Sections
1. Special information - rules on retention
2. Disposal - applies to all staff: documents that can be disposed of straight away
3. Corporate documents - applies to all staff
Corporate Departmental documents - some documents apply to all staff and to the specific departments
- Estates & Facilities
- Information governance
- Procurement
- Risk management and governance
- IT
- Finance
- Trust secretariat
- Management bridge
- Chaplaincy
- Communications
- Medical legal
- Patient advice and liaison service
- Patient information
4. Clinical documents - applies to all clinical staff
Clinical special documents - applies to specific departments/information
- Occupational health records
- Radiology
- Research & Development
- Pharmacy
- Pathology
Section 1: Special Rules on retention
Goddard Enquiry - Guidance on retention of documents issued in 2015
Categories of document for retention
Your organisation is asked to retain any and all documents; correspondence; notes; emails and all other information - however held - which contain or may contain content pertaining directly or indirectly to the sexual abuse of children or to child protection and care. For the purposes of this appendix, the word "children" relates to any person under the age of 18.
Such information may include, but is not limited to, the following:
It is not possible to produce a definitive list under (g). Accordingly we invite you to ensure that no documentation relating to the award of Honours to any person is destroyed pending the outcome of the Independent Inquiry.
We agreed the following
- Any patient paper records that we know to involve investigations or concerns into child protection or vulnerable adults will be marked not for disposal until the outcome of the Goddard enquiry is known. The safe guarding teams will identify any patients records that need to be marked not for disposal and send the list through to myself.
- Epic records - currently there are no plans to dispose of any records so no special action is required for patient records held on Epic
- Staff personal files for anyone involved in investigations. The safeguarding team will notify HR & departments to mark files not for disposal until the outcome of the enquiry is known
- The following records will be held by the safeguarding team indefinitely until the outcome of the enquiry is known, investigation files, policies including drafts and any information that is covered by point C & D below
The Trust Retention and Destruction schedule will be updated to reflect these decisions
Public Records Act 1958
The 30 year rule under the Public Records Act 1958 is being reduced from 30 years to 20 years, by 2024 any records that are 20 years old will need to be transferred to a public records archive. There is a transition to this change from 2015 to 2024, reducing one year each year. Health Records are exempt from this change. Records that show a 30 year retention rule have been amended to 29 years for 2016.
Section 2: Disposal
Applies to all staff: identifies documents/emails that can be deleted either immediately or once actioned
- Emails
- Read receipts
- Connect bulletins - these are available on connect
- Junk mail or marketing emails
- Out of office messages
- System administrator messages
- Meeting request acceptances, declined
- Emails dealt with unless they need to be retained as per the retention schedule
- Other documents
Section 3: Corporate documents
Applies to all staff
| Reference | Record Type | Retention Period | Electronic Paper Both | Notes | Final action | Trust Guidance National Guidance |
|---|---|---|---|---|---|---|
| Reference 1 | Record Type Audit Records | Retention Period 2 yrs | Electronic Paper Both Both | Notes | Final action Destroy confidentially | Trust Guidance National Guidance National guidance |
| Reference 2 | Record Type Supporting documentation for the audit | Retention Period 6 months | Electronic Paper Both Both | Notes Retain for 6 months after audit report produced |
Final action
Destroy confidentially |
Trust Guidance National Guidance Trust guidance |
| Reference 3 | Record Type Departmental Business plans, cases and strategies | Retention Period See notes | Electronic Paper Both Both |
Notes
Directorate 20 yrs. Departmental 5 yrs |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 4 | Record Type Departmental budget and finance information | Retention Period 6yrs | Electronic Paper Both Both | Notes |
Final action
Destroy confidentially |
Trust Guidance National Guidance Trust guidance |
| Reference 5 |
Record Type
Business Continuity Plan |
Retention Period
Life time Old 'v' 3 yrs |
Electronic Paper Both Both | Notes | Final action Destroy confidentially | Trust Guidance National Guidance Trust addition |
| Reference 6 | Record Type Communication material - current | Retention Period Life time | Electronic Paper Both Both | Notes |
Final action
Destroy confidentially |
Trust Guidance National Guidance Trust guidance |
| Reference 7 | Record Type Communication material- old versions | Retention Period TBD | Electronic Paper Both Both | Notes | Final action Offer to Archivist | Trust Guidance National Guidance Trust guidance |
