Retention and Disposal Schedule - National Archives of Scotland · 2016-07-25 · NRS Retention and Disposal Schedule 1. INTRODUCTION 1.1 The Retention and Disposal Schedule details

Retention and Disposal Schedule

March 2013

NRS Retention and Disposal Schedule

Document Control

Title Retention and Disposal Schedule 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 fulfilled2.

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.

1 Please note it is not necessary to transfer numerous copies of the same document to archives. Where there are duplicates in existence, for example policies, only one copy should be transferred for preservation. The Branch responsible for the record (as identified in the Owner column) should ensure it is transferred. 2 For details of current FOI/DP requests, please contact the Corporate Planning and Development team.


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 E011

Location: 9 of 65 Last saved date: 2013-03-22 Version 0.5

BCS 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

OWNER

Access 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


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


enquiry


Business need

VITAL

RE

Orders Documentation relating to extract orders, including RMS Till Software,

GINTOPS


order


Business need

VITAL

RE

Telephone Extract Ordering Service

General information relating to the Telephone Extract Ordering Service

DESTROY – once administrative use is

concluded


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


Business need

RE

Book Lists Lists of reference materials available to staff from the Corporate Planning &

Development Team and ICT


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


Business need

VITAL

RE

Collection Guides Documentation relating to and including guides to the library

collections

DESTROY – once superseded


RE

Disposals Lists of library disposals and correspondence relating to them

DESTROY – 5 years from disposal


Business need

RE

Loans Details of all library loans, including inter-library loans

DESTROY – 7 years from date of return


Business need

RE

Locations Location guides and system records for library classes


Business need

VITAL RE

Missing Books Documentation relating to missing books from the library

REVIEW – after 2 years


RE

Repairs Lists of repairs to library materials DESTROY – 7 years after repair


RE

Serials Serials lists of all holdings and current subscriptions



RE

Online Access Methodology Supporting software documentation and publications


Business need

PSB

Reports Reporting on online access PERMANENT Transfer to Archive

Historical value

PSB

Server Log Files CSV files copied from Web server to USB drive for processing

DESTROY - after 5 years


Business need

PSB

Statistics Statistical documentation relating to online access

PERMANENT Transfer to Archive

Historical value

PSB

Onsite Access Daily Copy Sheets List of copy requests, in person and via correspondence

DESTROY – after 1 year


Business need

VITAL (when

current – cease to be vital after 3

months)

PSB

Production Books Record of productions in search rooms and to staff


Historical value

VITAL PSB



Production Slips Record of productions in search rooms and to staff

DESTROY – after 3 years


Business need

PSB

Register Pages Original records of events registered in Scotland


Historical value

VITAL RD

Search Room Orders

Including photocopy and digital copy orders

DESTROY – after 1 year


Business need

VITAL (when


months)

PSB

Trolley Sheets List of records sent to DIU for copying DESTROY – after 1 year


VITAL (when


months)

PSB

Client Management

[Client Files] Case Files Client case files including information relating to Accessions, Deaccessions,

Background Information, Advice Given, Meetings, Correspondence, Arrangements, Instructions, Service

Level Agreements, Decisions, Negotiations, Retention Schedules,

Transfer Receipts, Uplifts, Visits, Charge & Superintendence

Agreements


Historical value

VITAL GRB/ CLP/CSB

Client Management Lists

List of current clients REVIEW - after 5 years


Business need

GRB

Conservation & Preservation

Conservation Assessment &

Treatment

Collection Surveys Surveys of collections and identification of records requiring

treatment


Review for archival value

Business need /

Historical value

CSB

Condition Reports Condition reports of records and collections



CSB

Treatment Documentation relating to conservation treatment carried out on collections, including the rebinding of



VITAL RE/CSB



Statutory Registers and Old Parish Registers

Digital Preservation

Administration Documentation relating to the administration of the Digital Data

Archive



Business need

ERU

Digital Data Archive Development

Documentation relating to the development of the DDA, including

the access module


Historical value

VITAL ERU

Digital Laboratory Records relating to the development and use of the E-Records Unit Digital

Laboratory



Business need

ERU

Knowledge Base Records relating to the development and maintenance of the E-Records

Knowledge Base

PERMANENT

Transfer to Archive

Historical value

ERU

Maintenance Records relating to maintenance of the DDA

PERMANENT

Transfer to Archive

Historical value

VITAL ERU

Process Planning Records relating to digital preservation process planning

PERMANENT

Transfer to Archive

Historical value

ERU

Reports Reporting on Digital Preservation issues, including DDA Reports

PERMANENT

Transfer to Archive

Historical value

ERU/ CSB

Preservation & Storage

Management

Accommodation Documentation relating to the storage of collections

PERMANENT

Transfer to Archive

Historical value

VITAL CSB

Environmental Monitoring

Documentation relating to the environmental monitoring and

assessment carried out in NRS buildings



VITAL CSB

Preservation Work Documentation relating to preservation activities carried out on collections, including sealing letters

patent



CSB

Digital Imaging

Image Capture Digital Capture Management Data

SQL log files, generated on each camera station and copied to SQL

server


Business need

PSB

Images Jpegs on Image drive and Tiff images on external hard drives in USB library


Historical value

VITAL PSB/ CSB/RE



Quality Control Data

Records of quality control process for each digital volume captured



PSB

Retransmissions

Administration Order Slips Order slips for retransmissions DESTROY – after 5 years


Business need

GRB

Original Requests Details of original requests for retransmissions



Business need

GRB

Receipts Receipts for retransmissions DESTROY – after 5 years


Business need

GRB

Retransmissions Database

Summary information relating to the processing of retransmissions


Business need

VITAL GRB



BCS LEVEL 1 FUNCTION: CUSTOMER & STAKEHOLDER RELATIONS




DISPOSAL ACTION


OWNER

Engagement & Outreach

Advice & Guidance

Newsletters Newsletters produced and distributed by NRS


Historical value

RD

NRAS Case Files Containing Background Info, Access Conditions, Terms of Use, Contact

Details, Advice Give, Meetings Papers, Reports of Productions,

Selected Biographical Info, Correspondence, Enquiries


Historical value

VITAL CLP

Published Advice & Guidance

Professional guidance provided to stakeholders, including Managing

Electronic Records Guidance, information governance guidance,

Registrars Handbooks, How To Guides, Instructions on the FER, PRSA Model Plan & Guidance


Historical value

VITAL Various

Consultation & Engagement

Case Files Documentation relating to NHSCR’s Customer & Stakeholder

Engagement, including policies, consultancy services, procedures, performance, quality assurance,

analysis, development

REVIEW – 7 years from closure


Business need

NHS-CR

Community Liaison Documentation relating to community liaison, including correspondence and

consultations



Business need

CEN

Consultations Documentation relating to customer and stakeholder consultations carried

out by NRS, including focus and working groups


Transfer to Archive

Historical value

VITAL Various

Customer Satisfaction

Questionnaires, feedback and analysis on performance in relation to

services or other aspects of NRS business

DESTROY – 7 years after administrative use is concluded or no longer referred to

for marketing


Business need

VITAL PSB



purposes

Surveys & Questionnaires

Documentation relating to surveys and questionnaires designed by NRS and completed by customers and/or

stakeholders


Transfer to Archive

Historical value

VITAL RE/PSB

Education [Project Files] Including records relating to the Donald Dewar Debating Tournament, Scottish Learning Festival, Education

Open Days, Bell Rock 200 and Production of Schools Programme


Review for historical

value

Business need

PSB

Events & Exhibitions

Events Records relating to the management of internal and external events



value

Business need

VITAL PSB

Exhibitions Including administrative data relating to exhibitions held by NRS, records

relating to cases, exhibitions materials, display content & images,

loans


Historical value

VITAL DAC/ PSB/ CSB

Media Access Documentation relating to media access, including fees, filming and recording guidance, online sales

admin and research


Business need

VITAL PSB/RE

Groups & Committees

Case Files Background papers and case files relating to work undertaken with external agencies and partners, including reports and analysis



value

Business need

VITAL Various

Communications Communications with external agencies and partners



Business need

VITAL Various

Consultancy Documentation relating to external consultancy services, including

requests for advice and details of advice provided



Business need

VITAL PSB

Meetings (NRS lead)

Agendas, Papers & Minutes from meetings with external agencies

and/or partners, where NRS is the lead body



value

Business need

VITAL Various

Meetings (NRS non lead)

Agendas, Papers & Minutes from meetings with external agencies

and/or partners, where NRS is not the



Business need

VITAL Various



lead body

User Groups Correspondence and meetings held with ScotlandsPeople Search Room User Group and Internet User Group


Historical value

VITAL SPC

Management Agreements - Other Agreements set up with external agencies and partners including,

