2. 3 . Children 1 Safeguarders Breach st Budget Monitoring Report · 2016. 3. 31. · EMT(NOV15) SCOTTISH CHILDREN’S REPORTER ADMINISTRATION Quarter 2 Budget Monitoring 2015/16

Executive Management Team Wednesday 11 November 2015 at 2.30 p.m.

Ochil House, Stirling AGENDA

Paper

1. Presentation by Andy Williamson re SWAN

2. Apologies

3. AOB Children 1st Safeguarders Breach

Budget Monitoring Report

4. Minute of Meeting held on 20 October 2015

Accuracy Matters Arising Winter Gritting – Noted:

EMT members confirmed that they accepted the recommended trigger of -1 Celsius with the contract and that the budget implication was noted.

EMTMinute20October2015.docx

5. Staff Event

Verbal

6. Records Management 6.1 Records Management Plan 6.2 Records Management Policy

RMP final draft.docx SCRA RECORDS MANAGEMENT POLICYv1 5.doc

7. Research Report: Non Disclosure Conditions in the Children’s Hearings System – Action Plan

To follow

8. Children & Families Survey

Verbal

9. Historic Abuse Enquiry

Verbal

10. Falkirk – Letting of 1st Floor Offices

EMT Report - MTM letting.doc

11. Annual Workforce Report

To follow

12. Draft Succession Plan

To follow

13. Pay Remit Development

Verbal

14. Case Sampling Programme 2016-17

Report to EMT on Case Sampling Programme 2016-17.docx

15. New Risks

Verbal

16. Date of Next Meeting: 8 December 2015

EMT(NOV15)

SCOTTISH CHILDREN’S REPORTER ADMINISTRATION

Quarter 2 Budget Monitoring 2015/16

Accountable Director: Principal Reporter/Chief

Executive Date: 9th November 2015

Report prepared by: Head of Finance and Resources

Recommendation:

1. To review the revenue and capital positions for the year to October

2015 and approve the potential actions in section 3.9 to be explored by EMT to mitigate the anticipated overspends for the full year 2015/16.

Reason for Report: Board review and approval

Resource Implications: Outwith available resources

Strategy: Within agreed plans

Consultation:

Equalities Duties:

EMT and Budget Holders

An Equalities Impact Assessment has not been completed at this time.

Document Classification:

Not protectively marked

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1. Introduction 1.1 This report provides a summary of SCRA’s financial position for year to October 2015

and forecast for the full year 2015/16. 2. Background 2.1 The total available revenue resources for 2015/16 are £21,802k, comprising £20,800k

of core Grant in Aid (GiA), £400k grant funding for Voluntary Severance, £482k other income (Local Authority funded posts, shared services, rents etc.) and, lately, £120k to engage Scottish Government Digital Transformation Service (DTS) to support development of a joint CHS\SCRA IT service and operational plan and progress the joint Digital Strategy to business case stage. As previously reported there is no revenue variance from 2014/15 to be factored in to the 2015/16 budget. In order to balance the 2015/16 budget a number of centralised savings targets were created, in property, procurement and translating and interpreting. This will make achieving a balanced position at the year-end especially challenging in 2015/16.

2.2 Depreciation is reported within expenditure expense head and it should be noted that

depreciation expense is a non-cash charge. A depreciation budget of £2.5m has been included in the 2015/16 budget allocation by the Scottish Government to cover depreciation, amortisation and impairment charges.

2.3 The total available capital resource for 2015/16 is £1,147k. This comprises Core

Grant in Aid for capital expenditure of £500k, an anticipated capital receipt of £471k, a capital underspend of £91k in 2014/15 factored in to the 2015/16 budget and an additional £85k Grant in Aid to progress the Perth project.

3. Revenue 3.1 The following table summaries the position to October 2015 and the forecast outturn

for the year by expense head. This does not include the impacts of Voluntary Severance and the DTS engagement mentioned in 2.1.

Previous Full Year

Actual £000 Expense Head

Budget YTD Oct

£000

Actual YTD Oct

£000

Variance YTD Oct

£000

Full Year Budget

£000

Full Year Forecast

£000

Forecast Variance

£000

Forecast Variance

%

16,218 Staff Costs 9,218 9,267 49 15,801 15,888 87 0.55%

2,739 Property Costs 1,660 2,142 482 2,846 2,895 49 1.72%

244 Travel Costs 127 112 -15 218 221 3 1.38%

2,406 Other Operating Charges

1,291 1,317 26 2,214 2,339 125 5.65%

4 Capital Financing 2 0 -2 3 3 0 0.00%

200 Unfunded Pensions

117 89 -28 200 200 0 0.00%

-429 Other Income -281 -283 -2 -482 -564 -82 17.01%

21,382 Sub-total 12,134 12,644 510 20,800 20,982 182 0.88%

-21,158 Grant In Aid -12,133 -12,924 -791 -20,800 -20,800 0 0.00%

224 Sub-total 0 -280 -280 0 182 182

2,529 Depreciation 0 0 0 2,500 2,500 0 0.00%

2,753 Net Total 0 -280 -280 2,500 2,682 182 7.28%

3.2 Revenue expenditure in the year to October 2015 is £510k (4.2%) over budget. The

Property cost forecast largely reflects timing issues. The depreciation budget for the year is entirely posted in March.

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3.3 The following table summaries the net position, excluding depreciation and unfunded

pensions, to October 2015 by budget centre.

Previous Full Year

Actual £000

Cost Centre YTD

Budget £000

YTD Actual £000

YTD Variance

£000

Full Year Budget

£000

Full Year Forecast

£000

Forecast Variance

£000

Forecast Variance

%

286 Executive 166 153 (13) 284 289 5 1.76%

22 Communications 20 18 (2) 34 39 5 14.71%

1,116 Practice And Policy 606 620 14 1,039 1,100 61 5.87%

7,091 North West Area 4,217 4,542 325 7,230 7,231 1 0.01%

8,549 East And Central Scotland Area

4,859 5,049 190 8,329 8,440 111 1.33%

4,117 Support Services 2,149 2,174 25 3,684 3,682 (2) (0.05%)

21,181 Total Expenditure 12,017 12,556 539 20,600 20,781 181 0.88%

3.4 The forecast spend by Locality is detailed as follows:

Locality YTD

variance £000

Forecast Variance to March

£000

Forecast Variance to March

%

East & Central Scotland Office 3 2 1.59

Tayside And Fife Locality 68 70 4.07

South East Locality 36 14 0.93

Central Locality 36 8 0.60

Lanarkshire, Dumfries and Galloway Locality

25 -1 -0.05

Ayrshire Locality 22 18 1.30

East And Central Scotland Area

190 111 1.34

North West Area Office -2 -8 -4.11

Highlands And Islands Locality 9 12 1.10

Grampian Locality 70 -28 -2.07

North Strathclyde Locality 31 22 1.22

Glasgow Locality 216 4 0.15

North West Area 324 2 0.02

Total 514 113 0.73

The Locality position is shown in greater detail in Appendix A.

