Adopted by Council: 31st March 2020
Review Date: February 2021
Scope and Purpose
The purpose of this policy is to provide a corporate policy framework to govern management decisions on whether a particular document (or set of documents) should either be:
- Retained – and if so in what format, and for what period; or
- Disposed of – and if so when and by what method
Additionally, this policy seeks to clarify the roles and responsibilities in the decision-making process.
This policy is not concerned with the disposal/retention of unused materials (e.g. stocks of paper, unused forms, duplicated documents).
Introduction
In the course of carrying out its various functions and activities, the Council collects information from individuals and external organisations and generates a wide range of data/information both electronically and in hard copy.
Retention of specific documents may be necessary to:-
- Fulfil statutory or other regulatory requirements
- Evidence events/agreements in the case of disputes
- Meet operational needs
- Ensure the preservation of documents of historic or other value
The untimely destruction of documents could cause the Council:-
- Difficulty in defending litigious claims
- Operational problems
- Embarrassment
- Failure to comply with the Freedom of Information or Data Protection Acts
- A breach of a particular piece of legislation.
Conversely, the permanent retention of all documents is undesirable, and appropriate disposal is to be encouraged for the following reasons:-
- There is a shortage of new storage space
- Disposal of existing documents can free up space for more productive activities, even in digital form
- Indefinite retention of personal data may be unlawful
- Reduction of fire risk (in case of paper records)
- There is evidence that the de-cluttering of office accommodation can be psychologically beneficial for many workers
Modern day records management philosophy emphasises the importance of organisations having in place systems for the timely and secure disposal of documents/records that are no longer required for business purposes. Additionally, both the Freedom of Information Act and new data protection legislation make it important for the Council to have clearly defined policies and procedures in place for disposing of records, and that these are well documented.
Document Handling
The Council will keep paper records to the absolute minimum and where ever possible hard copy information will be scanned and circulated by email. The email will be retained in line with policy and the hard copy recycled or shredded depending on its nature and level of confidentiality.
Documents will be filed in either cabinets (hard copy) or on Sharepoint (digital). Where documents in either form contain confidential, personal or sensitive information, they will be stored securely with authorised access only on a “need” basis.
The Council’s electronic records are backed up according to the Digital and ICT Policy.
The Retention / Disposal Protocol
Any decision whether to retain or dispose of a document should be taken in accordance with the following criteria:
- 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 Council?
Where a retention period has expired in relation to a particular document a review should always be carried out before a final decision is made to dispose of that document. Such reviews need not necessarily be detailed or time consuming. Where the Managing Officer is familiar with the contents of the document or where the contents are straightforward and easily apparent then such an exercise may only take a few minutes.
In the event that a decision is taken to dispose of a particular document or set of documents, then consideration should be given to the method of disposal.
Roles and Responsibilities
Responsibility for determining (in accordance with the Retention/Disposal protocol mentioned above) whether to retain or dispose of specific documents rests with the Town Clerk, in respect of those documents that properly fall within the remit or control of his/her responsibilities. The rationale for this is that it is reasonable to both assume and expect that the Town Clerk should be broadly conversant with the types of documents received, generated and stored.
Managing officers are expected to make the decisions for disposing of routine documents and junk mail within their remit. With non-routine documents they should recommend a course of action and seek approval from the Town Clerk. Similarly, individual officers are expected to cull their emails of unwanted documents, particularly those containing personal information.
Because of the clear benefits resulting from the disposal of unnecessary documentation, the Town Clerk is expected to be proactive in carrying out or instigating audits of existing documentation that may be suitable for disposal.
Councillors are also encouraged to properly dispose of unnecessary council related documentation and emails.
Data Protection Act 2018 and General Data Protection Regulations
Managing Officers are aware that under the data protection regulations, personal data processed for any purpose must not be kept for longer than is necessary for that purpose. In other words, retaining documents or records that contain personal data beyond the length of time necessary for the purpose for which that data was obtained is unlawful.
Disposal
Disposal can be achieved by a range of processes:-
- Confidential waste – i.e. making available for collection by a designated refuse collection service.
- Physical destruction on site (paper records – shredding)
- Deletion – where digital files are concerned. Deleted records must also be cleared
- Migration of document to external body
Managing Officers should take in to account the following considerations when selecting any method of disposal:-
- Under no circumstances should paper documents containing personal data or confidential information be simply binned or deposited in refuse tips. To do so could result in the unauthorised disclosure of such information to third parties, and render the Council liable to prosecution or other enforcement action under the Data Protection Act. Such documents should be destroyed on site (e.g. by shredding) or placed in the specially marked “Confidential Waste” refuse bins for collection by a designated contractor.
- Deletion – the Information Commissioner has advised that if steps are taken to make data virtually impossible to retrieve, then this will be regarded as equivalent to deletion.
- Migration of documents to a third party (other than for destruction or recycling) is unlikely to be an option in most cases. However, this method of disposal will be relevant where documents or records are of historic interest and/or have intrinsic value. The third party here could well be the Cheshire Record Office. “Migration” can, of course, include the sale of documents to a third party.