| Reference 8 |
Record Type
Other complaints (non pals) |
Retention Period 8yrs | Electronic Paper Both Both | Notes |
Final action
Destroy confidentially |
Trust Guidance National Guidance Trust guidance |
| Reference 9 | Record Type Complaint files - copies pf PALS retained by department | Retention Period 1 yrs | Electronic Paper Both Both | Notes |
Final action
Destroy confidentially |
Trust Guidance National Guidance Trust guidance |
| Reference 10 | Record Type Databases and logs | Retention Period 10yrs | Electronic Paper Both Both | Notes |
Final action
Destroy confidentially |
Trust Guidance National Guidance Trust guidance |
| Reference 11 | Record Type Diaries (office) | Retention Period 1 yr | Electronic Paper Both Paper | Notes |
Final action
Destroy confidentially |
Trust Guidance National Guidance Trust guidance |
| Reference 12 | Record Type Electronic diaries | Retention Period 12 months | Electronic Paper Both Electronic | Notes |
Final action
Destroy confidentially |
Trust Guidance National Guidance Trust guidance |
| Reference 13 | Record Type Drafts | Retention Period See notes | Electronic Paper Both Both |
Notes
Destroy once document approved |
Final action
Destroy confidentially |
Trust Guidance National Guidance Trust guidance |
| Reference 14 | Record Type E mails | Retention Period See notes | Electronic Paper Both Electronic |
Notes
Retain emails for a task or piece of work until that has been resolved and then delete the emails. Emails should not be retained once read/actioned unless the email needs to be retained as evidence of a decision/action, where possible if that is the case save the email in the appropriate network folder Patient identifiable emails that need to retained as a record of advice or clinical update should be copied into EPIC as soon as possible. Delete email once this has been filed. |
Final action
Destroy confidentially |
Trust Guidance National Guidance Trust addition |
| Reference 15 | Record Type Form templates | Retention Period See notes | Electronic Paper Both Electronic |
Notes
Current and last version |
Final action
Destroy confidentially |
Trust Guidance National Guidance Trust guidance |
| Reference 16 |
Record Type
General correspondence |
Retention Period 2 yrs | Electronic Paper Both Both | Notes |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 17 | Record Type Incident forms - copies retained in department | Retention Period 2 yrs | Electronic Paper Both Both | Notes |
Final action
Destroy confidentially |
Trust Guidance National Guidance Trust guidance |
| Reference 18 | Record Type Invoices - copies held by individual departments | Retention Period 2 yrs | Electronic Paper Both Both | Notes |
Final action
Destroy confidentially |
Trust Guidance National Guidance Trust guidance |
| Reference 19 | Record Type Non trust committee meeting Papers | Retention Period 5 yrs | Electronic Paper Both Both | Notes |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 20 |
Record Type
Notebooks - meeting and other |
Retention Period 1yr | Electronic Paper Both Paper | Notes |
Final action
Destroy confidentially |
Trust Guidance National Guidance Trust guidance |
| Reference 21 | Record Type Policies, procedures, guidelines, work processes, flow charts | Retention Period 10 yrs | Electronic Paper Both Both |
Notes
After document has been superseded |
Final action Offer to Archivist | Trust Guidance National Guidance National guidance |
| Reference 22 | Record Type Project files | Retention Period 6 yrs | Electronic Paper Both Both |
Notes
Except estates & facilities |
Final action Offer to Archivist | Trust Guidance National Guidance National guidance |
| Reference 23 | Record Type Patient Surveys | Retention Period 2 yrs | Electronic Paper Both Both | Notes | Final action Destroy confidentially | Trust Guidance National Guidance National guidance |
| Reference 24 |
Record Type
Patient valuable records |
Retention Period 6 yrs | Electronic Paper Both Both | Notes | Final action Destroy confidentially | Trust Guidance National Guidance National guidance |
| Reference 25 | Record Type Phone Message Book | Retention Period 2 yrs | Electronic Paper Both Paper | Notes | Final action Destroy confidentially | Trust Guidance National Guidance National guidance |
| Reference 26 |
Record Type
Reports (all others) |
Retention Period 5 yrs | Electronic Paper Both Both | Notes | Final action Destroy confidentially | Trust Guidance National Guidance Trust guidance |
| Reference 27 | Record Type Record of custody and transfer of keys | Retention Period 2 yrs | Electronic Paper Both Both | Notes | Final action Destroy confidentially | Trust Guidance National Guidance National guidance |
| Reference 28 | Record Type Supporting documents for reports | Retention Period See notes | Electronic Paper Both Both | Notes Retain until report approved then destroy | Final action Destroy confidentially | Trust Guidance National Guidance Trust guidance |
| Reference 29 | Record Type Staff surveys | Retention Period 2yrs | Electronic Paper Both Both | Notes | Final action Destroy confidentially | Trust Guidance National Guidance Trust guidance |
