Human Resources v1.0
January 2013
Records & Information Management Service (RIMS)
Records Retention Schedule version 1.0 January 2013
Human Resources
Section /
Function
Records Series
Retain at
office
Retain
at
Records
Centre
Total
retention
Fate
Notes
Employee
Management
Personal File
including but not limited to:
 Payroll Information Form
 Contract Offer Cover Letter
 Written particulars of Terms
and Conditions (originals with
both signatures)
 Post Management Form
 Copies of identification
(verified)
 Job advert and job description
 References
 Application form
 Copy of pension application
form (original to Payroll)
 Relocation expenses paid
 Job evaluations (specific to
individual’s role)
 Termination of employment
T+6
Nil*
T+6
D(con)
Information pertaining to a grievance or
disciplinary matter should not be held on a
personal file. Only a note of the outcome of
the case should be held on the personal file.
Where there is an ongoing Employment
Tribunal or similar matter the relevant
personal file MUST NOT be destroyed.
*For historic records, HR records have been
stored in the URC. Now they will be held
electronically for the duration of their
lifespan and retention.
Page 1 of 7
A=archival, App=appraisal by Archives Services, C=current, Cay=current academic year, Cfy=current financial year, Cty=current tax year,
D=destroy, D(con)=destroy confidentially, P=permanent – life of University/business need, R=review in office for continuing business use,
T=termination of staff/student status.
All retention periods are given in years unless otherwise stated.
V1.0
Human Resources v1.0
Section /
Function
January 2013
Records Series
 Re-grading, promotion,
changes in terms and
conditions
 Fitness to Practice Forms
(Clinical only)
 Any other relevant
correspondence
 Maternity form MatB1
 Redundancy consultation
 Criminal convictions form (no
longer require applicant to
complete this form as of July
2010 – is now part of
application form)
 Working permissions and
relevant paperwork (as
appropriate)
Personal file – professorial staff
leavers pre-2001
Retain at
office
Retain
at
Records
Centre
Total
retention
Fate
T+1
T+5
T+6
App
Notes
Will contain all the information listed above
for personal files for non-professorial staff.
After review some professorial files may be
retained for archival value.
Hard copies of scanned personal
files
Absence monitoring - only
information regarding absences
over 20 days or where an
employee has been referred to
-
Nil
Date of
scan+2
D(con)
Once hard copy paper files have been
scanned into EDRMS the paper copy will be
retained as a back-up for two years.
Cty+3
Nil
Cty+3
D(con)
Includes any details of absence and
correspondence/liaison with Occupational
Health Unit if applicable
Page 2 of 7
A=archival, App=appraisal by Archives Services, C=current, Cay=current academic year, Cfy=current financial year, Cty=current tax year,
D=destroy, D(con)=destroy confidentially, P=permanent – life of University/business need, R=review in office for continuing business use,
T=termination of staff/student status.
All retention periods are given in years unless otherwise stated.
V1.0
Human Resources v1.0
Section /
Function
January 2013
Records Series
Occupational Health Unit
Maternity Leave – entitlements
and calculations of Statutory
Maternity Leave
Parental leave
Disclosure Scotland checks
Personal details, i.e. marital
status, next of kin, equality
monitoring information
HR Office
Employees –
Disciplinary against employee –
dismissed cases (no action taken
after investigation)
Disciplinary against employee –
upheld cases (action taken)
Grievances – dismissed after
investigation
Grievances – upheld: institution’s
response, action taken and
outcome
HR Office – local personal files for
HR Office staff (e.g. absence
Retain at
office
Retain
at
Records
Centre
Total
retention
Fate
Cty+3
Nil
Cty+3
D(con)
Any correspondence, medical records etc.
relating to maternity leave
5 years from
birth/ adoption
of child or 18
years if child
receives a
disability
allowance
From receipt +
1 month
Nil
5 years from
birth/ adoption
of child or 18
years if child
receives a
disability
allowance
From receipt +
1 month
D(con)
CIPD recommended best practice.
T+6
Nil
T+6
D(con)
Last action on
case+1
Nil
Last action on
case+1
D(con)
Last action on
case+6
Last action on
case+6
Last action on
case+6
Nil
Last action on
case+6
Last action on
case+6
Last action on
case+6
D(con)
T+1
Nil
T+1
D
(con)
Nil
Nil
Nil
Notes
Payroll will retain majority of information on
this topic
D(con)
Forms kept in locked cabinet for one month
then destroyed. Certificate number recorded
on HR system.