- Recycling – wherever practicable disposal should further recycling, in-line with the Council’s commitment to sustainable development and promoting an alternative waste disposal strategy.
Disposal of all but routine documents should be documented by keeping a record of the document disposed of, the date and method of disposal, and the officer who authorised disposal. The documenting of disposal will be particularly important to ensure compliance with the Freedom of Information Act.
Monitoring
Member Audits will take place to periodically monitor compliance with this Policy.
Photographs and Digital Images
This policy is applicable to all forms of visual media, including film, print, video, DVD and websites.
The Town Council use images and videos for a variety of purposes, publicity, records of events, training purposes, security, crime prevention and the website. Whilst we recognise the benefits of photography and videos to our work and the community, we also understand that these can have significant risks for those involved. Under the legal obligations of the Data Protection Act and GDPR, the council has specific responsibilities in terms of how photos and videos are taken, stored and retained.
For the purpose of this policy we consider photographs and digital images as documents and have included a retention guide below.
Document | Minimum Period of Retention | Reason |
---|---|---|
Record of disposal records | Destroy after 12 years | Common practice |
Approved Minutes
Council and Committee/Sub-Committee |
Permanent archive after administrative use Copy available on website | Public Inspection/Scrutiny |
Notices and Agendas
Council/Committee meetings |
Destroy 1 year after year end | Local decision |
Council/Committee meetings
Reports and other documents |
Electronic archive after administrative use | Local decision |
Working party agendas, reports | Destroy after 5 years | Local decision |
Minute taking notes | Destroy after minutes approved | Local decision |
Record of Officer decisions under
delegated authority and background documents |
Destroy after 6 years | Statutory (2014
Regulations) |
Scales of Fees and Charges | 5 years | Management |
Elections
Register and associated lists |
Destroy after 4 years | Local choice |
Lists of candidates | Destroy after 4 years | Local choice |
Election results | Permanent | Local choice
Permanent record with Cheshire East |
Member contact and other details | Personal Details-review regularly and delete if retention can no longer be justified
Other details – generally destroy when no longer a member of Council, except if ongoing issue, then destroy. |
Data Protection
Common practice and Data Protection |
Representation – list of members representing the Council on outside bodies | 4 years | Local choice |
Document | Minimum Period of Retention | Reason |
---|---|---|
Receipt and payment(s) accounts | 6 years | VAT |
Receipt books of all kinds | 6 years | VAT |
Bank statements, including deposit/savings accounts | Last completed audit year | Audit |
Bank paying-in books/records | Last completed audit year | Audit |
Cheque book stubs | Last completed audit year | Audit |
Agreements between organisations and partners | Destroy 6 years after expiry | Common practice |
Quotations and tenders
Successful |
12 years | Limitation Act |
Quotations and tenders
Unsuccessful |
Destroy after 3 years | Challenge |
Contracts and Tendering
All documents |
Destroy 6 years after last action except contract under seal (12 years) | Part Limitations Act |
Correspondence and papers on
important local issues or activities |
Destroy 5 years after last activity or archive. | Local choice |
Building contracts | Life of building + 15 years | Statutory |
Licensing or lease Agreements.
Rental/ Hire Purchase Agreements |
Indefinite
Archive after end date |
Limitations Act |
Paid invoices | 6 years | VAT |
Paid cheques | 6 years | Limitation Act |
VAT records | 6 years | VAT |
PAYE returns and supporting documents
PAYE related records not needed by Inland Revenue |
6 years
3 years after end of tax year |
Income Tax
Local choice |
Budget and estimates
Working papers |
Permanent archive after 3 years
2 years |
Statutory
Local choice |
Accounts and Audits
Associated documents |
Permanent archive after administrative use concluded.
