Scottish Government Records Management: NHS Code Of Practice (Scotland) Version 2.1 January 2012
A guide to the required standards of practice in the management of records for those who work within or under contract to NHS organisations in Scotland
ANNEX C - ADMINISTRATIVE RECORDS RETENTION SCHEDULE
This schedule sets out minimum periods for which the various administrative records created within the NHS or predecessor bodies should be retained (in line with the Principle 5 of The Data Protection Act 1998), either due to their ongoing administrative value or as a result of statutory requirement. Records are listed alphabetically within each record category, e.g. financial, human resources. The retention schedules apply to all the records concerned, irrespective of the format ( e.g. paper, databases, emails, photographs, CDROMs) in which they are created or held.
Administrative Records - General
TYPE/SUBTYPE OF RECORDS |
MINIMUM RETENTION PERIODS |
NOTES |
---|---|---|
Conferences: lectures given by staff at other conferences |
permanent |
Significant conference papers should be selected for permanent retention |
Conferences: organised by Boards - conference proceedings |
permanent |
|
Conferences: organised by Boards - routine paperwork |
destroy after conference |
|
Conferences: other conferences attended by staff |
2 years |
|
Copies of out-letters |
1 year |
|
Databases- records handling system |
permanent |
Retain to demonstrate implementation of established practice and provide audit trail, see also Indexes |
Diaries - office |
1 year after completion |
|
Enquiries (such Subject Access Request and FOISA) |
Minimum of 40 working days following the response; requests for review for a minimum of six months |
The authority may wish to keep the correspondence longer for its own business purposes |
Indexes- file and document lists marked for permanent preservation |
permanent |
|
Indexes- file and document lists not marked for permanent preservation |
Destroy when no longer useful |
Retention may be required if they are part of audit trails |
Quality Assurance Records |
12 years |
|
Receipts for registered and recorded delivery mail |
2 years |
|
Records of custody and transfer of keys |
2 years |
|
Research and development findings by Board staff (scientific, technological and medical) |
Consider findings and reports for permanent preservation |
Supporting records should be retained in line with the appropriate clinical, pharmaceutical, laboratory or other research standards, as set out by funding and professional bodies. |
Software licenses |
Operational lifetime of product |
Administrative Records - Financial
TYPE/SUBTYPE OF RECORDS |
MINIMUM RETENTION PERIODS |
NOTES SEE FOOTNOTE |
---|---|---|
Accounts - final annual master copies |
permanent |
|
Accounts - cost |
3 years |
|
Accounts - working papers |
3 years |
|
Accounts - minor records: (including pass books, paying-in slips, cheque counterfoils, cancelled/discharged cheques, petty cash expenditure, travelling and subsistence accounts, minor vouchers, duplicate receipt books, income records, laundry lists) |
3 years after completion of audit |
See 'Receipts for cheques bearing printed receipts' below |
Accounts - statutory final |
permanent |
|
Advice Notes |
3 years after formal clearance by statutory auditor |
A longer period may be required for investigative purposes |
Audit records - original documents |
3 years after formal clearance by statutory auditor |
A longer period may be required for investigative purposes |
Audit reports (including Management letters, VFM reports and system/final accounts memorandum) |
3 years after formal clearance by statutory auditor |
A longer period may be required for investigative purposes |
Bank statements |
3 years after completion of audit |
|
Benefactions - endowments, legacies gifts etc. |
permanent |
|
Bills and receipts |
6 years |
|
Budget monitoring reports |
3 years |
|
Budgets |
2 years after completion of audit |
|
Capital paid invoices |
3 years |
See 'Invoices' below |
Cash books and sheets |
6 years |
|
Cost accounts |
See 'Accounts' above |
|
Creditor payments |
3 years |
|
Debtors' records - cleared |
6 years |
|
Debtors' records - uncleared |
6 years |
|
Demand Notes |
6 years |
|
