Work Area - Personnel

This section covers the information held on individuals, commonly called Personnel Files. The records held in Personnel Files cover six broad areas:

Employment and career, Health, Pay, Pension, Welfare, and Security.

All six areas of information may not be held on one central file but may be retained as separate collections The retention of the records should follow these guidelines regardless of how or on what medium the records are held. Personal files of Chief Executives, Directors should always be transferred to PRONI.

Where a type of record has not been named specifically it may be possible to determine which category it best fits. For advice relating to volunteers see AD011.

A previous retention period of until “age 72” for records required for pension purposes has been increased and such records should now be kept for 100 years from birth. Organisations are free to seek their own legal advice where there are cases of doubt. A personnel record can be kept longer than the recommended retention period if this is in accordance with legal advice. These retention periods are based on the guidance issued by the National Archives and endorsed by Cabinet Office. Both Medical Staff Records and Agency locums staff records should be treated as personnel and retained accordingly.

Ref	Record Type	Minimum Retention Period	Relevant Legislation / Derivation	Final Action
L1	Access NI checks with effect from April 2008 (see Glossary)
	original information and all copies (See also GMGR Section J60). Prior to these arrangements, checking processes were accommodated under PECS (1982 – March 2005, See Glossary), which was replaced by POCVA (April 2005 – March 2008, See Glossary)”	Until final decision about the applicants suitability is determined. This should not exceed 6 months. Access NI will approve the retention of the disclosures for a longer period in exceptional circumstances and where there is a requirement to retain so that the RQIA can have access to fulfil its statutory duties.	Access NI Code of Practice in accordance with section 122(2) of the Police Act 1997 Explanatory Guide to the Code	Destroy immediately by shredding, pulping or burning
	A record should be kept on the personnel file of: The date of the disclosure The name of the subject of the disclosure The type of the disclosure namely, whether it is the Basic, Standard or Enhanced type The position which the disclosure was applied for The unique number that was issued by Access NI for that Disclosure; and The recruitment decision taken	Age 100 The records should be signed and dated by a person of sufficient authority and seniority who could represent the organisation in court.	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy immediately by shredding, pulping or burning
L2	Annual/Assessment/Appraisal or Summary of Performance
	Reports	5 years	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy Personal files of Chief Executive, Directors should be transferred to PRONI. All other files destroyed.
	Chief Executive/Directors Annual/Assessment Reports	Retain permanently in personal file	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy Personal files of Chief Executive, Directors should be transferred to PRONI. All other files destroyed.
	Assessment Report where appeal or legal proceedings are underway	5 years from the result of the appeal	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy Personal files of Chief Executive, Directors should be transferred to PRONI. All other files destroyed.
	Report of Appeal	5 years	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy Personal files of Chief Executive, Directors should be transferred to PRONI. All other files destroyed.
	Reports for last 5 years of service	Age 72	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy Personal files of Chief Executive, Directors should be transferred to PRONI. All other files destroyed.
	Assessment/ Performance Appraisal Interview/meeting Sheet	5 years	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy Personal files of Chief Executive, Directors should be transferred to PRONI. All other files destroyed.
	Assessment of Board Members ( by Chairman)	7 years	http://www.afmdni.gov.uk/ pubs/DAOs/daodfp0807.doc	Destroy
	GP Appraisal Appraisee / Appraiser Records	6 years after the appraisal year to which it relates.	In line with revalidation periods	Destroy
L3	Annual Leave
	Cards (held by individual members of staff)	2 years	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy
	Annual leave records	2 years	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy
	Copy of Annual leave entitlement	As part of the contract of employment until age 100	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy
L4	Attendance Book/Register	2 years		Destroy
L5	Career Summary– Consolidated record of whole career, location detail	Until age 100	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.
	Career Development	See GMGR Section L53	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.
L6	Change of address	Until age 100	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.
L7	Change of grade notification	Until age 100	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.
L8	Commendations	Until age 100		Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.
