This Appendix sets out the retention period for different types of records relating to care. Where indicated, Appendix II should also be referred to. This sets out further detail relating to the management of specific types and formats of records.
The following information is important to ensure the retention schedule is used correctly.
The retention periods listed in this retention schedule must always be considered the minimum period. With justification, a retention period can be extended.
Retention periods begin when the record ceases to be operational. This is usually at the point of discharge from care when the record is no longer required for current on-going business, or the person has died. There are some exceptions to this rule, whereby the retention begins from the date the record is created (for corporate records, such as policies, the retention may start from the date of publication). These are marked with an asterisk (*) in the schedule.
If a record comes back into use during its retention period, then the retention period will reset and begin again from the end of the second period of use. This may mean that records will look as if they are being kept for longer than the retention times stated here, or even maximum periods as suggested by law, but this is acceptable where retention periods reset due to use.
If setting a retention period not covered by this Code, there are a number of factors to consider including:
- Legal or regulatory obligations: There may be a specific legal or regulatory reason to keep a record, which may also provide guidance on how long that record needs to be kept to meet that obligation.
- Purpose of the record: The reasons you have created the record may also help define how long you need to keep them for. A record created for legal reasons may need to be for a long period of time, whereas a record created for a specific event that has no post-event actions will attract a short retention period.
Care records
| Record Type | Retention Period | Disposal Action | Notes | |
|---|---|---|---|---|
| Adult social care records (including care plans) | 8 years | Review and destroy if no longer required | ||
| Integrated records – all organisations contribute to the same single instance of the record | Retain for period of longest specialty | The retention time will vary depending upon which type of health and care settings have contributed to the record. Areas that use this model must have a way of identifying the longest retention period applicable to the record. | ||
| Integrated records – all organisations contribute to the same record, but keep a level of separation | Retain for relevant specialty period | This is where all organisations contribute into the same record system but have their own area to contribute to and the system still shows a contemporaneous view of the patient record. | ||
| Integrated records – all organisations keep their own records, but enable them to be viewed by other organisations | Retain for relevant specialty period | This is the most likely model currently in use. Organisations keep their own records but can grant ‘view only’ access to other organisations, to help them provide health and care to patients or service users. | ||
| Inspection of equipment records | 11 years | Review and destroy if no longer required |
Corporate governance
| Record Type | Retention Period | Disposal Action | Notes | |
|---|---|---|---|---|
| Board meetings* | Up to 20 years | A local decision can be made on how long to retain the minutes of board meetings (and associated papers linked to the board meeting), but this must not exceed 20 years | ||
| Data Protection Impact Assessments (DPIAs) | 6 years | Review and destroy if no longer required | Should be kept for the life of the activity to which it relates, plus six years after that activity ends. If the DPIA was one -off, then 6 years from completion. | |
| Destruction certificates or record of information held on destroyed physical media | 20 years | Review and dispose of if no longer required | ||
| Incidents – serious | 20 years | Retention begins from the date of the Incident – not when the incident was reported. | ||
| Incidents – not serious | 10 years | Review and destroy if no longer required | Retention begins from the date of the incident – not when the incident was reported. | |
| Policies, strategies and operating procedures – including business plans* | Life of organisation plus 6 years | Retention begins from when the document is approved, until superseded. | ||
| Risk registers | 6 years | Review and destroy if no longer required | Retention period in accordance with the Limitation Act and corporate awareness of risks. | |
| Staff surveys – individual returns and analysis | 1 year after return | Review and destroy if no longer required | Forms are anonymous so do not contain identifiable data unless provided in free text boxes. May be required again if analysis is reviewed. | |
| Staff surveys – final report | 10 years | Organisations may want to keep final reports for longer than the raw data and analysis, for trend analysis over time. This period can be extended, provided there is justification and organisational approval. |
Communications
| Record Type | Retention Period | Disposal Action | Notes | |
|---|---|---|---|---|
| Intranet site* | 6 years | |||
| Information leaflets | 6 years | |||
| Press releases and important internal communications | 6 years | |||
| Website* | 6 years |
Staff records and occupational health
| Record Type | Retention Period | Disposal Action | Notes | |
|---|---|---|---|---|
| Duty roster | 6 years | Review and if no longer needed destroy | Retention begins from the close of the financial year. | |
| Occupational health reports | Keep until 75th birthday or 6 years after the staff member leaves whichever is sooner | Review and if no longer needed destroy | ||
| Occupational health report of staff member under health surveillance | Keep until 75th birthday | Review and if no longer needed destroy | ||
| Staff record | Keep until 75th birthday (see notes) | This includes (but is not limited to) evidence of right to work, security checks and recruitment documentation for the successful candidate including job adverts and application forms. | ||
| Staff record - summary | 75th Birthday | Please see the good practice box staff record summary used by an organisation. Some organisations create summaries after a period of time since the staff member left (usually 6 years). This practice is ok to continue if this is what currently occurs. The summary, however, needs to be kept until the staff member’s 75th birthday, then they can be securely destroyed at this point. | ||
