FSA Retention criteria

Record Series Legal requirements Operational Requirements Supervision Records created prior to N2 Known Best Practice Retention Retention Code

The Bank of England to have permanent right of access to S&S BoE to be provided a list of files Supervisory records transferred records post 1979 transferred to due for destruction. BoE will to FSA from the Bank of FSA, retaining legal liability for review and select files that it England (BoE) 1979 to 1998 supervisory decisions taken prior wishes to retain for permanent to transfer. (Ref. BoE note preservation November 1997) Regulatory records of former constituent bodies SIB[1], PIA[2], SFA[3], IMRO[4], LAUTRO[5], FIMBRA[6]. Legacy information on rule books, publications, press releases and disciplinary details only (public and private) from the SIB1, PIA2, SFA3, IMRO4, LAUTRO5, FIMBRA6, TSA[1], IBRC[2], AFBD[3], DTI[4], Bank of England's S&S, INS Dir, Friendly Soc. Commission

Dispose after 7 Years

A1

Dispose after 7 years

Dispose after 7 Years

A2

Permanent retention

A3

Pre N2 records held by FSA on behalf of predecessor bodies under HMG i) Building Societies Commission ii) Friendly Societies Commission iii) HMT and DTI documents relating to Insurance regulation between 01/01/1999 to 01/12/2001

Documents selected for permanent preservation should be transferred to The National Archives (TNA) within 30 years of selection

Dispose after 7 Years unless selected for permanent preservation by the TNA

A4

Supervision Records created prior to N2

Mutual Societies records for public access Documents selected for permanent preservation should be transferred to The National Archives (TNA) within 30 years of selection Dispose 2 years after date of oldest record Dispose 7 Years after closure of the society, unless selected for permanent preservation by the TNA Dispose 2 years after date of oldest record Dispose 10 Years after the advice was given, unless selected for preservation by the TNA (Government Actuary retention of documents 9 September 1997) A5

Mutual Society - Public Search & Copy (PSC) Records

A8

Pre N2 records held by FSA on behalf of Government Actuaries Division

Documents selected for permanent preservation should be transferred to The National Archive (TNA) within 30 years of selection

A6

Supervision Records created after N2

Supervisory records

Financial Services and Markets Act 2000 (FSMA) schedule 1 paragraph 9 and to meet the needs of Her Majesty's Treasury (HMT) review

Dispose 7 Years after Dispose 7 Years after year of year of creation, unless creation, unless specific specific records are records are identified for identified for further further retention (reason for retention (reason for further retention should be further retention should stated along with retention be stated along with period). Maximum retention retention period). 15 years Maximum retention 15 years Dispose after 7 Years after closure of the society Dispose 2 years after date of oldest record Dispose 2 years after date of oldest record

A7

Mutual Societies records for public access Mutual Society - Public Search & Copy (PSC) Records Collective Investment Schemes records (AUTs and OEIC) Firm Contact Centre - Hard copy and Electronic Records Perimeter Guidance Team Hard copy and Electronic Records

Financial Services and Markets Act schedule 1 paragraph 9 and to meet the needs of HMT review

A5

A8

Regulation 74.2 of the OpenEnded Investment Dispose 10 Years after Companies Regulations date file was archived 2001 Dispose after 7 Years Dispose after 7 Years

A9

A10 A11

Regulatory Transactions Records created prior to N2

Dispose of 10 years after Dispose of 10 years after waiver decision has been waiver decision has been made, unless specific made, unless specific records are identified for records are identified for further retention (reason for further retention (reason further retention should be for further retention stated along with retention should be stated along period) with retention period)

Capital Adequacy Directive CAD waiver applications

B10

Regulatory Process Records created after N2

Authorisation - Corporate Financial Services and Markets Act 2000 (FSMA) schedule 1 paragraph 9 and to meet the needs of HMT review Financial Services and Markets Act 2000 (FSMA) schedule 1 paragraph 9 and to meet the needs of HMT review Dispose after 7 Years B1

Authorisation - Individual Authorisation Approved Person regime - Form A application to perform controlled function Authorisation Approved Person regime - Form B notice to withdraw an application Authorisation Approved Person regime - Form C notice of ceasing to perform controlled functions Authorisation Approved Person regime - Form D notification of changes in personal information Authorisation Approved Person regime - Form E application for internal transfer of an approved person Consumer Contact Centre hard copy records Consumer Contact Centre electronic records

