Broadland District Council. Data Retention Policy

Transcription

1 Broadland District Council Data Retention Policy Version 1.4 July 2015 Author: Malcolm Black Administration Manager and Deputy Monitoring Officer July 2015

2 DATA RETENTION POLICY Section Table of Contents DOCUMENT RETENTION GUIDANCE 1 Introduction 2 Scope and Objectives of the Guidance 3 Roles and Responsibilities for Document Retention and Disposal 4 Document Retention and Disposal Protocol 5 Data Protection Act 1998 Obligation to Dispose of Certain Data 6 Scanning of Documents 7 Review of Document Retention Guidance APPENDIX 1- DOCUMENT RETENTION SCHEDULES 1 Accounts, Audit and Financial Management 2 Asset Management 3 4 Business Support Bye-Laws 5 CCTV 6 7 Cemeteries and Crematoria Code of Conduct 8 Corporate Planning and Reporting 9 Council and Committee Meetings 10 Design and Construction 11 Elections 12 Emergency Planning, Major and Minor Incidents 13 Enforcement, Certification and Prosecution 14 Enquiries and Complaints 15 Food Control 16 Freedom of Information Act 2000 and Data Protection Act Health and Safety 18 Housing Provision 19 Housing and Council Tax Benefit 20 Information Management 21 Infrastructure, Management and Maintenance 22 Insurance 23 Land Charges 24 Legal and Contracting 25 Leisure and Culture 26 Partnership, Agency and External Meetings 27 Personnel Administration 28 Planning 29 Policy, Procedures, Strategy and Structure 30 Political Parties Papers 31 Property and Land management 32 Public Consultation 33 Public Relations Quality and Performance Management Statutory Returns 36 Systems Management July 2015

3 DATA RETENTION POLICY 37 Training Services 38 Waste Management July 2015

4 DATA RETENTION POLICY 1. INTRODUCTION 1.1 This Guidance has been adapted from that issued by the Record Management Society of Great Britain. The original guidance was issued to support local authorities in the areas of Data Protection, Freedom of Information and the Local Government Act. 1.2 The Guidance is intended to be independent of any particular format of record that might be historically created (e.g. card, register) or media (e.g. paper, electronic) and prolong the Guidance s period of application. 1.3 The Guidance is are intended to cover the continuum of records and information from creation through to destruction or for retention for historical or research purposes. 1.4 Records sentenced for destruction under the Guidance may be destroyed in accordance with the provisions of the Guidance. Backup copies stored on alternative media (server/microfilm/paper) should also be destroyed. This is vital to ensure compliance with the requirements of Data Protection and Freedom of Information legislation. 1.5 Records for archival should be dealt with as below in consultation with the Archivist/Local History Officer at Norfolk County Record Office who will provide further information on transfer procedures. The identification of classes of records here as suitable for archives are for guidance only. (1) Records identified in this schedule as permanent are marked Offer to Archivist. The Archivist may choose to select a sample of the records for permanent preservation in the archives; the remainder should be destroyed as specified in the Guidance. The sample may be random, selective or purposeful. (2) Offer to Archivist for review is used to indicate record classes where the Archivist will not usually be interested in retaining the class of records, but may wish to retain those concerning high profile or controversial policies/projects. NB Records no longer required for administrative use may still retain sensitive information. The Archivist should be informed of sensitivity at the time of transfer of the material to the archives, and an appropriate closure period agreed. The closure period should comply with Freedom of Information legislation and the authority s policy. 1.6 This Data Retention Guidance has been produced to assist officers within Broadland District Council with the management, retention, and disposal of documents. July 2015

5 DATA RETENTION POLICY 1.7 The Council accumulates a vast amount of information and data during the course of its everyday activities. This includes data generated internally in addition to information obtained from individuals and external organisations. This information is recorded in various different types documents. 1.8 Records created and maintained by the Council are an important asset and as such measures need to be undertaken to safeguard this information. Properly managed records provide authentic and reliable evidence of the Council s transactions. This is vital in the short term to ensure that the Council has evidence to demonstrate accountability to stakeholders and regulatory bodies. In the longer term records can be used to highlight areas of good practice to be followed and provide a history to ensure that previous mistakes are not repeated. 1.9 Documents may be retained in either hard paper form or in electronic forms (either standard office software or on a specialist system such as debtors or Council Tax). For the purposes of this guidance, document and record refers to both hard copy and electronic records Retention of specific records may be necessary for one or more of the following reasons: To fulfil statutory or other regulatory requirements. To evidence events or agreements in the case of disputes. To meet operational needs. To ensure the preservation of documents of historic or other value It is imperative that documents are retained for an adequate period of time. If documents are destroyed prematurely the Council and individual officers concerned could face one or more of the following consequences: Difficulty in defending any claim brought against the Council. Operational difficulties. Reputational damage. Prosecution for not complying with legislation In contrast to the above the Council should not retain documents longer than is necessary. Timely disposal should be undertaken to: Ensure compliance with the fifth Principle of the Data Protection Act 1998 so that personal information is not retained longer than necessary. Ensure the most efficient use of limited amounts of storage space. July 2015

