1
RECORDS MANAGEMENT SERVICE
LOCAL GOVERNMENT REORGANISATION
Retention & Disposal Guidelines for the unitary authority of
Northumberland County Council Draft
2
Version History
Version
Date
Description
Author
0.1
03/09/2009
Working draft
K. A. Shiel
0.2
25/09/2009
1st published draft
K. A. Shiel
Job Title
Signature
Date
Name
Job Title
Signature
Date
Author:K.A.Shiel
Records Manager
Distribution List
Name
All NCC staff & Members
Date of Next Review: 01/04/2012
Approval and Authorisation
Approved by:-
Authorised By:-
25/09/2009
3
Contents
1.
The purpose of the retention schedule
2.
Benefits of a retention schedule
3.
Maintaining and amending the retention schedule
4.
What to do with records once they have reached the end of the administrative life
4a
Destruction of records
4b
Transfer of records to the Archives
4c
Transfer of information to other media
5.
Flowchart to determine if a document should be treated as a record.
6.
Retention Schedule
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
4
1.
The purpose of the retention schedule
Under the Freedom of Information Act 2000, Local Government is required to maintain a retention schedule listing the record series which it creates in
the course of its business. The retention schedule lays down the length of time which the record needs to be retained and the action which should be
taken when it is of no further administrative use.
Members of staff are expected to manage their current record keeping systems using the retention schedule and to take account of the different kinds
of retention periods when they are creating new record keeping systems.
The retention schedule refers to all information, regardless of the media in which it is stored.
2.
Benefits of a retention schedule
There are a number of benefits which arise from the use of a complete retention schedule:
3.
(a)
Managing records against the retention schedule is deemed to be “normal processing” under the Data Protection Act 1998 and the Freedom of
Information Act 2000. Provided members of staff are managing record series using the retention schedule they can not be found guilty of
unauthorised tampering with files once a freedom of information request or a data subject access request has been made.
(b)
Members of staff can be confident about destroying information at the appropriate time.
(c)
Information which is subject to Freedom of Information and Data Protection legislation will be available when required.
(d)
The Council is not maintaining and storing information unnecessarily.
(e)
Enables the Council to identify records (closed and/or semi-current records) that can be stored off-site in a records repository e.g. Woodhorn
Records Management Service.
Maintaining and amending the retention schedule
Where appropriate the retention schedule should be reviewed and amended to include any new record series created and remove any obsolete record
series.
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
5
4.
What to do with records once they have reached the end of their administrative life
4a.
Disposal of Records
Where records have been identified for disposal they should be disposed of in an appropriate way. All records containing personal information,
or sensitive policy information should be shredded after disposal. Any other records should be bundled up and disposed of to a waste paper
merchant or disposed of in other appropriate ways.
The Freedom of Information Act 2000 requires the Council to maintain a list of records which have been destroyed and who authorised their
destruction. Members of staff should record at least:





File reference (or other unique identifier);
File title (or brief description);
Number of files;
The name of the authorising officer;
Date of destruction
This may be kept in an Excel spreadsheet or other database format.
4b.
Transfer of records to the Northumberland Collections Service (formerly Northumberland Archives Service)
Where records have been identified as being worthy of permanent preservation, arrangements should be made to transfer them to the Head
of Collections. Send all materials for archiving to Head of Collections, Woodhorn, Northumberland Museum and Archives, Queen Elizabeth II
Country Park, Ashington, Northumberland, NE63 9YF. Records pertaining to administration of public service in Berwick-Upon-Tweed should be
sent for archiving to the Borough Archivist, Berwick Record Office, Council Offices, Wallace Green, Berwick-Upon-Tweed, Northumberland,
TD15 1ED.
4c.
Transfer of information to other media
Where lengthy retention periods have been allocated to records, members of staff may wish to consider converting paper records to other
media such as digital media. The lifespan of the media and the ability to migrate data where necessary should always be considered. The
Collections Service Digital Preservation Policy can be used to advise on storage media.
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
6
5.
Flowchart to determine if a document should
be treated as a record
Courtesy of the RMS Toolkit for Managing Paper Records (August 2008)
chart created by Kent County Council
Is there a statutory
requirement to keep these
records? (e.g. health &
safety) if unsure check the
corporate retention
schedule
Yes
No
Does the document contain
information which either
has been or is likely to be
needed to defend a legal
case?