Held in HR self-service system. Employee
can keep up-to-date throughout their
employment. Will be retained on system in
line with personal file once staff status is
terminated.
D(con)
D(con)
Page 3 of 7
A=archival, App=appraisal by Archives Services, C=current, Cay=current academic year, Cfy=current financial year, Cty=current tax year,
D=destroy, D(con)=destroy confidentially, P=permanent – life of University/business need, R=review in office for continuing business use,
T=termination of staff/student status.
All retention periods are given in years unless otherwise stated.
V1.0
Human Resources v1.0
Section /
Function
Employee
Management
Equal
Opportunities
- Recruitment
Industrial
Relations
Recruitment
& Selection
January 2013
Records Series
Retain at
office
Retain
at
Records
Centre
Total
retention
Fate
Cty+3
Nil
Cty+3
D(con)
Cay
Cay+2
Nil
Nil
Cay
Cay+2
D
D(con)
C+10
Nil
C+10
D
Until
superseded+
10
Termination of
agreement+10
C+10
Nil
A
Nil
Until
superseded+
10
Termination of
agreement+10
C+10
D(con)
C+10
Nil
C+10
App
Completion of
recruitment
process* + 6
months
Nil
Completion of
recruitment
process* + 6
months
D
Notes
information, P&DRs etc)
Absence recording – fit notes and
self-certification
Annual leave authorisation
Performance & Development
Review (P&DR) summary report
and self assessment form
Equal opportunities data
Agreements with Trade Unions
(Memorandums of Understanding)
Institutional recognition/derecognition of Trade Unions
Routine communications with
Trade Unions including minutes of
meetings
Consultations/negotiations with
Trade Unions on specific issues
Recruitment Pack
- job advertisements and
surrounding documentation
- enquiries about vacancies
and requests for application
forms
- application forms and
interview notes for
unsuccessful candidates*
Nil
Anonymous data completed during the
application process
A
*Completion of recruitment process will be
when a candidate has been appointed.
*Successful candidate’s application form
and interview notes will be placed on
personal file (see below)
Page 4 of 7
A=archival, App=appraisal by Archives Services, C=current, Cay=current academic year, Cfy=current financial year, Cty=current tax year,
D=destroy, D(con)=destroy confidentially, P=permanent – life of University/business need, R=review in office for continuing business use,
T=termination of staff/student status.
All retention periods are given in years unless otherwise stated.
V1.0
Human Resources v1.0
Section /
Function
January 2013
Records Series
Retain at
office
Retain
at
Records
Centre
Total
retention
Fate
Internal
deployment +
1
Vacancy
closed/date of
last log-in + 6
months
Nil
Internal
deployment +
1
Vacancy
closed/date of
last log-in + 6
months
D(con)
If job-seeker leaves University their JSR
entry is deleted.
D(con)
Successful candidates’ application
forms held in e-recruitment
system
Vacancy
closed+ 3
years
Nil
Vacancy
closed+ 3
years
D(con)
Recruitment and selection papers
for successful candidate
Interview expenses for candidates
travelling to interview – copies
only (originals to Finance Office)
Authorisation of recruitment
Unsolicited job applications
→
→
→
→
Unsuccessful applicants’ information will be
kept ‘live’ in the e-recruitment system for 6
months once the vacancy is closed. After
this time the individual is emailed to advise
them that if they do not log in information
will be deleted. If they do log in then
information will be kept for another six
months and the process is repeated.
Successful applicants’ online applications
are kept live for 3 years for use by the
candidate. After this period staff will be
emailed to advise that if they do not log in to
keep account activated then it will be
deleted.