6 DATA RETENTION POLICY Reduce the time taken to deal with requests under the Freedom of Information Act Best Practice guidance on document retention recommends that large organisations have a system for the timely and secure disposal of records that are no longer required for business purposes. In January 2005 the full requirements of the Freedom of Information Act 2000 came into force, and the provisions of the Act require that the Council has clearly defined guidelines for disposing of records and that these are well documented. Any information requested under the Freedom of Information Act must be provided within 20 days (unless the information falls within one of the exemptions). Service Managers must therefore have robust filing and postal tracking systems in place to ensure that information is provided within the prescribed deadlines. a. SCOPE AND OBJECTIVES OF THE GUIDANCE 2.1 The aim of this guidance is to provide a working framework to govern management decisions on whether, in given circumstances particular documents (or sets of documents) should be either: (a). (b) Retained and for how long; or Disposed of and if so by what method. 2.2 There are some records that do not need to be kept at all or that are routinely destroyed in the course of business. This usually applies to information that is duplicated, unimportant or only of a short-term value. Unimportant records or information includes: (a) (b) (c) (d) (e) (f) (g) With compliments slips. Catalogues and Trade Journals. Telephone Message Slips. Non Acceptance of Invitations. Trivial electronic mail messages that are not related to Council business. Requests for stock information such as maps, plans, or advertising material. Out of date distribution lists. 2.3 Duplicated and superseded material such as stationery, manuals, drafts, forms, address books and reference copies of annual reports may be destroyed. July 2015

7 DATA RETENTION POLICY 2.4 Records should not be destroyed if the information can be used as evidence, to prove that something has happened. (If you are in doubt what information is required consult the Head of Democratic Services and Monitoring Officer for advice). b. ROLES AND RESPONSIBILITIES FOR DOCUMENT RETENTION AND DISPOSAL 3.1 Corporate responsibility for the implementation and review of this Policy lies with the Deputy Chief Executive. Heads of Service are responsible for determining whether to retain or dispose of documents that fall within the remit of their service. Service Managers should undertake a review of documentation at least on an annual basis to ensure that any unnecessary documentation being held is disposed of. 3.2 Heads of Service may delegate the operational aspects of the guidance, however they must ensure that any delegated officer is fully aware of the contents of this Guidance in addition to the operational requirements of the service. 3.3 Where a Head of Service is in any doubt about the legality of either retaining or disposing of particular documents they should consult Norfolk County Council Legal Services for advice. c. DOCUMENT RETENTION AND DISPOSAL PROTOCOL Any decision taken whether to retain or dispose of a document should be undertaken in accordance with the following protocol: 4.1 DOCUMENT RETENTION PROTOCOL Systems (1) Each Head of Service should have in place an adequate system for documenting the activities of their service. This system should take into account the legislative and regulatory environments in which they work. (2) Records of each activity should be complete and accurate enough to allow employees and their successors to undertake appropriate actions in the context of their responsibilities to: Facilitate an audit or examination of the business by anyone so authorised. July 2015

8 DATA RETENTION POLICY Protect the legal and other rights of the Council, its residents, contractors and clients and any other persons affected by its actions. Provide authenticity of the records so that the evidence derived from them is shown to be credible and authoritative. (3) To facilitate this the following principles should be adopted: (a) (b) (c) (d) (e) (f) Records created and maintained should be arranged in a record keeping system that will enable the Council to obtain the benefit from the quick and easy retrieval of information. Record systems utilised within services whether paper or electronic, should include a set of rules for referencing, titling, indexing, and if appropriate security marking documents and records. These should be easily understood and enable the efficient retrieval of information. The movement and location of records should be controlled to ensure that a record can easily be retrieved at any time, and that any outstanding issues can be dealt with, and that there is an auditable trail of record transactions. Storage accommodation for current records should be clean and tidy, and prevent damage to the records. Equipment used for current records should provide storage, which is safe from unauthorised access, meets fire regulations, but also allows maximum accessibility to authorised officers when required. Documents that are no longer required for operational purposes should be placed in a designated records centre rather than in offices. Services should ensure that a contingency or recovery plan is in place to provide protection for records, which are vital to the continued functioning of the Council Retention period (1) The retention schedules in Appendix 1 provide guidance on the recommended retention periods for specific classes of documents and records. These schedules have been compiled from recommended best practice from the Public Records Office, The Records Management Society of Great Britain and in accordance with relevant legislation. July 2015