| Reference 30 | Record Type Statistics | Retention Period 3 yrs | Electronic Paper Both Both |
Notes
From date of submission to DH |
Final action Destroy confidentially | Trust Guidance National Guidance National guidance |
| Reference 31 | Record Type Templates | Retention Period Lifetime | Electronic Paper Both Both | Notes | Final action Destroy confidentially | Trust Guidance National Guidance Trust guidance |
| Reference 32 |
Record Type
Training materials - current |
Retention Period Lifetime | Electronic Paper Both Both | Notes | Final action Destroy confidentially | Trust Guidance National Guidance Trust guidance |
| Reference 33 |
Record Type
Training materials - old versions |
Retention Period 2 yrs | Electronic Paper Both Both | Notes | Final action Destroy confidentially | Trust Guidance National Guidance Trust guidance |
| Reference 34 | Record Type Training course attendance records - signed attendance sheets | Retention Period 6 months | Electronic Paper Both Both | Notes | Final action Destroy confidentially | Trust Guidance National Guidance Trust guidance |
| Reference 35 |
Record Type
Training evaluation/feedback |
Retention Period 1 yrs | Electronic Paper Both Both | Notes | Final action Destroy confidentially | Trust Guidance National Guidance Trust guidance |
Retention periods apply to specific departments / information
| Reference | Record Type | Retention Period | Electronic Paper Both | Notes | Final action | Trust Guidance National Guidance |
|---|---|---|---|---|---|---|
| Reference 1 | Record Type Accounts - Annual (Final - one set only) | Retention Period 29 yrs | Electronic Paper Both Both | Notes | Final action Offer to archivist | Trust Guidance National Guidance National guidance |
| Reference 2 | Record Type Accounts - Cost | Retention Period 29 yrs | Electronic Paper Both Both | Notes Following the end of the financial year to which they relate |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 3 |
Record Type
Accounts - Working papers |
Retention Period 3 yrs | Electronic Paper Both Both |
Notes
From completion of audit |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 4 |
Record Type
Accounts - Minor records (passbooks, paying-in slips, cheque counterfoils, cancelled/discharged cheques (other than cheques bearing printed receipts - see Receipts), accounts of petty cash expenditure, travelling and subsistence accounts, minor vouchers, duplicate receipt books, income records, laundry lists and receipts). |
Retention Period 2 yrs | Electronic Paper Both Both |
Notes
From completion of the audit |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 5 |
Record Type
Advice notes (payment) Remittance advice notes that are attached to weekly creditor payment runs - breakdown of all invoices that make up the payment. |
Retention Period 1.5 yrs | Electronic Paper Both Both | Notes |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 6 |
Record Type
Audit records (internal and external) - original documents |
Retention Period 2 yrs | Electronic Paper Both Both |
Notes
From completion of the audit |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 7 |
Record Type
Audit reports (including management letters, VFM reports and system, final accounts memorandum) |
Retention Period 2 yrs | Electronic Paper Both Both | Notes After formal clearance by Statutory Auditor |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 8 | Record Type Bank automated clearing system (BACS records) | Retention Period 6 yrs | Electronic Paper Both Both | Notes After year end |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 9 | Record Type Bank statements | Retention Period 2 yrs | Electronic Paper Both Both |
Notes
From completion of the audit |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 10 | Record Type Benefactions (records of) - gifts/ endowment funds | Retention Period 5 yrs | Electronic Paper Both Both |
Notes
After the end of the financial year in which the Trust monies became finally spent or the gift in kind is accepted. In cases where the Benefaction Endowment Trust fund/ capital interest remains permanent records should be permanently retained by the organisation. |
Final action Offer to archivist | Trust Guidance National Guidance National guidance |
| Reference 11 | Record Type Bills, receipts and cleared cheques | Retention Period 6 yrs | Electronic Paper Both Both | Notes |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 12 |
Record Type
Budgets (including working papers, reports, virements and journals) |
Retention Period 2 yrs | Electronic Paper Both Both |
Notes
From completion of the audit |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 13 |
Record Type
Capital charges data |
Retention Period 2 yrs | Electronic Paper Both Both |
Notes
From completion of the audit |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 14 |
Record Type
Capital paid invoices |
Retention Period 6 yrs | Electronic Paper Both Both |
Notes
After the end of the financial year to which they relate. The Limitation Act, 1980 |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 15 | Record Type Cash books | Retention Period 6 yrs | Electronic Paper Both Both |
Notes