Central Postcode, Gridlink, Office for National Statistics, Public Sector,

Scottish Government



Business need

CEN

Complaints Complaints received by the organisation and NRS’s response to

them



1973 c. 52 VITAL Various

Compliments Compliments and comments and response to them



Business need

VITAL Various

Consultancy Agreements set up with external consultants

REVIEW – 7 years after the agreement

has ended


Business need

VITAL PSB

Contracts Contracts set up with external agencies and partners, including

those relating to exhibitions, events, advertising, publishing and marketing


Business need

VITAL PSB

Customer Database

Contact details and purchases made by customers

DESTROY – 7 years after customer last

visit


Business need

VITAL SPC

Licensing Licensing agreement set up with external agencies and partners


Business need

VITAL PSB

Memorandum of Understanding

Initial agreements set up with external agencies and partners, including

those relating to the establishment of the Tartan Register


Business need

VITAL PSB

Readers Tickets & Database

Personal info and photos, required for issue


Business need

VITAL PSB

Registrars’ Database

Database containing information relating to local authority registration

staffing and operational matters



Business need

VITAL RD

Season Ticket Holders

Contact details for customers, details of season tickets purchases

REVIEW – ongoing (Update &/or


Business need

VITAL SPC



DESTROY as customers change)

Service Level Agreements

Including customer and stakeholder agreements



Business need

NHS-CR

Marketing

Advertising & Design

Records relating to design and layout of advertising



value

Business need

PSB

Brand Management Documentation relating to the creation and use of a brand identity, including

logos


Historical value

VITAL Various

Competitions Details of competitions held within NRS


Historical value

PSB

Launches Case files relating to launches, including photos, speeches, launch material, media coverage, impact on

business


Historical value

SPC

Media Relations Documentation relating to communications with the media



Business need

VITAL DAC/ CEN

Photographs Interior and exterior photographs of NRS


Historical value

VITAL SPC

Press Releases Documentation relating to media releases for the promotion of

business



value

Business need

PSD

Promotions Documentation relating to Visit Scotland and ScotlandsPeople Centre

joint promotions, as well as internet and shop promotions



value

Business need

VITAL SPC

Publicity Including presentations, publicity text, speaker biographies, conference programmes, joining instructions,

memoranda, lists of publicity targets and other contacts



value

Business need

Various

Published Materials Including articles, publications, postcards, posters, leaflets



value

Business need

VITAL Various

Sales Including details of products and suppliers and estimates in relation to

sales of the Tartan Image



Business need

VITAL SPC/ PSB



Projects

Project Files (NRS lead)

Documentation relating to projects carried out with external agencies and/or partners, where NRS is the

lead body


Historical value

VITAL (during

project life)

Various

Project Files (NRS non lead)

Documentation relating to projects carried out with external agencies

and/or partners, where NRS is not the lead body



Business need

Various

Training, Talks & Visits

Talks & Visits Including Interesting Entries, Information about the Records, Open

Days, Presentations, Speeches, Talks, Tours, Workshops



value

Business need

VITAL Various

Attendance Records

Records of individuals attending training sessions delivered by NRS



Business need

RD-Training

Evaluation Sheets Evaluation records following attendance at Registration training

sessions delivered by NRS



Business need

RD-Training

Hotel Bookings Hotel bookings for individuals attending training sessions delivered

by NRS

DESTROY – 1 year after attendance


Business need

RD-Training

Training Materials & Packs

For training delivered by NRS, including Training & Awareness CDs



Business need

VITAL RD-Training/

PSB Websites &

Online Activities [Web Files] Including Development &

Improvement, Reviews, User Feedback, Stats, Change Requests, Server Log Files, HTML, PDF, RTF,

Images etc to be uploaded to the web, Web files and publications

produced in relation to NRS website, including the Beyond 2011 Project



value

Business need

VITAL Various

Requests for Information

Disclosure Access to Census Records

Correspondence relating to requests for access to Census records



Business need

VITAL RE

Data Protection Enquiries & Subject Access Requests

Including internal correspondence between branches, general enquiries

and the enquiry log

DESTROY – 6 years from enquiry closure


Business need

VITAL CPD



Environmental Information

Documentation relating to EIR enquiries received by NRS including

the initial request and response



Business need

CPD

Freedom of Information

Documentation relating to FOI enquiries received by NRS, relating to

its records and business practices, including the initial request and

response



Business need

VITAL CPD

Enquiries Enquiries – General

Records relating to general enquiries received by NRS and responses to

them

REVIEW – 10 years from enquiry closure


Business need

VITAL (when

current)

Various

Enquiries - Historical

Documentation relating to specific enquiries regarding collections held

by NRS



Business need

VITAL (when

current)

PSB

Enquiries – Statistical

Documentation relating to specific enquiries regarding Statistics,

including Ad Hoc Statistical Enquiries



Business need

VITAL Various

Enquiries - Tartan General enquiries received in relation to the Tartan Register



Business need

PSB

Enquiries - Geography

Documentation relating to specific enquiries regarding Geography



Business need

Geog

Enquiry Log Summary information relating to enquiries received and the responses

to them


Business need

VITAL Various

Parliamentary Questions,

Correspondence with Ministers &

Briefing

Ministerial Briefings Provision of briefing notes and information as requested by Ministers



Business need

VITAL Various

Ministerial Correspondence

Correspondence with Ministers including original correspondence, response preparation material and

responses



Business need

Various

Ministerial Returns Replies REVIEW – after 5 years


Business need

Various

Ministerial Submissions

Provision of formal advice to Ministers REVIEW – after 5 years


Business need

Various

Parliamentary Questions

The processing of Parliamentary Questions within NRS, including

answer preparation material, questions and answers



Business need

VITAL Various



BCS LEVEL 1 FUNCTION: ESTATES MANAGEMENT




DISPOSAL ACTION


OWNER

Property Construction

Design & Construction

Architect’s Plans Architect’s plans for NRS buildings PERMANENT Transfer to Archive

Historical value

VITAL NHS-CR/ P&A

Building Layouts Plans & layouts of NRS buildings PERMANENT Transfer to Archive

Historical value

VITAL SPC/ PSB/P&A

Property Maintenance

Major Maintenance

Major Maintenance Works

Records documenting major maintenance/building works to

property

PERMANENT Retain for operational

purposes and pass to new

owners if asset is sold

Business need

P&A

Minor Maintenance

Minor Maintenance Works

Records documenting minor maintenance/building works to

property/assets worth £50,000 and over

DESTROY – 20 years from

completion of works


1973 c. 52 P&A

Records documenting minor maintenance/building works to property/assets worth less than

£50,000


works


1973 c. 52 P&A

Routine Maintenance

Maintenance Files Information relating to routine maintenance undertaken at NRS buildings, for example, cleaning,

decorating, gardening (not including equipment)


works


1973 c. 52 NHS-CR/ P&A

Property Management

Energy Efficiency Carbon Reduction Commitment

Scheme

Documentation on NRS role in the Carbon Reduction Commitment

Scheme



Business need

P&A

Carbon Management Plan

Documentation on the NRS Carbon Management Plan



Business need

P&A



Sustainability Documentation and research into low energy storage solutions for archive

collections



Business need

CSB

Lease Management

Long Term Lease Agreements

Documentation relating to long term leasing of property/assets worth

£50,000 and over

DESTROY – 20 years from end of lease agreement


1973 c. 52 P&A

Short Term Lease Agreements

Documentation relating to short term/temporary leasing of

property/assets worth under £50,000

DESTROY – 5 years from end of lease

agreement


1973 c. 52 NHS-CR/ P&A

Location Management

Maps and Directions

Maps and directions relating to NRS property locations


concluded

Recycling Business need

PSB

Signage Documentation relating to the management, production and location

of NRS signage



Business need

SPC/ PSB

Security Access Requests Requests for access to NRS buildings DESTROY – 7 years from last action


Business need

P&A

Collections Security Documentation relating to the physical security of collections


Business need

CSB

Door Entry Fobs Log

Summary log of access to and from NRS buildings using security passes


Business need

NHS-CR

Fire & Security Documentation relating to fire and security arrangements in NRS


Business need

NHS-CR/ P&A

Issues Records relating to security issues within NRS buildings



Business need

SPC/ P&A

Key Safe Documentation relating to the key safe


Business need

NHS-CR

Tenant Management

Tenant Recharging The mechanism for recharging costs to tenants

DESTROY – 7 years after the conclusion of the transaction


1973 c. 52 VITAL FAB

Waste Disposal Disposal Notes Disposal of waste notes DESTROY – after 3 years


SI 1991/2389 1974 c. 37

P&A



BCS LEVEL 1 FUNCTION: FINANCE




DISPOSAL ACTION


OWNER

Asset Management

Disposal of Assets

Disposal of assets over £50,000

Documentation relating to the disposal of hardware and software with a value of more than £50,000

DESTROY – 20 years after all obligations/ entitlements concluded


1973 c. 52 1970 c. 9

ICT

Disposal of assets under £50,000

Documentation relating to the disposal of hardware and software with a value of less than £50,000

DESTROY – 5 years after all obligations/

entitlements concluded


1973 c. 52 1970 c. 9

ICT

Financial Monitoring & Reporting

Reporting Benchmarking Records providing evidence of how calculations are constructed



Business need

VITAL (for 2 years

after financial

year end)

RaG

Cash Releasing Efficiency Gains

Including plans, targets and outcomes DESTROY – after 10 years


Business need

VITAL (for 2 years

after financial

year end)

RaG

Fixed Asset Thresholds

NRS guidelines on the monetary value for deeming items as

appropriate to Capital Budget and Fixed Asset status



Business need

VITAL (for 2 years

after financial

year end)

RaG

Monitoring Reports Monthly financial monitoring reports provided to Scottish Government



Business need

VITAL (for 2 years

after financial

year end)

RaG

SEAS Reports Including Transaction Reports provided to NRS budget managers

and SMT



Business need

VITAL (for 2 years

after financial

year end)

RaG / SPC/RD

IT



SEAS Uploads Post budget exercises detailed monthly budgets are upload to SEAS

by SG Finance



Business need

VITAL (for 2 years

after financial

year end)

RaG

Workforce Planning Documentation relating to workforce management, including Post Based

Control, Staff Change Forms, Vacancy Board info.