9 DATA RETENTION POLICY (2) When a retention period has expired (in accordance with the retention schedules set out in Appendix 1) for a particular document, a review should be undertaken before a final decision is made to dispose of the document. This review should be undertaken by the Head of Service (or their delegated officer). (3) Whenever there is a possibility of litigation, the records and information that are likely to be affected should not be amended or disposed of until the threat of litigation has been removed. 4.2 DISPOSAL PROTOCOL Considerations prior to disposal Documents should only be disposed of if management have reviewed them in accordance with the following Five Key Considerations for Document Retention Has the Document been appraised? Is retention required to fulfil statutory or other regulatory requirements? Is retention required to evidence events in the case of dispute? Is retention required to meet the operational needs of the service? Is retention required because the document or record is of historic interest or intrinsic value? Guidance in relation to these considerations are detailed in Appendix 1. Documents must not be destroyed unless management have undertaken this task Methods of disposal (1) When documents are authorised for disposal, measures should be undertaken to ensure that they are disposed of in an appropriate manner. The method of disposal should be appropriate to the nature and sensitivity of the documents concerned. (2) Documents can be disposed of by any of the following methods: For Non Confidential Records: Place in the Waste Recycle Bin for collection and disposal. Disposal of low volume day to day Confidential Records (includes copies no longer required). Shred documents within the work area or place in the confidential waste bins. July 2015

10 DATA RETENTION POLICY Large-scale disposal of Confidential Waste can be shredded by arrangement with the Facilities Management Team. Preferably in the presence of a representative from the service concerned. Deletion of Computer Records. Transmission of records to an external body such as the County Records Office. (3) The following principles should be followed when disposing of records: All records containing personal or confidential information should be destroyed at the end of the retention period. Failure to do so could lead to the Council being prosecuted under the Data Protection Act 1998, the Freedom of Information Act or cause reputational damage. Where computer records are deleted steps should be taken to ensure that data is virtually impossible to retrieve as advised by the Information Commissioner. Where documents are of a historical interest it may be appropriate that they are transmitted to external bodies (such as the County Records Office) for archiving. It should be ensured that the security arrangements of any external body used to dispose of records comply with the requirements of this guidance. Back up copies of documents should also be destroyed (including electronic or photographed documents unless specific provisions exist for their disposal) Recording disposals Records should be maintained of all disposals. These records should contain the following information: The name of the document destroyed. The date the document was destroyed. The method of disposal. The name and job title of the officer who authorised disposal. July 2015

11 DATA RETENTION POLICY d. DATA PROTECTION ACT 1998 OBLIGATION TO DISPOSE OF CERTAIN DATA 5.1 The Data Protection Act 1998 ( Fifth Principle ) requires that personal information must not be retained longer than is necessary for the purpose for which it was originally obtained. Section 1 of the Data Protection Act defines personal information as: Data that relates to a living individual who can be identified; (1) from the data, or (2) from those data and other information which is in the possession of, or is likely to come into the possession of the data controller. It includes any expression of opinion about the individual and any indication of the intentions of the Council or other person in respect of the individual. 5.2 The Data Protection Act provides an exemption for information about identifiable living individuals that is held for research, statistical or historical purposes to be held indefinitely provided that the specific requirements are met. It is the responsibility of the Archivist to do so. 5.3 Service Managers are responsible for ensuring that: (1) They comply with the eight principles of the Data Protection Act 1998, namely: Personal data is processed fairly and lawfully and, in particular, shall not be processed unless specific conditions are met. Personal data shall only be obtained for specific purposes and processed in a compatible manner. Personal data shall be adequate, relevant, but not excessive. Personal data shall be accurate and up-to-date. Personal data shall not be kept for longer than is necessary. Personal data shall be processed in accordance with the rights of the data subject. Personal data shall be kept secure by means of appropriate technical and organisational means. Personal data shall only be transferred outside the European Economic Area if there is adequate protection. July 2015

12 DATA RETENTION POLICY (2) External storage providers or archivists that are holding Council documents must also comply with the above eight principles of the Data Protection Act SCANNING OF DOCUMENTS 6.1 In general once a document has been scanned on to a document image system the original becomes redundant. There is no specific legislation covering the format for which local government records are retained following electronic storage, except for those prescribed by the Inland Revenue and Customs & Excise. 6.2 As a general rule hard copies of scanned documents should be retained for three months after scanning. 6.3 Original documents required for VAT and tax purposes should by retained for six years unless a shorter period has been agreed with Customs and Excise or the Inland Revenue (for the latest guidance from these bodies please contact the Head of Finance and Revenue Services). 6.4 Service Managers are responsible for: (1) Ensuring that scanned documents are legible and provide a true copy of the original. (2) Ensuring that scanned documents are retained in accordance with the document retention schedules as detailed in Appendix 1. (3) Ensuring that scanned documents can be located and retrieved promptly when required for either: Operational purposes. A subject access request under the Data Protection Act A request under the Freedom of Information Act Legal proceedings. 7. REVIEW OF DOCUMENT RETENTION GUIDANCE 7.1 The Deputy Chief Executive will review, update and where appropriate amend this guidance on a regular basis (at least every 3 years in accordance with the Code of Practice for the Retention of Documents issued by the Lord Chancellor). July 2015

13 DATA RETENTION POLICY This Guidance will be provided via the Council s Intranet thus allowing any Head of Service to request the Deputy Chief Executive for a change if the information has been superseded. The appropriate evidence must support any such request. 7.2 This guidance has been compiled from various sources of recommended best practice; any constructive comments are welcome regarding any potential revisions or amendments to the system. July 2015