Transfer to Personal File (print and scan
from e-recruitment)
Cfy+1
Nil
Cfy+1
D(con)
C+5
Nil
Nil
Nil
C+5
Nil
C+10
Nil
C+10
D
Return
to
sender
D
applicant tracking forms
appointment request
authorisation
Job Seekers Register
- CVs and personal details
Notes
-
Unsuccessful candidates’
application forms held in Erecruitment system
Data for analysis of recruitment
effectiveness
Nil
Kept for audit purposes
Unsolicited applications are returned to
sender along with information on
recruitment process
Page 5 of 7
A=archival, App=appraisal by Archives Services, C=current, Cay=current academic year, Cfy=current financial year, Cty=current tax year,
D=destroy, D(con)=destroy confidentially, P=permanent – life of University/business need, R=review in office for continuing business use,
T=termination of staff/student status.
All retention periods are given in years unless otherwise stated.
V1.0
Human Resources v1.0
Section /
Function
January 2013
Records Series
Retain at
office
Retain
at
Records
Centre
Total
retention
Fate
Notes
Grading of individual jobs:
correspondence, working papers,
outcomes and job descriptions
P
Nil
P
P
Job gradings are related to the post and/or
job vacancy not kept separately under the
specific job title. Used as reference source
for future gradings.
C+10
Nil
C+10
App
After
superseded +
6
Final action on
scheme + 10
Nil
After
superseded +
6
Final action on
scheme + 10
App
Final action on
scheme+2
Nil
Final action on
scheme+2
D
C+10
Nil
C+10
D
Cay+10
Nil
Cay+10
D
Cay+10
Nil
Nil
Nil
Cay+10
Nil
D
A
Until
superseded +
10
Nil
Until
superseded +
10
D
Issue of
Nil
Issue of
D
National pay reviews – UCEA
(Universities and Colleges
Employers Association)
Remuneration structure and
strategy
Severance
Schemes
Job
Evaluations
Management
Information
Strategy
Administration of large-scale
severance schemes: details of
scheme, calculations,
implementation, final reports
Administration of large-scale
severance schemes: working
papers
Job evaluations – working papers
and results of large-scale
exercises
HESA statistics on staff turnover
KPI Results
HR strategy: master copy
HR strategy office copy
HR strategy working papers
Nil
The development of the strategy is part of
Committee papers
D
KPI = Key Performance Indicators
A ‘master copy’ of any HR strategy should
be immediately sent to the University
Archives upon approval
A copy will need to be retained in the office
for reference whilst one copy will
immediately be sent to the University
Archives
Page 6 of 7
A=archival, App=appraisal by Archives Services, C=current, Cay=current academic year, Cfy=current financial year, Cty=current tax year,
D=destroy, D(con)=destroy confidentially, P=permanent – life of University/business need, R=review in office for continuing business use,
T=termination of staff/student status.
All retention periods are given in years unless otherwise stated.
V1.0
Human Resources v1.0
Section /
Function
Policies
January 2013
Records Series
Retain at
office
HR policies: master copy
HR policies: office copy
Working papers leading to
development of HR policies
Welfare
Finance
Workforce welfare schemes and
services development e.g.
counselling services
Budget information (printouts)
Expense claim forms (copy)
Purchase orders
(copy)
Invoices (copy)
Atypical Worker forms
Delivery notes
strategy + 2
Until
superseded +
5
Until
superseded +
5
Until policy
superseded +
2
Until
superseded +
5
Cfy+1
Cfy+1
Cfy+1
Retain
at
Records
Centre
Total
retention
Fate
Notes
Nil
Nil
Nil
strategy + 2
Until
superseded +
5
Until
superseded +
5
Until policy
superseded +
2
Until
superseded +
5
Cfy+1
Cfy+1
Cfy+1
D(con)
D(con)
D(con)
Copies received from Finance Office
Originals sent to Finance Office
Originals sent to Finance Office
Cfy+1
Nil
Cfy+1
D(con)
Originals sent to Finance Office
C
Cfy+1
Nil
Nil
C
Cfy+1
D(con)
D(con)
Copies received from Finance Office
Nil
Nil
Nil
Nil
A
When transferred to the University Archive
the Archivist may destroy some policy
documents
D
D
A
Health, Safety & Wellbeing may also retain
related records.
Page 7 of 7
A=archival, App=appraisal by Archives Services, C=current, Cay=current academic year, Cfy=current financial year, Cty=current tax year,
D=destroy, D(con)=destroy confidentially, P=permanent – life of University/business need, R=review in office for continuing business use,
T=termination of staff/student status.
All retention periods are given in years unless otherwise stated.
V1.0