I've been following this thread with interest and, as I'm a long way from the coal face, I hesitate to leap in. There are a couple of links which might provide some guidance:
The St Andrews document is based, as indicated, on Jisc RM guidance. Part of that guidance is (still) the generic, interactive 'Business Classification Scheme' (BCS) and Records Retention Schedule (RRS) produced for Jisc by my former consulting practice, primarily by my colleague Elizabeth Parker, with some assistance on the Guidance Notes from me. As it's now 10 years old, statutory and regulatory retention guidance may now be out of date, but the basic structure and recommendations still stand. You can find it embedded as a link in the broader Jisc RM advice at https://www.jisc.ac.uk/guides/records-management/retention-management . The Jisc RM Guide, although, like the BCS and RRS, aimed at Higher and Further Education establishments, is sufficiently generic to be of value to all and well worth a look. If you want to go straight to the BCS/RRS the link is: http://bcs.jiscinfonet.ac.uk/he/default.asp . The core functions are HE specific but the 'common' functions apply equally to all organisations. Select 'Corporate Resources' in the left-hand column and then the 'Human Resources' link in the drop down menu. We advised all our clients to create personal files which followed the structure of the BCS/RRS to make it easier to apply differential retention periods. The note on 'Student Records' (what I wrote, to coin a phrase), while not specific, addresses some of the general points being discussed in this string.
The Chartered Institute of Personnel Development has a Factsheet on Retention of Records aimed specifically at Human Resources professionals and updated in the middle of 2016. It has some general advice on recordkeeping and a schedule which is divided between statutory requirements and non-statutory requirements. You can find it at: https://www.cipd.co.uk/knowledge/fundamentals/people/hr/keeping-records-factsheet#7758 . You will need to register to be able to access it.
The schedule emphasises that there is no statutory retention requirement for the contractual part of the employee file but it's prudential to retain it for at least T + 6 to meet the minimum protection requirement under The Limitation Act. This would suggest that the HR consultant mentioned in the initial message is not following the CIPD guidance. The Limitation Act is, in any case, a piece of 'permissive' legislation. It simply lays down limits to the period in which an action can be brought. Abiding by it is a matter of risk management. If you think the risk is low, you can dispose of the relevant records at any time.
By the same token T+6, as with all retention periods, is a minimum requirement. If you think that there are good reasons to extend the period you can, as long as you can convince the ICO that the extension complies with the DPA. Some of the exceptions mentioned have value. Knowing where someone worked in an office or on a manufacturing plant, as opposed to any known medical condition, may help you to defend a class action for a residual disease or impairment. Suzy Taylor mentioned vibration white finger and I can add to that residual deafness claims in the steel industry and bad backs for cashiers lifting bags of coins in bank branches! Exposure to asbestos may not become apparent until long after an employee has left. To cope with these rare, but important cases, creating a simple summary sheet for each employee, retained for, say, DoB +75 years could be a way forward.
Sorry about the length of this but I thought it might help to clarify some of the issues and focus the discussion.
Peter
-----Original Message-----
From: The Information and Records Management Society mailing list [mailto:[log in to unmask]] On Behalf Of Meic Pierce Owen
Sent: 02 March 2017 12:15
To: [log in to unmask]
Subject: Re: Retention of personnel files
Nice page- thanks for sharing
-----Original Message-----
From: The Information and Records Management Society mailing list [mailto:[log in to unmask]] On Behalf Of Geoff Gray
Sent: 02 March 2017 09:20
To: [log in to unmask]
Subject: Re: Retention of personnel files
Interesting threads below - if not seen before the following web site, at link, provides some good guidance based on JISC recommendations around personal data.
https://www.st-andrews.ac.uk/staff/policy/recordsmanagement/principalsofrecordmanagement/
Kind Regards
Geoff G
Geoff Gray MBE MBCS
Corporate Information & Records Manager
T: 020 8613 7635
M: 07736276092
Old Town Hall, Catford Road, London SE6 4RU www.lewishamhomes.org.uk
-----Original Message-----
From: The Information and Records Management Society mailing list [mailto:[log in to unmask]] On Behalf Of Ash, Jean
Sent: 01 March 2017 15:10
To: [log in to unmask]
Subject: Re: Retention of personnel files
As a practical example, I'm specifically thinking of staff who need some kind of "reference" or back-up information to support the statement in their cv which says they worked somewhere in a particular role for a period of time but that period was 20 to 40 years ago. Even if they had retained a personal record (eg payslip), additional evidence may sometimes be required from a third party with details of their actual role.
Doesn’t often happen but ........
Kind regards
Jean
-----Original Message-----
From: Madeleine McAllister [mailto:[log in to unmask]]
Sent: 01 March 2017 09:57
To: Ash, Jean; [log in to unmask]
Subject: RE: Retention of personnel files
What about payroll?
I think the question is whether it is the organisation's responsibility to hold onto records purely for the purpose of being able to provide this information in 20 years? HMRC would keep records, your pension provider has records, and presumably the former employee has records that would have this information - but individuals often don't keep their own records well and rely on organisations.
Opens up another interesting conversation about personal records management!