Dispose after 7 Years

B2

Dispose 10 Years from date of receipt

B3

Dispose after 7 Years

B4

Dispose 10 Years from date of receipt

B5

Dispose after 7 Years

B6

Dispose after 7 Years

B7

Dispose after 1 Year Dispose after 3 Years

B8 B9

Regulatory Transactions Records created after N2

Capital Requirements Directive CAD, AMA & IRB waiver applications

Dispose of 10 years after Dispose of 10 years after waiver decision has been waiver decision has been made, unless specific made, unless specific records are identified for records are identified for further retention (reason for further retention (reason further retention should be for further retention stated along with retention should be stated along period) with retention period)

B11

Enforcement records
FSA rule books, publications, press releases and disciplinary details only Regulatory Process Financial Services and Markets Act schedule 1 paragraph 9 and to meet the needs of HMT review Permanent Retention Permanent Retention C1

Dispose 7 Years after year of creation Dispose 7 Years after year of creation

Dispose 7 Years after year of creation Dispose 7 Years after year of creation Duration of Project plus 7 Years* (* See RDC/Tribunal recommendations)

C2

Supervisory records Financial Services and Markets Act schedule 1 paragraph 9 and to meet the needs of HMT review

C3

Enforcement action

C4

Enforcement records
Seized evidence Retained for 3 months , or if criminal proceedings are commenced within that period, until the conclusion of proceedings FSMA s. 176(8) 3 months or until conclusion of criminal proceedings 3 months or until conclusion of criminal proceedings C5

Intelligence gathering Research in support of FSA action

Financial Services and Markets Act schedule 1 paragraph 9 and to meet the needs of HMT review

Risk Assessment

Financial Services and Markets Act schedule 1 paragraph 9 and to meet the needs of HMT review

Dispose 7 years after Dispose 7 years after year of year of creation, unless creation, unless specific specific records are records are identified for identified for further further retention (reason for retention (reason for further retention should be further retention should stated along with retention be stated along with period). Maximum retention retention period). 15 years Maximum retention 15 years Dispose 7 Years after Dispose 7 Years after year of year of creation, unless creation, unless specific specific records are records are identified for identified for further further retention (reason for retention (reason for further retention should be further retention should stated along with retention be stated along with period). Maximum retention retention period). 15 years Maximum retention 15 years

C6

C7

Enforcement records
Legal advice received 6 years. Limitation Act 1980 Duration of action for which advice received plus 7 Years review/dispose Duration of action for which advice given plus 7 Years review/dispose C8

Legal advice given

6 years. Limitation Act 1980

C9

Policy records

Financial Services and Markets Act schedule 1 paragraph 9 and to meet the needs of HMT review

Dispose 7 Years after year of creation, unless specific records are identified for further retention (reason for further retention should be stated along with retention period). Maximum retention 15 years

C10

Regulatory Decision Making RDC decisions Tribunal referrals

Limitation Act 1980 provides general limit of 6 years from date of loss for claims of negligence, with a maximum limitation period of 15 years. 3 months for judicial review. 3 months for challenges under FSMA.

Dispose 15 years from the date the Final Notice was issued

C11

Project Records (other than where relevant to Enforcement Action) Working papers

Dispose 7 Years after completion of project Dispose 2 Years after completion of project

C12 C13

Legal Records
Legal advice received (External legal opinion included in applications to FSA, e.g. in variation of permission requests, should be treated as information received and not as legal advice) Legal advice given

Limitations 6 Years

Dispose 7 Years after duration of action for which advice received

Dispose 7 Years after duration of action for which advice received

D1

Limitations 6 Years

Dispose 7 Years after duration of action for which advice given

Dispose 7 Years after duration of action for which advice given

D2

Contracts/agreements under seal Other contracts Title deeds and property related documents Major agreements Royalty payments Royalty agreements

Limitations Act 1980 12 year limit for actions on a contract under seal (i.e. companies memorandum) 6 Years after expiry [12 years after expiry ceased]

Dispose 12 Years after conclusion of contract Dispose 6 Years after conclusion of contract