Yes
No
Yes
Is the document a draft of a
report that has been
issued?
Unless required for
audit or reference
purposes this is NOT
a record and can be
destroyed
No
This document is
NOT a record but it
cannot be safely
disposed of until the
final report has been
issued
Is the document a draft of a
report that has not yet been
issued?
No
Is the document a final
report that has been
issued?
If the information has ever been the
subject of a request for information
under the Freedom of Information Act
please contact the FOI Officer for
advice about whether this information
should be retained (if it does not
appear to be a record)
Yes
No
Does the document
contain financial
information which is
required as part of an audit
trail?
Yes
No
Does the document
contain financial
information which is not
required as part of an audit
trail?
Yes
Unless required for
reference purposes
this is NOT a record
and can be
destroyed
No
Does the document
contain personal
information that could
constitute a principal client
record (including personal
records)?
Yes
Have I told the person who’s
data this is that it is going to
be kept? Have I ensured
that I have a good reason for
keeping this personal data?
or
Does the document
contain personal
information but does not
count as a principal client
record (including
managers’ copies of
personal records)?
Yes
No
Is this document a core
record of a project? E.G.
plans, contracts, reports,
project progress?
This may or may not be a
record. If in doubt treat the
documents as records. It is
easier to throw something away
later than it is to re-create the
record if it has been destroyed by
mistake.
Yes
If the answer to either
of these questions is
“no”, then contact the
Data Protection
Officer
If you do not have
the consent of the
data subject to keep
the personal
information and you
keep the document
you may be in breach
of the Data
Protection Act 1998.
This document is a
record and should be
retained and managed
against the retention
schedule
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample
for archive. Periods are in years unless otherwise stated
7
6.
Retention Schedule
DP
Democratic Services
EM
DP1
Elections
DP2
Council and Committee Meetings
DP3
Partnerships
DP4
Honours and Submissions
DP5
Political Parties’ Papers
Environmental Management
EM1
Enforcement Certification and Prosecution
EM2
By-Laws
EM3
Cemeteries and Crematoria
EM4
Waste Management and Collection
EM5
Land Use
FI
Finance
HP
Housing
HR
HP1
Housing Provision
HP2
Housing Maintenance
Human Resources (Personnel)
HR1
Personnel Administration
HR2
Employee and Industrial Relations
HR3
Equal Employment Opportunities
HR4
Recruitment
HR5
Termination of Contract
HR6
Training and Development
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise
stated
8
HS
IA
HR7
Appointments of Statutory Officers
HR8
Occupational Health and Safety Training
Health and Safety
HS1
Policies
HS2
Health and Safety Operations
HS3
Emergency Planning
HS4
Health Records
HS5
Environmental Health
HS6
Gravestones and Memorials
Internal Audit
IA1
IF
IM
LC
Internal audit
Infrastructure and Transport
IF1
Planning and Development
IF2
Infrastructure Management and Maintenance
IF3
Transport
IF4
Highways
Records and Information Management
IM1
Records Management
IM2
Information Management
IM3
Freedom of Information Act
Legal and Contracts
LC1
Case Files
LC2
Litigation
LC3
Contracts and Tendering
LC4
Awarding of Contracts
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise
stated
9
LC5
MA
PM
Insurances
Corporate Management and Administration
MA1
Management and Administration
MA2
Policy, Procedures, Strategy and Structure
MA3
Quality and Performance Management
MA4
Public Relations
Property and Land Management
PM1
Asset Management
PM2
Property and Land Management
PM3
Leasing and Occupancy
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise
stated
10
DP DEMOCRATIC PROCESSES
The retention and use of records relating to the democratic process of the organisation
Ref
DP1
DP1.1
DP1.1.1
ELECTIONS
ACTIVITY: PREPARATION FOR ELECTIONS
Basic activity
description
Summary certification of
those eligible to vote
Example of records
Electoral Register
Statutory
Provisions/Authority
Common Practice
Permanent
Ballot Papers
Statutory
6 months from close of poll.
DP1.1.2
Voting (local elections
only)
DP1.2
ACTIVITY: RESULTS OF ELECTIONS
DP1.2.1
DP1.2.2
DP1.3
DP1.3.1
Basic activity
description
Declaration of results
(Local elections only)
Example of records
Consolidated returns of
votes received
Statutory
Provisions/Authority
Statutory
Declaration of results
Consolidated returns of
(European Parliamentary votes received
elections)
ACTIVITY: MEMBER DECLARATIONS
Statutory
Basic activity
description
Members acceptance of
Office
Statutory
Provisions/Authority
Common Practice
Example of records
Signed register (bound?)