| Timesheets (original record) | 2 years | Review and if no longer needed destroy | Retention begins from creation. | |
| Staff training records | See notes | Records of significant training must be kept until 75th birthday or 6 years after the staff member leaves. It can be difficult to categorise staff training records as significant as this can depend upon the staff member’s role. The following is recommended: - clinical training records - to be retained until 75th birthday or six years after the staff member leaves, whichever is the longer - statutory and mandatory training records - to be kept for ten years after training completed - other training records - keep for six years after training completed | ||
| Disciplinary records | Retain for 6 years | Review and destroy if no longer required | Retention begins once the case is heard and any appeal process completed. The record may be retained for longer, but this will be a local decision based on the facts of the case. The more serious the case, the more likely it will attract a longer retention period. Likewise, a one-off incident may need to only be kept for the minimum time stated. This applies to all cases, regardless of format. |
Procurement
| Record Type | Retention Period | Disposal Action | Notes | |
|---|---|---|---|---|
| Contracts sealed or unsealed | Retain for 6 years after the end of the contract | Review and if no longer needed destroy | ||
| Contracts - financial approval files | Retain for 15 years after the end of the contract | Review and if no longer needed destroy | ||
| Contracts - financial approved suppliers documentation | Retain for 11 years after the end of the contract | Review and if no longer needed destroy | ||
| Tenders (successful) | Retain for 6 years after the end of the contract | Review and if no longer needed destroy | ||
| Tenders (unsuccessful) | Retain for 6 years after the end of the contract | Review and if no longer needed destroy |
Estates
| Record Type | Retention Period | Disposal Action | Notes | |
|---|---|---|---|---|
| Building plans, including records of major building works | Lifetime (or disposal) of building plus 6 years | |||
| Closed circuit television (CCTV) | Refer to ICO guidance | Review and destroy if no longer required | The length of retention must be determined by the purpose for which the CCTV has been used. CCTV footage must remain viewable for the length of time it is retained, and where possible, systems should have redaction or censoring functionality to be able to blank out the faces of people who are captured by the CCTV, but not subject to an access request, for example, police reviewing CCTV as part of an investigation. | |
| Equipment monitoring, and testing and maintenance work where ASBESTOS is a factor | 40 years | Review and destroy if no longer required | Retention begins from the completion of the monitoring or testing. This includes records of air monitoring and health records relating to asbestos exposure, as required by the Control of Asbestos Regulations 2012. | |
| Equipment monitoring – general testing and maintenance work | Lifetime of installation | Review and destroy if no longer required | Retention begins from the completion of the testing and maintenance. | |
| Inspection reports | Lifetime of installation | Review and dispose of if no longer required | Retention begins at the END of the installation period. Building inspection records need to comply with the Construction (Design and Management) Regulations 2015. | |
| Leases | 12 years | Review and destroy if no longer required | Retention begins at point of lease termination. | |
| Minor building works | 6 years | Review and destroy if no longer required | Retention begins at the point of WORKS COMPLETION. |
Finance
| Record Type | Retention Period | Disposal Action | Notes |
|---|---|---|---|
| Accounts | 3 years | Review and destroy if no longer required | Retention begins at the CLOSE of the financial year to which they relate. Includes all associated documentation and records for the purpose of audit. |
| Benefactions | 8 years | These may already be in the financial accounts and may be captured in other reports, records or committee papers. | |
| Debtors’ records – CLEARED | 2 years | Review and destroy if no longer required | Retention begins at the CLOSE of the financial year to which they relate. |
| Debtors’ records – NOT CLEARED | 6 years | Review and destroy if no longer required | Retention begins at the CLOSE of the financial year to which they relate. |
| Donations | 6 years | Review and destroy if no longer required | Retention begins at the CLOSE of the financial year to which they relate. |
| Expenses | 6 years | Review and destroy if no longer required | Retention begins at the CLOSE of the financial year to which they relate. |
| Final annual accounts report* | Up to 20 years | These should be transferred when practically possible, after being retained locally for a minimum of 6 years. Ideally, these will be transferred with board papers for that year to keep a complete set of governance papers. | |
| Financial transaction records | 6 years | Review and destroy if no longer required | Retention begins at the CLOSE of the financial year to which they relate. |
| Invoices | 6 years from end of the financial year they relate to | Review and destroy if no longer required | |
| Petty cash | 2 years | Review and destroy if no longer required | Retention begins at the CLOSE of the financial year to which they relate. |
| Staff salary information or files | 10 years | Review and destroy if no longer required | Retention begins at the CLOSE of the financial year to which they relate. |
| Superannuation records | 10 years | Review and destroy if no longer required | Retention begins at the CLOSE of the financial year to which they relate. |
Legal, complaints and information rights
| Record Type | Retention Period | Disposal Action | Notes |
|---|---|---|---|
| Complaints – case files | 10 years | Review and destroy if no longer required | Retention begins at the CLOSURE of the complaint. The complaint is not closed until all processes (including potential and actual litigation) have ended. |
| Industrial relations – including tribunal case records | 10 years | Retention begins at the CLOSE of the financial year to which it relates. Some organisations may record these as part of the staff record, but in most cases, they should form a distinctive separate record (like complaints files). | |
| Litigation records | 10 years | Retention begins at the CLOSURE of the case. | |
| Software licences | Lifetime of software | Review and destroy if no longer required | Retention begins at the END of lifetime of software. |