3.5 East and Central Scotland

East and Central Scotland Area is currently anticipating an overspend of £111k. Around £78k of this is attributable to higher-than-anticipated translation and interpretation costs. The SOM and Head of Practice and Policy are working with LMTs to ensure a coordinated, efficient national approach to translation and interpretation in the hope of managing SCRA’s cost exposure whilst supporting effective participation. The remainder of the overspend is effectively a shortfall on meeting the 2.8% locality savings targets, due to backfilling staff absences to prevent unacceptable deterioration in service. The SOM is facilitating resource-sharing between localities where possible and LMTs are required to closely monitor spends and deploy resource creatively to reduced anticipated overspends as the year progresses.

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It is hoped that careful resource management on these two fronts over the next few months will reduce the overspend in this area to around £75k.

3.6 North West Despite the sizable YTD overspend, North West Area is currently anticipating an overspend of only £1.6k. In addition to property-related timing differences, the YTD picture reflects property-related spend in Bell Street that will be capitalised before the end of the year.

3.7 Head Office

Executive is forecasting a small overspend of £5k due to a limited capacity to make its share of the 2.8% general savings target. Opportunities to make savings from Board and audit fees will continue to be explored throughout the rest of the year. Support Services is currently anticipating an underspend of £2k. Staff savings in Planning are largely offsetting anticipated shortfalls in centralised savings targets and staff cost pressures in IT. EMT recently agreed the continuation of a winter gritting service which will increase forecast expenditure by up to £30k. However, an expected overall underspend, and anticipated credits, on other property cost lines including rent and rates can be used to offset the forecast overspend. Practice and Policy is anticipating a £61k overspend due to difficulties in achieving the £35k translation and interpretation savings target agreed at Challenge and Review and a projected £15k overspend on legal fees due to the necessity of engaging counsel. Regarding translating and interpreting, the Head of Practice and Policy is continuing to pursue opportunities for efficiencies through consistent national practice and processes and will work to reduce the forecast overspend as the year progresses.

3.8 2014/15 Outturn

As previously advised, the final revenue budget overspend for 2014/15 was £75k. In line with discussions with EMT and the Board there has been no carry-forward adjustment into 2015/16 as the overspend was less than £100k. It will not be possible to apply a similar overspend tolerance at the end of 2015/6.

3.9 2015/16 strategy

If all anticipated overspends materialise there is potential for a forecast revenue overspend of around £181k (0.87%) although work is underway to reduce these forecasts. Finance Business Partners will continue to work closely with Budget Holders to reduce potential overspend risks in order to deliver an on-budget spending outturn. EMT will closely monitor progress and agree any interventions required which could include:

review and, if necessary, tighten the application of the Vacancy Management Procedure which was implemented at the start of August 2015;

identify options to contain translating and interpreting costs in South East and Tayside/Fife localities;

continued work by HO teams and managers to meet centralised savings targets such as Voluntary Severance and Properties/Estates;

deferral of new IT initiatives until Head of IT reviews all IT priorities

explore measures to bring legal fees back on budget; and

exploration of further income opportunities.

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The Budget Monitoring report to the December Board will detail the further actions that EMT and budget holders have taken to reduce the forecast deficit.

4. Capital 4.1 Net expenditure in the period to October 2015 is £144k. Details of the budgets, spend

to date and forecast for the year are as follows:

2015/16 Capital Budget and Forecast

Board-approved Budget

March 2015 £000

Adj. £000

Available Budget 2015/16

£000

Spend YTD Oct £000

Full Year Forecast

£000

Variance forecast

to budget £000

INFRASTRUCTURE PROGRAMME

Glasgow – Bell Street lift 51 50 101 56 107 6

Inverness lease and fit out 317 11 328 3 328

Lerwick lease and fit out 10 10 15 5

Livingston finance lease 37 37 37

Stornoway 120 4 124 3 128 4

Perth Belhaven House Hearing Centre 0 85 85 (19) 85

Minor Works 90 90 6 99 9

Stirling (Gladstone Place) disposal (471) (471) (460) 11

CMS development 50 50 35 50

IT security – system accreditations 12 12 0 (12)

IT infrastructure replacement programme

44 44 44

IT initiatives – various small initiatives 16 16 16

CMS integration/environmental response

40 40 40

Finance/HR systems 15 15 15

Infrastructure Programme Total 331 150 481 84 504 23

HEARINGS SYSTEM DIGITAL STRATEGY

Electronic panel papers – devices for pilot

35 35 0 (35)

Electronic panel papers – technology solution

50 50 28 28 (22)

Electronic panel papers – portal 50 50 0 (50)

Hearings System Digital Strategy Total

135 135 28 28 (107)

FIT FOR US PROGRAMME

Wifi 29 29 29

Tablets and games 2 2 2

2014/15 programme completion 3 26 29 30 30 1

Fit For Us Programme Total 34 26 60 30 61 1

Total capital resource 500 176 676 144 593 (83)

4.2 The main delays experienced on Inverness were the conclusion of the lease and the

landlords works. The landlord has now completed the initial works and will complete the installation of a lift following on from SCRA’s fitting out works. Whilst negotiation of the lease agreement took considerably longer than expected, SCRA has now concluded the lease of the property. SCRA’s fit-out contract has been awarded following a tender exercise and the works will commence on site from the end of

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November with a target end date of end February 2016. Relocation of the Locality Team will follow on from the works.

Given the delays, an agreement is being negotiated with the Academy Street landlord until at least the end of March. At this stage, it is still fully anticipated that the project will be fully complete prior to 31st March.

4.3 As with Inverness, the main delays on Stornoway have been the conclusion of both

the lease and the landlords works. The main outstanding landlords works being the installation of both the new power supply and the fire alarm panel. As time is now of the essence, there may be an additional cost impact to SCRA’s fit-out to remedy works that the landlord has not fully completed. The lease negotiations stalled for a period as the landlord and their solicitors proved very resistant to negotiating/conceding terms in the draft lease. The landlord’s objections have now been withdrawn and it is anticipated that the lease will be concluded imminently. The main fit out works have been tendered and upon conclusion of the lease the contract will be awarded. It is hoped to achieve a site start by 30 November which would point to a completion in mid-March. Any further delays on the lease or start date for the fit-out will lead to a project conclusion during April 2016.

The existing Harbour View lease expires in January and Property have requested a

short term extension from SCRA’s existing landlord until at least end March. 4.4 The Scottish Government has recently confirmed additional net funding of £260k will

be made available to SCRA to develop Belhaven House as the long term replacement for SCRA’s property in Kinnoull Street, Perth. Additional funding of £85k will be drawn down in 2015/16 to allow fit out works to commence. A further £255k will be drawn down in 2016/17 with the sale of Kinnoull Street expected to take place in 2017/18. There has been limited interest to date in the sale of Kinnoull Street.