Business need

VITAL (for 2 years

after financial

year end)

RaG

Financial Provisions Management

Budget Management

Assurance Statements

Including Divisional Heads Assurance Statements and Checklists



Business need

VITAL (for 2 years

after financial

year end)

RaG

Autumn Budget Review (ABR)

Autumn Budget Review publication DESTROY – after 10 years


Business need

VITAL (for 2 years

after financial

year end)

RaG

Budget Accountability

Documentation relating to budget accountability within branches



Business need

VITAL DAC

Budget Bill Documentation relating to the publication of the Budget Bill



SG guidance VITAL (for 2 years

after financial

year end)

RaG

Budget Papers Correspondence relating to profiling and monitoring branch budgets as

well as requested budgets and actual budgets



Business need

Various

Budget Revision Activities involved in the review and revision of budgets, including Autumn Budget Review (ABR), Spring Budget

Review (SBR), explanations for variance and divisional/branch

summaries



Business need

VITAL (for 2 years

after financial

year end)

Various

Budget Setting Activities involved in planning and monitoring the annual budget, including timetables, historical

budgets, divisional/branch bids, historical expenditure & income



Business need

VITAL (for 2 years

after financial

year end)

Various



patterns, discussions & outcomes, approved allocations and budget

profiles Budget Spend Log Documentation detailing estimated

and actual spends against budgets, and logs of posts on SEAS



Business need

VITAL SPC

Carbon Accounting Including annual charges DESTROY – after 10 years


Business need

VITAL (for 2 years

after financial

year end)

RaG

Chart of Accounts Include NRS’s Chart of Accounts, updates, cost centre requests,

account code requests, sub-analysis requests and lists of budget

managers



Business need

VITAL (for 2 years

after financial

year end)

RaG

Cost Centre Budget Activities involved in the monitoring, review and revision of branch (cost

centre) budget, including budget profiling, Autumn Budget Review

(ABR), Spring Budget Review (SBR) and explanations for variance



Business need

VITAL RD IT

Draft Budget Calculation of NRS future budget requirements for inclusion in SG

future budget requirements



SG guidance VITAL (for 2 years

after financial

year end)

RaG

Floats Float spreadsheets DESTROY – after 7 years


Business need

VITAL SPC

Forecast Outturn Including monthly pressures & savings, year end projections and

year end final positions



Business need

VITAL (for 2 years

after financial

year end)

RaG

Funding Applications & Bids

Activities relating to applications for grant funding by external bodies



Business need

VITAL CPD/ HEP/ P&MS

Grants Including Memoranda of Understanding, monitoring and

outturn records

DESTROY – 7 years after the grant has been audited OR

DESTROY – when administrative use is concluded if the bid


1973 c. 52; 1994 c. 23; 1970 c. 9; 1998 c. 18

VITAL (for 2 years

after financial

year end)

RaG/ CSB



was unsuccessful

Memorandum to Budget Managers

Including records relating to financial responsibility statements and

delegated authority



Business need

VITAL (for 2 years

after financial

year end)

RaG

Overtime Authorisations

Authorisations and approvals for staff working overtime



1970 c. 9 VITAL ICT/RD IT

Petty Cash Documentation relating to the management of petty cash



1973 c. 52; 1994 c. 23

RE

Position Papers Branch costings and other calculations



Business need

CLP

Severance Packages

Including documentation relating to Approved Early Retirements (AER)

and Voluntary Exits



Business need

VITAL RaG

Spending Review Including Scottish Spending Reviews, Shaping Up Reviews



Business need

VITAL (for 2 years

after financial

year end)

RaG

Spring Budget Review (SBR)

Spring Budget Review publication DESTROY – after 10 years


Business need

VITAL (for 2 years

after financial

year end)

RaG

Financial Transactions Management

Expenditure & Income

Bounced Cheques Documentation relating to and including bounced cheques

DESTROY – 7 years from date of cheque


1994 c. 23 RE

Expenses Documentation relating to financial spending throughout the year



1970 c. 9 1973 c. 52

VITAL Various

Income Activities involved in the collection of money, including rent payments and till rolls for income generated through ScotlandsPeople Centre (Brightsolid),

Café, Shop, Adoptions, Extracts, Internet, Search Rooms, Local Family

History Centres, Seminars, Registration Services (Changes of

Name, Book of Scottish Connections,



1994 c. 23 1970 c. 9 1973 c. 52

VITAL (when

current)

Various



Extract Authentications, Provision of Extracts to Government Departments,

Marriages), NHSCR Customers etc Income Splits Documentation detailing sums paid to

the Lyon Office and other branches DESTROY – after 7

years Confidential destruction

1994 c. 23 SPC

Invoices Documentation relating to and including Invoices



1994 c. 23 1970 c. 9 1973 c. 52

VITAL Various

Merchant Copies Merchant copies of credit card transactions

DESTROY – 3 months after conclusion of transaction


Business need

PCI DSS

VITAL RE

Receipts Documentation relating to and including receipts - including Travel, &

Worldpay



1973 c. 52 1994 c. 23 1970 c. 9 1998 c. 18

VITAL PSB/RE /RD IT

Refunds Documentation relating to and including Refunds



1973 c. 52 1994 c. 23 1970 c. 9 1998 c. 18

VITAL RE/SPC/ PSB

Rent & Utilities Documentation relating to the payment of rent & utilities



1994 c. 23

VITAL

Scottish Government Enterprise

Accounting System (SEAS)

Documentation held on and relating to the SEAS system, including

correspondence, invoice payments, queries and accounts receivable



1994 c. 23

VITAL FAB

Stock Take Documentation detailing the rolling programme of stock takes and any

discrepancies



1994 c. 23

VITAL SPC

Suspense Accounts

Documentation held on and relating to the activities and reconciliation of the

Suspense Accounts



1994 c. 23

VITAL FAB

Travel Claims Prime documents relating to and including Travel Expenses



1973 c. 52 1994 c. 23 1970 c. 9 1998 c. 18

Various

Vouchers Documentation relating to and including vouchers

DESTROY – 7 years after the conclusion


1973 c. 52 1994 c. 23

VITAL SPC



of the transaction 1970 c. 9 1998 c. 18

ZZ Reports Daily till summary reports DESTROY – 7 years after the conclusion of the transaction


1994 c. 23

VITAL RE

Fees & Charges Correspondence Correspondence relating to fees & charges


Business need

VITAL RD

Credit Cards Documentation relating to fees and charges by credit card



1973 c. 52 RE

Fees Record of monies received including fee papers and inspection fees



1973 c. 52 VITAL (when


months)

PSB

Income Generation Review

Including charging for services, review, and marketing outcomes



Business need

VITAL (for 2 years

after financial

year end)

RaG

Memorandum Trading Accounts

Including those of NHSCR, ScotlandsPeople Centre,

ScotlandsPlaces and the Scottish Tartan Authority



Business need

VITAL (for 2 years

after financial

year end)

RaG / SPC/

NHS-CR

Recharging Absorption Rates Including budgeted overheads, budgeted outturns, projected

overheads & Cost Driver Reviews



Business need

VITAL (for 2 years

after financial

year end)

RaG

Hourly Rates NRS costing tool used for calculating proposed costs (e.g. overtime per

grade)



Business need

VITAL (for 2 years

after financial

year end)

RaG

Internal Recharging The mechanism for recharging costs within NRS



Business need

VITAL FAB

Payroll

Payment of Employees

Monthly Reconciliations

Accuracy check of monthly NRS payroll reports and resolving



1970 c.9 1973 c. 52

VITAL (for 2 years

RaG



anomalies with SG Payroll after financial

year end) Pay Awards In line with the SG pay awards,

ensuring appropriate uplifts are incorporated to the NRS average

salaries



1970 c.9 1973 c. 52

VITAL (for 2 years

after financial

year end)

RaG

Payroll Database Merging individual NRS cost centre payroll reports into one NRS payroll

database



1970 c.9 1973 c. 52

VITAL (for 2 years

after financial

year end)

RaG

Payroll Mispostings Identifying anomalies, liaising and instructing SG payroll on corrective

action



1970 c.9 1973 c. 52

VITAL (for 2 years

after financial

year end)

RaG

Payroll Records Records of staff payroll DESTROY – after 7 years


1970 c.9 1973 c. 52

VITAL CEN

Payroll Report Monthly payroll spreadsheet DESTROY – after 7 years


1970 c.9 1973 c. 52

VITAL RE

PerTemps Database

Compilation of weekly PerTemp invoices for NRS workforce planning

and staff costs monitoring



1970 c.9 1973 c. 52

VITAL (for 2 years

after financial

year end)

