Retention policy statement
CQC’s records are kept to:
Meet current and future business needs;
Comply with statutory, legal and corporate governance best practice requirements;
Ensure that the way we manage records is documented, understood and implemented; and
Meet the reasonable current and future needs of internal and external stakeholders.
Records that are no longer required are eliminated as early as possible in an authorised and systematic manner.
The benchmark for the retention of our records is 7 years.
Preservation of CQC publications:
Publishers and distributors in the United Kingdom and the Republic of Ireland are required by law under the Legal Deposit Libraries Act 2003 to send one copy of every work published to the Legal Deposit Office of the British Library within one month of publication. Publication is defined in s14 of the Legal Deposit Libraries Act as ‘issue of copies of a work to the public.
Using our retention and disposal schedules
Click on the function to which your records relate.
Use the left hand column (record type) to identify the types of record. Examples of these records are listed in the second column.
The third column is CQC’s policy for the length of time the records should be retained before a decision has to be made on whether or not they should be destroyed. This is the date you apply to the records.
When will it be reviewed?
The retention schedule for each of the functions is reviewed annually, and updated as required.
Published: November 2012
Review date: November 2013
FUNCTIONS
ANALYTICS
COMPLAINTS
ESTATESANDFACILITIES
HEALTHWATCH ENGLAND
HUMAN RESOURCES
INFORMATION SYSTEMS & INFORMATION COMMUNICATIONS TECHNOLOGY
INTELLIGENCE & INFORMATION MANAGEMENT
INVOLVEMENT AND EDHR
LEGAL SERVICES, INFORMATION RIGHTS & SECURITY, & INTERNAL AUDIT
NATIONAL CUSTOMER SERVICE CENTRE
OPERATIONS
PLANNING AND PERFORMANCE
PRIVATEOFFICE AND SECRETARIAT
PROCUREMENT
REGUALTORY DESIGN & BETTER REGULATION
REGULATORY RISK QUALITY
STRATEGICMARKETING AND COMMUNICATION TEAM
COMMON RETENTION SCHEDULES
ANALYTICS
RECORD TYPE / EXAMPLES / RETENTION PERIOD / NOTESCRILL correspondence / Emails, final returns, imports / 3 years
CRILL / Published CRILL data / Retain / Transfer to British Library for permanent preservation
Query Trackers / Queries, answered questions, Guidance on systems, assessment process / Retain until superseded
Data collection / Excel templates, online forms, correspondence, HES Query Results / 3 years
Indicator development / Indicator construction, QRP, methodology, scripts / Retain
Ratification / Published guidance and protocol / Retain / Transfer to British Library for permanent preservation
Contact lists / 3 years after publication
Data, including special data collection / 3 years
Extenuating Circumstances / Submissions, panel minutes and response letters / 3 years
Scoring Models / 3 years
White paper evaluations / Transparency in outcome measures / 1 year
Analysis Development
Risk Model, Registration and QRP Data and Documentation / Technical Indicator Cookbook / Retain
Statistics Training / Retain until superseded
Surveillance and Surveys
Analyst Reports / Internal / 2 years
Evidence / 3 years
Trust correspondence / 3 years
Methodology / Published / Retain / Transfer to British Library for permanent preservation
Survey Development / Published Reports / Retain / Transfer to British Library for permanent preservation
Survey Results / Data / Retain / Transfer to UK Data Archive for permanent preservation
Published Final Results / Retain / Transfer to British Library for permanent preservation
Reviews & Studies
Scoping Papers / 2 years
Development & Piloting – including data from Pilot sites / 3 years
Assessment Frameworks
FAQs / Published / Retain / Transfer to the British Library for permanent preservation
Data - including Collection Forms, databases analysis and any re-analysis
Scoring Panel notes and decisions / 3 years
Provisional Scores / Published / Retain / Transfer to the British Library for permanent preservation
Extenuating Circumstances / 3 years
Final Results / Published / Retain / Transfer to British Library for Permanent Preservation
Action Plans / Keep until all actions are completed
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COMPLAINTS
RECORD TYPE / EXAMPLES / RETENTION PERIOD / NOTESCasework / Corporate cases, Ombudsman cases, General correspondence, Chief Executive and Chair / 3 years(until resolution of complaint plus time for leave to appeal) / In line with agreed CRM Complaints retention period
Statistics / 5 years / Name and contact details of complainants to be deleted 3 years after last activity in relation to the complaint
External Agencies / MOU’s with Strategic Partnership Agencies / 6 years after agreement expires or is terminated