DP1.3.2
Members Declarations of
Interests
Ref
DP2
COUNCIL AND COMMITTEE MEETINGS
Declarations of all current
members
Common Practice
Retention Period
Retention Period
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Hardcopy – CONFIDENTIAL
SHRED
6 months from date of
election
Action at the end of the
Administrative life of the record
Hardcopy – CONFIDENTIAL
SHRED
12 months from date of
election
Hardcopy – CONFIDENTIAL
SHRED
Retention Period
Permanent
T + 18 months
(T = resignation / retirement
/ non-election)
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
E-copy – delete
Hardcopy – CONFIDENTIAL
SHRED
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
11
DP2.1
ACTIVITY: MINUTE TAKING
Example of records
Statutory
Provisions/Authority
Common Practice
Retention Period
DP2.1.1
Basic activity
description
Taking minutes
Basic activity
description
Minute Books and
Indexes
Example of records
Statutory
Provisions/Authority
Common Practice
Retention Period
DP2.1.2
DP2.2
DP2.2.1
DP2.2.2
DP2.2.3
Ref
DP3
DP3.1
Action at the end of the
Administrative life of the record
Notes of minutes
Dispose when final minutes e-version – delete
Hardcopy - CONFIDENTIAL
signed
SHRED
Draft/rough minutes
Common Practice
Dispose when final minutes e-version – delete
Hardcopy - CONFIDENTIAL
signed
SHRED
ACTIVITY: COMMITTEE MEETINGS (The process of preparing business for Council consideration and making the record of discussion, debate
and resolutions).
Agenda and non
confidential reports
considered by each
Council, Cabinet
Committee and Panel
meetings.
Registers of Declarations
to Special Committees
Signed Council minutes
Signed Committee minutes
Council Agenda and
Business Papers
Permanent
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Schedule 12a Local
government Act – Access
to Information
CY + 5 years
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Common Practice
Permanent
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
PARTNERSHIP, AGENCY AND EXTERNAL MEETINGS
Basic activity
description
The process of preparing
business for partnership
and agencies
consideration and
making the record of
discussion, debate and
resolutions, where the
Example of records
Documents establishing the
committee.
Agendas.
Minutes.
Council reports.
Recommendations.
Supporting documents such
Statutory
Provisions/Authority
Common Practice
Retention Period
Permanent
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
12
local authority legally
owns the record.
DP3.2
Ref
DP4
DP4.1
Ref
DP5
DP5.1
as Council briefing and
discussion papers.
The process of preparing Documents establishing the
business for External
committee.
Committees
Agendas
consideration and
Minutes
making the record of
Reports.
discussion, debate and
Recommendations
resolutions, where the
Supporting documents such
local authority does not
as briefing and discussion
own the record.
papers.
HONOURS AND SUBMISSIONS
Common Practice
Basic activity
description
The process of preparing
of honours submission
Example of records
Statutory
Provisions/Authority
Common Practice
Basic activity
description
The process of
undertaking
representation of the
local authority – Local
Authority
representatives
Example of records
Honours nomination form
Covering documentation
Letters of support
Referral for comment from
Lord Lieutenant
POLITICAL PARTIES’ PAPERS
Leader of Council papers
e.g. Leader’s records
Leader of Opposition
papers e.g. Leader’s
records
Statutory
Provisions/Authority
Common Practice
3 years after last action
Retention Period
5 years after last action
Retention Period
3 years after last action
e-version – delete
Hardcopy - CONFIDENTIAL
SHRED
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
13
EM ENVIRONMENTAL MANAGEMENT
The retention and use of records relating to the provision of environmental and community services within the organisation
Ref
EM1
EM1.1
EM1.1.1
EM1.1.2
ENFORCEMENT CERTIFICATION AND PROSECUTION
ACTIVITY: REGISTRATION, CERTIFICATION AND LICENSING
Basic activity
description
Summary management
systems that allow the
monitoring &
management of
registration, certification
and licences registration
requirements in summary
form
The administration of
applications, registration,
certification and licences
in relation to the local
authority’s registration
requirements.