RaG

Salaries Documentation relating to salaries, including NRS average salaries

calculated and used in budget setting and recharging exercises



1970 c.9 1973 c. 52

VITAL (for 2 years

after financial

year end)

RaG

Procurement

Assessment Capability Assessment

Reports

Capability Assessment Reports REVIEW – after 10 years


Business need

P&A

Contract Management

Change Requests & Controls

Documentation related to proposed changes in contracts

DESTROY – 10 years after the term of the contract has

expired


1973 c. 52 P&A



Clarification of Contracts

Negotiation of a contract after a preferred tender has been selected


expired


1973 c. 52 P&A

Contract Case Files Documentation relating to the management of contracts


expired


1973 c. 52 VITAL P&A

Pricing Schedule Documentation relating to the pricing schedules of contracts


expired


1973 c. 52 P&A


Service Level Agreements in relation to awarded contracts


expired


1973 c. 52 P&A

Statement of Requirements

Documentation related to system or service requirements for a contract


expired


1973 c. 52 P&A

Tenders - Unsuccessful

Documentation relating to unsuccessful tenders, including quotations and rejection letters

DESTROY – 1 year after start of contract


1973 c. 52 P&A

Requisitioning Goods Received Documentation relating to receiving and checking goods, works or

services are delivered as required



1973 c. 52 Various

Purchase Orders/ RD1 Forms / Requisitions

Internal documentation relating to requisitions




Taxation

Local Taxation Council Rates Activities involved in managing the payment of taxes by the organisation

DESTROY – 7 years from closure


1994 c. 23 1970 c. 9

SI 1995/2518

NHS-CR

National Taxation VAT Returns Documentation held on and relating to the VAT Returns made to HMRC

DESTROY – 7 years from the conclusion

of transaction


1994 c. 23 1970 c. 9

SI 1995/2518

VITAL FAB



BCS LEVEL 1 FUNCTION: GEOGRAPHY




DISPOSAL ACTION


OWNER

Arc Gis

Postcode Production

Administrative including reports

Documentation relating to user requirements, procedures, QA processes and Review. Reports containing results from various analysis, testing, error trapping, performance. Monitoring logs. System enhancements. Meeting notes.

Review after 5 years Confidential destruction

Business need

Geog

Data Suppliers

External Products All digital data, data, metadata, Product and User Guides, support from suppliers


Business need

Geog

Administrative Correspondence and advice, contacts list, seminars/workshops/user forums, meeting notes


Business need

Geog

Internal Products Digital data, data, metadata, Product and User Guides


Business need

Geog

Administrative Correspondence and advice, meeting notes, seminars and workshops


Business need

Geog

Maintenance

Boundary Administrative Correspondence, investigation, meeting notes


Business need

Geog

Methods Boundary maintenance policy for NRS and non NRS data, guidance and procedures, quality assurance measures, exceptions

Review after 10 year Confidential destruction

Business need

Geog

Data Spatial files and data, databases Documentation and metadata

Review after 10 year Confidential destruction

Business need

Geog



Geographic Areas

Data Spatial data files for all geographies Documentation and Metadata Databases and spreadsheets


Business need

Geog

Postcode Methods Digitising guidelines and policy Procedural notes for digitising various postcode types. Instructions.


Business need

Geog

Reports Exception and anomalies, spreadsheets and databases


Business need

Geog

Administrative Correspondence and investigation, meeting notes


Business need

Geog

Research Data Analysis of data/alternative data, new procedures and methods. Pilot studies of new work, testing and investigation. Planning. Documentation and metadata


Business need

Geog

Products

Addressing Data Database and spreadsheets. Spatial files Documentation and metadata inc health warnings


Business need

Geog

Administrative Correspondence with users, meeting notes, user groups, user requirements, policy and procedural notes, health warnings


Business need

Geog

Archiving Methods Policy and procedures for archiving Review after 5 years Confidential destruction

Business need

Geog

Data Relates to customer extracts : Spatial data, databases, customer bulletins, ad hoc requests

Review after 10 years

Review for historical value

Business need

Geog

Extracts Data Relates to customer extracts: Spatial data, databases, customer bulletins, documentation and metadata, health warnings


Business need

Geog

Geographic Data Spatial data, databases, spreadsheets, reports, documentation and metadata, lookup files, user


Business need

Geog



guides, general reference, anomalies and health warnings (includes census geographic reference material)

Research Data Spatial data, databases, spreadsheets, reports, research findings, plans and schedules


Business need

Geog



BCS LEVEL 1 FUNCTION: HEALTH & SAFETY




DISPOSAL ACTION


OWNER

Monitoring

Accident & Incident

Reporting

Accident & Incident Log

Reports of accidents and incidents, for staff and visitors (adults)

DESTROY – 7 years from date of accident


SI 1995/3163

VITAL SPC/ NHS-CR/

P&A Reports of accidents and incidents,

for staff and visitors (children) DESTROY – 25

years from date of accident


SI 1995/3163

VITAL P&A

Investigations Activities relating to internal or external investigations

DESTROY – 7 years from date of accident


1973 c. 52 P&A

Major Injuries Documentation relating to major injuries – accident reports

DESTROY – 12 years from date of

accident


SI 1995/3163 1974 c. 37

SI 2012/199 1973 c. 52

P&A

Auditing & Inspections

Access Audits Reports provided from access audits carried out by independent health and

safety auditors



2010 c. 15 P&A

Inspections Process of inspecting equipment to ensure it is safe

DESTROY – 5 years after equipment is

decommissioned or DESTROY – 20

years after equipment is decommissioned if there is a history of

accidents concerning the equipment


1973 c. 52 P&A

First Aid First Aiders List of First Aiders within the organisation



Business need

VITAL CPD/ NHS-CR

Training Records relating to First Aid training undertaken by staff

DESTROY – 6 years from leaving date


1973 c. 52 NHS-CR

Maintenance & Testing

Fire Precautions Documentation relating to fire inspections of NRS buildings



SI 2005/1541

P&A



Fire Test Logs Log book recording fire alarm tests REVIEW – after 5 years


Business need

VITAL RE

Equipment Maintenance

Process of maintaining equipment to ensure it is safe






1973 c. 52 1974 c. 37

P&A

Testing Documentation recording dates and results of examinations/tests of

equipment, including Respiratory Protective Equipment (except

Disposable RPE), and exhaust ventilation equipment






1973 c. 52 SI

1998/2451

P&A

Protective Equipment

Asbestos Documentation recording exposure to asbestos and provision of any

Respiratory Protective Equipment (RPE) to employees

DESTROY – 40 years from the date

of the last entry


SI 2012/632 1974 c. 37

VITAL P&A

Personal Protective Equipment

Records relating to the issuing of personal protective equipment



1973 c. 52 CSB



BCS LEVEL 1 FUNCTION: HUMAN RESOURCES




DISPOSAL ACTION


OWNER

Development & Training

Inductions Checklists New starter checklist REVIEW – after 5 years


Business need

VITAL CPD/ P&MS

Induction Packs Induction Packs for new starters PERMANENT Transfer to Archive

Historical value

VITAL CPD

Log Summary training log of members of staff attending Induction



Business need

NHS-CR

Tours Details of tours completed during Induction


concluded


Business need

CPD

Personal Learning &

Development

BCS RoleModel Scheme

Documentation and database containing details of The Chartered

Institute for IT’s best practice framework for IT professionals



Business need

ICT/IAS/RD IT

Lifelong Learning Applications and details of offers relating to Lifelong Learning



Business need

VITAL CPD

Personal Learning Logs (PLLs)

Summary learning logs of training completed



Business need

RD-Training

Personal Learning Plans (PLPs)

Identification of training requirements DESTROY – 6 years from leaving date


Business need

VITAL CPD

Reports Annual reports DESTROY – 6 years from leaving date


Business need

RD-Training

Work Shadowing Opportunities

Lists of work shadowing opportunities available within NRS



Business need

CPD

Resources Kindle Summary log and sign out sheets detailing members of staff borrowing

the Kindle for work or training purposes



Business need

VITAL CPD

Training Courses & Seminars

Feedback Feedback from members of staff attending internal training courses



Business need

CPD/IAS



Training Log Summary log of staff attending internal training courses



Business need

NHS-CR

Training Manuals, Materials & Content

Details of internal training delivered to staff, including presentations,

seminars, course notes and papers



Business need

VITAL Various

Training Records Individual staff training records, including attendance records and

awards and certificates



Business need

Various

Training Requests Requests for training from members of staff


concluded


Business need

RD IT

Equal Opportunities

Equalities & Diversity

Equality Impact Assessments

Documentation relating to the production of Equality Impact

Assessments



2010 c. 15 VITAL CPD

Equality Outcomes Records relating to the identification of equality outcomes




Mainstreaming Equality Reports

Reports on mainstreaming equality REVIEW – after 4 years



Gender Pay Gap Reports

Reports on gender pay gaps REVIEW – after 4 years



Statements on Equal Pay

Statements on equal pay REVIEW – after 4 years



Managing Employees

Employee Case Files

Case Files Documentation held by line managers relating to the management of employees in NRS, including

overtime, conflicts of interest, issues, meetings, monthly conversations,

objectives. NB: HR information, relating to

absence, leave, disciplinary issues and contractual records are retained

by SG



Business need

VITAL Various

Performance Management

Documentation relating to the monitoring and assessment of

performance, including in year and

DESTROY – 3 years after superseded


Business need

Various



end year reviews

Managing Teams

Away Days Away Days Documentation relating to team/branch away days



Business need

CPD/ NHS-CR

Team Planning Team Responsibilities

Identification of team responsibilities PERMANENT

Transfer to Archive

Historical value

VITAL Various

Managing Volunteers & Work Experience

Volunteer Case Files

Case Files Documentation relating to volunteers at NRS, including Family Search



Business need

PSB/ BMU

Programmes Certificates Details of certificates issued to work experience placements



