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									RM: Documentation: Schedules

                                              HERIOT-WATT UNIVERSITY
                                  Retention Schedule for Personnel (Human Resources)

The letter indicates the final disposition of each type of record:
         A = 1 copy to be transferred to the University Archive. See Retention Schedule Guidelines for further details.
         D = Destroyed.

The number following the letter code indicates the period (in years) after which records may be destroyed, and is the
minimum retention period required by best practice or legislation. It assumes a new file is opened at the start of each
academic year, and the period is always calculated from the date of the last record in the file.

This retention schedule applies to original records. Where copies of originals are kept locally, these can be destroyed
when these are no longer required.

Personnel: Employees means people employed directly by the institution on permanent or fixed-term contracts.
 For employing temporary staff through employment agencies, use the appropriate section of PROCUREMENT.

 Ref.     Directory                                             Sub-directory             Record series        Retention period
 29.1     Strategy                                              Development               Staff Strategy              A
 29.2                                                           Planning                                              A
 29.3        developing performance indicators and            Performance                                           A
               measurement mechanisms
             measuring, monitoring and analysing                                        Data analysis                   D1
             conducting formal reviews of performance and                               Reports &                       A
               responding to the results, including preparing                             Reviews
               and implementing action plans to address
               under-performance or other issues raised.

 29.4     Policy                                                                                                          A

 29.5     Procedures                                                                                          A when superseded

 29.6      assessment and analysis of workforce               Planning                                      A when superseded
             requirements, and the identification and                                                            (1980 c.58)
             evaluation of options for meeting these
           development and evaluation of job                                                                      D6 when
             specifications                                                                                       superseded
           management succession plans                                                                        A if superseded
 29.7      authorising recruitment                            Recruitment                                            D1
           advertising vacancies                                                                             D1 on appointment
                                                                                                                  (1975 c.65;
                                                                                                                   1976 c.74;
                                                                                                                  1995 c.50)
             handling enquiries about vacancies                                                              D1 on appointment
             processing employment applications               See also Workforce/                            D6 on termination
               (successful)                                     Employee Contracts                                (1975 c.65;
                                                                                                                   1976 c.74;
                                                                                                                  1995 c.50)
             processing employment applications                                                              D1 on appointment
               (unsuccessful)                                                                                     (1975 c.65;
                                                                                                                   1976 c.74;
                                                                                                                  1995 c.50)
             reviewing and responding to unsolicited                                                          D1 on last action
               employment applications

29: Personnel v3.0
Brian D.A. Kelvin, Records Manager
Last saved: 22 July 2010
RM: Documentation: Schedules

PERSONNEL (continued)

 Ref.     Directory                                              Sub-directory        Record series   Retention period
          Workforce (continued)
 29.8      developing general and job-specific induction       Induction                                    D6
           administering induction programmes to ensure                                             D1 on completion
              that all new employees complete the required                                             of programme
 29.9      identifying and analysing workforce training        Training &
              and development needs                              Development
          For records documenting individual employees'
          induction programmes, see Workforce/Employee
           developing/selecting training and development                                            D5 on completion
              programmes/events                                                                        of programme
           collecting and analysing feedback on training                            Feedback               D5
              and development programmes/events
           measuring the impact of training and                                     Impact                  D5
              development programmes/events on the
              workforce and on business performance
29.10      development of workforce performance                Performance                                  A
              assessment systems
           summary (anonymised) results of employees'                                                       D3
              performance assessments
           management analyses of the impact of                                                             D5
              workforce performance assessment systems
29.11      development of the institution's remuneration       Remuneration &       JNCC?                   A
              structure                                          Reward
           pay reviews                                                                              A when completed
           special reward schemes e.g. Merit Reviews                                                A on termination of
29.12        development of workforce welfare schemes          Welfare                                       A
               and services e.g. counselling services
             monitoring of hours worked by employees, as                                             D2 on last action
               required by the Regulations cited                                                       (SI 1998/1833)
29.13        grievances raised by staff (which do not relate   Relations                             D6 (1980 c.58)
               directly to their own contracts of
               employment), the institution's response, action
               taken and the outcome
             design of workforce surveys and consultations                          Surveys         A when completed
             conducting workforce surveys and reviewing                                             A when completed
               and responding to the results
29.14        employee's initial application for employment     Employee Contracts                   D6 on termination
               with the institution                                                                       of contract
                                                                                                         (1980 c.58)
            Supporting documentation (e.g. references) for                                          D1 on appointment
              an employee's initial application for
              employment with the institution
          For records documenting pre-employment health
          screening, see HEALTH & SAFETY/Employee
          Health Surveillance.
           employee's subsequent applications for other                                               D1 on leaving
              jobs within the institution
           employee's contract(s) of employment with the                                              D6 on leaving
              institution                                                                                (1980 c.58)
           changes to an employee's terms and conditions                                              D6 on leaving
              of employment                                                                              (1980 c.58)