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ESTATES AND FACILITIES
RECORDS TYPE / EXAMPLES / RETENTION PERIOD / NOTESEquipment inspection records / PAT testing reports / 7 years after equipment replaced
Risk assessments / Fire risk assessments
Method statements, general risk assessments / 3 years or until superseded
Occupancy records / Seating/floor plans / 1 year after superseded
Waste Management / Consignment notes, Recycling notes / 2 years / Except food and general waste managed by landlord
* vary from office
Deliveries / Receipt for registered and recorded delivery mail,
Delivery notes for stationery and other Facilities goods and services / 2 years following the end of the financial year to which they relate
Building and engineering works / Surveys, site plans, bills of quantities, executed agreements, conditions of contract, specifications, “as built” record drawings and documents on the appointment and conditions of engagement of private buildings and engineering consultants / Lifetime of building occupancy / The general principle to be followed in regard to these records is that they should be preserved for the life of the buildings and installations to which they refer.
Unsuccessful proposals for buildings and engineering works and respective correspondence / Projects abandoned due to lack of funds/approval eg soundproofing of offices / 1 year
Assets - Process of reporting and reviewing assets status / Routine returns and reports on asset status
Inventories
Stocktaking
Surveys of usage
Acquisition and disposal reports and proposals / 2 years after administrative use is concluded
Assets -The process of maintaining assets / Cleaning
Painting / 7 years after last action
The process of maintaining plant and equipment / Service records
Plant files / 7 years after sale or disposal of asset
Inspection Reports – e.g. Boilers, Lifts, etc. / Lifetime of the installation
( CQC FT eg landlord ) / Normally retain for the lifetime of an installation. However, it is necessary to assess whether obligations incurred during the lifetime may not be invoked until afterwards, in which case a judgement must be made. If there is any measurable risk of a liability in respect of installations beyond their operational lives, records of this kind should be retained indefinitely.
Property and land management
Reports to management on overall property / Consolidated property and buildings annual reports
Summary of leased property
Summary of owned property
Site register
Register of leases / Retain
Leases and Dilapidation reports / 3 years from cessation of occupation
Memorandum of terms of occupation (Moto) agreements / Lifetime of building occupancy plus 3 years for final version
Property acquisition and disposal
Management of the acquisition (by financial lease or purchase) process for real property / Retain for life of property or building plus 12 years.
Management of the disposal (by sale or write off) process for real property / Legal documents relating to the sale
Particulars of sale documents
Board of survey / 15 years after all obligations / entitlements are concluded.
The process of changing ownership of land or property / Conveyance files / 12 years after closure
Title deeds and property related documents / Transfer to new freeholder on disposal
Business Continuity
Business continuity and recovery plan / Retain
Process of recording the results of the test for business continuity and recovery plan / Report / 10 years after closure
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HEALTHWATCH ENGLAND
RECORD TYPE / EXAMPLES / RETENTION PERIOD / NOTESStrategy / Retain
Committee papers / Agendas, minutes and papers / Retain (with a second review) / Transfer to National Archives after 5 years
External Meetings and Events / Meeting minutes / 2 years
Correspondence, Invitations, Speaker requests / 1 year
Presentations / Retain
Chair & Director correspondence / Acknowledgement to incoming correspondence / 1 year
Correspondence asking for comments on consultation papers
Correspondence asking for approval
Requests for references / 2 years
Complaints / 3 years
Information requests / Internal and External / 2 years
External Stakeholders / Correspondence, meeting minutes, data and documents / 2 years
Report / Final Reports / Retain
Evidence, supporting documents, service information, including service user comments / 3 years
Away Days / 1 year after action
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HUMAN RESOURCES
RECORD TYPE / EXAMPLES / RETENTION PERIOD / NOTESDisclosure of interests / Conflict of interest forms / 7 years from date of signing. All versions should be retained from date of signing, even if they have been superseded by a revised version incorporating changes.