L9	Consultants, Senior staff (records relating to the recruitment of)	5 years	NHS (Appointment of Consultants) Regulations, good practice guidelines, page 11, para. 5.3 http://www.dh.gov.uk/assetRoot/04/10/27/ 50/04102750.pdf	Destroy
L10	CVs for non-executive directors
	successful	Review 5 years following term of office		Determined on review
	unsuccessful applicants	2 years following application		Destroy
L11	Decree absolutes	Return originals to provider, retain copy until Age 100	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy
L12	Disciplinary Records– Papers relating to disciplinary action which has resulted in any change to terms and conditions of service, salary, performance pay or allowances	Until age 100		Destroy
L13	Duty rosters clock cards, time sheets
	Duty rosters clock cards, time sheets.	2 years	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy
	Organisation or departmental duty rosters, not the ones held on the individual’s record.	4 years after the year to which they relate	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy
	Time Sheets (relating to a group or Department e.g. Ward where the timesheets are kept as a tool to manage resources, staffing levels)	6 months	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy
	Timesheets (for individual members of staff)	2 years after the year to which they relate NB Timesheets (for all individuals including locum doctors) held on the personnel record are minor records – retain for 2 years.	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy
L14	Employee Welfare Reports and Papers	6 years after last entry	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy
L15	Exposure monitoring records	5 years from the date the record was made	Control of Substances Hazardous to Health Regulations 2002 (reg.10(5))	Destroy
L16	Health declaration	Until age 100	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.
L17	Health referrals– including Medical Reports from doctors and consultants and any correspondence with the Occupational Health Service	Until age 100	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.
L18	History records of pay scales	Permanent		Retain permanently
L19	HRMS	Refer to individual record types in this section		Destroy
L20	Income Tax form P45	Until age 100		Destroy
L21	Industrial relations (not routine staff matters), including industrial tribunals	10 years - Normal Review Process		Determined on review
L22	Interview documentation	1 year	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy
L23	Job advertisements	1 year		Destroy
L24	Job applications successful (following termination of employment) see AD011	3 years		Destroy
L25	Job Applications – Unsuccessful
	Documents	1 year		Destroy
	Interview Documentation	3 years		Destroy
	Note confirming that an Access NI check was carried out and offer of appointment withdrawn	3 years		Destroy
	Equality Monitoring returns	3 years		Destroy
L26	Job descriptions (following termination of employment)	3 years		Destroy
L27	Leavers dossiers (provided a summary retained)	6 years after subject leaves the service		Destroy Personal files of Chief Executive, Directors should be transferred to PRONI. All other files destroyed.
	Leavers dossiers Summary (retained on file)	Age 100		Destroy Personal files of Chief Executive, Directors should be transferred to PRONI. All other files destroyed.
L28	Letter of appointment/contracts	Life of file – Age 100	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.
L29	Marriage certificates	Return originals to provider Retain copy until age 100		Destroy
L30	Medical/Self certificates unrelated to Industrial Injury (see also GMGR Section L33)	4 years	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy
L31	Nurse training records (from hospital-based nurse training schools prior to the introduction of academic-based training)	30 years		Destroy
L32	Overpayment documentation	6 years after repayment or write-off		Destroy
	Performance Pay	7 years		Destroy
	Special Bonus Papers	7 years		Destroy
	Third party client/advances in lieu of pay	6 years after repayment		Destroy
	Eyesight test documents	Retain currently only		Destroy
L33	Papers relating to any injury on duty	Until Age 100	The National Archives – Employee and Personnel Records Good Practice Guidance (March 2006)	Destroy
L34	Part-time/Job sharer/Term time applications, decisions	Until age 100	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.
L35	Personal Payroll History: Records of pay Performance pay Overtime pay Allowances (incl deputising and substitution) Pay enhancements Taxable allowances Payment for untaken leave Reduced pay No pay Maternity leave Complete sickness absence record	Until Age 100	The National Archives – Employee and Personnel Records Good Practice Guidance (March 2006)	Destroy
L36	Pension Forms (all)
	Pension forms that relate to monies received, monies owed, payments made and administration of the HSC Pension Scheme	7 years	HMRC Technical Pension Notes for registered pension schemes under regulation 18 of SI2006/567 – ‘RPSM12300020 – Scheme Administrator Information Requirements and Administration for General Retention of Records’	Destroy
	Pensions estimates/awards	7 years	HMRC Technical Pension Notes for registered pension schemes under regulation 18 of SI2006/567 – ‘RPSM12300020 – Scheme Administrator Information Requirements and Administration for General Retention of Records’	Destroy