4.5 The sale of Gladstone Place is very close to conclusion and it is currently expected

that a date of transfer will be achieved prior to the end of November 2015. 4.6 The IT Team focused on the CMS UIIP project and the WiFi project in the first two

quarters of 2015/16. The external CMS developer has completed the functionality for the panel paper pocket. In addition the IT Technical Manager led a project to move CMS hosting from the current provider to ISIS, the Scottish Government’s IT shared services provider. Ultimately the risks of the move in relation to backup and disaster recovery arrangements could not be sufficiently mitigated so CMS hosting will remain with the current provider for a further 12 months allowing time to plan full integration of CMS hosting into the ISIS data centre in Edinburgh. Plans for the rest of the financial year are under review by the joint Head of IT.

4.7 A Hearings System Digital Strategy was drafted earlier this year. The next stage is to

develop a business case with the support of the Scottish Government’s Digital Transformation Service to be completed by February 2016.

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5. Conclusions 5.1 Budget holders are anticipating revenue budget overspends of around £181k.

Finance will continue to work closely with localities, Head Office Business Partners and Business Managers in monitoring spend and forecasts between now and the year end. EMT will oversee actions to mitigate the overspend.

5.2 The capital budget is currently forecast to be £83k underspent. This is dependent on

a number of key assumptions: the Inverness and Stornoway projects can be completed this year, the sale of Gladstone Place can be concluded and new IT projects will only be progressed once the Head of IT has concluded his review of IT priorities. All projects will be closely monitored to ensure that the outturn is as close to the available budget as possible.

6. Recommendation 6.1 To review the revenue and capital positions for the year to October 2015 and approve

the potential actions in section 3.9 to be explored by EMT to mitigate the anticipated overspends for the full year 2015/16.

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Appendix A

East & Central Scotland Office

Expense Head Variance Year to October

Forecast Variance for Year

Staff Costs 4.3 2.5

Travel Costs -0.6 0.0

Other Operating Charges -0.1 0.0

Other Income -0.4 -0.5

Net Total 3.5 2.0

Tayside And Fife Locality



Staff Costs 9.5 16.0

Property Costs 25.7 -1.5

Travel Costs 0.8 1.0

Other Operating Charges 45.7 58.5


Net Total 67.9 70.0

South East Locality



Staff Costs 3.3 4.8

Property Costs 35.2 0.0




Net Total 36.0 14.3

Central Locality





Travel Costs -3.2 -2.0

Other Operating Charges -6.0 -6.0

Net Total 35.8 7.7

Lanarkshire Dumfries and Galloway Locality








Net Total 25.1 -1.0

Ayrshire Locality








Net Total 22.5 18.5

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North West Area Office



Staff Costs -6.8 -7.5



Net Total -2.5 -7.5

Highlands And Islands Locality



Staff Costs 8.7 -10.2

Property Costs -20.2 0.0



Other Income 4.4 0.0

Net Total 9.0 11.8

Grampian Locality



Staff Costs -25.6 -17.4




Other Income 4.3 0.0

Net Total 70.4 -28.4

North Strathclyde Locality








Net Total 31.1 21.5

Glasgow Locality








Net Total 216.4 4.2

1

Scottish Children’s Reporter Administration Executive Management Team

Minute of Meeting held on 20 October 2015

Present: Neil Hunter (Chair), Tom Philliben, Alistair Hogg, Malcolm Schaffer, Susan Deery, Lisa Bennett, Ed Morrison In attendance: Janis McDougall, Iain Gault (Item 10), Gillian Henderson (Items 13 & 14)

Timescale Action

1. Minute of Meeting held on 15 September 2015 The minute was agreed as a correct record. Matters Arising Translation and Interpretation 1. The final draft of practice direction on

arrangements for translation and interpretation will be scheduled for consideration at the Operational Group next week.

2. The Head of Practice & Policy advised that further discussion will be required with SLAB and Scottish Court Services.

3. The draft document has been discussed at the Equalities Network who are supportive of the approach adopted.

Gladstone Place Noted: It is expected to conclude the sale transaction within a week – the one remaining outstanding issue is under discussion with view to conclusion. PSN Noted: 1. The Principal Reporter/Chief Executive will write

to Chief Social Work Officers in relation to the issue of encrypted social work reports emailed to SCRA.

2. A meeting will also be arranged with Scottish Government’s Head of Cyber Security.

Managers’ event Noted: For future meetings, the event will be more closely /aligned to the wider organisational development/leadership programme.

Oct 15 Oct 15 Oct 15

MS NH NH NH/LB

2

Timescale Action

Locality Support Manager Job Description Noted: 1. Following the consultation exercise the job

description has now been reviewed. UNISON have confirmed they are content with the changes.

2. The job description will be circulated and scheduled for the Job Evaluation Committee mid November 2015

Spending Review Noted: The draft spending review submission will be circulated to Sponsor Team. Operational Support for Ayrshire & Dumfries Noted: Arrangements have been put in place within the resources limit agreed at EMT. Inverness & Stornoway Noted: A three month extension has been negotiated for Inverness and negotiation continues in relation to Stornoway. Perth Noted: 1. The tender for the work is scheduled for issue at

the end of October with a provisional completion date of Summer 2016.

2. Panels will continue to be kept up-to-date on progress.

Single Corporate Drive Noted: The Head of Practice & Policy has arranged an internal meeting for next week to discuss development of a single corporate drive. Backfill for Highland Locality Reporter Manager Noted: Off-line EMT approval was confirmed for backfill for the Highland Locality LRM. The post is currently being advertised.

Oct 15 Nov 15 Immediate

SD SD EM

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Timescale Action

2. Strategic and Operational Risk Registers The risk registers were discussed and reviewed in detail. Agreed: 1. Revised Strategic Risk Registers to be circulated

to EMT members and revised Operational Risk Register to be scheduled for consideration at Ops Groups meeting on 29 October.

2. A Risk Registers report is scheduled for the November Audit & Risk Committee.

Oct 15 Nov 15

EM/JMcD EM/JMcD

3. Locality Risk Registers Noted: Locality Risk Registers are due to be drafted for the December Risk Reference Group. SOM’s to remind LMTs.

Oct 15

TP/AH

4. Joint Board Meeting 29 October 2015 Noted: The agenda for the meeting is: Joint Progress Report; Joint Risks; Digital Strategy presentation; Roundtable Discussion.

5. Staff Event 12 November 2015 The programme for the day was reviewed. Agreed: 1. To review the timings/slots and to extend the time

allocation for Sir Harry Burns. 2. Consideration to be given to locality input e.g.

Model Hearing Centre, Glasgow, Highland – MA involvement in recruitment, engagement in property design.

Immediate Immediate

NH NH

6. Board Development Day 5 November 2015 Noted: 1. Central LMT will host the Board development day

at Livingston. 2. The programme will be: Risk Appetite/Horizon

Scanning, Business Plan, Spending Review, meeting with LMT.

3. EMT to feedback thoughts on potential items for afternoon session.

By 23/10/15

All

4

Timescale Action

7. Total Rewards Strategy Noted: 1. The tabled draft total rewards strategy. 2. The workforce plan and pay remit both made a

commitment to SCRA issuing total reward statements to staff.

