Records Retention Schedule for files relating to staff data.
Staff data is made up of the following headings:
- 2.1 Workforce planning and development
Ref Record group Examples Trigger Retention Citation Notes 2.1.1 Assessment of workforce requirements. Development plans;
Turnover projections.AY 3 JISC 2.1.2 Remuneration and reward. Pay scales. AY 10 JISC 2.1.3 Training and development. Information on workforce training and development needs;
Assessment and selection of training options;
Development of training and development programmes.AY 6 UCL 2.1.4 Training and development: anonymised feedback. Completion of analysis of feedback. 10 UCL 2.1.5 Training and development: individual feedback. Feedback forms. Completion of analysis of feedback. 0 UCL 2.1.6 Job evaluation. Role analyses;
HERA scoring database;
Interview records;
Outline role profiles.When superseded. 6 UCL 2.1.7 Induction Development, overall delivery and assessment of induction programmes;
Administration of induction programmes.When superseded. 6 UCL 2.1.8 Recruitment effectiveness. Management analyses of recruitment effectiveness;
Recruitment monitoring formsAY 1 JISC 2.1.9 Recognition / de-recognition of trade unions. Procedure agreements. De-recognition 6 Limitation Act 1980, s.5 2.1.10 Communication, consultation and negotiation with trade unions. Minutes;
CorrespondenceAY 20 JISC 2.1.11 Organisational restructuring. Planning statements;
Organisation plans;
Organisation charts.AY 6 UCL - 2.2 Recruitment and selection
Ref Record group Examples Trigger Retention Citation Notes 2.2.1 Staff recruitment - advertising vacancies.
Request to advertise;
Authorisation form;
Screenshots of adverts (showing URL and date);
Further particulars.AY 1 Equality Act 2010 s.118(1);
ICO 2011 1.7.12.2.2 Staff recruitment Job description;
Person specification.PERMANENT PERMANENT UCL 2.2.3 Records documenting the handling of applications for successful applicants. Application forms;
Interview notes, interview summary outcomes, tests;
Right to work documents taken at interview stage;
DBS check: outcome only;
References.End of employment. 6 Limitation Act 1980, s.5 See also: DBS Checks and Criminal Convictions Policy. 2.2.4 Records documenting the handling of applications for unsuccessful applicants. Application forms;
Interview notes, interview summary outcomes, tests;
Right to work documents taken at interview stage;
DBS check: outcome only;
References.Completion of the recruitment process. 1 UCL 1UCLAll applications deleted from TalentLink after one year - successful applications moved to 'staff file'. - 2.3 Recruitment and selection: Skilled Worker visa sponsorship
Ref Record group Examples Trigger Retention Citation Notes 2.3.1 Advertising of vacancies (where Skilled Worker visa sponsored person was appointed). Screenshots of adverts and any further particulars taken on first day advertised by HR showing URL and date. End of Skilled Worker visa sponsorship. 1 (up to 7 years) Immigration, Asylum and Nationality Act 2006 Limitation Act 1980, s.5 2.3.2 Records documenting the handling of applications for unsuccessful applicants (where a Skilled Worker visa sponsored person is appointed). Application form;
Interview notes, interview summary outcomes, tests;
Right to work documents taken at interview stage;
References.End of Skilled Worker visa sponsorship. 1 (up to 7 years) Limitation Act 1980, s.5 2.3.3 Shortlisting information (where Skilled Worker visa sponsored person was appointed). End of Skilled Worker visa sponsorship. 1 (up to 7 years) Limitation Act 1980, s.5 - 2.4 Personal file management
Ref Record group Examples Trigger Retention Citation Notes 2.4.1 Permanent employee file. Basic personal details;
National Insurance number;
Job description;
Person specification;
Further particulars;
Signed contract, variations and extensions;
Changes in terms and conditions;
Termination of employment (resignation, retirement, dismissal, redundancy);
Pension opt out form (if applicable).PERMANENT PERMANENT UCL 2.4.2 Employee personal details. Address;
Next of kin;
Emergency contacts.When superseded or end of employment. 6 UCL Records retained until superseded and for 6 years post the end of employment as part of the staff file. 2.4.3 Declaration of interest from senior staff and disclosures of conflicts. End of employment. 6 Limitation Act 1980, s.5 2.4.4 Induction, probation and training. Records of induction;