Business need

CPD

Internships Details of the ESRC Internship programme



Business need

DAC

Placements Details of placements available within NRS



Business need

Various

Secondment Documentation relating to the process of secondments to or from NRS



Business need

Various

Welcome Pack Welcome packs for work experience students/placements



Business need

CPD

Work Experience Programme

Details of the work experience programme available within NRS



Business need

CPD

Work Shadowing Documentation relating to work shadowing opportunities in NRS



Business need

RD-Training

Occupational Health

Assessments Display Screen Equipment / Visual

Display Unit Assessments

Completed DSE/VDU/desk assessments



1973 c. 52 RD-Training/ NHS-CR

Health & Wellbeing

Health Checks Staff participation in health checks carried out at Cairnsmore House



1973 c. 52 NHS-CR

Healthy Working Lives

Offers, presentations & seminars DESTROY – 5 years from closure


Business need

CPD/ NHS-CR



Inductions Health & Safety Inductions

Completed forms following Health & Safety Inductions



1973 c. 52 RD-Training

Recruitment

Advertising Advertisements Advertisements for a vacant position REVIEW – after 5 years


Business need

Various

Job Descriptions Job descriptions and person specifications for posts

DESTROY – 1 year after completion of

job role


Business need

VITAL Various

Applications Application Forms – Successful Candidates

Applications for a vacant position – successful candidates



1973 c. 52 Various

Application Forms – Unsuccessful

Candidates

Applications for a vacant position – unsuccessful candidates

DESTROY – 6 months after

recruitment finalised


2010 c. 15 Various

Contact Details Contact details of candidates applying for vacant positions


concluded


Business need

CPD

Feedback Written feedback provided to candidates





Authorisation & Approval

Authorisations & Approvals of Post

Authorisations to appoint and advertise a vacancy



Business need

Various

Business Cases Business Cases and financial papers relating to recruitment of a post



Business need

Various

Interviewing Interview Notes & Scoring –

Successful Candidates

Notes and scoring from interviews of successful candidates




Interview Notes & Scoring –

Unsuccessful Candidates

Notes and scoring from interviews of unsuccessful candidates




2010 c. 15

VITAL Various

Invites to Interview Details of invites to interview DESTROY – 6 months after






BCS LEVEL 1 FUNCTION: ICT MANAGEMENT




DISPOSAL ACTION


OWNER

Infrastructure Management

Data Updates Data Change Control

Documentation relating to corporate database data changes

DESTROY – once system no longer

used


Business need

ICT/RD IT

Systems & Applications

Support

Census Systems Support

Census systems support records, including Census Field Operations,

Census Outputs, Beyond 2011, Printing and Logistics

REVIEW – 5 years after system no

longer used


Business need

CEN

Help Desk Internal customer reporting of faults DESTROY – 5 years from job closure


Business need

ICT/RD IT

Issues Details of issues and problems raised with ICT



Business need

VITAL Various

Requests for Change

Documentation relating to requests for change



Business need

VITAL Various

Service Desk Documentation relating to system monitoring including system metrics

REVIEW – 5 years from job closure


Business need

ICT

User Administration Documentation relating to systems and applications user administration


used


Business need

RD IT

Systems Audits Internet Usage - Detailed

Detailed breakdown of specific internet activity



Business need

IAS

Internet Usage - Weekly

Report on top 20 staff internet users DESTROY – after 3 months


Business need

IAS

Protective Monitoring Server

Reports

Audit reports and analysis of IT activity



Business need

IAS

Server Patching Reports

Details of IT server patches DESTROY – after 7 years


Business need

IAS

Stand Alone Audit Reports

Audit reports on stand alone PCs in NRS



Business need

IAS

USB Audit Reports Audit reports on employees USB keys DESTROY – after 7 years


Business need

IAS



Systems Design & Development

Active Directory Design records and diagrams relating to the Active Directory


Business need

ICT

Code Application and system code versions that deliver application functionality


longer used


Business need

VITAL ICT/RD IT

Configuration Documentation relating to the configuration of the system


longer used


Business need

ICT

Databases Databases of data supporting the persistent delivery of system functions


longer used


Business need

VITAL RD IT

Design and Construction

Documentation relating to the design and construction of systems


longer used


Business need

VITAL Various

Development Documentation relating to the development of systems and

software, including web technology development, programming


longer used


Business need

ICT/RD IT

Quality Assurance Documentation relating to formal peer review and sign-off of requirements,

design, specifications and other systems documentation


used


Business need

ICT/RD IT

Requirements Documentation supporting requirements analysis and

specification of the business area for which the system is being developed


longer used


Business need

ICT/RD IT

Specifications Documentation relating to the identification of systems specifications


longer used


Business need

VITAL Various

Systems Management

Broadband Broadband documentation REVIEW – 5 years after system no

longer used


Business need

ICT

Build & Installation Guides

Build and installation guides for systems in operation within NRS


longer used


Business need

VITAL ICT

Case Files Documentation relating to the management of internal and external

ICT systems, including policy documents, agreements, costing,



Business need

NHS-CR



assessments

Computer Hall Documentation relating to the management and monitoring of climate control and power in the

computer hall


longer used


Business need

ICT

Data Management Documentation relating to the management of specific systems data

which includes back ups, mirroring, and systems interfaces


longer used


Business need

VITAL ICT/SLS

Disposals Documentation relating to the disposal of systems, including

Register of Degausser Items and Bankcco Certificates of Data Wipe

PERMANENT Retain for operational and audit purposes

Business need

ICT

Hardware Lists / Assets

Including: Storage Area Network, Blades, Network Devices, Desktops, Laptops, Servers, Loan Pools, 3G,

USB, Mobile Phones


longer used


Business need

ICT/SLS

Implementation Documentation relating to systems implementation


longer used


Business need

VITAL ICT

Infrastructure Documentation relating to systems infrastructure


longer used


Business need

VITAL ICT

Integration Documentation in relation to data conversion, data matching, data mapping and system interfacing


longer used


Business need

ICT

Issues Logs Summary logs of systems issues REVIEW – 5 years after system no

longer used


Business need

ICT/SLS

Leased Lines Documentation relating to leased lines


longer used


Business need

ICT

Licences Documentation in relation to software licensing


longer used


Business need

VITAL Various

Log Files Information about the performance and interactions on systems

generated by operating systems, application middleware, system

RETAIN – all audit trail data for at least the same period as the information to


Business need

RD IT



components and applications which it refers. Thereafter, it may be appropriate to retain selected elements of this audit trail data to

serve as a destruction log of the

original records Maintenance –

Network & Servers Documentation relating to the

maintenance and support of the network and system servers


longer used


Business need

ICT

Maintenance - Systems

Documentation relating to the maintenance and support of software and systems, including daily checks

and rota


longer used


Business need

ICT/PSB

Manuals & Operating

Procedures

User manuals and support information relating to specific systems or pieces of software


longer used


Business need

Various

Patching Documentation relating to cable patching


longer used


Business need

VITAL ICT

Safe Setting Documentation relating to the use of the safe setting


longer used


Business need

SLS

Service Catalogue Documentation relating to definition of all services both live and in

development


longer used


Business need

VITAL ICT


Information relating to agreements made between internal teams and

ICT on a contractual basis

DESTROY – 2 years after the terms of the agreement/contract

have expired


Business need

VITAL ICT/RD IT

Software Deploy Versions

Discrete versions of compiled program code delivering system

functionality and/or changes to that functionality

REVIEW - within 1 year of system no

longer used


Business need

VITAL RD IT

Storage Documentation relating to storage systems and servers


longer used


Business need

VITAL ICT

Technologies VMWare, Clariion SAN, Compellant SAN



Business need

ICT



longer used

Telephone Systems and

Networks

Documentation relating to the installation and configuration of individual systems and overall

network design and configuration


longer used


Business need

ICT

Web Development Includes development of internet, intranet and extranet


longer used


Business need

ICT

Systems Testing Pilots Documentation relating to pilots of systems


longer used


Business need

ICT

Tests Documentation relating to systems testing, including Test Plans and Test

Records


longer used


Business need

ICT/RD IT



BCS LEVEL 1 FUNCTION: INFORMATION GOVERNANCE




DISPOSAL ACTION


OWNER

Compliance

Data Protection Enquiry Log Summary information relating to Subject Access Requests processed

by NRS



Business need

CPD

Notification Process of notifying the Information Commissioner on data held

DESTROY – 1 year after previous

notification


Business need

CPD

Privacy Notices Statements explaining why we are collecting personal data, what we are going to use it for, who we are going to share it with, how an individual can access information held about them

and how we will ensure that the information is kept securely

RETAIN – for as long as the collected data

is retained


Business need;

