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Trust retention and destruction schedule

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

Corporate documents
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

Finance
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