Data Retention Policy

2.1 This policy covers all information that we hold or have control over. This includes physical information such as hard copy documents, contracts, notebooks, letters and invoices. It also includes electronic information such as emails, electronic documents, audio and video recordings. It applies to both personal data and non-personal data. In this policy we refer to this information and these records collectively as “data”.

2.2 This policy covers data that is held by third parties on our behalf, for example cloud storage providers or offsite records storage. It also covers data that belongs to us but is held by employees on personal devices.

2.3 This policy explains the differences between our formal or official records, disposable information, confidential information belonging to others, personal data and non-personal data. It also gives guidance on how we classify our data.

2.4 This policy applies to all business functions of Physiobrite in the UK.

3.1 Through this policy, and our data retention practices, we aim to meet the following commitments:

• We comply with legal and regulatory requirements to retain data.
• We comply with our data protection obligations, in particular to keep personal data no longer than is necessary for the purposes for which it is processed (storage limitation principle).
• We handle, store and dispose of data responsibly and securely.
• We create and retain data where we need this to operate our business effectively, but we do not create or retain data without good business reason.
• We allocate appropriate resources, roles and responsibilities to data retention.
• We regularly remind employees of their data retention responsibilities.
• We regularly monitor and audit compliance with this policy and update this policy when required.

4.1 Responsibility of all employees. We aim to comply with the laws, rules, and regulations that govern our organisation and with recognised compliance good practices. All employees must comply with this policy, the Record Retention Schedule, any communications suspending data disposal and any specific instructions from the directors of Physiobrite. Failure to do so may subject us, our employees, and contractors to serious civil and/or criminal liability. An employee’s failure to comply with this policy may result in disciplinary sanctions, including suspension or termination. It is therefore the responsibility of everyone to understand and comply with this policy.

4.2 Records Management Officer. The Records Management Officer is responsible for identifying the data that we must or should retain and determining the proper period of retention. This officer will also arrange for the proper storage and retrieval of data, co-ordinating with outside vendors where appropriate.

4.3 We have designated Madhu Malhotra as head of the Records Management Officer. That officer and is responsible for:

• Administering the data management programme;
• Helping implement the data management programme and related best practices;
• Planning, developing, and prescribing data disposal policies, systems, standards, and procedures;
  and
• Providing guidance, training, monitoring and updating in relation to this policy.

5.1 Formal or official records. Certain data is more important to us and is therefore listed in the Record Retention Schedule. This may be because we have a legal requirement to retain it, or because we may need it as evidence of our transactions, or because it is important to the running of our business. Please seeparagraph 6.1 below for more information on retention periods for this type of data.

5.2 Disposable information. Disposable information consists of data that may be discarded or deleted at the discretion of the user once it has served its temporary useful purpose and/or data that may be safely destroyed because it is not a formal or official record as defined by this policy and the Record Retention Schedule. Examples may include:

• Duplicates of originals that have not been annotated.
• Preliminary drafts of letters, memoranda, reports, worksheets, and informal notes that do not represent significant steps or decisions in the preparation of an official record.
• Books, periodicals, manuals, training binders, and other printed materials obtained from sources outside of Physiobrite and retained primarily for reference purposes.
• Spam and junk mail. Please see paragraph 6.2 below for more information on how to determine retention periods for this type of data.

5.3 Personal data. Both formal or official records and disposable information may contain personal data; that is, data that identifies living individuals. Data protection laws require us to retain personal data for no longer than is necessary for the purposes for which it is processed (principle of storage limitation). See paragraph 6.3 below for more information on this.

5.4 Confidential information belonging to others. Any confidential information that an employee may have obtained from a source outside of Physiobrite, such as a previous employer, must not, so long as such information remains confidential, be disclosed to or used by us. Unsolicited confidential information submitted to us should be refused, returned to the sender where possible, and deleted, if received via the internet.

5.5 Data classifications. Some of our data is more confidential than other data. Examples of this type of data is as follows:

1. Any data from which an individual can be identified (whether by that data alone or in conjunction with any other data). So, for example any data identifying or capable of identifying a potential patient, a referrer, a physiotherapist or an employee.
2. Any transactional data (e.g. referrals made to physiotherapists via our website).
3. Any data that we have received from a third party which is not publicly available to others.

6.1 Formal or official records. Any data that is part of any of the categories described above, must be retained for the amount of time indicated in the Record Retention Schedule. A record must not be retained beyond the period indicated in the Record Retention Schedule, unless a valid business reason (or notice to preserve documents for contemplated litigation or other special situation) calls for its continued retention. If you are unsure whether to retain a certain record, contact the Records Management Officer.

6.2 Disposable information. The Record Retention Schedule will not set out retention periods for disposable information. This type of data should only be retained as long as it is needed for business purposes. Once it no longer has any business purpose or value it should be securely disposed of.

6.3 Personal data. As explained above, data protection laws require us to retain personal data for no longer than is necessary for the purposes for which it is processed (principle of storage limitation). Where data is listed in the Record Retention Schedule, we have taken into account the principle of storage limitation and balanced this against our requirements to retain the data. Where data is disposable information, you must take into account the principle of storage limitation when deciding whether to retain this data.

6.4 What to do if data is not listed in the Record Retention Schedule. If data is not listed in the Record Retention Schedule, it is likely that it should be classed as disposable information. However, if you consider that there is an omission in the Record Retention Schedule, or if you are unsure, please contact the Records Management Officer.