1998 c. 29

VITAL Various

Freedom of Information

30 Day Enquiries Requests for information under FOI from closed public records



Business need

GRB

Enquiry Log Central enquiry log for the management of all FOI enquiries



Business need

CPD

File Release Exercises

Documentation on release of public records to public access on expiry of

closure/exemption



Business need

GRB

Publication Scheme

Detailing the routine publication of certain classes of information


Historical value

VITAL CPD

Reviews Review of the Section 61 Code of Practice



Business need

GRB

Schedules Copies of FOI paperwork issued to depositing bodies


concluded


Business need

GRB

Information Security & Assurance



Data & Systems Access & Control

Clearance Details of standard vetting of employees



Business need

VITAL IAS

Confidentiality Agreements, Lists

& Declarations

Details of Confidentiality statements held between NRS and third parties



Business need

VITAL Various

Data Access Agreements

Details of Data Access Agreements held between NRS and third parties



Business need

VITAL Various

Data Sharing Agreements

Details of Data Sharing Agreements held between NRS and third parties



Business need

VITAL DAC

Decommissioning IT services provided to NHSCR by stakeholders



Business need

NHS-CR

Disclosure Control Documentation relating to the process of disclosure control



Business need

NHS-CR/ P&MS

Security Documentation relating to security requirements, controls and reviews

REVIEW - within 1 year of system no

longer used


Business need

RD IT

Incident Reporting

Incident Register Index of all NRS incidents and vulnerabilities


Business need

VITAL IAS

Incident Reports Details of information security incidents, vulnerabilities, threats and

events



Business need

IAS/NHS-CR/CEN

Incident Returns Quarterly incident reporting returns DESTROY – after 5 years


Business need

IAS

Information Assurance

Advisory Notices Government Advisory Notices and alerts



Business need

IAS/ICT/CEN

Anti Virus Documentation relating to weekly AV updates deployed across NAS.net, to ensure AV protection of systems and servers; and alerts or warnings issued

in relation to potential viruses



HMG Standards

ICT

Independent Information

Assurance Review

Details of information assurance reviews carried out by NRS or

appointed third parties



value

Business need

ICT/CEN

Password Logs Super administrator password logs REVIEW – annually Confidential destruction

Business need/HMG Standards

VITAL ICT



Penetration Tests Reports of penetration tests REVIEW – 5 years from creation date


value

Business need

ICT

Privacy Compliance

Checks

Assessments of compliance with privacy legislation



Business need

VITAL DAC

Security Review Details of information security reviews carried out by NRS or appointed third

parties



value

Business need

CEN

System Event Logs .CSV files REVIEW – after 5 years

To be overwritten

HMG Standards

ICT

Intellectual Property

Licensing Licensing Documentation relating to licensing, including licensing of NRS collections

and Geography

DESTROY – 6 years from termination of

agreement


1973 c. 52 VITAL ERU/RE Geog

Permissions Copyright Declaration Forms

Documentation relating to the use of archives with regards to copyright

DESTROY – 6 years from date of form


1973 c. 52 PSB

Permissions Requests for permission to publish material from the collection, including

photograph permissions forms

DESTROY – 6 years from date of form


1973 c. 52 VITAL RE

Re-Use Public Sector Information

Documentation relating to the re-use of public sector information



Business need

ERU

Royalties Administration Correspondence relating to payment of royalties to data suppliers and

collection of royalties from customers



Business need

Geog

Records Management

Auditing Information Audit Comprehensive audit carried out within NRS to examine recordkeeping

systems, processes and strategies


Historical value

CPD

Classification Business Classification

Scheme

Detailing the functions, activities and transactions of NRS


Historical value

CPD

Physical Records Management

RMU Database Database to manage the contents of the RMU, including transfers,

retrievals, reviews and disposals


Business need

GRB

RMU Enquiries General enquiries received by the RMU



Business need

GRB



RMU Reminders Documentation relating to the process of reminding staff with records on loan

from the RMU that they are due for return

DESTROY – 1 year after records have

been returned to the RMU


Business need

GRB

RMU Retrievals Correspondence requesting the retrieval of records from the RMU and

forms detailing the retrievals

DESTROY – 12 years after disposal

of records


Business need

GRB

RMU Reviews Documentation relating to the review of records held within the RMU once they have reached the end of their

retention period

DESTROY – 12 years from last action


Business need

GRB

RMU Transfers Documentation relating to the transfer of records from divisions/branches to

the RMU

DESTROY – 12 years after disposal

of records


Business need

GRB

Retention & Disposal

Disposals Documentation relating to the disposal of records



Business need

P&A

Retention and Disposal Schedules

Documentation detailing recommended retention periods for

records

PERMANENT Retain for audit

purposes

Business need

VITAL CPD

Shredding Facilities Documentation relating to the use of onsite/offsite shredding facilities for

the confidential destruction of records



Business need

P&A



BCS LEVEL 1 FUNCTION: REGISTRATION




DISPOSAL ACTION


OWNER

Assessment & Evaluation

Archives Accreditation

Accreditation Documentation relating to the accreditation of archive services

across Scotland


Historical value

CLP

Assessing Records

Management Plans

Assessment Documentation relating to the assessment of submitted Records

Management Plans



value

Business need

GRB

Collected Evidence Evidence submitted to support a Records Management Plan



Business need

GRB

Failure to Agree Documentation relating to failures to agree an organisation’s RMP



value

Business need

GRB

Formal Agreements Formal agreements of submitted Records Management Plans



value

Business need

GRB

Invitations to Revise Plans

Formal invitations to revise a submitted Records Management Plan



Business need

GRB

Invitations to Submit

Formal invitations to submit a Records Management Plan



Business need

GRB

Post-Implementation

Reports

Post-implementation reporting on the Public Records (Scotland) Act 2011


Historical value

GRB

Submissions Submitted Records Management Plans


Historical value

GRB

Examining & Assessing Registrars

Complaints Complaints received by NRS about registration services throughout

Scotland



Business need

RD

Contributions Training material REVIEW – after 5 years


Business need

RD-Training

Exam Board Papers & Files

Agendas, minutes, and associated papers for Exam Board


Historical value

RD-Training



Exam Candidates Lists of annual exam candidates (including re-sits)



Business need

RD-Training

Examination of Registers

Including Batch Slips, Error Sheets, Reports for Districts and Summaries

of Performance



Business need

RD-Training

Letters Letters to managers regarding their exam candidates



Business need

RD-Training

Mock & Test Papers

Training material REVIEW – after 5 years


Business need

RD-Training

Reports Including reports to Exam Board (exam feedback and papers for future

consideration of Exam Board) and District Examiners performance

reports



value

Business need

RD

Trainers Forum Including details of forum members, meetings and delegates



Business need

RD-Training

Workshops Training workshops held for exam candidates



value

Business need

RD-Training

Casework Processing

Adoptions & Parental Orders

Case Files Case files relating to the processing/registration of adoptions

and parental orders


Historical value

RD

Casework Log Documentation logging details of case with start and end dates which

calculate performance against targets


Historical value

RD

Court Process Papers

Sealed envelopes containing individual sets of legal papers relating to each adoption made by the courts


Historical value

VITAL RD

Secret Index Series of index cards linking original birth details to adoption details


Historical value

VITAL RD

Bigamy Case Files Case files relating to the processing/registration of bigamy


Historical value

RD




Historical value

RD



Births Case Files Case files relating to the processing/registration of births

DESTROY – 5 years from case closure

unless they contain statutory declarations

which are to be retained for 100

years

Precedent cases = PERMANENT


Transfer to Archive

Business need

Historical value

RD




Historical value

RD

Birth Re-Registrations

Case Files Case files relating to the re-registration of births




years

Precedent cases = PERMANENT


Transfer to Archive

Business need

Historical value

RD




Historical value

RD

Book of Scottish Connections

Case Files Case files relating to the processing/registration of entries in the Book of Scottish Connections


Precedent cases =

PERMANENT


Transfer to

Archive

Business need

Historical

value

RD




Historical value

RD

Change of Name Case Files Case files relating to the processing/registration of changes of

name

DESTROY – 5 years from case closure unless for children

under 16 = DESTROY – on or after 16th Birthday


Business need

RD






Historical value

RD

Civil Partnerships Case Files Case files relating to the processing/registration of civil

partnerships


Precedent cases =

PERMANENT


Transfer to

Archive

Business need

Historical

value

RD




Historical value

RD

Correction of Errors

Case Files Case files relating to the processing/registration of corrections

of errors




years


Business need

RD




Historical value

RD

Vital Events Entries & Correspondence

Copies of entries for the Register of Corrections as processed by the Vital

Events branch, and associated correspondence

DESTROY – 2 years after entry


Business need

VE

Deaths Case Files Case files relating to the processing/registration of deaths

General Death Files = DESTROY – 5 years from case

closure

Declarator of Death Files = PERMANENT


Transfer to Archive

Business need

Historical value

RD




Historical value

RD

Extract Authentications

Case Files Case files relating to the processing/registration of extract

authentications



Business need

RD



Historical value

RD




False Information Case Files Case files relating to the processing/registration of false

information

DESTROY – 5 years from case closure if no action taken or DESTROY – after 100 years if action

taken


Business need

RD




Historical value

RD

Gender Reassignments

Case Files Case files relating to the processing/registration of gender

reassignments


Historical value

RD




Historical value

RD

Secret Index Gender reassignments index PERMANENT Transfer to Archive

Historical value

VITAL RD

Marriages Case Files Case files relating to the processing/registration of marriages


Precedent cases =

PERMANENT


Transfer to

Archive

Business need

Historical

value

RD




Historical value

RD

Celebrants Database

Database containing information about authorised celebrants in

Scotland


Historical value

RD

National Register of Archives for

Scotland

Register Summary lists or 'surveys' describing papers held by private individuals and

families, landed estates, clubs and societies, businesses and law firms.