3. The statement includes salary/pensions and other benefits – annual leave, flexi, sick pay etc.

4. The purpose of the statement is to give factual information to staff.

5. UNISON are supportive of the circulation of the information to staff.

6. The provisional timetable for circulation is end October 2015.

Agreed: 1. The draft statement to be revised to state that the

statement details the total benefit package support by SCRA. EMT to provide any further comments on the draft to HR Manager by 23/10/15.

Oct 15 Oct 15

SD All

8. Provision of Winter Gritting Service Noted: The budget position in relation to the winter gritting service and the options details in the report for the 2015/16 winter period. Agreed: 1. The absolute requirement for SCRA to continue

to provide a winter gritting service. 2. Advice to be obtained from Property Team on

appropriateness/implications of amending trigger points, practice adopted by other public organisations and a clearer understanding of SCRA’s legal commitment on provision of the gritting service.

By Nov 15

EM

9. Budget Monitoring – Quarter 2 Noted: 1. A budget monitoring report will be prepared and

circulated to EMT by end October 2015. The position is currently forecasting an overspend.

2. Discussions with Sponsor Team will continue in relation to the potential for additional resources e.g. to assist with translation and interpretation costs.

3. Work needs to comment on looking at in-year opportunities to make savings.

End Oct 15 Oct 15

EM All

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Timescale Action

10. CMS User Satisfaction Survey Iain Gault joined the meeting for discussion of this item. Noted: 1. The results of the CMS User Support survey

which was issued to all staff on conclusion of the User Improvement Programme.

2. There were 73 respondents to the survey which equates to 25% of CMS users.

3. Overall staff feel that there has been significant progress and following the user improvement programme it is a much improved product.

4. Work is underway on appeals and this should be referenced in the communication to staff on the survey results.

5. A commitment has been given to publish the results quickly.

Agreed: 1. The communication out to staff with the results

should include a reference to:

The appropriate forum for consideration of the user suggestions and the report recommendations is the Change Advisory Board which these can be fully discussed/investigated and prioritised.

2. The results will also be scheduled for discussion a the National Partnership Forum.

11. Internal Audit Recommendations Follow-Up Noted: 1. The internal auditors have been conducting a

follow-up review of internal audit recommendations prior to submission of the report to the November Audit Committee.

2. The Head of Finance & Resources/Executive Officer will liaise with the internal auditors in relation to closing off actions/provision of evidence. All actions are on track for completion following the last report to the May Audit Committee.

Oct 15

EM/JMcD

12. Complaints Handling Noted: 1. Alistair Hogg gave a verbal update on recent

training sessions.

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Timescale Action

2. The SPSO Unacceptable Actions Policy which was tabled at the meeting. Malcolm Schaffer and Alistair Hogg had attended a recent SPSO conference where organisations were encouraged to use/adapt the policy for their own use.

Agreed: 1. To adopt the SPSO Unacceptable Actions Policy

for SCRA use – this would be a standalone policy which would sit alongside the Complaints Policy.

2. Further work to be undertaken on how the organisation can support staff who are the subject of complaints – this area of work would focus on not only complaints but also in relation to non-disclosure cases. This issue should be raised at the National Partnership Forum.

Nov 15

NH/MS/ AH/SD

Gillian Henderson joined the meeting for discussion of the Research Reports and Records Management Plan items.

13. Research Children & Families Survey Noted: 1. The results of the survey and in particular:

the results are similar to previous years

the need to get more views from children and young people

the majority of people want hearings in the morning

a high proportion of adults did not have access to the internet – most young people have access via their mobile phone

100% said SCRA treated them with dignity and respect

it raises questions for SCRA and its partners in the Hearings System around how to better support children and young people to enable them to participate in their Hearings.

2. Localities to use the results to drive improvements at local and national level.

3. Consideration will be given as to how the survey is developed in future and how to use the survey results in the wider domain.

4. The results have been subject to an initial discussion via the business plan development work.

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Timescale Action

Agreed: 1. An action plan should be developed to sit

alongside the survey. 2. The results to be published with a note to say

that a booster sample will be undertaken in the course of 2016.

3. Support arrangements to be considered for Information and Research and Locality Teams to conduct the Booster sample.

4. CHIP would be the appropriate forum to engage on setting standards for pre-hearing support.

5. SOM’s to confirm with LMTs that the results of the survey should be feeding into locality plans.

Nov 15 Oct 15 Oct 15

MS/GH MS/GH MS/TP/AH NH/MS TP/AH

Non-Disclosure Conditions in the Children’s Hearings System Noted: 1. The results of the recent research report and in

particular:

there is a lack of clarity about the application of Rule 16

Clear guidance on the application and management of non-disclosure conditions is available but not always followed.

Agreed: 1. Action plan to be developed and submitted to

November EMT meeting. 2. Report to be scheduled for discussion at Ops

Group meeting.

Nov 15 Oct 15

MS/GH NH/JMcD

14. Records Management Plan Noted: 1. The content of the draft Records Management

Plan which is due for submission to the Keeper by end November 2015.

2. The plan will be reviewed annual via the IG Leads Group.

3. The Records Management Policy is being updated and will be submitted for approval to the November EMT meeting.

Agreed: 1. EMT to feedback any final comments to Gillian

Henderson by 30 October 2015. 2. A summary grid showing activities,

responsibilities, improvement commitments and review period to be drawn up which would sit within the overall plan.

Nov 15 30/10/15 Nov 15

MS/GH All MS/GH

8

Timescale Action

3. Final Plan to be scheduled for approval at November EMT.

Nov 15 MS/GH

15. New Risks Agreed: PSN – the emerging risks around use of encrypted emails by four local authorities to be added to Strategic Risk Register. (The wider issue of the potential for all local authorities adopting this practice not yet known but noted).

Oct 15

NH/MS/EM

1

SCRA RECORDS MANAGEMENT POLICY

2

Document history, consultation and approval

Title SCRA Records Management Policy

Version Version 1.5

Other relevant approved document

Information Governance Policy Case Information Policy Information Security Handbook Records Management Plan

Date of issue 21 March 2011

Review date and by whom Revised following: EMT comments– December 2010 ICO Audit recommendations and SCRA Action Plan – August 2014 EMT – November 2015 To be reviewed at least annually

Prepared by Information & Research Manager

Consultation EMT, Locality Management Teams, Information Governance Leads

Approved by EMT

3

Table of Contents

Section Page Number

1: Introduction

What is records management?

Statutory requirements

Scope of this policy

4

2: Policy Principles

5

3: Who does this policy apply to? 5

4: What does this policy apply to?

5

5: Records retention

6

6: Records Retention Schedule

7

Annex 1: The UK Government Security Classifications 13

Annex 2: Employment Records Management Policy and Procedures

14

Contact For further information please contact: Gillian Henderson Information & Research Manager Email: [email protected] Tel: 0300 200 1573

mailto:[email protected]

4

1. Introduction Records management is essential to the delivery of our service in an efficient and accountable manner, and to ensure that we meet our statutory requirements. SCRA believes that effective records management will bring many benefits. It will make savings by reducing time spent searching for and retrieving records and it will reduce storage costs. It will improve our performance by reducing duplication, improving consistency of information and advice, and providing ready access to information on SCRA policies, practice, decisions and governance. What is records management1? Records management is the practice of formally managing records within a file system (electronic and/or paper) including classifying2, capturing, storing and disposal. A record is information created, received and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of business. Statutory requirements As a public body SCRA is required by law to manage its records properly. Legislation such as the Data Protection Act 19983,Freedom of Information (Scotland) Act 20024 and the Public Records (Scotland) Act 2011 set out specific requirements in relation to the creation and management of records.