Expenses claims |
See 'Accounts - minor' above |
|
Financial plans, estimates recovery plans |
6 years |
|
Funding data |
6 years |
|
General ledgers |
6 years |
|
Income and expenditure sheets and journals |
6 years |
|
Indemnity Forms |
6 years after the indemnity has lapsed |
|
Inquiries involving fraud/other irregularities |
10 years |
Where action is in prospect or has been commenced, consult with legal representatives and NHS Counter Fraud Services and keep in accordance with advice provided |
Invoices payable (creditors) |
6 years |
|
Invoices receivable (debtors) |
6 years |
|
Ledgers |
6 years |
See also 'General ledgers' above |
Mortgage documents - acquisition, transfer and disposal |
permanent |
|
Non-exchequer funds records |
See 'Income and expenditure journals' above |
|
PAYE records |
6 years |
|
Receipts |
6 years |
Includes cheques bearing printed receipts |
SFR returns |
6 years |
|
Superannuation - accounts and registers |
10 years |
|
Superannuation - forms |
10 years |
|
Tax forms |
6 years |
|
VAT records |
6 years |
In some instances a shorter period may be allowed, but agreement must be obtained from HM Revenue and Customs |
Wages/salary records |
10 years |
For superannuation purposes authorities, may wish to retain such records until the subject reaches pensionable age |
The Scottish Government policy on retention of financial records is set out in the Scottish Public Finance Manual, which can be accessed at: http://www.scotland.gov.uk/library5/finance/spfm/spf-00.asp
Administrative Records - Property, Environment and Health & Safety
TYPE/SUBTYPE OF RECORDS |
MINIMUM RETENTION PERIODS |
NOTES |
---|---|---|
Agreements |
See 'Contracts' below |
|
Buildings - papers relating to occupation |
Permanent or until property demolished or disposed |
Does not include Health & Safety information |
Capital charges data |
3 years after completion of previous 5 year valuation term |
|
Contaminated Land |
permanent |
|
Contracts - non sealed (property) on termination |
6 years |
|
Environmental Information |
permanent |
|
Equipment |
See 'Products - liability' under 'Procurement Records' |
|
Estimates: including supporting calculations and statistics |
3 years |
|
Green code |
permanent |
|
Health and safety: Asbestos Register |
permanent |
|
Health and safety: Audit forms, COSHH (Control of Substances Hazardous to Health Regulations) documentation, safety risk data sheets, risk assessments and control measures etc. |
10 years |
|
Health and Safety: Accident and Incident Forms |
10 years |
See 'Litigation dossiers' under ' NHS Board Records' |
Health and Safety: Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 ( RIDDOR) including Accident Register |
10 years |
|
Inspection Reports - e.g. boilers, lifts etc. |
2 years after operational lifetime of installation/plant |
Should be retained indefinitely if there is any measurable risk of a liability |
Inventories (non-current) of items having an operational lifetime of less than 5 years |
2 years |
|
Land purchase and sale - deeds, leases, maps, surveys, registers etc |
permanent |
|
Land purchase and sale -negotiations not completed |
6 years |
|
Laundry lists |
See 'Accounts - minor' under 'Financial Records' |
|
Manuals - operating |
See 'Inspection reports' above |
|
Manuals- policy and procedure |
permanent |
|
Maintenance contracts |
See 'Property-Cleaning and Maintenance' below |
Property, Environment and Health and Safety Records |
||
---|---|---|
TYPE/SUBTYPE OF RECORDS |
MINIMUM RETENTION PERIODS |
NOTES |
Maintenance request book |
2 years after financial year referred to |
|
Maps |
consider for permanent preservation |
|
Project files (£250,000 and over) |
permanent |
Including abandoned or deferred projects |
Project files (under £250,000) |
6 years after completion/abandonment of project |
|
Project team files (£250,000 and over) |
3 years |
|
Project team files (under £250,000) |
3 years |
|
Property- acquisition dossiers |
permanent |
|
Property - cleaning and maintenance (contracts less than £100,000) |
6 years |
|
Property - disposal dossiers |
permanent |
|