Dispose 12 Years after conclusion of contract

D3

1 year after expiry

Dispose 6 Years after conclusion of contract Dispose 12 Years after Dispose 12 Years after expiry expiry Permanent retention for Permanent retention for lifetime of organisation lifetime of organisation Permanent retention for Permanent retention for lifetime of organisation lifetime of organisation Dispose 1 Year after Dispose 1 Year after expiry expiry

D4 D5 D6 D7 D8

Policy Records
Dispose 7 years after Dispose 7 years after year of year of creation, unless creation, unless specific specific records are records are identified for identified for further further retention (reason for retention (reason for further retention should be further retention should stated along with retention be stated along with period). Maximum retention retention period). 15 years Maximum retention 15 years

Policy records

Financial Services and Markets Act schedule 1 paragraph 9 and to meet the needs of HMT review

E1

FSA rule books, publications, press releases and disciplinary details only (public and private) in both paper and electronic Financial Services and Markets format including: FSA Act schedule 1 paragraph 9 and consultation papers, responses to meet the needs of HMT review to consultation papers, FSA discussion papers and responses to discussion papers

Permanent retention

Permanent retention

E2

Cross FSA Records

Regulatory Decision Making ChairCo Delegations 6 years from date of loss for claims of negligence, with a Statutory limitation period of 15 years. 3 months for judicial review. 6 years from date of loss for claims of negligence, with a Statutory limitation period of 15 years. 3 months for judicial review. 6 years from date of loss for claims of negligence, with a Statutory limitation period of 15 years. 3 months for judicial review. 6 years from date of loss for claims of negligence, with a Statutory limitation period of 15 years. 3 months for judicial review. 6 years from date of loss for claims of negligence, with a Statutory limitation period of 15 years. 3 months for judicial review. 6 years from date of loss for claims of negligence, with a Statutory limitation period of 15 years. 3 months for judicial review. 3 months for challenges under FSMA Dispose 7 Years after the version superseded. Dispose 7 Years after the version superseded. F1

Regulatory Decision Making Agendas approved minutes and supporting internal and external papers.

3 months for challenges under FSMA

Destroy 7 Years after the Destroy 7 Years after the month in which the decision month in which the was made. decision was made.

F2

Cross FSA Records

Regulatory Decision Making Management information 3 months for challenges under FSMA Dispose 2 Years after the 31st March following the month to which the Management Information relates Dispose 7 Years after the version superseded. Dispose 2 Years after the 31st March following the month to which the Management Information relates Dispose 7 Years after the version superseded. F3

Regulatory Decision Making Statement of procedures for each Decision Making Committee Regulatory Decision Making Divisional regulatory committee (DRC) decisions

3 months for challenges under FSMA

F4

Dispose 15 years from the 3 months for challenges under date the final statutory notice FSMA was issued.

Dispose 15 years from the date the final statutory notice was issued. Dispose 15 years from the date the final statutory notice was issued. Dispose 7 years after completion of project Dispose 2 years after completion of project

F5

Regulatory Decision Making Tribunal referrals

Dispose 15 years from the 3 months for challenges under date the final statutory notice FSMA was issued. Dispose 7 years from completion of project Dispose 2 years from completion of project

F6

FSA Project records Draft reports, working papers & correspondence

F7 F8

Cross FSA Records

Code of Conduct Records Retain 7 years from date of signing. All versions of Appendix As (including those copied to HR) should be retained from date of signing, even if they have been superseded by a revised version incorporating changes. Retain 7 years from date of signing. All versions of Appendix As (including those copied to HR) should be retained from date of signing, even if they have been superseded by a revised version incorporating changes. Retain 7 years from date of Retain 7 years from date signing (ideally in electronic of signing (ideally in form) electronic form)

Appendix A Disclosure of interests

F9

Appendix B Permission to deal

F10

FSA HR Records
Central HR records - retention periods based on Information Commissioner's Code of Practice. Central Payroll Records Wages /salary records (also overtime, bonuses, expenses) Review/dispose 6 years Dispose not less than 6 years after the end of the financial year to which they relate Dispose not less than 6 years after the end of the financial year to which they relate Dispose after 7 years G1

Income tax & NI returns, income Review/dispose not less than 6 tax records, payroll & wages years after the end of the financial details. year to which they relate Statutory sick pay records, Review/dispose not less than 3 calculations, certificates & self years after the end of the financial certificates. year to which they relate Statutory maternity pay records, Review/dispose not less than 3 calculations, certificates (Mat years after the end of the financial B1s or other medical evidence). year to which they relate Central HR Records