Probation reports;
Appraisals;
Performance reviews.End of employment. 6 UCL 2.4.5 Absence Leave cards;
Sick notes;
Return to work forms and interview notes;
Authorisation for special leave.End of employment. 6 Limitation Act 1980, s.5 2.4.6 Grievances raised by staff the institution's response, action taken and the outcome. Grievance files. End of employment. 6 Limitation Act 1980, s.5 2.4.7 Disciplinary proceedings against the employee. Disciplinary files. End of employment. 6 Limitation Act 1980, s.5 2.1.8 Environmental and Management Investigations. Case files. Last action on case. 6 UCL 2.4.9 Register of Interest. End of employment. 6 Limitation Act 1980, s.5 2.4.10 Disclosure of conflict. End of employment. 6 Limitation Act 1980, s.5 - 2.5 Payroll and pension administration
Ref Record group Examples Trigger Retention Citation Notes 2.5.1 Calculation and payment of individual salaries and other payments and deductions. Contract copies and variations;
Union subscriptions;
Club memberships.FY 7 SI 2015/621 reg 59(8);
SI 2003/2682 Regulation 97(8);
Taxes Management Act 1970 s.342.5.2 Employer PAYE records not required to be sent to HMRC. Wages sheets;
Records of payments and deductions;
Payslip copies.FY 7 SI 2003/2682 Reg 97(8) 2.5.3 Documentation of working hours. Timesheets;
Overtime sheets.FY 2 SI 1998/1833 reg 9 Current UCL
Record keeping in departments
Guidance needed?2.5.4 Statutory Sick Pay. Self-certification forms;
Departmental returns.FY 7 SI 2014/55 2.5.5 Statutory Maternity Pay. Self-certification forms;
Departmental returns.FY 7 SI 1986/1960 reg 26;
Limitation Act 1980, s.52.5.6 Record of P45’s. End of employment. 7 Limitation Act 1980, s.5 2.5.7 Employer and employee pension scheme; Individual membership of pension schemes. Application forms;
Expression of wish forms.End of employment. 7 Limitation Act 1980, s.5 2.5.8 Employer and employee pension scheme; Individual membership of pension schemes. Opt-out forms. PERMANENT PERMANENT Permanent employee file. 2.5.9 Institution's relationships with pension schemes. Routine communications. Termination of relationship. 7 UCL - 2.6 Workplace Health
Ref Record group Examples Trigger Retention Citation Notes 2.6.1 Occupational health records Case management
records;
Health assessments for night workers;
Drivers medicals;
Research passports.End of employment. 6 Limitation Act 1980, s.5 2.6.2 Health surveillance and health protection measures. Health surveillance and health protection measures for employees who are exposed to noise; lead; asbestos; substances hazardous to health;
Group 3 or Group 4 biological agents.Date of last entry. 40 SI 2002/2677 regs 7(10), 10(5)(a), 11(3) and Schedule 3, para. 4(3) 2.6.3 Health surveillance and health protection measures: Ionising radiation. Health surveillance and health protection measures for employees who are exposed to ionising radiation and are required to be under health surveillance. Date of last entry. 30 years OR Until the employee reaches (or would have reached, if deceased) 75 years, whichever is the later. SI 2017/1075 reg 25 2.6.4 Pre-enrolment student health assessments (enrolled students). Records of health checks for professional regulated students. End of student relationship. 6 Limitation Act 1980, s.5 2.6.5 Pre-enrolment student health assessments (unsuccessful applicants). Records of health checks for professional regulated students. AY 1 The Equality Act 2010. 2.6.6 Student Immunisation Records. Childhood immunisation records provided upon enrolment;
Immunisation received while at UCL.Date of last entry. 40 SI 2002/2677 regs 7(6)(f) - List of citations
Acts of Parliament
- Taxes Management Act 1970.
- Limitation Act 1980.
- Immigration, Asylum and Nationality Act 2006.
- Equality Act 2010.
Statutory Instruments and EU Regulations
- 1998/1833: Working Time Regulations.
- 2002/2677: Control of Substances Hazardous to Health Regulations.
- 2003/2682: The Income Tax (Pay As You Earn) Regulations.
- 2015/621: The National Minimum Wage Regulations.
- 2017/1075: Ionising Radiations Regulations.
UK and EU statutory guidance
- ICO 2011 1.7.1: Employment Practices Code, Section 1.7.1 (Information Commissioner's Office, 2011).
- JISC: Model records retention schedule 2019.