E011
Retention and Disposal Schedule
March 2013
Document Control
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
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 fulfilled[2].
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.
· 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
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
└ 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
└ 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
└ 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
NRS / Retention and Disposal Schedule / E011BCS 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 / OWNERAccess 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
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