L37	Qualifications and References	Until age 100		Destroy
L38	Resignation/termination/retirement letters	Until age 100	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy
L39	Return to Work Interviews	4 years		Destroy
L40	Security Personnel Files	5 years after leaving ( if at normal retirement age) or 10 years after leaving (if before normal retirement age)	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy
L41	Special Leave
	Application for special leave/study leave – Paid	7 years	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.
	Application for special leave/study leave – Unpaid	Age 100	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.
	Unpaid Leave periods (maternity leave etc.)	Age 100	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy Personal files of Chief Executives, Directors should be transferred to PRONI. All other files destroyed.
L42	Staff car parking permits	3 years		Destroy
L43	Staff photographs – held in personal file	Until age 100		Disposal method of Personal file
L44	Statutory maternity and statutory sick pay documents	6 years		Destroy
	Temporary variation forms	3 years after employment has ended		Destroy
	Trade Union Schedules	1 year after employment has ended		Destroy
	Salary requests from bank/building society pay details	1 year only		Destroy
L45	Substances Hazardous to Health Records
	Monitoring exposure of employees to substances hazardous to health record	Where the record is representative of the personal exposures of identifiable employees for at 40 years or in any other case for at least 5 years from the date of the last entry made in it.	Control of Substances Hazardous to Health Regulations (NI) 2003 (reg.10(5))	Destroy
	Health surveillance records of employees who are, or are liable to be exposed to a substance hazardous to health	40 years from the date of the last entry made in it	Control of Substances Hazardous to Health Regulations (NI) 2003 (reg.10(5))	Destroy
	Health surveillance records of employees who are, exposed to asbestos	40 years from the date of the last entry made in it	Control of Asbestos Regulations (NI) 2007 (reg. 22)	Destroy
	Health surveillance records of employees who are, exposed to lead	40 years from the date of the last entry made in it	Control of Lead at Work Regulations (NI) 2003 (reg.10(5))	Destroy
	Records relating to doses of ionising radiation received by employees designated as classified persons	50 years from the date of the last entry or age 75 whichever is the longer	Ionising Radiations Regulations (NI) 2000 (reg. 21)	Destroy
	Health surveillance records of relevant employees engaged in work with ionising radiation	50 years from the date of the last entry or age 75 whichever is the longer	Ionising Radiations Regulations (NI) 2000 (reg. 21)	Destroy
	Record of assessment of any accident or occurrence likely to result in a person receiving an effective dose of ionising radiation	50 years from the date of the last entry or age 75 whichever is the longer	Ionising Radiations Regulations (NI) 2000 (reg. 21)	Destroy
L46	Superannuation
	Accounts	10 years	The National Archives – Employee and Personnel Records Good Practice Guidance (March 2006)	Destroy
	Added voluntary contributions	Age 100	The National Archives – Employee and Personnel Records Good Practice Guidance (March 2006)	Destroy
	Added years	Age 100	The National Archives – Employee and Personnel Records Good Practice Guidance (March 2006)	Destroy
	Registers	10 years	The National Archives – Employee and Personnel Records Good Practice Guidance (March 2006)	Destroy
	Death benefit nomination and revocation forms	Until age 100 (Return originals to provider)	The National Archives – Employee and Personnel Records Good Practice Guidance (March 2006)	Destroy
	Death certificates	Retain copy until Age 100 (Return originals to provider)	The National Archives – Employee and Personnel Records Good Practice Guidance (March 2006)	Destroy
L47	Tax forms – change of tax code	7 years		Destroy
L48	Training plans	see GMGR Section J67		Destroy
L49	Training records – all staff	Age 72 or 6 years after employment has ended whichever is the later. For independent contractors the minimum retention should be the duration of employment plus 3 years, although it is recommended the duration of employment plus 6 years		Destroy
L50	Transport (staff pool car documentation)	3 years unless litigation ensues		Destroy
L51	Wages/Salary records
	Bank details – current only	6 years after employment has ended		Destroy
	Category analysis print outs	2 years after employment has ended		Destroy
	Clock cards and time sheets	2 years after employment has ended		Destroy
	Computer payroll printout	7 years after employment has ended		Destroy
	Cumulative adjustment forms	2 years after employment has ended		Destroy
	Payment analysis print outs	2 years after employment has ended		Destroy
L52	Working Time Directive opt out forms	3 years after the opt out has been rescinded or has ceased to apply	The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice Guidance	Destroy
L53	Workforce Planning Records documenting the assessment, development, planning, management and analysis of workforce requirements, and the identification and evaluation of options for meeting these requirements	10 years		Destroy

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