Statutory sick pay records, calculations, certificates and self certificates / Sickness absence monitoring reports / 3.5 years after the end of the financial year to which they relate
Statutory maternity pay records, calculations, certificates (Mat B1s or other medical evidence)
Paternity and Parental leave documents.
Adoption Leave documents.
Special Leave documents.
Unpaid Leave documents.
Career Break documents. / Mat B1 / 3.5 years after the end of the financial year to which they relate
Criminal Records Bureau (CRB) / Disclosure check, queries regarding CRB applications, / Destroy once concluded (maximum retention six months). / Police Act 1997 governs use of CRB checks and hardcopy records must be shredded within six months
CRB Verification form / CRB verification must be kept until renewed verification is put on file.
Recruitment of new employee / Application forms, interview notes and reference details / 7 years from end of employment.
Employee relations / Disciplinary details / Disciplinary details should be returned to HR for retention until the disciplinary action has expired. At expiry, the details will be destroyed. In any event, disciplinary details should be removed one year after employment has ended
Recruitment / Advertisements
Applications
Referee reports
Assessment notes
Feedback notes
Interview reports
Unsuccessful applicants / 6 months after recruitment has been finalised
Monitoring staff performance / Probation reports
Performance plans
Annual appraisal/assessment records / 5 years after action completed
Employee File / Letter requesting clarification of terms/Role definition, Contract, Home working agreement, change of circumstances, evidence of identity / 7 years from end of employment
References given/information to enable references to be provided / 7 years from reference received/end of employment
Summary of record of service, eg name, position held, dates of employment. / 7 years from end of employment
Transfer forms.
Disputes against transfer.Keep all Ring Fenced information with transfer information, as well as role definition forms. / 7 years from end of employment
Certificates
Awards
Exam results
qualifications / 7 years from end of employment
Training course attendance / 1 year after leaving
Termination / Resignation
Redundancy (section 188)
Dismissal
Death
Retirement / 7 years after termination.
Death after leaving if CQC pension is payable / If a pension is paid then records should be destroyed 6 years after last payment of pension / Notified of death by pension provider
Identification and development of significant directions concerning industrial matters / Generic agreements and awards
Negotiations
Disputes
Claims lodged / Retain
Liaison processes of minor and routine industrial matters / Daily industrial relations management / 2 years after administrative use is concluded
Financial reward / PAYE/salary documents.
Jury service documents.
Season ticket loans.
P45.
Overpayment and underpayment details. / 7 years after action completed
Pension estimates and details. / 13 years after the end of the financial year to which they relate.
Administration of lay involvement in service inspections / Lay assessor private files and annual review / Private files 2 years after resignation/end of lay involvement. / Private files contain completed application forms and reports of individuals lay involvement in each inspection
Organisation development / Published policies, procedures, eg PDR process and Employee Values and Behaviours / Retain
Evidence & supporting documents, Leadership events, & feedback / 3 years after publication/event date.