The Register also includes surveys of similar papers which have been

deposited in the archives and libraries of local authorities and universities


Historical value

CLP

PRSA Records Management

Records Management Plan

Approved & Registered Records Management Plans


Historical value

GRB



Plans

Royal Congratulatory

Messages

Case Files Case files relating to the processing/registration of Royal

Congratulatory Messages



Business need

RD




Historical value

RD

Still-Births Case Files Case files relating to the processing/registration of still-births


Historical value

RD




Historical value

RD

Secret Index Still-births index PERMANENT Transfer to Archive

Historical value

RD

Tartans Case Files Paperwork relating to appeals made to the Keeper regarding tartans

included on the Register including appeals and applications


Historical value

VITAL PSB

Failed Applications Correspondence, applications, appeals relating to failed registrations


Historical value

VITAL PSB

Tartan Register Online website PERMANENT Transfer to Archive

Historical value

VITAL PSB

Developing & Implementing Policy & Legislation

Developing Policy &

Legislation

Correspondence Correspondence relating to the development of new legislation



Business need

VITAL (when

current)

RD

Public Records Bill Including Minutes, Agendas, Papers, Recommendations, Website Steering

Group & Website Content Group documentation

PERMANENT

Transfer to Archive

Historical value

GRB

Development of the Public Records

(Scotland) Act 2011

Including external assessment mechanism tools, client management,

reports, correspondence, mapping exercises, publications, external sources, consultation papers &

responses, minutes, FAQs, FOISA review documents, objectives,


Historical value

GRB



timetables

Discussion Boards Records relating to the establishment of Discussion Boards, including

invitations to join discussion board; discussion board submissions;

reports on discussion board



value

Business need

GRB

Implementing Policy &

Legislation

Implementation of the Public Records (Scotland) Act 2011

Including correspondence, details of sponsors, ministerial briefings, enquiries, details of scheduled

authorities



value

Business need

GRB

Surgeries Including invitations and responses, correspondence, presentations and

enquiries



value

Business need

VITAL GRB



BCS LEVEL 1 FUNCTION: STATISTICS




DISPOSAL ACTION


OWNER

Data Collection, Analysis, Processing & Quality Assurance

Data Coding Coding Instructions & Code Lists

Material describing the codes that should be used for (e.g.) occupations, and notes on what should be done in

particular circumstances


Business need

VITAL VE

Correspondence Correspondence with Medical Adviser and ICD Specialists


concluded


Business need

VE

Data Collection & Sources

Amended Form 11s Received from Registrars or Doctors, and associated correspondence

DESTROY – 2 years after receipt


Business need

VITAL (until used)

VE

Drug Death Information Forms

Correspondence with pathologists, names of any drugs found and other information about deaths which may

be drug-related



Business need

VITAL (until used)

VE

Medical Enquiry Letters & Forms

Additional or revised information about the causes of deaths and associated correspondence with

certifying doctors



Business need

VITAL (until used)

VE

Methodology Documentation relating to the process of collecting and analysing sources



Business need

VITAL AS/ P&MS

Procurator Fiscal Forms

Documentation describing the outcome of the Procurator Fiscal’s

investigations of deaths, occasionally specifying changes to be made to the

public record of the cause of death



Business need

VITAL (until used)

VE

Sources Including source data, correspondence, contact lists, maps,

software code and SAS files



value

Business need

VITAL Various

Data Processing & Analysis

Quality Assurance & Checking

Including image checking, results of periodic checks on aspects of the

quality of data, and identification of cases to be corrected



Business need

VITAL VE/ P&MS



Statistical Processing

Documentation relating to statistical processing, including analysis and working, charts and graphs, checks

and comments, correspondence, data files, methodology, software code, data capture (coding), coverage

assessment, coverage adjustment, coverage survey, quality, downstream

processing, extracts, governance, image checking and IT systems



value

Business need

VITAL Various

Vital Events Datasets

Including INGRES and SAS Datasets for Births, Adoptions, Marriages,

Deaths, Divorces etc


Business need

VITAL VE

Development & Research

External Statistical

Development & Research

Case Files Case files relating to external statistical development and research

including data collected, analysis, reports and correspondence



value

Business need

VITAL VE/ P&MS/

SLS

Data Documentation of aspects of the data PERMANENT Retain for operational purposes

Business need

VITAL VE/ P&MS

Meetings Notes of meetings with data suppliers PERMANENT Retain for operational purposes

Business need

VE/ P&MS

Internal Statistical Development &

Research

Case Files Case files relating to internal statistical development and research

including data collected, analysis, reports and correspondence



value

Business need

VITAL VE/HEP/P&MS/

SLS

Data Documentation of aspects of the data PERMANENT Retain for operational purposes

Business need

VITAL VE/ P&MS

Meetings Notes of meetings with data suppliers PERMANENT Retain for operational purposes

Business need

VE/ P&MS

Research & Small Scale

Testing

Case Files Documentation relating to internal and external research and small scale testing, including correspondence,

planning, specifications, reports and spreadsheets



value

Business need

CEN



Review & Evaluation

Case Files Documentation relating to reviews and evaluations, including correspondence, planning, specifications, reports and

spreadsheets



value

Business need

CEN

Specification & Testing

Case Files Documentation relating to specification and testing, including

correspondence, planning, specifications, reports and

spreadsheets



value

Business need

CEN

Statistical Legislation

Development Documentation relating to the development of statistical legislation

including analysis, briefing, correspondence and data



value

Business need

P&MS

Planning Documentation relating to the planning and implementation of

statistical legislation


Historical value

VITAL CEN

Statutory Publications

Documentation relating to statistical publications


Historical value

VITAL CEN

Statistical Methodology

Census Coverage Survey

Documentation relating to the Census Coverage Survey, including statistical

processing documentation



value

Business need

VITAL CEN

Census Quality Survey

Documentation relating to the Census Quality Survey, including statistical

processing documentation



value

Business need

VITAL CEN

Survey Design Case Files Documentation relating to survey design, including correspondence,

planning, specifications, reports and spreadsheets



value

Business need

CEN

Released Statistical Outputs

Output Dissemination

Briefings Briefing for Ministers, policy officials and others



Business need

P&MS

Case Files Documentation relating to output dissemination, including

correspondence, planning, specifications, reports and

spreadsheets



value

Business need

VITAL CEN/ P&MS



Presentations Internal and external presentations given my members of the branch.

Includes PowerPoint presentations, charts and workings.



Business need

HEP/ P&MS

Published Information

Statistical publications, separate statistical tables and charts, statistical

datasets, documentation and other material which is made publicly-

available


Business need

VITAL Various

Reports Reports covering statistical information, e.g. feasibility reports


Historical value

AS/ P&MS

Supplied Information

Information supplied to other bodies for external publications, including

regular data supply


Historical value

VITAL VE

Output Production

Assessments Assessment of our statistical outputs by external and internal groups



Business need

P&MS

Case Files Documentation relating to output production, including correspondence, planning, specifications, reports and

spreadsheets



value

Business need

VITAL Various

Pre-Release Access

Email documentation relating to pre-release access for all National

Statistics publications


Business need

VE/ P&MS

Publication Production

Including text, figures, maps and data REVIEW – after 10 years


value

Business need

VITAL P&MS

Validated Data Description to be added by Statistical Information Services branch


concluded


Business need

SIS



BCS LEVEL 1 FUNCTION: STRATEGIC MANAGEMENT




DISPOSAL ACTION


OWNER

Business Planning & Monitoring

Organisational Structure

Lead Responsibilities

Documentation detailing responsibilities of branches and

senior staff within NRS


Historical value

VITAL CPD

Organisational Charts

Charts and diagrams detailing the organisation’s structure


Historical value

VITAL (for 2 years

after financial

year end)

CPD

Team/Branch Structures

Charts and diagrams detailing team and branch structures



ICT

Planning Action Plans Action Plans detailing key tasks to be completed in line with BIOs