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15 1 Accounts, Audit and Financial Management Reporting 1.1 The process that consolidates financial transactions on an annual basis for corporate reporting purposes Finance Permanent / Offer to Archivist. after 6 years with one copy kept indefinitely Consolidated annual reports Consolidated financial statements Statement of financial position Operating statements General ledger 1.2 The process that supports and consolidates financial transactions on a periodic (less than annual) basis, superseding those from the previous period. Does not include journals and subsidiary ledgers and cash books Destroy when administrative use is concluded Consolidated monthly & quarterly reports Consolidated monthly & quarterly financial statements Working papers for the preparation of the above Monthly accrual statements Cashflow statements Creditor listings and reports Debtor listings and reports

16 Financial Transactions Management 1.3 Management of the approvals process for purchase, including investigations Finance Destroy 7 years after the end of the financial year in which the records were created Appointments & delegations Audit investigations Arrangements for the provision of goods and/or services Statutory 1.4 Identification of the receipt, expenditure and write offs of public monies Destroy 6 years after the conclusion of the financial transaction that the record supports Allowances Work orders Invoices Credit card statements Cash books Receipts Cheque counterfoils Bank statements Subsidiary ledgers (annual) Journals (annual) Vouchers Statutory This period may be reduced with the agreement of HM Revenue and Customs and/or the Inland Revenue 1.5 Process involving the provision and support for individuals using public transportation Destroy 6 years after the conclusion of the financial transaction that the record supports Applications Card issue Rail warrants Statutory 1.6 Processes that balance & reconcile financial accounts Destroy 2 years after the accounts have been audited Reconciliation Summaries of accounts

17 1.7 Taxation Records Destroy 6 years after the end of the financial year in which the records were created Taxation records Motor vehicle logs Fringe benefits tax records Group certificates Statutory 1.8 Processes involved in the collection of National Insurance Number Destroy 2 years after the employee ceases employment Notification & input records Payroll 1.9 Accountable processes relating to payment of employees HR Destroy 7 years after the conclusion of the financial transaction that the record supports Authority sheets Payroll deduction authorities Payroll disbursement Employee pay records Employee taxation records Statutory 1.10 Non-accountable processes relating to payment of employees Destroy after administrative use is concluded Summary employee pay reports Budgets and Estimates 1.11 The process of finalising local authorities annual budget Finance Permanent / Offer to Archivist. after 6 years with one copy kept indefinitely Annual budget Only the final version of the annual budget needs to be kept 1.12 The process of developing local authorities annual budget Destroy 2 years after annual budget adopted by local authorities Draft budgets Departmental budgets Draft estimates

18 1.13 The process of reporting which examines the budget in relation to actual revenue and expenditure Destroy after next year s annual budget has been adopted by Local Authorities Quarterly statements Loans 1.14 The activity of borrowing money to enable a Council to perform its functions and exercise its powers Finance Destroy 7 years after the loan has been repaid Loan files Statutory NB Council os no currently have a loan portfolio Summary management of loans Permanent. Offer to Archivist. Loans registers Housing 1.16 Right to Buy Dem Services Destroy 12 years after sale of house Sale documents Agreement concerning sale Statutory 1.17 Home Improvement Grants E. Health Destroy 10 years after last payment 1.18 Home improvement Loans E. Health Destroy 5 years after either, loan conditions period expires, or full repayment of loan, whichever is sooner Agreement to pay grant Details of payments Correspondence relating to grant Agreement to pay loan Mortgage document Correspondence relating to Loan Statutory Statutory

19 1.19 Energy Initiatives E. Health Destroy 5 years after the end of the project Home energy conservation Insulation information Council Tax and Business Rates 1.20 The valuation of rateable land within a municipal district for the purpose of the making of the rate Revenues Valuation lists Permanent/ Offer to Archivist for review. Destroy 10 years after the year in which the valuation was made Valuation lists Correspondence Objections Reports Property History 1.21 The recording of information for rateable properties identifying the person or company rated, including details of the value of the property. Note: Records containing accounting information primarily, and not being a source of property history, should be disposed of according to the appropriate record class within the Accounts & Audit function. Revenues Permanent / Offer to Archivist for review 10 years after Destroy after administrative use is concluded Rate Books Rate Cards Register of Rateable Properties

20 Rates and Local Authorities Tax Correspondence 1.22 The activity of corresponding with ratepayers in relation to valuations, rates and charges, objections, submissions, appeals, rate remissions and other rates related matters Revenues Destroy 10 years after last action Accounting for VAT Finance 1.23 Accounting for VAT Destroy 6 years after the accounts have been audited Petty Cash Expenditure Finance 1.24 Subsistence and Petty Cash Destroy 2 years expenditure after the accounts have been audited Local Financial Finance Management 1.25 Cash income via cashier's etc. Destroy 2 years after the accounts have been audited Notices Objections Applications Correspondence Rate certificates Notices of acquisition and disposition Rate property files VAT records VAT Regulations 1994 Vouchers, receipts and records Cash register rolls Reconciliation forms National Audit Office requirements National Audit Office requirements