Staff excellence, award winners details / Duration of scheme plus 2 years
Staff surveys and action plans / Communications, education and action plans. / 1 year after superseded/action completed
Training / Content, material / 1 year after course is superseded
Training Venues-Internal and External / Room sizes, local catering, maps / Reviewed on ongoing basis
Learning resource centre / Research papers / Reviewed on ongoing basis
Health and Safety / Accident , incidents and near misses register / 3 years from the date of last entry / Reporting of Injuries, Disease and Dangerous Occurrences Regulations Reg 7; Social Security (Claims and Payments) Regulations Reg 25
Audits, Monitoring forms Reports / 3 years
Work Station Assessments.
Occupational health referrals and proceedings
Personal Injury information. / 3.5 years after the end of the financial year to which they relate / Keep any disputes on file until 3.5 years after termination.
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INFORMATION SYSTEMS & INFORMATION COMMUNICATIONS TECHNOLOGY
RECORD TYPE / EXAMPLES / RETENTION PERIOD / NOTESSystem documentation / Manuals, guides, build documentation,
configuration documentation / Life of application or system plus six months.
Asset Management / Inventory, including laptops, applications, software and licensing / Retain
Audits / Retain 1 year after superseded.
Disposal Certificates / 7 years
Laptop and Blackberry acceptance documents / On return of equipment.
Laptop and Blackberry return documents / One year from return.
Office of Environmental Policy / Policy / Retain until superseded
Correspondence / 2 years
Disaster recovery of IT systems / Disaster recovery plan / Retain
Performance information / Feedback / Delete upon analysis
Enhancements / Lists of changes needed to be made to the system / Updated frequently
Helpdesk / Log of helpdesk calls / Retain / IT provider policy
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INTELLIGENCE & INFORMATION MANAGEMENT
RECORD TYPE / EXAMPLES / RETENTION PERIOD / NOTESData Quality Model / Retain
National Groups / Minutes/agendas/papers
Formal documentation and
and informal notes / 2 years / Formal papers may be published by host organisation e.g. Information Centre
National Studies / Correspondence relating to data collections, background and other documents
E.g.
- Comparative data for the State of Care and Annual Report
- Static cuts of the H&SC Register / 2 years
Provider profile scores / DAMCO and Regulatory process related. / Retain / Transfer to the British Library for permanent preservation.
QRP / Patient level data and soft coded data analysis / 3 years
Quality Assurance Checks / E.g.
- Data Quality Support team CRM checks
- Media request sign-off sheets
- MI Reports and UAT sign-off
- PVH and Controlled Drug datasets checking / 1 year
Internal dataset and reports / Internal data sets and reports
E.g.
- PVH and Controlled drugs dataset / 3 years
Internal dataset registers / Health and Social Care Register / Retain until superseded
External Data Sourcing team
Information Sharing Agreements / 6 years from end of contract
External Data Received as part of Information Sharing Agreements / 6 years unless retention period is specified in the terms of the agreement
External datasets and reports / Website downloads, coroners reports from ministry of Justice, Ombudsman’s reports / 3 years / Not covered by Information Sharing Agreement’s
Knowledge and Information Management
Standards, policies and procedures for the effective maintenance of information / Records management policies / Retain until superseded
The management of collections of records transferred to the archives / Accession registers, Transmittal lists, IM reports / Retain until superseded
Relating to the use of off-site storage facilities / Archiving spreadsheet / Retain until superseded
The management of electronic records / Register of security groups / Retain
The process that records the disposal of records / Disposal certificates / 7 years
Retention and disposal policy / Retention and disposal schedules / Retain
Internal Audit / Questionnaire data, analysis / Delete once report agreed and published.
Reports / 1 year after superseded.
Scanning Manual / Current versions and all previous versions / Requirement of BS 10008
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INVOLVEMENT & EDHR
RECORD TYPE / EXAMPLES / RETENTION PERIOD / NOTESPromoting involvement of users and public in work of CQC, eg Experts by Experience / Correspondence
Meetings (agendas, minutes etc) / 2 years
Policy and guidance papers for internal use / Retain until superseded
Policy, guidance and handbooks for external use / Retain / Transfer to the British Library for permanent preservation.