DESTROY – 5 years after BIO ends


Business need

NHS-CR

Business Improvement

Objectives (BIOs)

Business Improvement Objectives set by each branch in line with NRS’s

Strategy


Historical value

VITAL CPD

Branch Plans

Plans & reports setting out the annual aims & objectives for each branch


Historical value

VITAL (for 2 years

after financial

year end)

CPD

Business Process Design

Diagrams and papers relating to the breakdown, analysis and assessment of business processes and systems


Historical value

VITAL CEN/ CPD

Corporate & Business Plans

Corporate & Business Plans for NRS PERMANENT Transfer to Archive

Historical value

VITAL CPD

Development Documentation relating to the development of Corporate & Business

Plans and Strategic Plans



Business need

VITAL CEN

Portfolio Management

Including Roadmaps and Proposals PERMANENT Transfer to Archive

Historical value

VITAL NHS-CR



Reviews Documentation relating to the monitoring and reviewing of Branch

Plans, BIOs & Strategic Plans

DESTROY – 5 years from date of review


Business need

CPD

Strategic Plans

Documentation relating to strategic planning within NRS, including the

development and review of strategic plans


Historical value

VITAL CPD

Strategies Detailed strategies for NRS, including the Communications Strategy, Marketing Strategy, Records

Management Strategy


Historical value

VITAL Various

Team Planning & Monitoring of

Objectives

Documentation relating to the planning and monitoring of team

objectives



Business need

GRB

Work Plans Team/Branch work plans and objectives



Business need

VITAL (for 2 years

after financial

year end)

Various

Internal Communications

Consultation Staff Forum Including Agendas, Invitations, Minutes and Notes



value

Business need

RD-Training

Internal Enquiries Correspondence & Enquiries

Ad hoc advice provided to other branches, correspondence between branches and responses to internal

enquiries



Business need

VITAL Various

Internal Meetings Agendas, Minutes & Business Papers

Agendas, minutes and papers from internal meetings



value

Business need

VITAL Various

Audio Tapes Audio taped recordings from meetings DESTROY – once minutes have been

confirmed


Business need

CPD

Terms of Reference

Documentation describing the purpose and structure of a meeting



value

Business need

VITAL CPD

Notices & Announcements

Staff Notices Including Budget Management, SEAS Notices, Information Security Notices



Business need

VITAL (for 2 years

after financial

year end)

Various



Internal Policy & Procedure

Forms & Templates

Forms Documentation relating to and including the use of standard forms in

NRS



Business need

Various

Templates Documentation relating to and including the use of standard

templates in NRS



Business need

Various

Internal Policies, Procedures &

Guidance

Desk Notes & Instructions

Desk Notes for staff to refer to in the course of conducting business



Business need

VITAL (for 2 years

after financial

year end)

Various

Guidance General guidance provided to employees of NRS



Business need

VITAL (for 2 years

after financial

year end)

Various

How Do I….? Guides on how to do certain tasks, for example How Do I…book a meeting

room?



Business need

CPD

Policies Established and agreed policies of NRS



value

Business need

VITAL Various

Procedures Established and agreed procedures of NRS



Business need

VITAL Various

Protocols Established and agreed protocols of NRS



Business need

VITAL Various

Internal Policy Research &

Development

Changes to Procedures

Documentation relating to changes in NRS procedures

PERMANENT

Transfer to Archive

Historical value

Various

Meeting Notes Notes from meetings discussing changes to procedures



Business need

Various

Policy Formulation Documentation relating to the formulation of policies

PERMANENT

Transfer to Archive

Historical value

VITAL Various

Policy Implementation and

Development

Documentation relating to the implementation and development of

policies and procedures


Historical value

Various

Precedents Documentation relating to precedents within NRS


Historical value

VITAL Various



Project & Programme Management

Project & Programme

Management

Project Files Including Background Information, Business Cases, Case Studies,

Consultations, End of Stage Reports, Engagement, Evaluations, Highlight

Reports, Index Data, Key Documents, Meetings, Metadata, Project

Definitions, Exception Reports, Project Initiations, Project

Management Plans, Quality Control, RAID Logs, Reports, Schedules, Scoping, Specifications & Plans,

Statistics, Timescales, Work Sheets

REVIEW – 10 years from project closure


value

1973 c. 52 VITAL (during

project lfe)

Various

Quality & Performance Management

External Auditing & Assessment

External Audits Documents produced during the course of an external audit, including

recommendations and final report


Historical value

VITAL (for 2 years after report

date)

Various

Internal Auditing & Assessment

Assessments & Plans

Internal Audit Plans and Needs Assessments



Business need

VITAL (for 2 years

after assessment

date)

RaG

Internal Audits Documents produced during the course of a routine audit, including recommendations and a final report



Business need

VITAL (for 2 years after report

date)

Various

Performance Measurement

Critical Success Factors

Documentation relating to definition, measurement and monitoring of

CSFs, measures and targets



Business need

CEN

Output Logs For stakeholder key performance indicators



Business need

NHS-CR

Performance Reporting

Annual Reports & Accounts

Annual summary of reports and financial statements

PERMANENT

Transfer to Archive

Business need

VITAL (for 2 years

after publication

date)

Various

Archives Accreditation

Reports

NRS papers drawn up while participating in Archives Accreditation

assessments

PERMANENT

Transfer to Archive

Historical value

VITAL (during

project life)

CLP



Audit Committee Reports

Including debtors, prepayments, segmental, analysis, cash funding



Business need

VITAL (for 2 years

after financial

year end)

RaG

Benchmarking Commissioning notes, correspondence and communication



Business need

VITAL (for 2 years

after financial

year end)

RaG

Benefits Realisation

Documentation relating to benefits realisation, including internal and

external correspondence and reports


Historical value

VITAL CEN

Best Value Including correspondence, self-assessment, reports and updates



Business need

VITAL (for 2 years

after financial

year end)

RaG

Downtime Logs Business-wide service downtime logs (non-computer services)



Business need

ICT

Evaluation Reports Documentation relating to evaluation of census activities, including lessons learned that may affect future census

work


Historical value

VITAL CEN

Investors in People Reports

Investors In People assessments and reports


Historical value

CPD

Monthly Reports & Statistics

Monthly performance figures, reports and statistics


Historical value

VITAL Various

PSR Act Records relating to the PSR Act, including overhead computations,

overseas travel, hospitality & entertainment, external consultancy, payments, remuneration, sustainable

growth, efficiency, economy & effectiveness



Business need

VITAL (for 2 years

after financial

year end)

RaG

Quarterly Reports & Statistics

Including Quarterly Performance Summary Reports, Key Performance

Indicators, & DPG quarterly performance information, NRAS

quarterly reports


Historical value

VITAL (for 2 years

after financial

year end)

Various

Telephone Logs Details of telephone logs, added to quarterly reports

DESTROY – once added to quarterly


Business need

VITAL (when

PSB



report current – cease to be vital after 3

months) Professional Standards

Geographical Names and Codes

Correspondence, policy and implementation procedures, liaison,

meeting notes, exceptions, user guides


Business need

Geog

Geographical Area Measurements

Correspondence, policy and implementation procedures, liaison,

meeting notes, exceptions, user guides


Business need

Geog

Staff Surveys Invitations Invitations to take part in staff surveys REVIEW – after 2 years


Business need

VITAL CPD/ NHS-CR

Reports Highlight reports following staff surveys



Business need

VITAL CPD/ NHS-CR

Results Results of internal staff surveys REVIEW – after 3 years


Business need

VITAL CPD/ NHS-CR

Surveys Details of surveys undertaken with staff, including training surveys


Historical value

VITAL CPD/ NHS-CR

Risk Management

Accreditation Network Documentation relating to GSI/GSX REVIEW – 5 years after system no

longer used


Business need

ICT

Risk Management & Accreditation Document Sets

(RMADS)

Risk Management documentation held for NRS systems and processes


longer used


Business need

VITAL IAS/CEN

Worksheets Working documents relating to RMADS



Business need

IAS

Business Continuity Planning

Business Continuity Plans / Disaster Recovery Plans

Detailed plan relating to business continuity in the event of a disaster

REVIEW annually then DESTROY 1

year after superseded


Business need

VITAL CPD

Business Impact Analysis Studies

Documentation relating to Business Impact Analysis Studies

REVIEW annually then DESTROY once

superseded


Business need

VITAL CPD



Risk Assessment Business Impact Level Assessments

& Tables

Business Impact Level Assessments & Tables used as part of RMADS



Business need

IAS/AS

Privacy Impact Assessments

Documentation relating to the assessment, identification and resolution of privacy concerns

RETAIN – for as long as associated project

documentation is retained


value


Risk Assessments Documentation relating to the process of managing, recording and assessing

risks within the workplace

RETAIN – for life of area assessed then

DESTROY - 25 years after process ceases


SI 1999/3242 1974 c. 37

SI 2005/1541

VITAL Various

Risk Plans Individual Branch Risk Plans REVIEW – after 7 years


Business need

VITAL CPD

Risk Registers Consolidated listing and assessment of potential risks to NRS and its

functions, including the DDA Risk Register and the Corporate Risk

Register


Historical value

VITAL CPD