21 2 Asset Management IT 2.1 Summary management reporting on the overall assets of the local authorities Permanent / Offer to Archivist. 2 years + current year Schedules of acquisitions Consolidated current asset reports Annual reports Summary of current assets Asset registers Asset Monitoring and Maintenance 2.2 Management systems that allow the monitoring & management of assets in summary form Various Destroy 7 years after the financial transaction that the record supports have been audited Subsidiary asset registers 2.3 Process of reporting and reviewing assets status Destroy 2 years after administrative use is concluded Routine returns and reports on asset status Inventories Stocktaking Surveys of usage Acquisition and disposal reports & proposals 2.4 The process of maintaining assets Destroy 7 years after last action Garden maintenance Cleaning Painting

22 2.5 The process of maintaining plant and equipment Destroy 7 years after sale or disposal of asset Service records Plant files Asset Acquisition and Disposal 2.6 Management of the acquisition (by financial lease or purchase) and disposal (by sale or write off) process for assets Various if under Destroy 6 years if over Destroy 12 years after all obligations/entitlements are concluded Legal documents relating to the purchase/sale Particulars of sale documents Board of survey Leases Applications for leases, licences & rental revision Tender documents Conditions of contracts Certificates of approval Statutory 3 Business Support Econ Devt 3.1 The process of providing business training courses. Destroy 3 years after course completion Enrolment Form Evaluation Form Equal Ops Monitoring Form 3.2 The process of supporting and developing local businesses in the district Destroy 4 years after last action Business Start-up Grant form Business Enterprise Grant form Business Database form

23 3.3 The process of providing grants 4 Bye-Laws Destroy 2 years after last action Grants questionnaire Enactment 4.1 The process of making local laws Various Permanent / Offer to Archivist. Master Set of bye-laws Policy Development documents Correspondence Submissions Administration & Enforcement 4.2 The process of administering and enforcing bye-laws Various Destroy 3 years after certificate has expired or penalty payment has been made or the matter has been finished or correspondence on the matter has ceased Applications and certificates Permits Licences Infringement notices (Parking) Correspondence PCN Information Records & information Re. on and off street parking 5 CCTV Various 5.1 Management of the CCTV cameras located in the District Tapes retained for 31 days. Information regarding the CCTV system. CCTV Tapes Data Protection Act 1998 stipulates that tapes are to be kept for a period that is reasonable.

24 6 Cemeteries and Crematoria E. Health 6.1 Summary management systems that record the location of burials and identity of deceased individuals Permanent / Offer to Archivist. Register of interments Cemetery register Cemetery plans 6.2 The process of regulation of burials and cremations Destroy 5 years after last action Permits Applications Orders 6.3 Cremation Papers Destroy after 15 Years (hard copy can be destroyed after 2 years if microfiche copy held). Common Practice 7 Code of Conduct Dem Services 7.1 The process of administering the ethical framework for local authorities Destroy after 18 months from cessation of council membership Register of Interests Complaints of Breach Standards Board for England s Advice 8 Corporate Planning and Reporting 8.1 The corporate planning and reporting activities of local authorities Various Permanent / Offer to Archivist. Corporate Plans Strategy Plans Business Plans Annual Reports

25 8.2 The process of preparing business for strategic consideration and making the record of discussion, debate and resolutions Chief Executive Permanent / Offer to Archivist. Strategic management team minute 8.3 The process of preparing business for cross departmental consideration and making the record of discussion, debate and resolutions Various Destroy 3 years from closure 8.4 The process of preparing business for Unit/Team consideration and making the record of discussion, debate and resolutions Various Destroy 3 years from closure Corporate Plan, Local Performance Plans

26 9 Council and Committee Meetings Dem Services 9.1 The process of preparing business for Council consideration and making the record of discussion, debate and resolutions Permanent / Offer to Archivist. Council minutes Indexes Committee minutes Registers of delegations to Special Committees After 6 years Council agenda and business papers Council notice papers and proceedings 9.2 Draft minute taking Destroy after date of confirmation of the minutes 10 Design and Construction Various Draft/rough minutes Audio tapes 10.1 The activity of planning, designing, programming and constructing roads, streets, bridges, tunnels and amenity areas. Permanent

27 11 Elections Dem Services Preparation 11.1 Summary certification of those eligible to vote Permanent / Offer to Archivist after administrative use is concluded Electoral Register 11.2 Voting (Local elections only) Destroy 6 months from close of poll Results 11.3 Declaration of results (local Destroy 6 months elections only) from date of election Ballot papers Statutory Consolidated returns of votes received Statutory 12 Emergency Planning, Major and Minor Incidents E. Health 12.1 Process to develop the emergency/disaster plan for the local community 12.2 Process of recording the results of the test for emergency/disaster plan for the local community Permanent. Offer to Archivist for review. superseded Destroy 10 years after closure Major Incident Plan