Responding to external queries / Correspondence / 2 years after resolution of query / Responses may feed into guidance documents (eg FAQs)
Advising staff on matters of user involvement / 1 year after resolution of query / Responses may feed into guidance documents (eg FAQs)
Maintaining internal staff network, eg LGBT and Race Equality Networks / Correspondence, meetings / 2 years
National work with LINks, OSCs and Foundation Trust Councils of Governors / Meeting papers and correspondence. / 2 years after meeting / Responses may feed into guidance documents (eg FAQs)
Consulting with people who use services / Correspondence, meetings (agendas, minutes etc) / 2 years
Consultation reports / Retain / Transfer to the British Library for permanent preservation.
Responses from Disability, Race Equality and Gender Scheme / Published Report / Retain / Transfer to the British Library for permanent preservation.
Draft Report / 6 Months after publication
Evidence collected as part of the report / 3 Years from publication date
Equality Impact Assessment / Published on CQC website / Retain / Website preserved by The National Archives.
Publications preserved by the British Library
Annual Equality and Human Rights review / 1 year after review is superseded.
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LEGAL SERVICES, INFORMATION RIGHTS & SECURITY, & INTERNAL AUDIT
RECORD TYPE / EXAMPLES / RETENTION PERIOD / NOTESProviding legal advice for CQC staff / Legal request forms
Attendance notes
Letters
Personal injury claims / Destroy after duration of action for which advice given plus 6 years
Accessing legal advice for CQC staff / Correspondence received from external legal firms / Destroy after duration of action for which advice received plus 6 years
Managing, undertaking or defending for or against litigation on behalf of the CQC / Care Standards Tribunal appeal papers
Correspondence with providers
Inspection reports
Contemporaneous notebooks or copied extracts
Court papers
Care Standards Tribunal appeal papers
Court papers, case files and correspondence / 6 years after last action
Issuing written representations of evidence / Written representations of evidence / 3 months from the date of the Commission’s determination of the representations
Freedom of Information Act 2000 (FOIA), and Data Protection Act 1998 (DPA) policy / Policy relating to implementation of, and compliance with, FOIA, EIR and DPA / Retain
Freedom of Information Act 2000 (FOIA), and Data Protection Act 1998 (DPA) procedures and guidance / Procedures and guidance for handling FOIA, EIR and DPA requests / Retain until superseded
Caldicott Policy / Retain
Code of Practice / Retain
Code of Practice consultation / 2 years from conclusion of consultation.
Records of individual FOIA. and DPA requests / Statistical data of requests, summary of information requested, decisions on disclosure, exemptions applied. / 5 years / Name and contact details of applicants to be deleted 2 years after last activity in relation to the request
Records relating to decisions about releasing or withholding documents as a result of FOIA, or DPA requests, where request has not resulted in a request for internal review or referral to the Information Commissioner’s Office / Case files detailing the FOI or DPA request and the consideration of possible exemptions. \Advice Notes\FOIA & DPA / 2 years / Requests for information made under FOIA, or DPA
Records of internal reviews resulting from FOIA, or DPA requests, where there has been no subsequent referral to the Information Commissioner. / Case files detailing the FOI or DPA request and the consideration of possible exemptions, files relating to the internal review process / 2 years from date of internal appeal resolution / As above
Records of referrals to the Information Commissioner’s office (ICO) resulting from FOIA orrequests. / Case files detailing the FOI request and the consideration of possible exemptions, files relating to the internal review process, correspondence with the ICO and Tribunal / 2 years from the date of decision of the ICO (or of Tribunal where applicable) or of confirmation that case has been closed.
ICO and Tribunal decision notices to be retained / As above, except ICO and Tribunal do not issue decisions with regard to the DPA
Information Asset Register / Retain
Internal Audit / Questionnaire data, analysis / Delete once report agreed and published.
Reports (published internally) / Retain 1 year after superseded.
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