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.
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 GuidanceLink to an external website 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 GuidanceLink to an external website
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 GuidanceLink to an external website
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 GuidanceLink to an external website
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 GuidanceLink to an external website
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 GuidanceLink to an external website
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 GuidanceLink to an external website
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.docLink to an external website
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 GuidanceLink to an external website Destroy
  Annual leave records 2 years The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice GuidanceLink to an external website 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 GuidanceLink to an external website 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 GuidanceLink to an external website 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 GuidanceLink to an external website 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 GuidanceLink to an external website 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 GuidanceLink to an external website 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
Destroy
L10
CVs for non-executive directors/Public Appointments
  http://www.dfpni.gov.uk/index/finance/afmd-key-guidance/afmd-daos/daodfp0807.pdfLink to an external website  
  successful Review 5 7 years following term of office/appointment ends (including reappointment)    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 GuidanceLink to an external website 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 GuidanceLink to an external website 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 GuidanceLink to an external website 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 GuidanceLink to an external website 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 GuidanceLink to an external website 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 GuidanceLink to an external website 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))Link to an external website Destroy
L16 Health declaration Until age 100 The National Archives – Records Management Retention Scheduling Employee and Personnel Records Good Practice GuidanceLink to an external website 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 GuidanceLink to an external website 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 GuidanceLink to an external website 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 GuidanceLink to an external website 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 GuidanceLink to an external website 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)Link to an external website 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 GuidanceLink to an external website 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)Link to an external website 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’Link to an external website 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’Link to an external website Destroy
L37
Qualifications and References
6 years after employment has ended   Destroy
Professional 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 GuidanceLink to an external website 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 GuidanceLink to an external website 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 GuidanceLink to an external website
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 GuidanceLink to an external website
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 GuidanceLink to an external website
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))Link to an external website 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))Link to an external website 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)Link to an external website 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))Link to an external website 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)Link to an external website 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)Link to an external website 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)Link to an external website Destroy
L46 Superannuation      
  Accounts 10 years The National Archives – Employee and Personnel Records Good Practice Guidance (March 2006)Link to an external website Destroy
  Added voluntary contributions Age 100 The National Archives – Employee and Personnel Records Good Practice Guidance (March 2006)Link to an external website Destroy
  Added years Age 100 The National Archives – Employee and Personnel Records Good Practice Guidance (March 2006)Link to an external website Destroy
  Registers 10 years The National Archives – Employee and Personnel Records Good Practice Guidance (March 2006)Link to an external website 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)Link to an external website Destroy
  Death certificates Retain copy until Age 100
(Return originals to provider)
The National Archives – Employee and Personnel Records Good Practice Guidance (March 2006)Link to an external website 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 GuidanceLink to an external website 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

Previous | Next