28 12.3 Activities that report on all major incidents in the local community, whether the emergency plan has been invoked or not 12.4 Activities that report on all minor incidents in the local community Permanent. Offer to Archivist for review. Destroy 7 years after closure 13 Enforcement, Certification and Prosecution Registration, Certification and Licensing 13.1 Summary management systems that allow the monitoring & management of registration, certification and licences registration requirements in summary form E. Health Permanent. Offer to Archivist for review. Visual impairment register Public registers accessible in hard copy and online Licensing Act 2003 Local Government (Miscellaneous Provisions) Act 1976

29 13.2 The administration of applications, registration, certification and licences in relation to local authorities registration requirements Destroy 6 years after registration or entitlement lapses Applications for animal registration Applications for registration of a business premises Applications for release of animals impounded Registers Certificates of registration of: door supervisors taxi drivers beauty therapists Animal movement licences Gaming Fire certification Disabled Parking permits Statutory Note: may want archival review in cases of licensing of children in entertainment licensing/ Licensing Act The process involved in licensing sites for the holding or use of toxic or hazardous substances. (including petroleum, agricultural chemical products or herbicides) Permanent / Offer to Archivist years after registration or entitlement lapses Diesel licences Petroleum licences Health and safety licensing Hazardous substances Contaminated land register/pollution

30 Notification 13.4 The process of issuing notices to citizens with respect to particular responsibilities Destroy 2 years after the matter is concluded Objections to notices Appeals against notices Registration of premises Infringement notices Animal Impounding notices Investigation, Inspection and Monitoring 13.5 The process of investigation, monitoring or inspection with regard to the laws which are the responsibility of the Council Destroy 7 years from last action. Planning enforcement files Inspection records Prosecution 13.6 The process of prosecution or sanction of an individual or organisation for failing to comply with their legal responsibilities Destroy 10 years from last action. Prosecution/sanction files Police and Criminal Evidence Act (PACE) Officer notebooks, transcripts and tapes 14 Enquiries and Complaints Dem Services 14.1 The management in summary form of enquiries and complaints directed to the Council Permanent / Offer to Archivist.. Indexes Registers

31 14.2 The management of enquiries, submissions and complaints which result in significant changes to policy or procedures Permanent / Offer to Archivist. Reports Returns Correspondence 14.3 The management of detailed responses on council actions, policy or procedures Destroy 6 years after administrative use is concluded Reports Returns Correspondence Ombudsman complaints Residents complaints 14.4 The management of routine responses on Council Policy or procedures Destroy 2 years after administrative use is concluded Printed material Form letters 15 Food Control E. Health 15.1 The process of Inspecting and evaluating all food premises in order to ensure food standards and food hygiene Destroy after 6 years Inspection reports / correspondence with proprietors of premises 15.2 Infectious Disease Notifications 15.3 Water Sampling Permanent / Offer to Archivist for review 10 years after Destroy after 7 years Infectious disease case records, sporadic occurrences and outbreaks Regulations due 2009 details to be confirmed.

32 16 Freedom of Information Act 2000 and Data Protection Act 1998 Dem Services 16.1 Disclosure of records under the freedom of information and data protection legislation Destroy after 6 years Request for information Documentation relating to disclosure 17 Health and Safety Inspections and Assessments 17.1 Process of inspecting equipment to ensure it is safe Various Destroy 10 years rom the disposal of the equipment, unless an accident or incident has been reported Equipment inspection records Statutory 17.2 Process of carrying out monitoring to ensure that the process is safe 17.3 Process of monitoring of areas where employees and persons are likely to have become in contact with asbestos Destroy 6 years from last action, unless covered by Noise, COSHH (then permanent) Destroy 40 years from last action Monitoring results Control of Substances Hazardous to Health Regulations (1999) Property asbestos files based on Statutory

33 17.4 Process to ensure safe systems of work 17.5 Process to asses the level of risk Destroy 6 years after the process ceased, unless an accident or incident has been reported. Destroy 6 years from last assessment, unless superseded and no accidents or incidents have been reported. Risk assessment Statutory 17.6 Processes that permit work Destroy 6 years from last action, unless superseded and no accidents or incidents have been reported Process that records injuries to adults 17.8 Process that records injuries to children Permanent / Offer to Archivist. after 3 years due to possibility of a future claim). Destroy 25 years from closure (if no possibility of a future claim). Accident books Social Security (Claims and Payments) Regulations (1979) RIDDOR (1985) Accident books Social Security (Claims and Payments) Regulations (1979) RIDDOR (1985) 17.9 Health and safety records Destroy 40 years after occurrence of incident Accident and insurance certificates

34 18 Housing Provision Housing 18.1 The process of the allocation and management of housing by the local authority and the associated issues of homelessness 18.2 The registration of individuals housing applications Permanent / Offer to Archivist for review 10 years after Permanent / Offer to Archivist for review 10 years after Council housing register 19 Housing and Council Tax Benefit Revenues 19.1 Application forms and evidence to support applications Permanent / Offer to Archivist for review 10 years after HB and CTB documentation / records(completed claim form, supporting documentary evidence) 20 Information Management IT&HR 20.1 The activity whereby standards, authorities, restraints and verifications are introduced and maintained to manage information effectively Permanent. Offer to Archivist. Classification schemes Registers Indexes Authorised lists of file headings

