PlanIT - Template - Project Initiation Document PID - IP001C



HR, Payroll and Pensions WorkstreamHR and payroll document retention schedule Version 2.0 Christine Trotter Date: 7 August 2019Document location: FILENAME \* FirstCap \p \* MERGEFORMAT plan/UoS HR and Payroll Document Retention V2.0 - 7 Aug 2019.docx Table of Contents TOC \o "1-3" \h \z 1Introduction PAGEREF _Toc16077149 \h 32Retention Schedules PAGEREF _Toc16077150 \h 42.1Recruitment PAGEREF _Toc16077151 \h 42.2Employment and career PAGEREF _Toc16077152 \h 62.3Managerial instruction/ authorisation PAGEREF _Toc16077153 \h 82.4Employee relations PAGEREF _Toc16077154 \h 92.5AskHR PAGEREF _Toc16077155 \h 92.6Training and development PAGEREF _Toc16077156 \h 102.7UniWorkforce PAGEREF _Toc16077157 \h 112.8International HR PAGEREF _Toc16077158 \h 152.9HR Reporting PAGEREF _Toc16077159 \h 162.10Reward and benefits PAGEREF _Toc16077160 \h 172.11Talent PAGEREF _Toc16077161 \h 172.12Visitor records PAGEREF _Toc16077162 \h 182.13Payroll and Pension PAGEREF _Toc16077163 \h 19IntroductionThis document sets out the University’s planned retention schedule for HR, payroll and pensions related documents.The interaction between HR and Payroll in the processing of employee data cannot be overlooked or underestimated. This paper therefore reports on both HR, Payroll and Pensions records.HMRC requirementDetails of document type and retention are available from HMRC which states 3 years plus current. However, HMRC can go back through up to 6 years of records and make a claim against the University under the Statute of Limitations. University of Southampton Financial RegulationsThe University’s Financial Regulations state that the University is required by law to retain all payroll records for the current tax year plus the previous six tax years. This must therefore be a factor into the HR and Finance departments’ approaches to data retention.It should also be noted that, where this report refers to the retention and processing of ‘pensions’ data, it is referring to PASNAS pension scheme, this scheme is owned and administered by the University and payroll and HR details are requires to be held for longer than HMRC requirements. Other University pension schemes are administered by third party providers and do not need to be held on University systems.Retention SchedulesPlease note that members of PASNAS pension scheme will have their record retained for 100 years, shown in last column.Recruitment for employees and workers through UniWorkforceRecord detailRetentionRight to be forgotten?Ist actionSystem/areaLegal basis for processingPASNAS PensionERP process 24 monthsYesDestroyThe employer’s legitimate interestsOnline Staff Request Form (when managers seek approval to recruit)24 monthsNoDestroyStonefishThe employer’s legitimate interestsCandidate details supplied by 3rd Party Agency12 monthsYesDestroyEmailStonefish (if progressed through Recruitment process)The employer’s legitimate interestsRecruitment and selection including advert, applications, interview notes, testing material and all information related to ALL candidates (including unsuccessful candidates)12 monthsYes (unsuccessful)No (successful)DestroyStonefish and Hiring ManagerConsentThe employer’s legitimate interestsSensitive personal data at point of recruitment related to ALL candidates (including unsuccessful candidates)12 monthsYesDestroyStonefish ConsentThe employer’s legitimate interestsRight to work evidence (including UKVI) checked at interview. 24 months YesDeleteValidate Compliance with legal obligationsSuccessful candidates only: application, CV, offer and acceptance letters, references7 Years after end of employment NoDestroyDocStore Performance of a contract 100 YearsRight to work evidence (including UKVI) checked at job offer stage7 Years after end of employmentYes after 2 years after the date checkedDestroyDocStoreCompliance with legal obligationsCriminal Records Disclosure - Have you any unspent criminal convictions in line with the Rehabilitation of Offenders Act 1974?Only for relevant identified roles7 years after end of employment ( NoDestroyDocStoreCompliance with legal obligations100 YearsSuccessful candidates only: DBS check (offer confirmed)7 Years after end of employmentNoDestroyGBG Online Service / Resource LinkCompliance with legal obligations Successful candidates only: DBS check (offer withdrawn)12 monthsYesDestroyGBG Online Service Compliance with legal obligations The employer’s legitimate interestsPersonal contact details for UniWorkforce mailing list2 yearsYesDestroyMajor-domoConsentEmployment and careerRecord detailRetentionRight to be forgotten?Ist actionSystemLegal basis for