For topics in relation to
toxic or hazardous
substances (including
petroleum) see EM3.2.3.
For topics in relation to
the registration of care for
children see EM3.2.4
Example of records
Visual Impairment
Register.
Applications for Animal
Registration.
Applications for
Registration of a
Business Premises.
Applications for Release
of Animals impounded.
Registers.
Certificates of
registrations of:
• door supervisors.
• taxi drivers.
• beauty therapists.
Animal movement
licences.
Gaming.
Fire Certification.
Disabled Parking Permits.
Blue/Orange Badge.
Registration to sell
poison.
Statutory
Provisions/Authority
Common Practice
Statutory
Note may want archival
review in cases of
licensing of children in
entertainment
Retention Period
Permanent
Retain 2 years after
registration or entitlement
lapses
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
14
EM1.1.3
The process involved in
licensing sites for the
holding or use of toxic or
hazardous substances.
(Including petroleum,
agricultural chemical
products or herbicides)
EM1.2
ACTIVITY: NOTIFICATION
EM1.2.1
EM1.3
EM1.3.1
Ref
EM2
EM2.1
EM2.1.1
EM2.2
Diesel Licences.
Petroleum Licences.
Health and safety
licensing.
Hazardous substances.
Contaminated land
register/pollution
Common Practice
Permanent
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Basic activity
Example of records
Statutory
Retention Period
description
Provisions/Authority
The process of issuing
Health and Safety
Common Practice
Retain 2 years after matter
notices to citizens with
compliance inspections
is concluded
respect to particular
responsibilities.
ACTIVITY: INVESTIGATION, INSPECTION AND MONITORING OF PUBLIC ACTIVITIES
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Basic activity
description
The process of
prosecution or sanction of
an individual or
organisation for failing to
comply with their legal
responsibilities.
BY-LAWS
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Example of records
Prosecution / sanction
files
Statutory
Provisions/Authority
Common Practice
Retention Period
Retain 7 years from last
action.
ACTIVITY: ENACTMENT
Basic activity
description
The process of making
local laws
Example of records
Master set of by-laws.
Policy development
documents.
Correspondence.
Submissions.
Statutory
Provisions/Authority
Common Practice
Retention Period
Permanent
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
ACTIVITY: ADMINISTRATION & ENFORCEMENT
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
15
EM2.2.1
Ref
EM3
EM3.1
EM3.2
Basic activity
description
The process of
administering and
enforcing by-laws
Example of records
Basic activity
description
Summary management
systems that record the
location and occupancy of
deceased individuals.
The process of regulation
of burials and cremations.
Example of records
Applications and
Certificates.
Permits.
Licenses
Infringement Notices
(parking)
Correspondence
CEMETERIES & CREMATORIA
Internment register
Lair register
Lair plans
Permits.
Applications.
Orders.
Medical Certificate ‘B’
Cremation Registers
Medical Certificate ‘C’
Statutory
Provisions/Authority
Common Practice
Statutory
Provisions/Authority
Common Practice
Retention Period
Retain 2 years after
certificate has expired or
penalty payment has been
made of the matter has
been finished or
correspondence on the
matter has ceased.
Retention Period
Permanent
Statutory. Cremation
Regulations 1915 and
1920, S.R. & O. 1915.
Retain 5 years after last
action
Statutory. Cremation
Regulations 1915 and
1920, S.R. & O. 1915.
Permanent
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
EM3.3
The process of regulation
of cremations.
EM3.4
Records associated with
Memorial construction
Common Practice
Until superseded.
the process of arranging
Policy.
funerals.
Funeral information.
Memorial construction.
Low cost funerals
WASTE MANAGEMENT & COLLECTION (The provision of hard waste reduction services by the council to ratepayers)
Ref
EM4
EM4.1
Basic activity
description
The process of arranging
the collection or
transportation of
household waste.
Example of records
Waste transfer records.
Recycle waste records.
Green waste records.
Statutory
Provisions/Authority
Statutory. Environmental
Protection (Duty of Care)
Regulations 1991 SI
2839.
Retention Period
Retain 2 years after last
action.
Hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
(Note: The waste
management contractor
must retain records for 6
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
16
years under landfill tax
legislation.)
EM4.2
Ref
EM5
EM5.1
EM5.1.1
EM5.1.2
EM5.1.3
The process of arranging
the collection or
transportation of
controlled waste.
Waste transfer records.