Property/Estates- Land, Building and Engineering Construction Procurement: Key records (including: final accounts, surveys, site plans, bills of quantities, PFI/ PPP records) Town and country planning matters and all formal contract documents (including: executed agreements, conditions of contract, specifications, "as built" record drawings and documents on the appointment and conditions of engagement of private buildings and engineering consultants) |
permanent |
Inclusive of major projects abandoned or deferred |
Property - leases |
permanent |
|
Property management system |
permanent |
|
Property - minor contracts |
6 years |
|
Property performance |
permanent |
|
Property - purchases |
permanent |
|
Property strategy |
permanent |
|
Property - title deeds |
permanent |
|
Property- terriers ( NHS premises site information) |
permanent |
|
Safety Action Bulletins |
Permanent |
|
SEPA Registrations, Licenses and Consents |
permanent |
|
Specifications for work tendered |
6 years |
|
Tenders (successful) |
See 'Contracts' above |
|
Tenders (unsuccessful) |
6 years |
|
Waste Consignment Notes- Controlled wastes such as clinical/healthcare and household/domestic |
2 years |
|
Waste Consignment Notes- Special/Hazardous/Radioactive Wastes |
3 years |
|
Waste- Duty of Care Inspection Reports |
permanent, or for life of external contract |
Administrative Records - Human Resource
TYPE/SUBTYPE OF RECORDS |
MINIMUM RETENTION PERIODS |
NOTES |
---|---|---|
Disciplinary: First written warning |
6 months |
|
Disciplinary: Final written warning |
12 months |
|
Disciplinary: First and final written warning |
12 months |
|
Disciplinary: Letter of Dismissal |
10 years |
Where action is in prospect or has been commenced, consult with legal representatives and keep in accordance with advice provided. |
Disciplinary: Records of action taken, including: Details of rules breached, Employee's defence or mitigation, Action taken and reasons for it, Details of appeal and any subsequent developments |
6 years after leaving service |
See above for retention periods for warnings. |
Establishment records - major (including: Personnel files, letters of application and appointment, confirmation of qualifications, contracts, joining forms, references & related correspondence, termination forms) |
6 years after leaving service |
Human Resources Records |
||
---|---|---|
TYPE/SUBTYPE OF RECORDS |
MINIMUM RETENTION PERIODS |
NOTES |
Establishment records - minor (including: attendance books, annual leave records, duty rosters, clock cards, timesheets) |
2 years |
|
Industrial relations (not routine) |
permanent |
|
Personal Development: Nurses - training records |
30 years after completion of training |
Applies only to Nurse Training carried out in hospital based nurse training schools |
Personal Development: Study leave applications |
2 years |
|
Recruitment: Applications for employment - unsuccessful applicants |
1 year after completion of recruitment procedure |
|
Recruitment: CVs for non-executive directors (successful) |
5 years following end of term of office |
|
Recruitment: CVs for non-executive directors (unsuccessful applicants) |
2 years |
|
Recruitment: Disclosure Scotland information |
90 days |
90 days after the date on which recruitment or other relevant decisions have been taken; or 90 days after the date on which recruitment or other relevant decisions have been taken. |
Recruitment: Job advertisements |
1 year |
Administrative Records - Procurement and Stores
TYPE/SUBTYPE OF RECORDS |
MINIMUM RETENTION PERIODS |
NOTES |
---|---|---|
Approval files - contracts |
permanent |
|
Approved suppliers lists |
11 years |
|
Delivery notes |
2 years |
|
Indents |
2 years after financial year referred to |
|
Medical equipment specifications - major items purchased |
permanent |
|
Medical Equipment - operating manuals |
operational lifetime of equipment |
|
Procurement documentation |
7 years |
One copy of each supplier response from short listed to tender and the contract itself. |
Products - liability |
11 years |
|
Purchase orders |
3 years after financial year referred to |
|
Requisitions |
2 years after financial year referred to |
|
Stock control reports |
2 years |
|
Stores - major (ledgers etc.) |
6 years |
|
Stores - minor (requisitions, issue notes, transfer vouchers, goods received books etc.) |
2 years |
Procurement and Stores |
||
---|---|---|
TYPE/SUBTYPE OF RECORDS |