Dispose after 7 years

G2

Dispose not less than 3 Dispose not less than 3 years years after the end of the after the end of the financial financial year to which year to which they relate they relate Dispose not less than 3 Dispose not less than 3 years years after the end of the after the end of the financial financial year to which year to which they relate they relate

G3

G4

Employment paperwork: contract and offer letter, start date letter, employment references, Appendix C, FSMA, Health Questionnaire, passport/visa, qualifications (if required for role) Contractual information: contract variations, change to terms and conditions, internal appointment letters, probation confirmation, secondment paperwork, pension details for staff who transferred into FSA), interim salary changes, changes to written particulars Absence employment records (maternity, career leave, medical, paternity, parental, sickness/medical etc, unpaid and special leave) References given/information to enable references to be provided. Disciplinary details. Flexible Benefits Information (Total remuneration statements, information from providers, stats etc) Annual appraisal/assessment records (retained in HR) Local Records (including MSU) Information Commissioner's code of practice Information Commissioner's code of practice

Retain for duration of employment

Retain for duration of employment and 10 years from end emploment date

G5

Retain for duration of employment

Retain for duration of employment and 10 years from end emploment date

G14

Retain for duration of employment

Retain for duration of employment and 10 years from end emploment date Retain for duration of employment and 10 years from end emploment date Delete once the disciplinary action has expired. Dispose after 5 years Dispose 3 years after creation date

G7

Retain for duration of employment. Retain for duration of employment.

G13

G6

Retain for 4 years Information Commissioner's code of practice Retain for 3 years after creation date

G9

G10

FSA HR Records

Application forms, interview notes and reference details. Interview notes on unsuccessful candidates Annual leave records Annual Appraisal (retained by department)

Information Commissioner's code of practice

Information Commissioner's code of practice Information Commissioner's code of practice

Training records

Retain for duration of employment. Input notes into capability matrix on igrasp. All written notes to HRRM to retain 12 months Dispose 2 years after creation date Dispose 1 year after creation date Retained electronically on Oracle HR - majority of records are created by individual by employee Self Service Dispose after 3 years from date created Dispose after 3 years from date created

Retain for duration of employment. Dispose 1 year after creation date Dispose 2 years after creation date Dispose 1 year after creation date Retain for duration of employment

G15

G8 G11

G12

Financial Records
Accounting records VAT Companies Act 1985 s.222(5) accounting records retained 3 years from date made Retain 3 years Taxation Management Act 1970 retain 6 years NB s.39 TMA 1970 Inland revenue may investigate matters more than 15 years in exceptional circumstances 6 years 10 years 6 years Dispose after 6 years Dispose after 10 Years Dispose after 3 years from date created Dispose after 3 years from date created H1 H2

Taxation

Review/dispose after 6 Review/dispose after 6 years. years. Retained records Retained records for which for which rationale in rationale in business terms business terms provided provided dispose at 15 years dispose at 15 years Dispose after 6 years Dispose after 10 years Dispose after 6 years Dispose after 6 years Dispose after 10 years Dispose after 6 years Dispose after 6 Years Dispose after 10 Years Permanent for lifetime of company

H3

Cheques/remittance advice Cash book list Cost control ledger analysis Invoice revenue Invoice capital Quotations - Capital expenditure (successful)

H4 H5 H6 H7 H8 H9

Financial Records
Permanent for lifetime of company

Quotations - Capital expenditure (unsuccessful) Quotations - Revenue expenditure (successful) Quotations - Revenue expenditure (unsuccessful) Purchase requisitions Purchase Invoices Assets - Ledger sheets Assets - Consolidated accounts Assets - Disposal of assets Assets - Application to write off plant value Assets - Annual depreciation

Dispose after 1 Year Retain current plus 1 Year Dispose after 3 months Current plus 3 Years Current plus 3 Years Retain current plus 6 years Dispose after 10 years Permanent for lifetime of company Permanent for lifetime of company Permanent for lifetime of company Dispose after 3 years