Statutory. Environmental
Protection (Duty of Care)
Regulations 1991 SI
2839.
Retain 2 years after last
action.
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
(Note: The waste
management contractor
must retain records for 6
years under landfill tax
legislation.)
LAND USE
ACTIVITY: PLANNING SCHEME AND BUILDING REGULATION
Basic activity
description
The activity of developing
a vision and strategic
directions regarding
existing and future land
use within the municipality
and the development of
local and town centre
plans to ensure the
implementation of the
Structure Plan.
(The production of
planning policy
documents).
The activity of
consultation to gain
approval for the Structure
Plan.
Unitary Development
Plans.
Local Plans
The activity of recording
information on historical
buildings, monuments
and ecology at a specific
Example of records
Structure Plan.
Local Plan.
Statutory
Provisions/Authority
Statutory and Common
Practice
Retention Period
Permanent
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Consultation documents
and replies.
Inquiries and objections
made by members of
public.
Public Inquiry documents.
Common Practice
Permanent
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Sites and Monuments
records.
Ecological records.
Species records.
Common Practice
Permanent
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
17
site
EM5.1.4
EM5.1.5
The process of receiving,
considering and
responding to
submissions and
objections to planning
schemes and
amendments
The process of controlling
development of land and
property through planning
and other statutory
applications.
Historically listed
buildings.
Definitive map.
Commons register
Waste Planning
Application consultation.
Mineral Planning
applications consultation.
Objections.
Inquiries, Public etc.
Archaeological;
advice/conditions.
Planning application files
and plans.
Correspondence relating
to any objections.
Hearing papers.
Planning application
register.
Cartographic index.
Appeal decision letters.
Planning Registers
Common Practice
Statutory
Retain 15 years after
decision.
Permanent from 1 July
1948.
(prior to this date – offer to
Head of Collections)
Offer controversial/high profile
schemes to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF.
Other documents
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF.
Consider digitising. Offer 1
digitised copy to Head of
Collections.
Pre 1948 - Offer to Head of
Collections, Northumberland
Collections Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
EM5.1.6
The process of recording
all other documents
relating to planning
control matters not
covered above.
EM5.2
ACTIVITY: COUNTRYSIDE PLANNING
Basic activity
description
Pre-application enquiries.
Planning appeals.
Correspondence.
Example of records
Common Practice
Statutory
Provisions/Authority
Retain 7 years from last
action.
Retention Period
Offer controversial/high profile
schemes to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF.
Other documents
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Action at the end of the
Administrative life of the record
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
18
EM5.2.1
EM5.2.2
The process of
maintaining the
countryside and
developing open spaces
for public amenity.
The process of
maintaining the
countryside and
developing open spaces
for public amenity.
Policies
Procedures
Common Practice
Until superseded
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Tree Preservation Orders
(TPOs).
Country parks and nature
reserve development
plans and
correspondence.
Land purchase
agreements.
Common Practice
Retain 7 years after
administrative use
concluded
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
EM5.3
ACTIVITY: PLANNING SCHEME REGULATIONS
EM5.3.1
Basic activity
description
The summary
management of planning
scheme regulation
EM5.3.2
The process of regulating
the planned use of land or
buildings
EM5.3.3
The process of approving
building applications in
relation to listed or other
significant buildings.
Example of records
Building control Registers
Building Files.
Plans and Specifications.
Correspondence.
Applications and Permits.
Decision Notices
Statutory
Provisions/Authority
Common Practice
Retention Period
Permanent
Common Practice
Retain 15 years after
closure.
Common Practice
Permanent
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Offer controversial/high profile
schemes to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF.
Other documents
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
19
Or
Certificates
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Common Practice
Retain 15 years after the
issue of certificate of final
inspection.
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
The process of enforcing
building or land
regulations.
ACTIVITY: LAND SEARCHES
Common Practice
Retain 15 years after
compliance with
enforcement notice.
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Basic activity
description
The process of providing
local authority information
to satisfy the lenders of
money for the purchase of
property or home
improvements.
The activity of
maintaining local
authority information
pertaining to land and
property.
Statutory
Provisions/Authority
Statutory
EM5.3.4
The process of inspecting
building work for the
purpose of ensuring
compliance.
EM5.3.5
EM5.4
EM5.4.1
EM5.4.2
Certificate of Final
Inspection.
Building Inspection
Records.
Diaries.
