Retention and Disposal Schedule 2019-20

1 Retention and Disposal Schedule 2019 -20 Date this version was published: 24th May 2019 Next review date: 1st April 2020 IntroductionCQC keeps records to meet current and future business needs and comply with statutory, legal and corporate governance practice requirements. By maintaining a Retention and Disposal Schedule we can ensure that the management of records is documented, understood and Retention and Disposal Schedule is a list of the business records held by CQC, including examples, and the period at which each type of record will be reviewed for destruction. It should be noted that the Schedule focuses on managing content and not the format in which the record is held, for example, how long we keep an email will be dictated by its content rather than the fact it is an email.

2 The Schedule is divided into 19 series', plus a list of records that are common to all areas. The Schedule is reviewed annually as part of CQC's information asset the general data protection Regulation ( gdpr ) we must keep records of our processing of personal data and special category personal data . The Schedule forms part of these the Retention and Disposal ScheduleThe Retention and Disposal Schedule contains ten pieces of information about each record type:Records series- identifies the business function that the records relate is the unique identifier for the record or group of records summaries the name of the record or group of provides an indicator of the types of records included, where applicable (although it is not an exhaustive list) Retention is the period of time at which the records will be reviewed and either be destroyed or the Retention period extended.

3 An extension to the normal Retention period may be required when enforcement, an Inquiry or other relevant activity is in progress. Where an Inquiry (including public Inquiries) is taking place CQC may be required to suspend the destruction of some or all of the records Personal Information - this identifies whether the records were obtained by the Commission on terms or in circumstances requiring it to be held in confidence .and that relates to and identifies an individual . As defined in the Health and Social Care Act 2008 The following information relates to the requirements of the general data protection Regulation ( gdpr ).

4 Full details of the requirements under the regulations can be found at: the Information Commissioner's websitePersonal data identifies whether the records include information that can identify a living individual. Examples of Personal data : Names, addresses, personal emails, bank details, contact information, personnel filesLegal basis for processing personal data identifies the purposes for which CQC collects, holds, uses and stores personal informationSpecial category personal data - identifies whether the records include specific types of information, Examples include racial or ethnic origin, political opinions, religious beliefs, trade union membership, sexual and criminal basis for processing special category personal data identifies the purposes for which CQC collects, holds.

5 Uses and stores special personal informationGlossary of termsASC - Adult Social CareCEO - Chief Executive OfficerCRM - Customer Relationship Management (System)EDHR - Equality, Diversity & Human RightsExE- Expert by ExperienceIRMER - Ionising Radiation Medical Exposure RegulationsKLOE - Key Line of EnquiryMHA - Mental Health ActPMS - Primary Medical ServicesSOAD- Second Opinion Appointed DoctorSpA - Specialist AdvisorRecord seriesCoverage and examplesCommon recordsAssets common to all directorates Minutes, policy, expenses Employee records, relations and managementEmployee data , including sickness absence, training records, DBS checks, disciplinary proceedings, personal performance monitoring, medical and workplace records, recruitment processes.

6 Pay roll, Negotiations with Unions, staff surveys, briefings, newsletters, Financial Budget setting and monitoring, monthly reports to committees, invoices, bank statements, payroll, pensions ProcurementTendering, contracting and purchasing Land & property maintenancePAT testing, building maintenance, H&S risk assessments, waste management Organisational managementBusiness plans, strategies, performance monitoring (ex employee), Business continuity plans, MOUs, Projects, risk management, Internal Audit GovernancePrivate office correspondence, MP questions, Statutory Committee meetings, secretariat, complaints, Customer contactRecordings of telephone conversations at NCSC, general enquiries, incoming scanned mail, stats, Publications and engagementPress releases, public consultation, stakeholder communications, ICT recordsSystems documentation, data and Intelligence reportingIntelligent monitoring reports, data used to create intelligence reports, HES, Outlier information, notifications, PVH data .

7 Information Management RDM helpdesk, Retention Schedule , Information Governance and Information Security, LegalLegal files and advice013. Corporate Provider & Market oversightMonitoring and financial details of specific ASC providers, Registration recordsRegister of providers and supporting documents, Inspection recordsInformation gathered and written during an inspection to inform a judgement (ex final public report), Inspector and ExE notes, evidence gathered from providers, Policy and StrategyProvider handbooks, Inspection guidance, KLOEs, EnforcementNotices, Management review meetings, Healthwatch EnglandAssets unique to HWE-see website019.

8 National Guardian's OfficeAssets unique to NGO- for other assets, employee, finance see relevant SeriesNumberTitleExamplesRetentionConfid ential Personal InformationPersonal DataLegal basis for processing PDSpecial Category Personal dataLegal basis for processing SCPDC ommon Retention contact details People finder, Database of staff name, office address and photographWhilst employed by CQCNone identifiedYesContract (employment) or ConsentNoNot applicableCommon Retention structures Organisation chartsWhilst relevantNone identifiedYes where names includedContract (employment)NoNot applicableCommon Retention performance monitoring Management information, measurements scorecardSee Retention meetingsMinutes, agendas2 yearsNone identifiedYesContract (employment)

9 NoNot applicableCommon Retention strategyFinalRetain permanentlyNone identifiedNoNot applicableNoNot applicableCommon Retention team strategyDraft, or developmentRetain to inform next cycle of activityNone identifiedNoNot applicableNoNot applicableCommon Retention no asset assignedCommon Retention policy Retain permanentlyNone identifiedNoNot applicableNoNot applicableCommon Retention meetingsAgendas, minutes, papers, plan2 yearsNone identifiedYes Official AuthorityNot routinelyNot applicableCommon Retention Performance Management Staff performance management information and annual personal development reviews and reports, including 1.

10 1sSee Retention annual leaveAnnual leave requests, which are locally managedSee and Retention Query log Internal team queries and responses provided to CQC staff3 yearsNone identifiedYesPublic interest taskNoNot applicableCommon Retention Query log External team queries and responses provided to member of public, providers - see , and and Retention , team away days- internal Internal Minutes, Internal presentationRetain whilst usefulNone identifiedYesContract (employment)NoNot applicableCommon Retention , expense claim formsSee and Retention and or recordings taken at meetingsNotes and or recordings taken at meetings that will be used to create an official recordDestroy once official electronic (Usually Word) version is agreedYes (in some cases)