The Public Records (Scotland) Act 2011 is the main legislation governing Scottish Public Records. SCRA is a named public authority in the Act and is obliged to prepare and implement a records management plan (RMP) which sets out proper arrangements for the management of its records. The RMP will be agreed with the Keeper of the Records of Scotland in 2015 and is to be regularly reviewed. Where authorities fail to meet their obligations under the Act, the Keeper has powers to undertake records management reviews and issue action notices for improvement.

Scope of this policy This policy sets out how ALL SCRA records are to be managed. Personal information on staff members is covered by SCRA’s Employment Records Management Policy and Procedures. Personal information related to

1 The National Archives’ definitions.

2 See Annex 1 for UK Government Security Classifications

3 Specifically the fifth Data Protection Principle – ‘Personal Data processed for any purpose or

purposes shall not be kept for longer than is necessary for that purpose or those purposes’. 4 Code of Practice for public authorities on the discharge of their functions under the Freedom

of Information (Scotland) Act 2002 and the Environmental Information (Scotland) Regulations 2004.

5

children’s cases is covered by SCRA’s Case Information Policy. The security of SCRA’s information is covered by the Information Security Handbook.

2. Policy principles5 This policy requires that all SCRA staff work in accordance with the following information management principles:

SCRA’s information is a corporate resource, and not ‘owned’ by any individual.

Personal responsibility – each one of us is personally responsible for the effective management of the information we create or use.

Information accessibility – we make our information accessible to others in SCRA, except where there is a specific and agreed reason not to.

Keeping records of what we do – we retain records of all the decisions and actions we make; we maintain an audit trail to meet business, regulatory and legal requirements; we track policy changes and development.

Ensuring information is accurate and fit for purpose – we ensure that the information we create on behalf of SCRA is accurate and fit for purpose.

Compliance with statutory and regulatory requirements – we ensure that our information management practices comply with all relevant statutory and regulatory requirements.

Electronic records – use of paper records will be minimised. All documents and information will be held electronically unless there is a requirement for a paper record.

3. Who does this policy apply to? This policy applies to ALL SCRA employees and contractors who have access to our records. Responsibility for the standard, accuracy and completeness of SCRA records and how this information is used on a daily basis lies with individual members of staff. This means that everyone with access to SCRA records does so in accordance with this policy.

4. What does this policy apply to? This policy apples to the management of all records (paper, electronic, or other media) created or received by SCRA. This includes:

Documents (hand written, typed, and annotated copies);

5 Based on the Scottish Government’s Information Management Principles

6

Computer files (including databases, spreadsheets and presentations; and systems such as iTrent and e-Financials);

Paper based files;

Case Management System;

Data Warehouse;

Electronic mail messages and their attachments;

Diary records;

Reports; and

Intranet and internet web pages.

5. Records retention SCRA records should be held and retained according to the Records Retention Schedule (page 7, and Annex 2 for employment records). This categorises records according to function, sets out how long records should be kept before being destroyed, and how they should be marked to determine how they should be held and used. Retention periods are based on existing SCRA retention policies (where these exist) and on those used by partners such as Scottish Government, Police Scotland and COPFS.

Records of historical value are indicated in the Records Retention Schedule. These will be transferred to the National Records of Scotland at the end of their retention period in SCRA.

Disposal

Records should be destroyed according to their Government Security Classification marking. All OFFICIAL and OFFICIAL-SENSITIVE data must be disposed of as confidential waste6.

6 Details on the disposal of OFFICIAL and OFFICIAL SENSITIVE data are in Appendix E of

the Information Security Handbook

7

6. Records retention schedule7 Function

Record description Retention action Responsibility Classification

Disposal Legislative and policy requirements

Audit Practice Audit Reports – 6 years Paperwork – current year + 3

Head of Finance & Resources

OFFICIAL

Audit Internal and external audit Reports – 6 years Paperwork – current year + 3

Companies Act 2006

Head of Finance & Resources

OFFICIAL

Children’s case information

Case Management System, and hard copy files

Until child reaches 18 years (unless exception applies)

8

Case Information Policy, Retention of Case Information After 18

th

Birthday (to meet obligations under Criminal Justice & Licensing (Scotland) Act - re. forensic data); Guidance on Retention of

Head of Practice & Policy

OFFICIAL-SENSITIVE

7 HR records should be retained according to Employment Records Retention Schedule at Annex 2.

8 This policy is currently suspended until the requirements on SCRA of the Historical Child abuse Inquiry Scotland are known

8

Paper Files

Communications Staff communications Current year + 1 Press & Communications Manager

Communications Publications – research reports, fact sheets, information materials, partner e-news, Zone magazine, National Reporter, ec.

Published Press & Communications Manager

Complaints Correspondence and associated records

Current year + 6 Case Information Policy; Retention of Case Information After 18

th

birthday


OFFICIAL

Contract Management SCOTS contract, etc. 5 years after closure Head of Finance and Resources, IS Manager

OFFICIAL

Data Management Data reports If not published, current year + 5

9

Case Information Policy; Retention of Case Information After 18

th

Birthday

Head of Strategy & Organisational Development

Information on individuals – OFFICIAL-SENSITIVE.

Data Management Databases (workload, data requests) Current year + 5 Case Information Policy; Retention of Case


Information on individuals – OFFICIAL -SENSITIVE.

9 This policy is currently suspended until the requirements on SCRA of the Historical Child abuse Inquiry Scotland are known

9

Information After 18

th

Birthday

Data Management Data Warehouse development, licence/support documentation, processes and controls

Current year + 5 or until superseded


Finance Financial transactions (e.g. invoices (debtors and suppliers), requisitions, GPC logs, forecast outturns)

Current year + 6 (statutory requirement)

Companies Act 2006

Finance Assistant, Business Managers, GPC holders

OFFICIAL

Finance Budget management (e.g. annual budget, annual accounts, Balance sheet reconciliations


Companies Act 2006

Head of Finance and Resources

OFFICIAL

Finance Asset management (asset register, disposals, transfers, etc.)