Regards
Madi McAllister
Information Governance & Records Management Officer London Borough of Merton
Tel: x 4180
-----Original Message-----
From: The Information and Records Management Society mailing list [mailto:[log in to unmask]] On Behalf Of Ash, Jean
Sent: 28 February 2017 17:57
To: [log in to unmask]
Subject: Re: Retention of personnel files
Hi
We wondered about that. Our pension records may have a similarly short retention period with the masters held by the pension providers.
Kind regards
Jean Ash
Glasgow Caledonian University
-----Original Message-----
From: Madeleine McAllister [mailto:[log in to unmask]]
Sent: 28 February 2017 17:05
To: Ash, Jean; [log in to unmask]
Subject: RE: Retention of personnel files
You may have pension records which will show this.
Madi McAllister
Information Governance & Records Management Officer London Borough of Merton
Tel: x 4180
-----Original Message-----
From: The Information and Records Management Society mailing list [mailto:[log in to unmask]] On Behalf Of Ash, Jean
Sent: 28 February 2017 17:04
To: [log in to unmask]
Subject: Re: Retention of personnel files
Hi
We keep personnel records for 7 years but we have recently been wondering, if we only keep records for that length of time, how does a member of staff who worked with us, maybe 20 years ago, prove that they ever worked here?
Kind regards
Jean Ash
Glasgow Caledonian University
-----Original Message-----
From: The Information and Records Management Society mailing list [mailto:[log in to unmask]] On Behalf Of Jenny Willis
Sent: 28 February 2017 11:06
To: [log in to unmask]
Subject: Retention of personnel files
Dear All
Our HR consultant has recently suggested that we revise our current 7 year (from end of employment) personnel file retention to 1 year only - the justification being that normal time limits for employment tribunal cases are 3 to 6 months from end of employment (under the Extension of Jurisdiction Order 1994). In addition, she feels that the common reason for 7 year retention of personnel files is to ensure correct retention of payroll and tax records and that if these are held by Finance, the 7 year HR retention isn't necessary.
However, it's my understanding that 7 years is an industry standard owing to the 6 year time limit for breach of contract claims under the Limitations Act 1980. I know that the time limit for breach of contract 'shall not apply to any claim for specific performance of a contract' but am I right in thinking that there will be cases where the 6 years stated in the Limitations Act applies to employment tribunals and well as civil courts?
I believe that the ICO advice is that a recruitment record shouldn't be held for longer than 6 years. I would think that records which might be relevant to a claim of breach of contract would be: signed contract and amendments; training records; appraisal records; sick leave records; correspondence relating to promotion or disciplinary action. Does anyone hold these records for a shorter time or see any argument to do so?
Many thanks,
Jenny Willis
The Postal Museum
To view the list archives go to: https://urldefense.proofpoint.com/v2/url?u=https-3A__www.jiscmail.ac.uk_cgi-2Dbin_webadmin-3FA0-3DRECORDS-2DMANAGEMENT-2DUK&d=CwIGaQ&c=HmJinpA0me9MkKQ19xEDwK7irBsCvGfF6AWwfMZqono&r=hlY7XvDzlutScMUZv2FUgUm4xx54yhiT-WkOL-6WAlCnQYGc753dWS-_FLPxw8dm&m=FRJI7VLPObpa1GXyHDuSg4J6300xxc6cva0QM2velh4&s=WTBtCDOhZ494m5zLAyDrjupiEdxks8Hm2h5k9AY4Eng&e=
To unsubscribe from this list, send an email to [log in to unmask] with the words UNSUBSCRIBE RECORDS-MANAGEMENT-UK
For any technical queries re JISC please email [log in to unmask] For any content based queries, please email [log in to unmask]
Glasgow Caledonian University is a registered Scottish charity, number SC021474
To view the list archives go to: https://urldefense.proofpoint.com/v2/url?u=https-3A__www.jiscmail.ac.uk_cgi-2Dbin_webadmin-3FA0-3DRECORDS-2DMANAGEMENT-2DUK&d=CwIGaQ&c=HmJinpA0me9MkKQ19xEDwK7irBsCvGfF6AWwfMZqono&r=hlY7XvDzlutScMUZv2FUgUm4xx54yhiT-WkOL-6WAlCnQYGc753dWS-_FLPxw8dm&m=FRJI7VLPObpa1GXyHDuSg4J6300xxc6cva0QM2velh4&s=WTBtCDOhZ494m5zLAyDrjupiEdxks8Hm2h5k9AY4Eng&e=
To unsubscribe from this list, send an email to [log in to unmask] with the words UNSUBSCRIBE RECORDS-MANAGEMENT-UK
For any technical queries re JISC please email [log in to unmask]
For any content based queries, please email [log in to unmask]
----------------------------------------------------------------------
Please help to reduce waste and do not print this message unless you really need to.
This message, including any attached files, is intended just for the use of the individual or organisation to whom it is addressed. Any opinions expressed are those of the sender, not Merton Council. Email is not secure, and the council accepts no responsibility for any inaccuracy, corruption or virus which has occurred during transmission.
This email may be subject to monitoring in accordance with relevant legislation and may be disclosed in response to a request under the Freedom of Information Act 2000.