processingPASNAS PensionName and personal details including contact details (address, telephone email), emergency contact/next of kin, marital status7 Years after end of employment (unless linked to PASNAS Pension)NoDestroy Resource Link / DocStoreCompliance with legal obligations Performance of a contract100 YearsRight to work in the UK information including passport, visa, employee work permit, national identity card,7 Years after end of employment (unless linked to PASNAS Pension)NoDestroyValidate, Resource Link/DocStoreCompliance with legal obligations Performance of a contract100 YearsEqual Opportunities7 Years after end of employmentNoDestroyResource Link / DocStoreCompliance with legal obligations National Insurance details 7 Years after end of employment NoDestroyResource Link / DocStoreCompliance with legal obligations Performance of a contract100 YearsQualifications and professional registration membership details7 Years after end of employmentNoDestroyDocStorePerformance of a contractThe employer’s legitimate interestsContractual documentation and terms of engagement7 Years after end of employment NoDestroyDocStorePerformance of a contract100 YearsRecords of hours worked and working patterns 7 yearsNoDestroyResource LinkCompliance with legal obligationsChanges to individual’s terms and conditions7 Years after end of employmentNoDestroyResource Link / DocStorePerformance of a contract100 YearsSecondment arrangements 7 Years after end of employment NoDestroyResource Link / DocStorePerformance of a contract100 YearsManagerial instruction/ authorisationRecord detailRetentionRight to be forgotten?Ist actionSystemLegal basis for processingPASNAS PensionTransactional HR and payroll input forms (including timesheets) 7 Years after end of employmentNoDestroyService Now, paper forms and email instructionPerformance of a contractRecord of previous service date (for PASNAS) 100 year after end of employment NoDestroyResource Link / DocStorePerformance of a contractRecording of annual leave (including statutory leave)7 Years after end of employmentNoDestroyResource LinkPerformance of a contractCompliance with legal obligations Unpaid leave periods 7 Years after end of employmentNoDestroyResource LinkPerformance of a contract100 YearsRecording sickness absence data 7 Years after end of employment NoDestroyResource Link / DocStorePerformance of a contract100 YearsFamily friendly leave requests and casework correspondence7 Years after end of employmentYes after 18 months after leave finishes following childbirth or adoptionDestroyResource Link / DocStore / Service NowCompliance with legal obligations Performance of a contractRecording maternity, adoption, paternity, parental leave and shared parental leave 7 Years NoDestroyResource LinkCompliance with legal obligations100 YearsWorking Time opt outs7 years after end of employmentNoDestroyResource Link/ DocStoreRegulations 5,9 Working Time Regulations 1998Employee relationsRecord detailRetentionRight to be forgotten?Ist actionSystemLegal basis for processingRecording disciplinary or capability or grievance dataDetailed in individual caseYes but not before expiry of sanction (varies on sanction)DestroyDatabaseCompliance with legal obligations Trade Union AgreementsTrade Union DOCAS documentTrade Union Facilities Time Agreement10 years after ceasing to be effectiveN/ADestroySharePointPerformance of a contractEmployment Tribunal data7 Years after end of Tribunal outcomeNoDestroyDatabaseCompliance with legal obligations AskHRRecord detailRetentionRight to be forgotten?Ist actionSystemLegal basis for processingManaging HR queries 7 Years after end of employmentYes, but may depend on type of query DestroyService Now / OutlookPerformance of a contractTraining and developmentRecord detailRetentionRight to be forgotten?Ist actionSystemLegal basis for processingInduction records7 Years after end of employmentNoDestroyResource Link / DocStoreThe employer’s legitimate interestsProbation records7 Years after end of employmentNoDestroyResource Link / DocStoreThe employer’s legitimate interestsTraining records7 years after end of employmentYes – minimum one year after attending trainingDestroyResource Link / DocStore and other 3rd party providersThe employer’s legitimate interestsInternational HRRecord detailRetentionRight to be forgotten?Ist actionSystemLegal basis for processingPASNAS PensionUK based contracts of employment7 Years after end of employment NoDestroyStonefish andDocStore Compliance with legal obligationsPerformance of a contract 100 YearsNon-UK based contracts of employment7 Years after end of employmentNoDestroyLocal recruitment database andDocStore Compliance with legal