Following the end of the financial year to which they relate The Limitation Act, 1980 |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 16 | Record Type Cash sheets | Retention Period 6 yrs | Electronic Paper Both Both |
Notes
Following the end of the financial year to which they relate The Limitation Act, 1980 |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 17 |
Record Type
Contractual arrangements with hospitals or other bodies outside the NHS, including papers relating to financial settlements made under the contract (e.g. waiting list initiative, private finance initiative) |
Retention Period 6 yrs | Electronic Paper Both Both | Notes After the end of the financial year to which they relate |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 18 | Record Type Creditor payments | Retention Period 3 yrs | Electronic Paper Both Both | Notes Following the end of the financial year to which they relate |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 19 |
Record Type
Debtors records - cleared |
Retention Period 2 yrs | Electronic Paper Both Both |
Notes
From completion of audit |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 20 |
Record Type
Debtors records - un-cleared |
Retention Period 6 yrs | Electronic Paper Both Both |
Notes
From completion of audit |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 21 | Record Type Demand notes | Retention Period 6 yrs | Electronic Paper Both Both | Notes Following the end of the financial year to which they relate |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 22 | Record Type Estimates - including supporting calculations and statistics | Retention Period 3 yrs | Electronic Paper Both Both | Notes Following the end of the financial year to which they relate |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 23 | Record Type Excess fares | Retention Period 2 yrs | Electronic Paper Both Both | Notes Following the end of the financial year to which they relate |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 24 |
Record Type
Expense claims - including travel & subsistence claims and claims and authorisations |
Retention Period 5 yrs | Electronic Paper Both Both | Notes Following the end of the financial year to which they relate |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 25 | Record Type Fraud case files/ investigations | Retention Period 6 yrs | Electronic Paper Both Both | Notes |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 26 | Record Type Fraud national proactive exercises | Retention Period 3 yrs | Electronic Paper Both Both | Notes |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 27 | Record Type Funding Data | Retention Period 6 yrs | Electronic Paper Both Both |
Notes
Following the end of the financial year to which they relate |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 28 | Record Type General medical services payments | Retention Period 6 yrs | Electronic Paper Both Both | Notes After the year end |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 29 | Record Type Invoices | Retention Period 6 yrs | Electronic Paper Both Both |
Notes
Following the end of the financial year to which they relate The Limitation Act, 1980 |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 30 |
Record Type
Ledgers Including cash books, ledgers, income & expenditure journals, nominal rolls, non exchequer funds records (patient monies) |
Retention Period 6 yrs | Electronic Paper Both Both |
Notes
Following the end of the financial year to which they relate The Limitation Act, 1980 |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 31 | Record Type Non-exchequer funds records (i.e. funding received by the organisation that does not directly relate to patient care e.g. charitable funds) | Retention Period 29 yrs | Electronic Paper Both Both |
Notes
Although technically exempt from the Public Records Acts, it would be appropriate for authorities to treat these records as if they were not so exempt. Company charities are required by company law to keep their records and accounting records for at least three years but the Charity Commission recommends that they be kept for at least 6 years. The majority of non¬company |
Final action Offer to archivist | Trust Guidance National Guidance National guidance |
| Reference 32 |
Record Type
Patient Monies (i.e. smaller sums of donated money) |
Retention Period 6 yrs | Electronic Paper Both Both | Notes |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 33 | Record Type Payments | Retention Period 6 yrs | Electronic Paper Both Both | Notes After year end |
Final action
Destroy confidentially |
Trust Guidance National Guidance National guidance |
| Reference 34 |
Record Type
Patient travel claims |
Retention Period 6 yrs | Electronic Paper Both Both | Notes |
Final action
Destroy confidentially |
Trust Guidance National Guidance Trust guidance |
| Reference 35 | Record Type Payroll - i.e. list of staff in the pay of the organisation | Retention Period 6 yrs | Electronic Paper Both Both |
Notes
After termination of employment For superannuation purposes authorities may wish to retain such records until the subject reaches benefit age |
Final action
Destroy confidentially |