The message may contain information that is confidential or sensitive; you should handle it accordingly.
If you have received this email message in error, you must not copy, disclose or make any further use of the information contained within it. Please notify the system manager ([log in to unmask]) or the Head of Information Governance ([log in to unmask]), and delete the message.
[log in to unmask]
http://www.merton.gov.uk
-----------------------------------------------------------------
Glasgow Caledonian University is a registered Scottish charity, number SC021474
To view the list archives go to: https://urldefense.proofpoint.com/v2/url?u=https-3A__www.jiscmail.ac.uk_cgi-2Dbin_webadmin-3FA0-3DRECORDS-2DMANAGEMENT-2DUK&d=CwIGaQ&c=HmJinpA0me9MkKQ19xEDwK7irBsCvGfF6AWwfMZqono&r=hlY7XvDzlutScMUZv2FUgUm4xx54yhiT-WkOL-6WAlCnQYGc753dWS-_FLPxw8dm&m=G8DXgunz_XtpNPjTph1r5cLgen13R2Wn4tzqgY8qrX0&s=ed-bDEjx56vFPCc06fKNw2YpE_dUkvgRqZ5PWXr-xV0&e=
To unsubscribe from this list, send an email to [log in to unmask] with the words UNSUBSCRIBE RECORDS-MANAGEMENT-UK
For any technical queries re JISC please email [log in to unmask]
For any content based queries, please email [log in to unmask]
Glasgow Caledonian University is a registered Scottish charity, number SC021474
To view the list archives go to: https://www.jiscmail.ac.uk/cgi-bin/webadmin?A0=RECORDS-MANAGEMENT-UK
To unsubscribe from this list, send an email to [log in to unmask] with the words UNSUBSCRIBE RECORDS-MANAGEMENT-UK
For any technical queries re JISC please email [log in to unmask] For any content based queries, please email [log in to unmask]
DISCLAIMER
Lewisham Homes is the trading name of Lewisham Homes Limited, which is a company registered in England and Wales. Our registered office is Old Town Hall, Catford Road, London, SE6 4RU.
Registered in England and Wales Company Number: 5887410
This email and its attachments may be confidential and are intended solely for the use of the individual to whom it is addressed. Any views or opinions expressed are solely those of the author and do not necessarily represent those of the Lewisham Homes.
If you are not the intended recipient of this email and its attachments, you must take no action based upon them, nor must you copy or show them to anyone. Please contact the sender if you believe you have received this email in error.
Although this email and any attachment are believed to be free of any virus or other defect which might affect any computer or system into which they are received and opened, it is the responsibility of the recipient to ensure that they are virus free and no responsibility is accepted by any member of the Lewisham Homes for any loss or damage from receipt or use thereof.
To view the list archives go to: https://www.jiscmail.ac.uk/cgi-bin/webadmin?A0=RECORDS-MANAGEMENT-UK
To unsubscribe from this list, send an email to [log in to unmask] with the words UNSUBSCRIBE RECORDS-MANAGEMENT-UK
For any technical queries re JISC please email [log in to unmask] For any content based queries, please email [log in to unmask]
Securing the future... - Improving services - Enhancing quality of life - Making best use of public resources.
The information in this email is solely for the intended recipients.
If you are not an intended recipient, you must not disclose, copy, or distribute its contents or use them in any way: please advise the sender immediately and delete this email.
Perth & Kinross Council, Culture Perth and Kinross and TACTRAN do not warrant that this email or any attachments are virus-free and does not accept any liability for any loss or damage resulting from any virus infection. Perth & Kinross Council may monitor or examine any emails received by its email system.
The information contained in this email may not be the views of Perth & Kinross Council, Culture Perth and Kinross or TACTRAN.
It is possible for email to be falsified and the sender cannot be held responsible for the integrity of the information contained in it.
Requests to Perth & Kinross Council under the Freedom of Information (Scotland) Act should be directed to the Freedom of Information Team - email: [log in to unmask]
General enquiries to Perth & Kinross Council should be made to [log in to unmask] or 01738 475000.
General enquiries and requests under the Freedom of Information (Scotland) Act to Culture Perth and Kinross should be made to [log in to unmask] or 01738 444949
General enquiries to TACTRAN should be made to [log in to unmask] or 01738 475775.
Securing the future... - Improving services - Enhancing quality of life - Making best use of public resources.
To view the list archives go to: https://www.jiscmail.ac.uk/cgi-bin/webadmin?A0=RECORDS-MANAGEMENT-UK
To unsubscribe from this list, send an email to [log in to unmask] with the words UNSUBSCRIBE RECORDS-MANAGEMENT-UK
For any technical queries re JISC please email [log in to unmask] For any content based queries, please email [log in to unmask]
To view the list archives go to: https://www.jiscmail.ac.uk/cgi-bin/webadmin?A0=RECORDS-MANAGEMENT-UK
To unsubscribe from this list, send an email to [log in to unmask] with the words UNSUBSCRIBE RECORDS-MANAGEMENT-UK
For any technical queries re JISC please email [log in to unmask]
For any content based queries, please email [log in to unmask]
|