obligationsPerformance of a contract Data on family and children of UoS employees 7 years after end of employmentYes after 2 yearsDestroySharePoint and CLARITY (travel management)Performance of a contract HR ReportingRecord detailRetentionRight to be forgotten?Ist actionSystemLegal basis for processingBespoke reporting for;Statutory returnsExternal salary and benchmarking surveysInternal business intelligence reportingHESA returns2 years after date report runYesDestroyCOGNOS and ResourceLinkMay vary, depending on why the report was commissioned but likely to be related to;Compliance with legal obligationsPerformance of a contract The employer’s legitimate interestsPre-set reports available in systemStatutory returnsExternal salary and benchmarking surveysInternal business intelligence reportingHESA returns2 years after date report runYesDestroyCOGNOS May vary, depending on why the report was commissioned but likely to be related to;Compliance with legal obligationsPerformance of a contract The employer’s legitimate interestsBespoke (burst) reports available on request for;Internal business intelligence reporting2 years after date report runYesDestroyCOGNOSMay vary, depending on why the report was commissioned but likely to be related to;Compliance with legal obligationsPerformance of a contract The employer’s legitimate interestsReward and benefitsRecord detailRetentionRight to be forgotten?Ist actionSystemLegal basis for processingBenefits provided by 3rd party providersDuration of the ‘contract’ between the individual and the service providerYesDestroySharePoint andJ:drivePerformance of a contract and/or consentJob Evaluation Panels1 month after panel Anonymised records retained for 5 yearsYesDestroyJ:drive and SharePointCompliance with legal obligationsReward and RecognitionRecord detailRetentionRight to be forgotten?Ist actionSystemLegal basis for processingRecording appraisal or performance data7 Years after end of employmentNoDestroyResourceLink / DocStoreThe employer’s legitimate interestsAcademic Promotions (unsuccessful candidates) 6 monthsYesDestroySharePointPerformance of a contractThe employer’s legitimate interestsAcademic Promotions (successful candidates) – 7 Years after end of employmentNoDestroyDocStorePerformance of a contractVisitor recordsRecord detailRetentionRight to be forgotten?Ist actionSystemLegal basis for processingDetails held on system 12 months after cessation of workYes, but would prevent UoS from providing buildings and systems access and thus prevent engagementDestroyResourceLinkConsentPayroll and PensionRecord detailRetentionRight to be forgotten?Ist actionSystemLegal basis for processingPersonal pay history (payslips)7 Years after end of employmentNoDestroyResource LinkPerformance of a contractStatutory sick pay forms (e.g. SSP1)7 YearsNoDestroyDocStoreCompliance with legal obligationsPensionable pay at leaving, reckonable service for pension purpose7 YearsNoDestroyResource LinkPerformance of a contractBank details 7 years after end of employmentYes – minimum 3 months after leaving (to enable payments after leaving if necessary)DestroyResource LinkPerformance of a contractOverpayment documentation7 years after repayment or write offNoDestroyDocStoreResource LinkLegitimate interestsTermination for individual (pay arrangements, redundancy)7 Years after end of employmentNoDestroyResource Link / DocStorePerformance of a contractTax, National Insurance, Court orders, Child Maintenance Service, Student Loans etc.7 tax years after end of employment repaymentYesDestroyDocStoreCompliance with legal obligationsAdvance for season ticket, bicycle loan, car loan7 Years after end of employment repaymentYesDestroyDocStorePerformance of a contractPensions details for an individual (marked as “unless linked to PASNAS Pension” in this document)100 years after leaving employment NoDestroyResource Link / DocStorePerformance of a contractNominated beneficiary details7 Years after end of employment (unless linked to PASNAS Pension)YesDestroyResource Link Compliance with legal obligationsAVCs100 years after leaving employmentNoDestroyResource LinkPerformance of a contractReward and benefit details for individual100 years after leaving employmentNoDestroy Resource LinkPerformance of a contractPensions estimate requestsRetirementNoDestroyDocStorePerformance of a contractAnnual and triennial benefit statementsRetirementNoDestroyResourceLinkPerformance of a contractPensions choice declaration100 years after leaving employmentN0DestroyDocStorePerformance of a contractExpression of wishDeath or retirement NoDestroyDocStorePerformance of a contract ................
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