7.1 Storage. Our data must be stored in a safe, secure, and accessible manner. Any documents and financial files that are essential to our business operations during an emergency must be duplicated and/or backed up
at least once per week and maintained off site.

7.2 Destruction. Our Records Management Officer is responsible for the continuing process of identifying the data that has met its required retention period and supervising its destruction. The destruction of confidential, financial, and employee-related hard copy data must be conducted by shredding if possible. Non-confidential data may be destroyed by recycling. The destruction of electronic data must be co-ordinated with the IT Department.

7.3 The destruction of data must stop immediately upon notification from a director of Physiobrite that preservation of documents for contemplated litigation is required (sometimes referred to as a litigation hold). This is because we may be involved in a legal claim or an official investigation (see next paragraph). Destruction may begin again once a director lifts the requirement for preservation

8.1 Preservation of documents for contemplated litigation and other special situations. We require all employees to comply fully with our Record Retention Schedule and procedures as provided in this policy. All employees should note the following general exception to any stated destruction schedule: If you believe, or a director or the Records Management Officer informs you, that certain records are relevant to current litigation or contemplated litigation (that is, a dispute that could result in litigation), government investigation, audit, or other event, you must preserve and not delete, dispose, destroy, or change those records, including emails and other electronic documents, until a director confirms that those records are no longer needed. Preserving documents includes suspending any requirements in the Record Retention Schedule and preserving the integrity of the electronic files or other format in which the records are kept.

8.2 If you believe this exception may apply, or have any questions regarding whether it may apply, please contact a director of Physiobrite.

8.3 In addition, you may be asked to suspend any routine data disposal procedures in connection with certain other types of events, such as our merger with another organisation or the replacement of our information technology systems.

9.1 Questions about the policy. Any questions about retention periods relevant to your role should be raised with a director of Physiobrite. Any questions about this policy should be referred to Madhu Malhotra (admin@physiobrite.com), who is in charge of administering, enforcing, and updating this policy.

10.1 Reporting policy breaches. We are committed to enforcing this policy as it applies to all forms of data. The effectiveness of our efforts, however, depend largely on employees. If you feel that you or someone else may have breached this policy, you should report the incident immediately to a director of Physiobrite or your line manager. If employees do not report inappropriate conduct, we may not become aware of a possible breach of this policy and may not be able to take appropriate corrective action.

10.2 No one will be subject to and we do not allow, any form of discipline, reprisal, intimidation, or retaliation for reporting incidents of inappropriate conduct of any kind, pursuing any record destruction claim, or co-operating in related investigations.

10.3 Audits. Our Records Management Officer will periodically review this policy and its procedures (including where appropriate by taking outside legal or auditor advice) to ensure we are in compliance with relevant new or amended laws, regulations or guidance. Additionally, we will regularly monitor compliance with this policy, including by carrying out audits.

11.1 This policy supplements and should be read in conjunction with our other policies and procedures in force from time to time.

Data: all data that we hold or have control over and therefore to which this policy applies. This includes physical data such as hard copy documents, contracts, notebooks, letters and invoices. It also includes electronic data such as emails, electronic documents, audio and video recordings and CCTV recordings. It applies to both personal data and non-personal data. In this policy we refer to this information and these records collectively as “data”.

Data Retention Policy: this policy, which explains our requirements to retain data and to dispose of data and provides guidance on appropriate data handling and disposal.

Disposable information: disposable information consists of data that may be discarded or deleted at the discretion of the user once it has served its temporary useful purpose and/or data that may be safely destroyed because it is not a formal or official record as defined by this policy and the Record Retention Schedule.

Formal or official record: certain data is more important to us and is therefore listed in the Record Retention Schedule. This may be because we have a legal requirement to retain it, or because we may need it as evidence of our transactions, or because it is important to the running of our business. We refer to this as formal or official records or data.

Non-personal data: data which does not identify living individuals, either because it is not about living individuals (for example financial records) or because it has been fully anonymised.

Personal data: any information identifying a living individual or information relating to a living individual that we can identify (directly or indirectly) from that data alone or in combination with other identifiers we possess or can reasonably access. This includes special categories of personal data such as health data and pseudonymised personal data but excludes anonymous data or data that has had the identity of an individual permanently removed. Personal data can be factual (for example, a name, email address, location or date of birth) or an opinion about that
person’s actions or behaviour.

Records Management Officer: the Records Management Officer is responsible for administering the data management programme, helping department heads implement it and related best practices, planning, developing, and prescribing data disposal policies, systems, standards, and procedures and providing guidance, training, monitoring and updating in relation to this policy.

Record Retention Schedule: the schedule attached to this policy which sets out retention periods for our formal or official records.

Storage limitation principle: data protection laws require us to retain personal data for no longer than is necessary for the purposes for which it is processed. This is referred to in the GDPR as the principle of storage limitation.

Physiobrite establishes retention or destruction schedules or procedures for specific categories of data. This is done to ensure legal compliance (for example with our data protection obligations) and accomplish other objectives, such as protecting intellectual property and controlling costs.

Employees should comply with the retention periods listed in the record retention schedule below, in accordance with the Physiobrite’s Data Retention Policy.

If you hold data not listed below, which you consider should be listed, if you become aware of any changes that may affect the periods listed below or if you have any other questions about this record retention schedule, please contact Madhu Malhotra.

Financial Records

Corporate Records

Employee Records

Supplier Records

Customer Records