GOVERNANCE AND ASSURANCE

RECORD RETENTION AND DISPOSITION SCHEDULE

Government Departments, Agencies, and all other public sector bodies, are instructed to retain any and all documents; correspondence; notes; e-mails and all other information – however held – which contain or may contain content pertaining directly or indirectly to the sexual abuse of children or to child protection and care. For the purposes of this instruction, the word “children” relates to any person under the age of 18.

Note:This RecordRetention and DispositionSchedule supersedes all other Governance and Assurance retention guidance. This document only covers Governance and Assurance related documents. Staff and managers should still observe other guides regarding non-Governance and Assurance documents.

NO / DESCRIPTION / TNA Series / ACTION
Key Control Check Sheets (KCCS) and all previous equivalents i.e.Logging Sheets/Check and Test Documents, evidence records for Standard Operating Controls - self assessment report (SOC) / Destroy after 1 year and 3 months from the date the SOC 'Self Assessment' was submitted.
SOC 'Self Assessment Reporting Tool / Destroy after 7 years
SOC Database - Content / Remove after 7 years
MAP & HAP Returns (obsolete) / Destroy after 1 year and 3 months from the date of the return. (All returns should now be destroyed)
Audit Reports & recommendations / Remove 3 years after closure of all recommendations
Risk and Assurance Management Tool (RAMT) / Destroy after 7 years
Corporate Risk Register- Final versions / Review after 3 years
Regional Risk Register- Final versions / Review after 3 years
(Responsibility for Retention is at local level not with HQ as that is where the original is retained - however HQ should keep copies)
Directorate Risk Register- Final versions / Review after 3 years
(Responsibility for Retention is at local level not with HQ as that is where the original is retained - however HQ should keep copies)
Final Quarterly Risk and Assurance Statement for Regions and Central Directorates (and all previously equivalents i.e. Governance Statement) / Review after 3 years
(Responsibility for Retention is at local level not with HQ as that is where the original is retained - however HQ should keep copies).
HMCTS Annual Resource Accounts - Governance Statement and supporting documentation
HMCTS Annual Trust Statement - Governance Statement and supporting documentation / Review after 3 years
Anti money laundering logs,Serious National Crime Agency (NCA) referrals and other correspondence / Destroy after 3 years
Data Protection Act
Correspondence and log / Paper
Destroy after 2 years
Electronic
Destroy after 2 years – unless ongoing correspondence identified by the business unit
Freedom of Information
Correspondence and log / Paper
Destroy after 3 years, except for Information Commissioner Reviews – Destroy after 5 years
Electronic
Destroy after 3 years – unless ongoing correspondence identified by the business unit
Destroy after 5 years for Information Commissioner Reviews
HMCTS Investigations Team criminal case files / Destroy after 7 years
Case and Asset Tracking System (CATS)plus new Integrated Fraud System. (IFS) data base data base content. / Records involving criminal cases to be destroyed after 7 years.
Records involving non-criminal cases to be destroyed after 3 years.
HMCTS Investigations team Audit reports / Destroy after 5 years
HMCTS Investigations Team Monthly reports. / Destroy after 5 years
Data loss incident records / Destroy after 3 years
Information Assurance- Compliance records / Destroy after 3 years
Information Assurance - Risk Assessments / Destroy 3 years after system end of life
Data Sharing Agreements / Destroy after 3 years
Senior Information Risk Owner (SIRO) Submissions (ICT) / Review annually and destroy 3 years after system end of life
SIRO Submissions / Review annually and destroy after 3 years
Risk Management Accreditation Document Sets (RMADS) / Review after 3 years and Destroy 3 years after system end of life
Policy documents - Risk Management Policy, Information Assurance Policy etc / Review after 3 years
Minutes from formally constituted Groups etc e.g. GWG / Destroy after 3 years

NB In respect to those items which are financial in nature, it is a requirement that the supporting documentation is retained for the same length of period as the item itself.

This Schedule takes account of any electronic document whose creation was discussed in its preparation. These documents are either printed out and copies placed on registered paper files or held as electronic records and noted in the schedule. Please retain for future reference.

The MOJ Departmental Record Officer has drawn up this schedule in consultation with Governance and Assurance Teams. Please retain for future reference.

Departmental Records Officer

Ministry of Justice Records Management Services

1 Floor, 102 Petty France

London

SW1H 9AJ

Date of Original Issue of RRDS: July 2014

Amended: August2015