35 20.2 The management of collections of records transferred to the archives Permanent. Offer to Archivist. Accession registers Depositor files 20.3 The process that records the disposal of records Destroy 12 years after last action Disposal certificates based on Limitation Act s The retention period for s is to be determined from its content using the information within these schedules. s Any retained s should be removed from the system and filled either electronically of manually in the appropriate place

36 21 Infrastructure, Management and Maintenance Various 21.1 The activity of providing municipal services in relation to infrastructure within the Council Destroy 7 years after last action Street files Street records Requests for: Hedge clipping Tree planting Naming of streets Numbering of houses Street load limits Street signs Bus shelters Applications to dig up pavements Advice / comment Level crossings Right of ways Roundabouts Traffic calming measures Street lighting 22 Insurance Finance Policy Management 22.1 The summary management of insurance arrangements Permanent / Offer to Archivist.. Insurance register

37 22.2 The process of insuring Council officers, property, vehicles and equipment against negligence, loss or damage Destroy 7 years after the terms of the policy have expired Insurance policies Correspondence 22.3 The process of renewing insurance policies Destroy 5 years after the insurance policy has been renewed Insurance policy Renewal records Correspondence Claims Management 22.4 The process that records insurance claims against the Council or Council officers Destroy 7 years after all obligations/entitlements are concluded (allowing for the claimant to reach 25 years of age) Claims records Correspondence 23 Land Charges Planning 23.1 Administration of local land charges Permanent. Local Land Charges Register Copy of original certificate of search Possibility of claim for compensation by purchaser under Local Land Charges Act S.10

38 24 Legal and Contracting All Litigation 24.1 The process of managing, undertaking or defending for or against litigation on behalf of the Council Destroy 7 years after last action Criminal case file Civil case file Correspondence Tapes used for interviews under caution & cases file Benefit fraud & environmental health investigations & prosecutions Advice 24.2 The process of providing legal advice on a point of law. Destroy 3 years after last action unless a major precedent, then offer to Archivist for review Law Society Guidance Agreements 24.3 Process of agreeing terms between organisations Note : this does not include contractual agreements Conveyance 24.4 The process of changing ownership of land or property Destroy 6 years after agreement expires or is terminated Destroy 12 years after closure Concordat Depends on value of agreement Mainly to do with agreements between public bodies, not in regard to contracts Conveyancing files Statutory

39 Pre Contract Advice 24.5 The process of calling for expressions of interest Destroy 2 years after contract is let or not proceeded with Expressions of Interest Specification and Contract Development 24.6 The process involved in the development and specification of a contract Ordinary Contracts Destroy 6 years Contracts Under Seal Destroy 12 years after the terms of contract have expired Tender specification Statutory Tender Issuing and Return 24.7 The process involved in the issuing and return of a tender Destroy 1 year after start of contract Evaluation of Tender 24.8 Contract Documents Ordinary Contracts Destroy 6 years Contracts Under Seal Destroy 12 years after the terms of contract have expired Opening notice Tender envelope Evaluation criteria Statutory 24.9 Successful tender document Ordinary Contracts Destroy 6 years Contracts Under Seal Destroy 12 years after the terms of contract have expired Tender documents Quotations Statutory

40 24.10 Unsuccessful tender documents Destroy 1 year after start of contract Tender documents Quotations Post Tender Negotiation The process in negotiation of a contract after a preferred tender is selected Destroy 1 year after the terms of contract have expired Clarification of contract Post tender negotiation minutes Awarding of Contract The process awarding of contract Contract Management Contract operation and monitoring Ordinary Contracts Destroy 6 years Contracts Under Seal Destroy 12 years after the terms of contract have expired Destroy 2 years after the terms of contract have expired Signed contract Statutory Service Level Agreements Compliance reports Performance reports Management and amendment of contract Ordinary Contracts Destroy 6 years Contracts Under Seal Destroy 12 years after the terms of contract have expired Minutes and papers of meetings Changes to requirements Variation forms Extension of contract Complaints Disputes on payment Statutory

41 Tenancy Agreements The process of awarding tenancies in welfare housing Revenues Ordinary Tenancy Destroy 6 years Tenancy Under Seal Destroy 12 years after the terms of agreement have expired Signed tenancy agreements Sealed tenancy agreements Statutory 25 Leisure and Culture Econ Devt 25.1 Arts & Museums Permanent / Offer to Archivist. Archaeological records Donation Forms Accession Registers Images of items in the collections 25.2 Art works Destroy 6 years after the disposal or return of the items Records of items held, or loans to and by the Council Tourism & Special Events Destroy after 8 years Correspondence / papers / Reports relating to special events Brochures and guides Calendars / schedules Visitors books / records 25.4 The process of providing grants Destroy 4 years after last action Sponsorship for Excellence Quality Tourism