Dispose after 1 Year Retain current plus 1 Year Dispose after 3 months Current plus 3 Years Retain current plus 6 years Dispose after 10 years Permanent for lifetime of company Permanent for lifetime of company Permanent for lifetime of company Dispose after 3 years Permanent retention Permanent retention Permanent retention Permanent retention Permanent retention Permanent retention Permanent retention Permanent retention Permanent retention Permanent retention Permanent retention Permanent retention

H10 H11 H12 H13 H19 H14 H15 H16 H17 H18 I1 I2 I3 I4 I5 I6 I7 I8 I9 I10 I11 I12

Corporate Records
Minutes of Committees or Board meetings Directors minutes signed by the Chairman Company registers Powers of attorney & court orders Copy of instruments creating change Enquiry proceedings Company organisation papers Important company policy records Legal documents Register of seals Articles of association Certificate of incorporation Companies Act 1985 Companies Act 1985 Companies Act 1985 Companies Act 1985 Companies Act 1986 Commercial Commercial Commercial Commercial Permanent retention Permanent retention Permanent retention Permanent retention Permanent retention Permanent retention Permanent retention Permanent retention Permanent retention Permanent retention Permanent retention Permanent retention

Corporate Records
Companies Act 1985 Companies Act 1985 Companies Act 1985

Register of directors and secretaries Register of directors share and debenture interests Particulars of directors service contracts Contracts - see under Legal Timesheets Leave Routine reports Minutes and agendas Training

Companies Act 1985 s.288 Companies Act 1984 s.325 Companies Act 1984 s.318

Permanent retention Permanent retention Permanent retention

Permanent retention Permanent retention Permanent retention

I13 I14 I15

Local Area Administrative Records

Retain for duration of current financial year Retain for duration of current financial year Dispose 2 years after creation date Dispose after 2 Years Dispose after 2 Years Details held on SAM database for duration of employment plus 6 Years J1 J2 J3 J4 J5

Dispose after 2 Years Dispose after 2 Years Details held on SAM database for duration of employment plus 6 Years Retain for duration of current financial year

Local Area Administrative Records HoDs Budgets Retain for duration of current financial year Details held on SAM Details held on SAM database for duration of database for duration of employment plus 6 employment plus 6 Years Years Copy from HR held for Copy from HR held for duration of recruitment duration of recruitment process then return to HR or process then return to destroy HR or destroy Dispose after 2 Years Dispose after 2 Years Dispose after 2 Years Dispose after 2 Years Continual update Dispose after 2 Years Dispose after 2 Years Dispose after 2 Years Dispose after 2 Years Continual update J7

Training

J8

Recruitment Routine reports monthly/quarterly Team meetings Bilaterals Minutes and agendas Emergency contacts

J9

J11 J12 J13 J14 J15

Letters and memos Sub contractors SC60 etc Other income tax National insurance Time sheets Health and Safety Accident books Control of substances hazardous to health Equipment inspection records Risk assessments

Review/Dispose after 1 Year

Review/Dispose after 1 Year

J16

Local Area Administrative Records

Dispose after 6 Years Dispose after 6 Years Dispose after 6 Years Current plus 1 Year Dispose after 3 Years from date of last entry COSHH 40 Years from date of last incident Varies according to equipment Dispose after 3 Years or until superseded Dispose after 6 Years Dispose after 6 Years Dispose after 6 Years Current plus 1 Year Dispose after 6 Years Dispose after 6 Years Dispose after 6 Years Current plus 1 Year J17 J18 J19 J20 J21 J22 J23 J24

Dispose after 3 Years from Dispose after 3 Years date of last entry from date of last entry COSHH 40 Years from date COSHH 40 Years from of last incident date of last incident Varies according to Varies according to equipment equipment Dispose after 3 Years or until Dispose after 3 Years or superseded until superseded

I.S. Records
Dispose after 1 year, with the exception of back up tapes required for legal purposes, which are retained for the duration of proceedings Dispose after 1 year, with the exception of back up tapes required for legal purposes, which are retained for the duration of proceedings

I.S. Back up tapes

K1

Goodstanding Letters
Goodstanding Letters - request, response and supplementary information None None Short term reference only, to confirm a request has been met Dispose after 1 Year L1

Freedom of Information Act Records

FSA FOI Policy and related documents Retention and Disposal Policy Dispose 7 years after Dispose 7 years after year of year of creation or when creation or when policy has policy has been been superceded superceded Retain permanently Retain permanently M1 M2

Right To Know (RTK) requests and response records Records of RTK requests, records relating to decisions about releasing or withholding information and records of RTK internal review requests and ICO complaints where the case has not gone to tribunal. Records of RTK requests, records relating to decisions about releasing or withholding information and records of RTK internal review requests and ICO complaints where the case has gone to tribunal.