Companies Act 2006

Finance Assistant, IS Manager

OFFICIAL

Finance Falkirk Council Pension Fund investment Forum related papers and correspondence


Retirement Benefits Schemes Regulations 1995


OFFICIAL

Finance Grant in Aid drawdown requests Current year + 10 Head of Finance and Resources

OFFICIAL

Finance HMRC correspondence Current year + 5 Income Tax (Employments) Regulations 1993


OFFICIAL

Finance Finance journals Current year + 6 (statutory requirement)

Companies Act 2006


OFFICIAL

General Correspondence Current year + 3 All

General Meetings (internal and external) not listed above

Current year + 5 All

General Reference materials Current year + 5 All

Governance Board (and its Committees) meetings, agendas, papers minutes

Current year + 10 Then transferred to NRS

Executive Officer OFFICIAL

Governance EMT meetings, agendas, papers minutes

Current year + 5 Then transferred to NRS

Executive Officer OFFICIAL

10

Governance Partnership Forum meetings, agendas, papers minutes

Current year + 10 Director of Support Services

OFFICIAL

Governance Strategic Risk Register Current year + 10 Head of Finance and Resources

OFFICIAL

Governance Relations with Scottish Government inc. Framework documents

Current year + 10 Executive Officer OFFICIAL

Governance Strategic planning inc. Programme Board

Current year + 10 Head of Strategy & Organisational Development

Governance Spending Reviews Current year + 10 Head of Finance and Resources

OFFICIAL

Information management

Freedom of Information requests and responses, and associated records

Current year + 3 Information & Research Manager

Information on individuals – OFFICIAL-SENSITIVE


Data Protection enquiries inc. Subject Access Requests

Current year + 3 Case Information Policy

Information & Research Manager,

OFFICIAL-SENSITIVE


PVG requests from Disclosure Scotland

Current year + 3 Case Information Policy; Protection of Vulnerable Groups Act

Information & Research Manager

OFFICIAL-SENSITIVE


Information security breaches inc. Non-Disclosure

Until child reaches 18 years (unless exception applies)

10

Case Information Policy; Practice Direction 4; Retention of Case Information After 18

th

Birthday


OFFICIAL- SENSITIVE

Information Compliance – information security, Policies and technical IS Manager

10

This policy is currently suspended until the requirements on SCRA of the Historical Child abuse Inquiry Scotland are known

11

Management data protection, etc. documentation – until superseded Other – current year + 3

IS Systems inc. CMS Current year + 1 (unless related to contracts)

IS Manager OFFICIAL

IS Telephony Current year + 1 (unless related to contracts)

IS Manager

IS Maintenance Current year + 1 (unless related to contracts)

IS Manager

Media Daily press cuttings One month Press & Communications Manager

Media Media tracker and enquiries Current year + 6

Case Information Policy

Press & Communications Manager

OFFICIAL

Media Press statements, media related correspondence

Current year + 6 Press & Communications Manager

Official Statistics Annual Official statistics Published


Organisational Development

IIP, workforce planning, etc. Current year + 5 Director of Support Services

OFFICIAL

People Management Team meetings, training plans, team plans, team budgets, etc.

Current year + 1 Team managers

Performance Reporting Annual Reports, OPR, KPIs, etc. If not published – current year + 5 Then transferred to NRS


Performance Reporting Performance analysis reports Case sampling reports

If not published, current year + 5


Planning EFQM, etc. Current year + 5 Head of Strategy & Organisational Development

12

Planning Corporate, Business and Locality plans

Current year + 5


Policy Scottish Parliament Current year + 5 Policy & Public Affairs Manager

OFFICIAL

Policy Scottish Government Current year + 5 Policy & Public Affairs Manager

OFFICIAL;

Policy Policy and legislative development Current year + 5 Policy & Public Affairs Manager

OFFICIAL

Practice Memorials for the Opinion of Counsel and the resulting Counsel’s Opinion

To be reviewed after current year + 10 Held securely, with limited access. Then transferred to NRS

Practice Manager OFFICIAL-SENSITIVE

Practice Court activity Until child reaches 18 years (unless exception applies)

11

Case Information Policy; Retention of Case Information After 18

th

Birthday


Practice Enquiries received via Practice Helpline

To be reviewed after current year + 10 (unless exception applies)



Practice Child death reports Destroyed when SCRA notified of child’s death unless required for further investigation or an enquiry (e.g. Fatal Accident Inquiry, Significant Case Review, etc.). Retention of these records must be

Case Information Policy; Practice Instruction Note 10


OFFICIAL-SENSITIVE

11

This policy is currently suspended until the requirements on SCRA of the Historical Child abuse Inquiry Scotland are known

13

reviewed at least annually. Held securely, with limited access.

Practice Practice Directions and Instructions Destroy when superseded Annual transfer to NRS

Practice Manager

Procurement Tender exercises 5 years after closure Head of Finance and Resources

OFFICIAL

Procurement Approved suppliers and frameworks 5 years after closure Head of Finance and Resources

OFFICIAL

Project Management Project plans, business cases, business plans change control notes, progress reports, project closure reports etc.

6 years after completion of project Working documents – current year + 1

Companies Act 2006


Property Maintenance of SCRA estate Current year + 10 Companies Act 2006

Head of Property OFFICIAL

Property management Information related to ownership, statutory consents, etc.

For as long as SCRA holds the property

Companies Act 2006


Property management Property management records Current year + 10 Companies Act 2006


Research Information and materials gathered for research

On completion held securely, with restricted access



OFFICIAL-SENSITIVE

Research Research not otherwise published Current year + 5 Then transferred to NRS


Surveys Staff and partners Reports - current year + 6 Then transferred to NRS Collated data – current year +1 Individual returns - held securely, restricted access

Press & Communications Manager

Individual returns - OFFICIAL

Training Training materials –inc. Practice Training

Destroy when superseded Other – current year + 1

Head of Practice & Policy, Learning & Development Manager

14

Training Advanced Diploma in Children’s Reporter Practice – training materials

Destroy when superseded

Accreditation Manager

Training Advanced Diploma in Children’s Reporter Practice – candidate records

Destroy 6 years after employment ceases

Accreditation Manager OFFICIAL-SENSITIVE

Victim Information Service

Correspondence with victims of youth offending

Current year +2 Victim Information Co-ordinators

OFFICIAL-SENSITIVE

15

Annex 1

UK Government Security Classifications (GSC)12

The Government Security Classifications that were introduced on 2 April 2014 offer three levels of classification:-

TOP SECRET

SECRET

OFFICIAL The majority of information that is created or processed by the public sector is to be classified at the OFFICIAL level, some of which could have damaging consequences if lost stolen or published in the media, but are not subject to a heightened threat profile. OFFICIAL SENSITIVE is a subset of the OFFICIAL classification which is to be used for particularly sensitive information and should be managed within the OFFICIAL classification tier. Staff are expected to understand the classification policy and how it applies to the information assets that they handle.

Protective Marking using GSC

For particularly sensitive information requiring a more limited ‘need to know’ level of protection then a caveat is used by protectively marking the information OFFICIAL–SENSITIVE. There is no requirement to explicitly mark routine OFFICIAL information.

Handling Descriptors using GSC

Applying a handling descriptor to the protective marking makes the need for protection clearer and is added to the OFFICIAL–SENSITIVE protective marking. There are 2 descriptors that are currently in use by SCRA, these are:

COMMERCIAL – commercial or market sensitive information

PERSONAL – sensitive information relating to an identifiable individual

Table 1 shows the difference between general business information and when the information becomes sensitive that it needs added protection. Due to the nature of our business SCRA regards all personal information as OFFICIAL-SENSITIVE.