42 25.5 The process of providing sporting activities Destroy 4 years after last action Broadly Active Consent forms Health Questionnaires 25.6 The process of maintaining records of local sports clubs and organisations Destroy 2 years after last action Sports Directory In the Swim 26 Partnership, Agency and External Meetings Various 26.1 The process of preparing business for partnership and agencies consideration and making the record of discussion, debate and resolutions, where the Council legally owns the record. Permanent / Offer to Archivist. Documents establishing the committee Agendas Minutes Council reports Recommendations Supporting documents such as Council briefing and discussion papers 26.2 The process of preparing business for external committees consideration, and making the record of discussion, debate and resolutions, where the Council does not own the record. Destroy 3 years after last action Documents establishing the committee Reports Recommendations Supporting documents such as briefing and discussion papers.

43 27 Personnel Administration HR 27.1 Summary management systems that allow the monitoring & management of employees in summary form Note: The summary information that this record class attempts to capture is:- Name DOB Date of appointment Work history details Position/designation Titles & dates held Permanent / Offer to Archivist. Employment Register Permanent Staff Employment Register Temporary Staff Employment Register Casual Staff Registers of personnel files Personal History cards Superannuation history card Salary master record

44 27.2 The process of administering employees to ensure that entitlements & obligations are in accordance with agreed employment requirements Records containing superannuation information Destroy 6 years from date of last pension payment. Medical clearance Letter of appointment Letter of acceptance Details of assigned duties Probation reports Medical examinations Personal particulars Educational qualifications Declarations of pecuniary interests Secrecy undertakings Employment contracts Health declaration 27.3 Records relating to staff working with children Destroy 25 years after cessation of employment 27.4 All other records Destroy 6 years after cessation of employment Employee and Industrial Relations 27.5 Identification & development of significant directions concerning industrial matters Permanent / Offer to Archivist. Generic agreements and awards Negotiations Disputes Claims lodged 27.6 Liaison processes of minor and routine industrial matters Destroy 2 years after administrative use is concluded Daily industrial relations management

45 27.7 Processing of disciplinary and grievances investigations where proved 27.8 Processing of disciplinary and grievances investigations where unfounded Equal Employment Opportunities 27.9 The process of investigation and reporting on specific cases to ensure that entitlements & obligations are in accordance with agreed Equal Employment Opportunities guidelines policies Oral Warning destroy after 6 months Written Warning destroy after 1 year Final Warning destroy after 18 months The above warnings to be removed & destroyed after the relevant time has spent. Warnings Involving Children Placed on personal file permanently Destroy immediately after the grievance has been found to have been unfounded; or after appeal Destroy 6 years after action completed Disciplinary For all practical purposes this function would not be subject to records management, except for Warnings Involving Children, which remain on the personal file permanently for reference purposes. Disciplinary

46 Occupational Health The process of checking and ensuring the health of staff Destroy after 6 years after the employee s final date of employment before considering destruction Health questionnaire Medical clearance Adjustment to work place Restrictions Recommendations Recruitment The selection of an individual for an established position Destroy 6 months after recruitment has been finalised (For letter of appointment for successful candidate use employment conditions) Staff Monitoring Performance Destroy 6 years after termination of employment Process of monitoring staff leave and attendance Destroy 2 years after action completed Advertisements Applications Referee reports Interview reports Unsuccessful applicants Probation reports Performance plans Appraisals Sick leave Jury service Study leave Special and personal leave Attendance books Flexitime sheets Leave applications Clock on/off cards Annual leave Sex Discrimination Acts 1975 & 1986 Race Relations Act 1976 Working Time Regulations 1998

47 Staff Retention Financial reward Destroy 6 years after termination of employment Other strategy Destroy 3 years after action completed All records relating to actual payments are dealt with under finance Termination The process of termination of staff through voluntary redundancy, dismissal and retirement Training and Development Routine staff training processes, not occupational health and safety or children related Destroy 6 years after termination If a pension is paid then records should be destroyed 6 years after last payment of pension Destroy 6 years after termination of employment Training (concerning children) Destroy 25 years after termination of employment Resignation Redundancy (Section 188) Dismissal Death Retirement Course individual staff assessment Course individual staff assessment training register Training (occupational health and safety training) Once the training has been renewed individual course assessment records should be destroyed every 3 years OH&S training register

48 27.20 Training (materials) Destroy 1 year after course is superseded (If all employees have been retrained and if there is no possibility of a future claim) Training (proof of completion) for the employment of individual employees. Destroy 7 years after action completed Certificates Awards Exam results Appointments of Statutory Officers The process of administering employees to ensure that entitlements & obligations are in accordance with agreed employment requirements Destroy 6 years after departure from employment The appointment of an individual for a statutory position Permanent / Offer to Archivist. Appointment Files The process of selection of an individual for an statutory position Destroy 2 years after date of appointment Vacancies & applications records Interview notes Prospective staff records Registers of applicants Unsuccessful applications records