Records disposal schedule: Regulation Response Directorate - Outsourcing and Operations Support
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Last updated: 9 December 2008
Scope
This version of the schedule covers the records (paper and electronic) generated, received and managed by the Change Programme.
To dispose of administrative records generated by the unit (electronic and paper), staff should refer to the general records disposal schedule: records documenting functions and activities common to most business units. This schedule recommends retention periods for the administrative records which business units create or use in the course of their business.
To implement disposal rules for records managed by the unit (paper or electronic) which are not covered by the above schedules, the Change Programme records officer should be contacted. S/he will liaise with the SRA records manager for the production of an updated version of the schedule to include those records.
Disposal of records
There are only two ways to dispose of records:
- 1. Destroy them or
- 2. Keep them permanently
Records of permanent value should be as a rule transferred to the corporate archives. This is currently located in the Law Society's Library at Chancery Lane. Hard copy (paper) records which have to be kept for a period of time before destruction (e.g. longer than 1-3 months after closure) should be transferred to the Midlands archive store.
The provisions of this schedule have been formally approved by Antony Townsend, SRA Chief Executive.
Date: 10 November 2008
The Schedule
Current projects covered by this schedule
- Decision making
- Entity based regulation
- Online Rulebook
- Online services
- Organisation design
- Records management
Closed projects covered by this schedule
- FIS improvements
- Online payments
- PACTT project incorporating FileNet project
- PC renewal
- Programme Engineer
- RADC process
- Regulation system strategy
- Regulation transition
- Regulation audits
- Risk information flows
- Risk management
- SRA analysis
- 2006 authentication
- SRA web project
Disposal class 1: Developing and reviewing strategic policy and plans
1.1 Reviewing the programme's strategic objectives
1.1.1
Record type/sub-type
SRA Board: agenda, minutes and papers Medium/format/storage location
Electronic: group folder Recommended disposal
Destroy when reference ceases Statutory retention requirement or best practice
Official record held by SRA CEO Office
1.1.2
Record type/sub-type
Papers prepared for the Board Medium/format/storage location
Electronic: group folder Recommended disposal
Destroy when reference ceases Statutory retention requirement or best practice
Official record held by SRA CEO Office
1.1.3
Record type/sub-type
IT strategy papers Medium/format/storage location
Electronic: group folder Recommended disposal
Destroy when reference ceases Statutory retention requirement or best practice
Official record held by TLS IT
1.1.4
Record type/sub-type
Strategic plans Medium/format/storage location
Electronic: group folder Recommended disposal
Review 5 years after action completed to determine ongoing reference/re-use value
Disposal class 2: Developing corporate programmes to facilitate change
2.1 Programme planning and governance
2.1.1
Record type/sub-type
Benefits, blueprint, plans, risks and issues Medium/format/storage location
Electronic: group folder Recommended disposal
Review 5 years after completion of programme to determine on-going reference/re-use value Notes
Records retained on review should be re-assessed annually for ongoing business value and destroyed or retained accordingly
2.2 Programme communication
2.2.1
Record type/sub-type
Meetings, presentations, workshops Medium/format/storage location
Electronic: group folder Recommended disposal
Destroy 5 years after completion of programme
2.3 Programme progress (transformational flow)
2.3.1
Record type/sub-type
Functional requirements, information collection, progress reports, gap analysis, project portfolio, roadmap Medium/format/storage location
Electronic: group folder Recommended disposal
Review 5 years after completion of programme to determine on-going reference/re-use value Statutory retention requirement or best practice
In line with recommendations for disposal of records of projects led by TLS IT Projects Team Notes
Records retained on review should be re-assessed annually for ongoing business value and destroyed or retained accordingly
2.4 Quality management
2.4.1
Record type/sub-type
Audit, reports, product descriptions Recommended disposal
Destroy 5 years after completion of programme
Disposal class 3: Managing individual projects designed to bring about change (see Appendices 1 & 2 for projects )
3.1 Project proposals
3.1.1
Record type/sub-type
Proposal, feasibility study Medium/format/storage location
Electronic: group folder Recommended disposal
Approved: destroy 10 years after completion of project. Rejected or deferred: destroy 5 years after action completed Statutory retention requirement or best practice
In line with recommendations for disposal of records of projects led by TLS IT Projects Team and TNA disposal guidelines: Projects records
3.2 Project initiation
3.2.1
Record type/sub-type
Business case, Project Initiation Document (PID), product descriptions Medium/format/storage location
Electronic: group folder Recommended disposal
Review 5 years after completion of project to determine on-going reference/re-use value Statutory retention requirement or best practice
In line with recommendations for disposal of records of projects led by TLS IT Projects Team Notes
Records retained on review should be re-assessed annually for ongoing business value and destroyed or retained accordingly
3.3 Project planning
3.3.1
Record type/sub-type
Statement of requirements, operational requirements, technical plans, resource plans Medium/format/storage location
Electronic: group folder Recommended disposal
Destroy 5 years after completion of project Statutory retention requirement or best practice
In line with recommendations for disposal of records of projects led by TLS IT Projects Team and TNA disposal guidelines: Projects records Notes
Records retained on review should be re-assessed annually for ongoing business value and destroyed or retained accordingly
3.4 Project process management