12

Extracted from SCRA’s Data Classification Policy v1.0 in Information Security Handbook

16

Table 1: Routine business information and sensitive business information

OFFICIAL It becomes OFFICIAL- SENSITIVE when…

All records which allow people to be identified are “personal data” and we are trusted to protect it.

…children or vulnerable adults may be at direct risk of harm if the information is shared with the wrong people.

Management information and reports are critical to smooth running and accountability of the business.

…announcements or processes associated with it would be seriously harmed if released.

Draft reports are protected before released to the public.

…the content is so controversial that mishandling will have serious consequences for SCRA or Scottish Government.

Information Technology network plans might be commercially sensitive or contain details of security controls in place.

…indicated security vulnerabilities would allow an attacker to seriously compromise our systems.

Policy development and advice to ministers.

…if the subject is very contentious and sensitive

17

Annex 2

EMPLOYMENT RECORDS MANAGEMENT POLICY AND PROCEDURES

1. Statutory Requirements

In addition to those on page 4, SCRA will comply with:

The Information Commissioner’s Employment Practices Data Protection Code Part 2: Employment Records

Other relevant statutory standards (e.g. Finance)

Best practice (e.g. from Chartered Institute of Personnel & Development). 2. Access to Personal Files

Individual current and former employees have a right to access information kept regarding them. There are some exemptions which are outlined at section 3.

If an employee requests to see their personal file the following points should be adhered to by the data controller:

1. Inform the employee of the information kept about him or her, giving a description of it, the purposes it is kept for and any organisations which it may be passed onto (if any).

2. Show the employee all the information SCRA keeps regarding him or

her, explaining all codes or other cryptic terms.

3. Information should be provided on hard copy or in readily readable permanent electronic form unless providing it in that way would involve disproportionate effort or the employee agrees to receive it in some other way.

4. Provide the employee with any additional information SCRA has as to

the source of the information kept about him or her.

SCRA will provide access to personal information within 40 calendar days of receipt of a written request. Personal files should be viewed in the Human Resources team or relevant Regional HQ offices. It is the responsibility of the data controller to inform relevant managers, or other staff, of the nature of the information being released if it may affect them in some way.

3. Exemptions to the Right to Access Personal Information There are a number of exemptions to the right to access personal information which are relevant to personal files. They are: 1. Information held for management forecasting or workforce planning (for

example, plans to promote, transfer or make an individual redundant). 2. Information detailing the intentions of the employer in relation to negotiations

with a worker may be withheld to the extent to which access would be likely to prejudice those negotiations, for example because it would give away the employer’s ‘fall-back position’.

18

3. References given, or to be given, by SCRA for:

the education, training or employment of the worker

the appointment of the worker to any office

the provision by the worker of any service. may be withheld, although it is SCRA practice to provide employees with a copy of any reference given to external organisations or in connection with internal applications.

4. Information held for:

the prevention or detection of crime

the apprehension or prosecution of offenders

the assessment or collection of any tax or duty or of any other imposition of a similar nature.

may be withheld to the extent to which access would be likely to prejudice any of these matters.

5. Access to information involving third parties is subject to exemptions. It is the

responsibility of the data controller to make a judgement as to what information is reasonable to withhold concerning the identification of a 3rd party as such identification would violate the rights of the 3rd party. For example if a complaint was made about the data subject it would be sensible to remove the identity of the 3rd party in this instance. However if the identity of the 3rd party remains obvious then it is at the discretion of the data controller to consider withholding this information altogether in order to respect the rights of 3rd party privacy.. If the 3rd party consents to disclosing the information SCRA may disclose it to the data subject. Advice should be sought from SCRA’s HR Business Partners to assist with such decisions.

4. Providing 3rd Party Organisations with Personal Data

SCRA’s Responsibilities SCRA may outsource a number of its functions to 3rd party organisations (for example, pension schemes). SCRA is also responsible for taking all reasonable steps to ensure that the 3rd party organisations will treat the data with due care and respect. SCRA must not use information given for a particular purpose by an individual for any different purpose. Permission must be granted by the individual to do so.

19

5. Employment Records Retention Schedule

No. Record description Storage Medium* (Paper/ Electronic/Both)

Retention action Responsibility Marking

Disposal Other requirements

1. Recruitment

1.1 Job descriptions Electronic Destroy 5 years after creation

HR Manager

1.2 Individual job description on personal file Successful candidates: application form, CV, offer and acceptance letters

Electronic Destroy 6 years after employment ceases

HR Manager

1.3 Grading of individual jobs: outcomes

Electronic Destroy 10 years after superseded

HR Manager

1.4 Vacancy authorisation form/authorisation of recruitment

Electronic Destroy 5 years after completion of recruitment

HR Manager Official

1.5 Advertising details Electronic Destroy not less than 3 years after the financial year into which they relate

HR Manager

1.6 Advert text Electronic Destroy immediately after job description is superseded

HR Manager

1.7 Disclosure Scotland or equivalent tracking sheet

Electronic Following full SCRA review

HR Manager Official-Sensitive

1.8 Unsolicited applications and the SCRA’s reply

Electronic Destroy immediately HR Manager Official-Sensitive

* Record may currently be stored in paper format but should be transferred to the following storage format where possible.

20

1.9 Records documenting enquiries about vacancies and requests for application forms unsuccessful candidates: application forms, CVs, references, interview notes.

Electronic Destroy 6 months after completion of recruitment


1.10 Occupational testing documents

Electronic Destroy test results for all internally and externally appointed candidates after 24 months. Destroy unsuccessful candidates after 6 months.


1.11 Equal opportunities form Electronic Destroy immediately after information is entered onto database


1.12 Equal opportunities database information

Electronic Destroy 10 years after information is entered onto database


1.15 Copies of passports and identity cards

Electronic Destroy non EEA and Swiss records after 6 months. Retain other until become British Citizen or 12 months after leaving


2 Staff development, conference attendance, training & induction

2.1 Records arising from the identification of staff development needs on a departmental or SCRA-wide basis, including the development of plans to

Electronic Destroy 5 years after creation

Learning & Development Manager

Official

21

meet those needs

2.2 Records documenting the development, overall delivery and assessment of induction or other training programmes, including feedback analysis

Electronic Destroy after current year +2 years


Official

2.3 Training records relating to individuals



Official-Sensitive

2.4 Institute of Leadership and Management (ILM) candidate records

Electronic Destroy 5 years after completion of course module


Official-Sensitive

3 Remuneration and reward

3.1 Records documenting the development of SCRA’s remuneration structure and strategy and pay reviews Records documenting an employee's remuneration and rewards.

Electronic Destroy 6 financial years after the record created

Taxes Management Act 1970

HR Manager Official Official -sensitive

3.2 SCRA’s salary placement policy

Electronic Destroy 6 financial years after the policy created


HR Manager

4 Grievances

4.1 Records documenting grievances raised by staff, SCRA's response, action taken and the outcome.

Electronic Destroy 6 years after last action on file

HR Manager Official-sensitive

5 Employee contract management

5.1 Contract, offer letter and amendment to terms and conditions documentation.




22

Immigration paperwork Records documenting changes to an employee's terms and conditions of employment.