29: Personnel v3.0
Brian D.A. Kelvin, Records Manager
Last saved: 22 July 2010
RM: Documentation: Schedules

PERSONNEL (continued)

  Ref.    Directory                                              Sub-directory        Record series   Retention period
29.14     Workforce (continued)                                  Employee Contracts
          job descriptions of positions held by an            (continued)                           D1 after leaving
              employee within the institution                                                            institution
          induction programmes attended by an                                                      D1 after induction
          employee's identified training and                                                           D6 after
              development needs, and the action taken to                                                 completion
              meet these needs
          job-specific statutory / regulatory training                                                 D6 when
              requirements for an employee, and the training                                             superseded
              provided to meet these requirements                                                        (1980 c.58)
          routine assessments of an employee's                                                         D4 when
              performance, and any consequent action taken                                               superseded
          disciplinary proceedings against an employee,                                             D6 on last action
              where employment continues
          grievances raised by an employee which relate                                             D6 on last action
              directly to his/her own contract of
              employment, the institution's response, action
              taken and the outcome
          employee's remuneration and rewards (e.g.                                                 D6 (1970 c.41;
              bonuses, merit awards, long service awards)                                                1980 c.58;
                                                                                                        SI 1999/584)
            administration of an employee's contractual                                                   D1
               holiday entitlement
            employee's absence due to sickness                                                     D40 on termination
                                                                                                       of employment
                                                                                                          (1992 c.4;
                                                                                                         IR CA 30)
            authorisation and administration of special                                                   D2
               leave, e.g. compassionate leave, study leave
            authorisation and administration of statutory                                          D6 (SI 1999/3312)
               leave entitlements, e.g. parental leave
            entitlements to, and calculations of, Statutory                                          D5 (1992 c.4;
               Maternity Pay                                                                            SI 1986/1960)
            employee's basic personal details (e.g.                                                  While current
               address, next of kin, emergency contacts)
            pre-employment health screening of an                                                  D40 on termination
               employee: employees exposed to hazardous                                                of employment
               substances during employment                                                            (SI 2002/2675;
                                                                                                        SI 2002/2676;
                                                                                                        SI 2002/2677)
            pre-employment health screening of an                                                   D6 (1980 c.58)
               employee: other employees
            issue of personal protective equipment/other                                            D6 (1980 c.58)
               special equipment to an employee
            major injuries to an employee arising from                                              D40 (1980 c.58)
               accidents in the workplace
            employee's termination of employment by                                                 D6 (1980 c.58)
               voluntary resignation, redundancy, retirement
               (including on medical grounds) or dismissal
            references provided in confidence in support                                                  D1
               of an employee’s application(s) for
               employment by another organisation

29: Personnel v3.0
Brian D.A. Kelvin, Records Manager
Last saved: 22 July 2010
RM: Documentation: Schedules

Personnel (continued)

 Ref.     Directory                                              Sub-directory          Record series   Retention period
29.15     Industrial Relations
          institutional recognition/derecognition of                                                      D6 on de-
              trades unions                                                                             recognition (1980
            agreements with trade unions                                                             D10 on termination
                                                                                                           of agreement
            routine communications with trade union                                                         D20
               representatives, including minutes of meetings
            consultations/negotiations with trade unions                                              A on last action
               on specific issues

Cited legislation affecting management of Personnel Records

Acts of the UK Parliament

1970 c.41                      Equal Pay Act 1970
1975 c.65                      Sex Discrimination Act 1975
1976 c.74                      Race Relations Act 1976
1980 c.58                      Limitation Act 1980
1992 c.4                       Social Security Contributions & Benefits Act 1992
1995 c.50                      Disability Discrimination Act 1995

Statutory Instruments of the UK Parliament

SI 1986/1960                   The Statutory Maternity Pay (General) Regulations 1986
SI 1998/1833                   The Working Time Regulations 1998
SI 1999/584                    The National Minimum Wage Regulations 1998
SI 1999/3312                   The Maternity & Parental Leave etc. Regulations 1999
SI 2002/2675                   The Control of Asbestos at Work Regulations 2002
SI 2002/2676                   The Control of Lead at Work Regulations 2002
SI 2002/2677                   The Control of Substances Hazardous to Health Regulations 2002

Other provisions

IR CA30                        Statutory Sick Pay Manual for employers CA30

29: Personnel v3.0
Brian D.A. Kelvin, Records Manager
Last saved: 22 July 2010

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