3.4.1
Record type/sub-type
Project team meetings Medium/format/storage location
Electronic: group folder Recommended disposal
Destroy 5 years after completion of project Statutory retention requirement or best practice
In line with recommendations for disposal of records of projects led by TLS IT Projects Team and TNA disposal guidelines: Projects records Record type/sub-type
Project schedules, e.g. Timescale, GANTT charts Medium/format/storage location
Electronic: group folder Recommended disposal
Destroy 5 years after completion of project Statutory retention requirement or best practice
In line with recommendations for disposal of records of projects led by TLS IT Projects Team and TNA disposal guidelines: Projects records
3.4.2
Record type/sub-type
Project reports, e.g. Exception reports, status reports, end stage reports Medium/format/storage location
Electronic: group folder Recommended disposal
Review 5 years after completion of project to determine on-going reference/re-use value Statutory retention requirement or best practice
In line with recommendations for disposal of records of projects led by TLS IT Projects Team and TNA disposal guidelines: Projects records Notes
Records retained on review should be re-assessed annually for ongoing business value and destroyed or retained accordingly
3.4.3
Record type/sub-type
Project communication, e.g. Workshops, Stakeholder meetings Medium/format/storage location
Electronic: group folder Recommended disposal
Destroy 5 years after completion of project
3.4.4
Record type/sub-type
Project risks and issues Medium/format/storage location
Electronic: group folder Recommended disposal
Destroy 5 years after completion of project Statutory retention requirement or best practice
In line with recommendations for disposal of records of projects led by TLS IT Projects Team and TNA disposal guidelines: Projects records
3.4.5
Record type/sub-type
Quality assurance Medium/format/storage location
Electronic: group folder Recommended disposal
Review 5 years after completion of project to determine on-going reference/re-use value Statutory retention requirement or best practice
In line with recommendations for disposal of records of projects led by TLS IT Projects Team and TNA disposal guidelines: Projects records Notes
Records retained on review should be re-assessed annually for ongoing business value and destroyed or retained accordingly
3.5 Project finance management
3.5.1
Record type/sub-type
Budget Medium/format/storage location
Electronic: group folder Recommended disposal
Destroy on completion of the project Notes
Official record held by Group Finance
3.5.2
Record type/sub-type
Accounts, e.g. Invoices, purchase orders, expenses Medium/format/storage location
Electronic: group folder Recommended disposal
Destroy on completion of the project Notes
Official record held by Group Finance
3.5.3
Record type/sub-type
Support services, e.g. Travel, accommodation, room bookings, catering requests, printing requests Medium/format/storage location
Electronic: group folder Recommended disposal
Destroy on completion of the project
3.5.3
Record type/sub-type
Support services, e.g. Travel, accommodation, room bookings, catering requests, printing requests Medium/format/storage location
Electronic: group folder Recommended disposal
Destroy on completion of the project
3.6 Project contracts and agreements management
3.6.1
Record type/sub-type
Invitations to tender, tender evaluations Recommended disposal
Unsuccessful: destroy 1 year after tender rejected. Successful: destroy 1 year after termination of contract Statutory retention requirement or best practice
TNA disposal guidelines: contractual records
3.6.2
Record type/sub-type
Contracts under seal, other contracts, SLAs with external organisations, contract variations or extensions, change control notes (CCNs) Medium/format/storage location
Electronic; hard copy Recommended disposal
Send original to Legal Services for secure storage; retain local copies for duration of contract then destroy Statutory retention requirement or best practice
TNA disposal guidelines: contractual records Notes
Legal Services will hold for required legal retention period
3.6.3
Record type/sub-type
Original licences, licence renewals Medium/format/storage location
Electronic; hard copy Recommended disposal
Destroy 6 years after licence terminated Statutory retention requirement or best practice
Limitation Act 1980 and in line with recommendations for disposal of records of projects led by TLS IT Projects Team
3.6.4
Record type/sub-type
Suppliers' service review reports, meeting minutes Medium/format/storage location
Electronic; hard copy Recommended disposal
Destroy 1 year after end of contract
3.7 Project closure
3.7.1
Record type/sub-type
Project evaluation report, benefits realisation, lessons learnt Medium/format/storage location
Electronic: group folder Recommended disposal
Review 5 years after completion of project to determine on-going reference/re-use value Statutory retention requirement or best practice
In line with recommendations for disposal of records of projects led by TLS IT Projects Team and TNA disposal guidelines: Projects records (PDF 68KB)
3.8 Project documentation review
3.8.1
Record type/sub-type
Draft papers and superseded versions of project documentation Medium/format/storage location
Electronic: group folder Recommended disposal
Destroy on completion of project Statutory retention requirement or best practice
In line with recommendations for disposal of records of projects led by TLS IT Projects Team
3.8.1
Record type/sub-type
Draft papers and superseded versions of project documentation Medium/format/storage location
Electronic: group folder Recommended disposal
Destroy on completion of project Statutory retention requirement or best practice
In line with recommendations for disposal of records of projects led by TLS IT Projects Team
3.8.3
Record type/sub-type
Information collected for project reference use Medium/format/storage location
Electronic: group folder Recommended disposal
Destroy 2 years after completion of the project unless it is agreed on review to re-use for other projects Statutory retention requirement or best practice
TNA disposal guidelines: Projects records (PDF 68KB)
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