Enforcement Notices
Example of records
Land Searches
Local land Charges
Register.
Statutory
Retention Period
Retain 6 years after search
is concluded
Permanent
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
20
FI FINANCE
The retention and use of records relating to the Financial services within the organisation.
Ref
FI1
FI1.1
ACTIVITY:
Basic activity
description
Example of records
Statutory
Provisions/Authority
Retention Period
Action at the end of the
Administrative life of the record
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
21
HP HOUSING
The retention and use of records relating to the provision of council housing services within the organisation. These items are also found
in other sections.
Ref
HP1
HP1.1
HP1.1.1
HOUSING PROVISION (The process of the allocation and management of welfare housing by the local authority and the associated issues of
homelessness)
ACTIVITY: APPLICATIONS & REGISTRATION OF INDIVIDUALS
Basic activity
description
The process for
applying for council
housing. (Successful
Applications)
Example of records
Council Housing application
forms and supporting
material.
Application for transfer of
tenancy and supporting
papers.
Application for emergency
housing or referral from
another agency.
Statutory
Provisions/Authority
Common Practice
Retention Period
Expiration of agreement +
12 years
HP1.1.2
The process for
applying for council
housing.
(Unsuccessful
Applications)
Council Housing application
forms and supporting
material.
Application for transfer of
tenancy and supporting
papers.
Application for emergency
housing or referral from
another agency.
Common Practice
Closure + 7 years
HP1.1.3
Registration of
individuals housing
applications
Council Housing Register
Housing Act 1985
Permanent
Action at the end of the
Administrative life of the record
These records may need to be kept
beyond their administrative use to
be used for evidential purposes as
proof that the tenant was housed
properly by the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
22
(master version only)
HP1.1.4
Garage Applications
HP1.2
ACTIVITY: TENANCY AGREEMENTS
HP1.2.1
Basic activity
description
The process of
awarding tenancies in
council housing.
Application Forms
Example of records
Signed tenancy
agreements.
Common Practice
Statutory
Provisions/Authority
Housing Act 1985
Sealed tenancy
agreements.
Expiration of agreement + 6
years
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Retention Period
Action at the end of the
Administrative life of the record
These records may need to be kept
beyond their administrative use to
be used for evidential purposes as
proof that the tenant was housed
properly by the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business
folder with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
These records may need to be kept
beyond their administrative use to
be used for evidential purposes as
proof that the tenant was housed
properly by the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business
folder with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
Ordinary Tenancy – paper
copy
Expiration of agreement + 6
years.
Tenancy Under Seal –
paper copy
Expiration of agreement +
12 years.
Electronic versions of both
types Expiration of
agreement + 12 years
HP1.2.2
The process for
managing the tenancy
of an individual.
Correspondence re: the
tenancy.
Tenancy files.
Housing Act 1985
Expiration of agreement +
12 years
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
23
HP1.2.3
Leaseholder
Agreements (See also
HP1.3
ACTIVITY: TEMPORARY ACCOMMODATION AND HOMELESSNESS
HP1.3.1
Basic activity
description
Temporary
Accommodation
Leaseholder Files
Example of records
Housing Act 1985
Customer Account
Statutory
Provisions/Authority
Common Practice
HP1.3.2
Removals / storage /
kennelling
Customer Account
Common Practice
HP1.3.3
Homelessness Case
File
Case File
Common Practice
Ref
HP2
HOUSING MAINTENANCE (For renovation of public buildings see PM2.3)
HP2.1
Basic activity
description
Housing repairs
Example of records
Property record
Customer record
Renovation records
Statutory
Provisions/Authority
Housing Act 1985
Expiration of agreement + 6
years
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Retention Period
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
CY + 1 year after
customer’s account has
cleared
CY + 1 year after
customer’s account has
cleared
CY + 2 years after case is
closed
Retention Period
CY + 2 years after repair
completed
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
24
HR HUMAN RESOURCES (Personnel)
The retention and use of records relating to the provision of personnel services within the organisation
Ref
HR1
HR1.1
HR1.2
PERSONNEL ADMINISTRATION
Basic activity
description
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
Date of birth
Date of appointment
Work history details
Position/designation
Titles & dates held
The process of employing
staff and administration to
ensure that entitlements &
obligations are in
accordance with agreed
employment
requirements.
Records containing
Superannuation
Information
Example of records
Employment Register –
Permanent Staff.
