Document Management Policy

Adopted by Council: 31^st 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.