All files will be destroyed after 3 years from RTK case closure or internal review Dispose 3 years after the closure or ICO decision case is closed notice, whichever is the latest.

M5

All files will be destroyed after 7 years from Dispose 7 years after the Information Tribunal decision case is closed notice All queries, related Dispose 3 years after the documents and entries on query has been IAT log to be destroyed 3 responded to or from years after query has been when IAT has received responded to or from when confirmation from IAT has received relevant business area confirmation from relevant that they will respond to area that they will respond to the request. the request.

M6

M7

FOI Queries, related documents and relevant entries on IAT log

Comparative Tables
Comparative Tables - website text files containing text featured on the website at various points in time All other electronic files for the Comparative Tables are Destroy after 6 years from retained for 6 years - it makes date records are transferred sense for the text files to be to 'Text Archive July 2005' retained for the same period of folder time in case of queries

None

Dispose after 6 Years

N1

Public Affairs & Accountability

MPs Letters Board & Board Committees Company Secretariat/Statutory Pension Plan Trustee Board (PPTB) Minutes of PPTB Boards and Board Committees Registers and all legal documents PPTB administration records PPTB Accounts Independent Related Bodies Consumer Panel Practitioner Panel SBPP FOS Investors Compensation Board/Scheme/Co BOBS Independent Complaints Commissioner Registers C8.1 Set Up, etc C8.2, C8.9, C8.10 C8.17

None

None

7 Years

Dispose after 7 Years Permanent retention Permanent retention

O1 P1 P2

Company Secretariat

Permanent retention Permanent retention outsourced, all basic administration records held by Aon Consulting Permanent retention Permanent retention Permanent retention Permanent retention Permanent retention Permanent retention Dispose after 7 Years Permanent retention Permanent retention

P3 P4 P5 P6 P7 P8 P9 P10 P11 P12 P13 P14

Company Secretariat
Independent Complaints Commissioner cont. Complaints/Queries C8.3 - C8.8 C8.18 - C8.21 FSCS Internet Practitioner Group SROs & BSC HR & Pensions Dispose after 7 Years (to be reviewed) Dispose after 7 Years (to be reviewed) Permanent retention Permanent retention Permanent retention P15 P16 P17 P18 P19

FSA Pension Scheme E1 SIB Pension Scheme E2 HR Policies E3/HR Admin E4 SCC Expression of Wish Forms Ethics & Code of Conduct Old Code returns (for staff on new Code) New Code Data General files on old/new Code Department G1 - G13 G14 - G17 G19 - G27 Honours Other J1 - J3 J4 - J5 J6 J7 J8 J9 J10 - J13

Permanent retention Permanent retention Dispose after 7 Years Permanent retention Permanent retention Dispose after 7 Years Retain for duration of staff employment - then send to HR for further 7 Year retention Dispose after 7 Years Dispose after 7 Years Permanent retention Dispose after 7 Years Dispose after 7 Years Permanent retention Dispose after 7 Years Permanent retention Dispose after 7 Years Permanent retention Dispose after 7 Years Permanent retention

P20 P21 P22 P23 P24 P25

P26 P27 P28 P29 P30 P31 P32 P33 P34 P35 P36 P37 P38

Company Secretariat
UKLA Board Committee papers LARC (Listing Authority Review Committee) & LAAC (Listing Authority Advisory Committee) Permanent retention P39

UK Listing Authority

Review and Approve (RA) and Direction and Clarification (DC) cases containing records re formal approval of legal/regulatory documents and general enquiries received by UK Listing Authority (including complaints).