Statutory
Provisions/Authority
Common Practice
Retention Period
Permanent
Common Practice
T + 6 years
Employment Register –
Temporary Staff.
Employment Register –
Casual Staff.
Personal History Cards.
Superannuation History
Card.
Salary Master Record.
Medical Clearance.
Details of assigned
duties.
Probation reports.
Medical examinations.
Personal particulars.
Educational qualifications
Declarations of pecuniary
interests.
Secrecy undertakings.
Action at the end of the
Administrative life of the record
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
(Letter of acceptance –
see HR1.3)
(Letter of appointment see HR1.3)
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
25
HR1.3
Personal records
(Personnel file)
T + 6 years
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
HR1.4
Records relating to staff
working with children
T + 25 years
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
HR1.5
All other records
T + 6 years
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Ref
HR2
EMPLOYEE AND INDUSTRIAL RELATIONS
HR2.1
Basic activity
description
Identification &
development of significant
directions concerning
industrial matters.
Completed application
form.
Letter of appointment.
Letter of acceptance.
Medical clearance.
Job description.
Sickness records.
Political restriction.
Employment contract.
Disciplinary and
grievance records *
Example of records
Generic agreements and
awards.
Negotiations.
Disputes.
Claims lodged.
Daily industrial relations
management
Common Practice
Statutory
Provisions/Authority
Common Practice
HR2.2
Liaison processes of
minor and routine
industrial matters
HR2.3
ACTIVITY: DISCIPLINARY AND GRIEVANCE PROCEDURES
HR2.3.1
Basic activity
description
Processing of Disciplinary
and Grievances
Investigations – where
proved
Example of records
Disciplinary records.
Grievance records.
Common Practice
Statutory
Provisions/Authority
For all practical purposes
this function would not be
subject to records
management, except for
Warnings involving
Retention Period
Permanent
Administrative use + 6
years
Retention Period
Kept on personnel file
Oral Warning – 6 months.
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Action at the end of the
Administrative life of the record
These warnings to be removed
from the personnel file &
destroyed after the relevant time
has been spent.
Written Warning – 12
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
26
children, which remain on
the personal file
permanently for reference
purposes.
HR2.3.2
Ref
HR3
HR3.1
Processing of Disciplinary Disciplinary records
and Grievances
Investigations - where
unfounded
EQUAL EMPLOYMENT OPPORTUNITIES
Common practice
Basic activity
description
The Process of producing
policies and procedures
to ensure compliance with
appropriate legislation.
Statutory
Provisions/Authority
Employment Law
Example of records
Equal Employment
Opportunities policy
(Latest version).
Equal Employment
Opportunities
procedures/guidelines
(latest version)
Investigation reports.
HR3.2
The process of
investigation and
reporting on specific
cases to ensure that
entitlements & obligations
are in accordance with
agreed Equal
Employment
Opportunities guidelines
policies.
HR3.2
ACTIVITY: OCCUPATIONAL HEALTH
Basic activity
Example of records
Common practice
Statutory
months.
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Final Warning – 18 months.
Warnings involving children
– Permanent.
Retain only until grievance
has been found to have
been unfounded; or after
appeal.
Retention Period
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Action at the end of the
Administrative life of the record
All final versions to be kept
permanently.
Retain 5 years after action
completed
Retention Period
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
Action at the end of the
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
27
description
HR3.2.1
The process of checking
and ensuring the health of
staff
HR4
RECRUITMENT
HR4.1
Basic activity
description
The selection of an
individual for an
established position
- Successful applicants
Provisions/Authority
Health questionnaire.
Medical clearance.
Adjustments to work
place restrictions.
Recommendations
Example of records
Advertisements.
Applications
Referee reports
Interview reports
Interview notes
Common Practice.
Health & Safety
Legislation.
Statutory
Provisions/Authority
Common Practice
Administrative life of the record
Retain 50 years after last
action
Retention Period
Retain 1 year after
recruitment has been
finalised.
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
(For letter of appointment
see HR1.3)
Common Practice
Retain 6 months after
recruitment has been
finalised.
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Common Practice.
Section 124 of Police Act
1997.
Successful applicants –
Retain for 1 week from
receipt of disclosure (if
clear).
