors, prepayments, segmental, analysis, cash funding
REVIEW – after 7 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG
Benchmarking Commissioning notes, correspondence and communication
REVIEW – after 7 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG
Benefits Realisation
Documentation relating to benefits realisation, including internal and
external correspondence and reports
PERMANENT Transfer to Archive
Historical value
VITAL CEN
Best Value Including correspondence, self-assessment, reports and updates
REVIEW – after 7 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG
Downtime Logs Business-wide service downtime logs (non-computer services)
REVIEW – after 7 years
Confidential destruction
Business need
ICT
Evaluation Reports Documentation relating to evaluation of census activities, including lessons learned that may affect future census
work
PERMANENT Transfer to Archive
Historical value
VITAL CEN
Investors in People Reports
Investors In People assessments and reports
PERMANENT Transfer to Archive
Historical value
CPD
Monthly Reports & Statistics
Monthly performance figures, reports and statistics
PERMANENT Transfer to Archive
Historical value
VITAL Various
PSR Act Records relating to the PSR Act, including overhead computations,
overseas travel, hospitality & entertainment, external consultancy, payments, remuneration, sustainable
growth, efficiency, economy & effectiveness
REVIEW – after 7 years
Confidential destruction
Business need
VITAL (for 2 years
after financial
year end)
RaG
Quarterly Reports & Statistics
Including Quarterly Performance Summary Reports, Key Performance
Indicators, & DPG quarterly performance information, NRAS
quarterly reports
PERMANENT Transfer to Archive
Historical value
VITAL (for 2 years
after financial
year end)
Various
Telephone Logs Details of telephone logs, added to quarterly reports
DESTROY – once added to quarterly
Confidential destruction
Business need
VITAL (when
PSB
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report current – cease to be vital after 3
months) Professional Standards
Geographical Names and Codes
Correspondence, policy and implementation procedures, liaison,
meeting notes, exceptions, user guides
Review after 5 years Confidential destruction
Business need
Geog
Geographical Area Measurements
Correspondence, policy and implementation procedures, liaison,
meeting notes, exceptions, user guides
Review after 5 years Confidential destruction
Business need
Geog
Staff Surveys Invitations Invitations to take part in staff surveys REVIEW – after 2 years
Confidential destruction
Business need
VITAL CPD/ NHS-CR
Reports Highlight reports following staff surveys
REVIEW – after 3 years
Confidential destruction
Business need
VITAL CPD/ NHS-CR
Results Results of internal staff surveys REVIEW – after 3 years
Confidential destruction
Business need
VITAL CPD/ NHS-CR
Surveys Details of surveys undertaken with staff, including training surveys
PERMANENT Transfer to Archive
Historical value
VITAL CPD/ NHS-CR
Risk Management
Accreditation Network Documentation relating to GSI/GSX REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
ICT
Risk Management & Accreditation Document Sets
(RMADS)
Risk Management documentation held for NRS systems and processes
REVIEW – 5 years after system no
longer used
Confidential destruction
Business need
VITAL IAS/CEN
Worksheets Working documents relating to RMADS
REVIEW – after 7 years
Confidential destruction
Business need
IAS
Business Continuity Planning
Business Continuity Plans / Disaster Recovery Plans
Detailed plan relating to business continuity in the event of a disaster
REVIEW annually then DESTROY 1
year after superseded
Confidential destruction
Business need
VITAL CPD
Business Impact Analysis Studies
Documentation relating to Business Impact Analysis Studies
REVIEW annually then DESTROY once
superseded
Confidential destruction
Business need
VITAL CPD
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Risk Assessment Business Impact Level Assessments
& Tables
Business Impact Level Assessments & Tables used as part of RMADS
REVIEW – after 5 years
Confidential destruction
Business need
IAS/AS
Privacy Impact Assessments
Documentation relating to the assessment, identification and resolution of privacy concerns
RETAIN – for as long as associated project
documentation is retained
Review for historical
value
1998 c. 29 VITAL Various
Risk Assessments Documentation relating to the process of managing, recording and assessing
risks within the workplace
RETAIN – for life of area assessed then
DESTROY - 25 years after process ceases
Confidential destruction
SI 1999/3242 1974 c. 37
SI 2005/1541
VITAL Various
Risk Plans Individual Branch Risk Plans REVIEW – after 7 years
Confidential destruction
Business need
VITAL CPD
Risk Registers Consolidated listing and assessment of potential risks to NRS and its
functions, including the DDA Risk Register and the Corporate Risk
Register
PERMANENT Transfer to Archive
Historical value
VITAL CPD