Paper records - retain for 6 Years in case there are queries about whether the letter was received or a response has been provided

Dispose after 6 Years

Q1

Security Records
Electronic Access Control Records Security Records, Incident Management records (electronic or hard copy) Closed Circuit Television Tapes (C.C.T.V.) Dispose after 6 Years Dispose after 6 Years Data Protection Act 1998 Dispose after 30 days R1 R2 R3

Contractual Records
Contract - signed (also see under Legal Records - other 6 Years after expiry contracts, retention code D4) Contract Operation and Monitoring Records Reports from contractors Schedules of works Records of complaints Disputes over payment Final Accounts Amendment to contracts Changes to requrements Dispose 6 Years after conclusion of contract Dispose 6 Years after conclusion of contract S7 Dispose 6 Years after conclusion of contract Dispose 6 Years after conclusion of contract Dispose 6 Years after conclusion of contract Dispose 6 Years after conclusion of contract Dispose 6 Years after conclusion of contract Dispose 6 Years after conclusion of contract Dispose 6 Years after conclusion of contract Dispose 6 Years after conclusion of contract Dispose 6 Years after conclusion of contract Dispose 6 Years after conclusion of contract Dispose 6 Years after conclusion of contract Dispose 6 Years after conclusion of contract S1

S2 S3 S4 S5 S6

Forms of variation

Dispose 6 Years after conclusion of contract

Dispose 6 Years after conclusion of contract

S8

Contractual Records
Amendment to contracts cont. Extensions to contract Dispose 6 Years after conclusion of contract Dispose 6 Years after conclusion of contract S9

Re-use of Public Sector Information (PSI) Records

FSA Re-use of Public Sector Information (PSI) Policy and related documents Re-use of Public Sector Information (PSI) Retention and Disposal Records Re-use of Public Sector Information Records Records of Individual Re-use of Public Sector Information (PSI) requests, records relating to decisions about releasing or withholding information. Re-use of Public Sector Information (PSI) Internal Review Records If no further request for If no further request for appeal Dispose 4 Years after appeal Dispose 4 Years the date of the Internal after the date of the Review response Internal Review response Review content 7 years from year of creation or when policy has been superceded with view to disposing the records Retain permanently 7 Years T1

Retain permanently

T2

If a request for Internal Review has not been received dispose 3 years after date of final response.

Dispose 3 Years after the date of the final response

T3

Records of Individual Re-use of Public Sector Information (PSI) Internal Review requests

T4

Environmental Information Regulations (EIR) Records

Review content 7 years from year of creation or when policy has been superceded with view to disposing the records 7 years U1

FSA EIR Policy and related documents

FSA EIR Retention and Disposal Records EIR requests and response records Records of Individual EIR requests, records relating to decisions about releasing or withholding information. EIR Internal Review Records

Retain permanently If a request for Internal Review has not been received dispose 3 years after date of final response.

Retain permanently

U2

Dispose 3 Years after the date of the final response

U3

Records of Individual EIR Internal Review requests

If no further request for If no further request for appeal Dispose 4 Years after appeal Dispose 4 Years the date of the Internal after the date of the Review response Internal Review response

U4

Data Protection Act Records

FSA DP Policy and related documents Retention and Disposal Policy FSA DP queries and responses Annual Notification to the Information Commissioner responses etc from business areas and correspondence from ICO Annual Data Protection Self Assessment Programme (SAP) records relating to completion and outcome of SAP Subject Access Requests (SAR) and response records Records of individual SARs, records relating to decisions about releasing or withholding personal data Retain permanently Retain permanently Dispose after 2 years Retain permanently Retain permanently Dispose after 2 years V1 V2 V3

Dispose after 7 years

Dispose after 7 years

V4

Dispose after 7 years

Dispose after 7 years

V5

Dispose 2 years after date of last contact

Dispose 2 years after date of last contact

V6

Complaints from individuals regarding data protection Individual hybrid SAR/Freedom of Information requests

Individual hybrid SAR/Freedom of Information Internal Review requests

Dispose 2 years after date of Dispose 2 years after last contact date of last contact If a request for Internal Review has not been Dispose 3 years after the received dispose 3 years date of final response after date of final response If no further request for If no further request for appeal dispose 4 years appeal dispose 4 years after after the date of the the date of the Internal Internal Review Review response response.

V7

V8

V9

Witness Statement Records

Copies of signed witness statements provided by the Information Access Team (IAT) to Enforcement Authorities (where original signed statement has been retained by Enforcement Authority) and records relating to the creation of the final statement.

N/A

N/A

Dispose 7 Years after the date of the final signed statement

Dispose 7 Years after the date of the final signed statement

W1