5.2 Records arising from the appraisal process or otherwise recording an employee's training and development needs, and the action taken to meet these needs. Records documenting routine assessments of an employee's performance, and any consequent action taken.

Electronic Destroy after 4 years Line manager Official-sensitive

5.3 Records documenting disciplinary proceedings against an employee.

Electronic Destroy 6 or 12 months after warning lapses


5.4 Records documenting job-specific statutory/regulatory training requirements for an employee (e.g. health and safety training or fire safety training for fire wardens), and the training provided to meet these requirements.

Electronic 6 years after employment ceases


Official-sensitive

5.5 Records documenting the authorisation and administration of annual, floating public or special leave.

Electronic Destroy after current year + 1 year

Line manager Official-sensitive

23

5.6 Records documenting the authorisation and administration of statutory leave entitlements, e.g. parental leave.

Electronic Destroy after completion of entitlement or current year +1 whichever is greater


5.7 Records documenting entitlements to, and calculations of, Statutory Maternity Pay.

Electronic Destroy after current tax year + 3 years

Statutory Maternity Pay (General) Regulations 1986, as amended


5.8 Records containing an employee's current basic personal details (e.g. address, next of kin, emergency contacts).

Both All info on HR/Payroll System Emergency contact info only paper.

Retain information on HR & OD database and contact details on paper for current employees

HR Manager Line Manager

Official-sensitive

5.9 Records documenting an employee's termination of employment Exit interview notes and analysis

Electronic Destroy 6 years after termination of employment


5.10 References provided in support of an employee's application(s) for employment by another organisation.

Electronic Destroy 6 years after provision of reference


6 Sickness

6.1 Records documenting an employee's absence due to sickness.

Both Destroy paper Current tax year + 3 years Retain HR system record indefinitely.

Statutory Sick Pay (General) Regulations 1986, as amended


6.2 Referrals to Occupational Both Destroy 10 years after HR Manager Official-sensitive

24

Health Providers by self or manager

last treatment, patient’s death or permanent removal from the country.

7 Health & Safety

7.1 Records documenting the issue of personal protective equipment/other special equipment to an employee.

Both Destroy 6 years H&S Adviser Official-sensitive

7.2 Health surveillance regarding staff exposed to hazardous substances including biological agents

Both Destroy date of last entry plus 40 years

The Control of Substances Hazardous to Health Regulations 1999 and 2002

H&S Adviser Official-sensitive

7.3 Records documenting accident, incidents, diseases and dangerous occurrences to adults and children

Both Destroy date of last entry -plus 3 years (accidents, incidents & dangerous occurrences) -plus 40 years for diseases (employees)

The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995, as amended. Limitation Act 1980 The Control of Substances Hazardous to Health Regulations 1999 and 2002

H&S Adviser Official-sensitive

7.4 Records of tests and examinations of control systems and protective equipment under the

Both Destroy 5 years from the date on which the tests were carried out

The Control of Substances Hazardous to Health

H&S Adviser Official

25

Control of Substances Hazardous to Health Regulations (COSHH)

Regulations 1999 and 2002

7.5 General health surveillance records for staff

Both Destroy date of last surveillance plus 40 years

The Control of Substances Hazardous to Health Regulations 1999 and 2002

H&S Adviser Official

7.6 Flexi sheets Both 2 years after sign off Line manager Official

7.7 Assessments under Health and Safety Regulations and records of consultations with safety representatives and committees

Both Retain permanently Line manager Official

8 HR Policies

8.1 HR policies: master copy Electronic Destroy 5 years after policy is superseded

HR Manager

8.2 HR policies Electronic Destroy immediately when no longer required for departmental/personal reference

HR Manager

9 HR Procedures

9.1 HR procedures and guidance Interpretation of procedures or guidance at local or central level

Electronic Destroy 2 years after guidance is superseded

HR Manager

10 Job Evaluation

10.1 Working papers from job evaluation exercises

Electronic Destroy 1 year after completion of exercise

HR Manager

10.2 Results of job evaluation exercises

Electronic Destroy 10 years after completion of exercise

HR Manager

26

11 Pension schemes administration

11.1 Actuarial valuation reports Both Permanently retain Finance Manager Official

11.2 Records documenting the institution's relationships with pension schemes to which all or part of its workforce belongs

Both

Destroy 5 years after relationship with pension scheme ceases

The Retirement Benefits Schemes (information Powers) Regulations 1995

Finance Manager Official

11.3 Routine communications with the pension schemes

Electronic Destroy 5 years after creation

The Retirement Benefits Schemes (information Powers) Regulations 1995


11.4 Records of individual employees’ pension contributions and entitlement

Electronic Destroy 40 years after creation or on death of member's beneficiary - whichever is the greater


11.5 Pension scheme investment policies

Destroy 12 years from the last benefit payable under the scheme


11.6 Records relating to events notifiable under the Retirement Benefits Schemes (Information Powers) Regulations 1995, records concerning decisions to allow retirement due to incapacity, pension accounts and associated documents: All retirement records including papers

Both Destroy 6 years from the end of the scheme year in which the event took place, or the date upon which the accounts/reports were signed/completed.

Retirement Benefits Schemes (Information Powers) Regulations 1995

HR Manager Official

27

created by SCRA, pension providers, occupational health providers or legal advice given.

12 Payroll

12.1 Senior executives' records (that is, those on a senior management team or their equivalents) Inland Revenue approvals

Electronic Permanent HR Manager Official-sensitive

12.2 Income tax and NI returns, income tax records and correspondence with the Inland Revenue Statutory Maternity Pay records, calculations, certificates (Mat B1s) or other medical evidence

Electronic Destroy not less than 3 years after the end of the financial year to which they relate

The Statutory Maternity Pay (General) Regulations 1986, as amended


12.3 Relocation expenses claims

Electronic Destroy 3 years after appointment


12.4 Wage/salary records (also overtime, bonuses, expenses): overtime documentation and sign off, payroll amendments (NOT contractual letters or offers of employment). Redundancy details, calculations of payments, refunds, notification to the Secretary of State

Electronic Destroy current financial year + 6 years



12.5 Mortgage/Credit requests Electronic Destroy Three months HR Manager Official-

28

after sharing copy with individual

sensitive

12.6 Electronic & paper payslips Electronic & paper payroll reports

Electronic Destroy after auditors have visited and assessed previous financial year


12.11 Payroll exception reports and reconciliations as per payroll procedures

Electronic Destroy 1 year after current financial year


Definitions Sensitive personal data - any information which relates to (for the purposes of this policy): race or ethnic origin, political opinions, religious beliefs or other beliefs of similar

nature, trade union membership, physical or mental health condition, including disabilities, sexual orientation, any information regarding an individuals offence/s committed, or allegedly committed. Personal Data - that which relates to a living person and identifies an individual, either on its own or together with other information that is in SCRA’s possession, or that is

likely to come into its possession. Data Subject - an individual who is the subject of personal data. Data Controller - a person who determines the purposes for which and the manner in which any personal data are, or are to be, processed. A legal entity i tself can be

determined a ‘controller’ or an individual within it.