MINIMUM RETENTION PERIODS |
NOTES |
Supplier correspondence |
6 years after termination of agreement |
|
Supplies records - minor ( e.g. invitations to tender and inadmissible tenders, routine papers relating to catering and demands for furniture, equipment, stationery and other supplies) |
2 years |
Administrative Records - NHS Board
TYPE/SUBTYPE OF RECORDS |
MINIMUM RETENTION PERIODS |
NOTES |
---|---|---|
Area health plans |
permanent |
|
Contracts - non sealed on termination |
6 years |
|
Contracts - GP Practices and others to deliver core NHS services |
permanent |
|
Contracts - sealed |
permanent |
Including associated records |
Corporate policies |
permanent |
|
Deeds of title |
permanent |
|
Health promotion - core papers and visual materials relating to major initiatives |
consider permanent preservation |
|
History of Boards or their predecessor organisations |
permanent |
|
History of hospitals |
permanent |
|
Hospital services files |
consider permanent preservation |
|
Legal actions (adult) |
7 years after case settled or dropped |
|
Legal actions (child) |
until child is 18 or 7 years after case settled or dropped, whichever is later |
|
Litigation dossiers - complaints including accident reports |
10 years |
Where a legal action has commenced see Legal actions |
NHS Board Records |
||
---|---|---|
TYPE/SUBTYPE OF RECORDS |
MINIMUM RETENTION PERIODS |
NOTES |
Meeting papers - master set |
permanent |
Main committees and sub-committees of NHS Boards and special Health Boards and other meetings of significance for legal, administrative or historical reasons |
Minutes - master set |
permanent |
Main committees and sub-committees of NHS Boards and special Health Boards |
NHS circulars - master set |
permanent |
|
Nursing homes pre 1 April 2002: registration documents and building plans |
permanent |
The regulation of care services was taken over by the Care Commission on 1 April 2002. |
Nursing homes pre 1 April 2002: inspection reports and general correspondence |
5 years |
The regulation of care services was taken over by the Care Commission on 1 April 2002. |
Option appraisals |
6 years after end of agreement |
|
Patient complaints without litigation - adults |
7 years |
|
Patient complaints without litigation - children and young adults |
until child is 16 or 7 years, whichever is later |
NHS Board Records |
||
---|---|---|
TYPE/SUBTYPE OF RECORDS |
MINIMUM RETENTION PERIODS |
NOTES |
Photographs |
consider for permanent preservation |
Corporate and publicity photographs, those not used for patient care purposes. |
Press cuttings |
consider for permanent preservation |
|
Register of seals |
permanent |
|
Reports - major |
permanent |
|
Serious incident files |
permanent |
|
Service development reports |
6 years |
|
Service level agreements |
6 years |
|
Strategic plans |
permanent |
|
Subject files |
permanent |
Files relating directly to the formulation of policy and major controversies must be permanently preserved. Other files should be disposed of when no longer needed. |
Trust arrangements legally administered by NHS organisations - documents describing terms of foundation/establishment and winding-up |
permanent |
|
Trusts arrangements legally administered by NHS organisations - other documents |
6 years |
Administrative Records - Service Planning
TYPE/SUBTYPE OF RECORDS |
MINIMUM RETENTION PERIODS |
NOTES |
---|---|---|
Activity monitoring reports |
6 years after end of agreement |
|
Admission, transfer and treatment of patients - policy files |
permanent |
|
Databases - demographic and epidemiological based on data supplied by NHS National Service Scotland, Information Services |
In accordance with general policies of NHS National Service Scotland, Information Services, and any specific terms and conditions imposed by them in relation to particular data sets |
|
Databases - demographic and epidemiological based on survey data |
May be retained indefinitely if data quality and potential for future re-use justifies cost of migration/regeneration to new formats and platforms |
|
Patient activity data |
3 years |
|
Summary bed statistics |
permanent |
|
Waiting list monitoring reports |
6 years |
|
Seasonal business plans |
6 years |
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