Destroy after administrative use |
Common practice
|
Postage and telephone records | 6 years | Tax, VAT and Limitation Act |
Timesheets | Last completed audit year | Audit |
Salaries and wages documents, Inland Revenues (tax and NI) | 12 years | Superannuation
Limitation Period |
Record of Members allowances | 6 years | Income Tax, Limitation Act |
Insurance policies
Claims |
While valid & permanent archive
Destroy after 7 years |
Management
|
Insurance certificates/Employers’ Liability Certificates | Indefinite, archive after 5 years. | Management |
Investments | Indefinite, archive 5 years after ended | Audit, Management |
Loans | Permanent archive after 2 years | Common practice |
Annual Return to external auditor | Destroy after 6 years | Audit |
Internal and external audit reports | Destroy after 6 years | Audit |
Grants and donations made
|
Destroy after 6 years
Where personal data included, destroy once no longer needed unless written permission to retain |
Audit and VAT
|
Document | Minimum Period of Retention | Reason |
---|---|---|
Personnel administration | Destroy 5 years after person leaves Authority (except staff working with children-25 years) | Local choice &
statutory |
Recruitment and interview documents | 1 Year for most documents
Equality monitoring forms, immediately person not appointed |
Equal opportunities
claims |
Volunteers e.g. marshalls for events, work experience
|
Destroy I year after volunteering completed, unless written permission to retain for future volunteering | Local choice
Data Protection |
Employers Liability Certificates | Retain for 40 years | Common Practice |
Equality documents, | Destroy 15 years after last action | Common practice |
Records with Personal or sensitive information | Review regularly. Destroy when no longer
needed or cannot be justified for one of specified reasons |
Data Protection |
Health and Safety | Destroy 15 years after last action or after
6 years if superseded 40 years for asbestos & other occupational health records |
Statutory and Common practice |
Document | Minimum Period of Retention | Reason |
---|---|---|
Title deeds, leases, agreements, contracts | Indefinite, archive after 5 years | Audit, Management |
Maps, plans and surveys of property owned by Council | Indefinite. Archive after 5 years. | Common Practice |
Planning lists, plans and observations | Destroy after 1 year. | Local choice |
Statutory Development Plans
Observations |
Destroy 5 years after expiry or when draft is superseded do the same | Local choice |
Consultations on statutory functions e.g. Licensing, Highways | Destroy after 1 year | Local choice |
Corporate plans, Strategies, policies
Business plans, annual reports, Asset register |
Permanent archive after superseded | Common practice |
Routine correspondence, papers and emails | Destroy when not current or no longer needed for operations.
Where contains personal information, destroy as soon as matter resolved |
Local choice and Data Protection |
Complainants and enquirers about the council’s own services, and enquiries about other third-party services e.g.) unitary authority and housing associations and allotment associations
|
Destroy when not current or no longer needed for operations.
Where contains personal information, destroy as soon as matter resolved.
Do not pass on details without written permission |
Local choice and Data Protection |
Documents, and emails containing personal information
Officers and Councillors |
Destroy as soon as possible. i.e. when retention no longer justified for one of the specified reasons. | Data Protection |
Third party emails and contact details containing personal data | Destroy, when retention no longer justified for one of the specified reasons. | Data Protection |
Email account contents
Former Councillors |
Review and permanently delete within 2 months of leaving council, except if relate to an ongoing issue then destroy when no longer needed | Common practice and Data Protection |
Email account contents
Former Employees |
Review and permanently delete within 2 months of leaving council, except if relate to an ongoing issue then destroy when no longer needed | Common practice and Data Protection |
Statutory returns to Government etc. | 7 years | Common practice |
Operating procedures | 1 year after superseded | Local choice |
Consultations of public and staff | Destroy after 3 years from closure | Common practice |
Record of complaints against Council | Destroy after 6 years
Destroy personal information once matter resolved unless permission to retain. |
Common practice
Data Protection |
Freedom of information
Reviewing the quality, efficiency, or performance of the Council |
Destroy after 5 years | Common practice |
Publicised work of the Council | One copy to Permanent Archive
Destroy after administrative use |
Common practice |
Media Relations
Records of interactions |
Destroy after 3 years | Common practice |
Marketing and promotions literature | Destroy after 6 years | Local choice |
Civic and Royal events
Records of organising documents |
Permanent Archive after administration use concluded
Destroy after 7 years |
Common practice
Common practice |
Making local byelaws, copies and procedures | Permanent archive after administrative
use ended |
Common practice |
Administration and enforcement of local byelaws | Destroy 2 years after conclusion of action | Common practice |
Emergency planning and Environmental issues | Destroy 7 years after administration concluded | Common practice |
Town newsletters, press cuttings and photographs not containing personal information. | Archive after no longer current | Historic value |
Ancient and historical records | Record and Archive or to Cheshire Records | Historic value |
Reports, Guides, handbooks etc from other bodies | Destroy when no longer current or useful | Local choice |
Consultees
Details of persons responding to consultations by hard copy, email, online or social media |
Destroy once information taken for statistical
Purposes. Only attribute comments with written consent |
Data Protection and good practice |
Competition entrants | Destroy once competition over.
Require written permission to use personal details for publicity. e.g. winners |
Data Protection and good practice |
Civic and ball list of attendees | Destroy once event over.
Require written permission to use personal details for publicity or future invitations |
Data Protection |
Twinning with Macon Council
Details of visitors or organisers |
Destroy personal information once matter completed unless permission to retain. | Data Protection |
Community safety and vulnerable adults information received through community engagement. | Destroy, when retention no longer justified for one of the specified reasons. | Data Protection |
Document | Minimum Period of Retention | Reason |
---|---|---|
Photographs/images without personal data, including from CCTV | Destroy when no longer of use
Indefinite archive if required as permanent record or required for historical record |
Local choice |
Photographs/images considered to contain personal data, including from CCTV | Destroy as soon as possible. i.e. when retention no longer justified for one of the specified reasons.
Retain only if positive consent of data subject and for the period of the consent only. |
Data Protection
Data Protection |