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
HR4.4
NB: CRB Disclosures
should never be kept on
personnel files and
should be kept separately
ACTIVITY: STAFF MONITORING
Statutory
Provisions/Authority
Common Practice
Retention Period
HR4.4.1
Basic activity
description
Performance appraisal
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
HR4.2
The selection of an
individual for an
established position
- Unsuccessful
applicants
HR4.3
Criminal Records Bureau
(CRB) Disclosure
HR4.4.2
Process of monitoring
staff leave and
attendance
Advertisements.
Applications
Referee reports
Interview reports
Interview notes
Example of records
Probation reports
Performance plans
Sick leave.
Jury Service.
Study leave.
Special and personal
leave.
Common Practice
T + 6 years
Retain 2 years after action
completed
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
28
HR4.5
Attendance books.
Flexitime sheets.
Leave applications.
Clock on/off cards.
Annual leave cards.
ACTIVITY: STAFF RETENTION
HR4.5.1
Basic activity
description
Financial reward
Ref
HR5
HR5.1
HR5.1.1
HR5.2
Example of records
Retention Period
Retain 7 years after action
completed
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
(All records relating to
actual payments are dealt
with under finance)
TERMINATION OF CONTRACT
ACTIVITY: NOTIFICATION OF TERMINATION
Basic activity
description
The process of
terminating employment
of staff through
resignation, voluntary
redundancy, dismissal,
retirement and death.
Example of records
Letters of resignation
Redundancy (section
188)
Retirement
Dismissal
Death
Leavers form
Statutory
Provisions/Authority
Common Practice
Retention Period
T + 6 Years
Common Practice
T + 6 Years
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
ACTIVITY: EXIT PROCESS
Basic activity
description
Example of records
HR5.2.1
Exit questionnaire
Assessment of responses
HR5.2.2
Exit Interview
HR5.2.3
Leavers checklist
Ref
Statutory
Provisions/Authority
Common Practice
Statutory
Provisions/Authority
Common Practice
Retention Period
6 months after Termination
of Contract
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Common Practice
6 months after Termination
of Contract
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Common Practice
6 months after Termination
of Contract
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
TRAINING AND DEVELOPMENT
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
29
HR6
HR6.1
HR6.1.1
ACTIVITY: ROUTINE TRAINING
Basic activity
description
Routine staff training
processes.
Example of records
Individual course records.
Individual staff
assessments.
Statutory
Provisions/Authority
Common Practice
Retention Period
Permanent
(not occupational health
and safety or children
related)
HR6.1.2
Training (concerning
children)
HR6.1.3
Training (proof of
completion)
HR6.1.4
Training materials
Ref
HR7
APPOINTMENTS OF STATUTORY OFFICERS
HR7.1
Basic activity
description
Summary management
systems that allow the
monitoring &
management of statutory
officers in summary form.
Individual course records.
Individual staff
assessments.
Certificates
Awards
Exam results
Booklets
Forms
Presentations
Example of records
Magistrates register
Head of Paid Services.
Monitoring Officer.
Section 151 Officer.
Common Practice
Common Practice
Common Practice
Statutory
Provisions/Authority
Common Practice
Retain 35 years after
training completed, or last
entry
Retain on Personnel file
(see HR1.3)
Retain 1 year after course
is superseded
Retention Period
Permanent (recorded in
Council minutes)
Action at the end of the
Administrative life of the record
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF.
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
30
HR7.2
HR7.3
HR7.4
HR8
HR8.1
The process of
administering employees
to ensure that
entitlements & obligations
are in accordance with
agreed employment
requirements.
The appointment of an
individual for a statutory
position
The process of selection
of an individual for a
statutory position –
successful applications
Common Practice
Retained on Personnel File
(see HR1.3)
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Appointment files
Common Practice
Permanent
Vacancies & applications
records.
Interview notes.
Prospective staff records.
Registers of applicants.
Unsuccessful applicants.
Common practice
Retain 2 years after date of
appointment.
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
(Permanent record in
Council minutes)
OCCUPATIONAL HEALTH AND SAFETY TRAINING
Basic activity
description
Training (occupational
health and safety
Example of records
OH&S training register
Statutory
Provisions/Authority
Common Practice
Retention Period
Until superseded by
refresher training.
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
(Individual course
assessment records should
be destroyed once the
training has been renewed
every 3 years).
HR8.2
Food Hygiene courses
for business
Course register
Common Practice
Latest training
information should
always be retained.
CY + 3 years
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
31
HS HEALTH AND SAFETY
The retention and use of records relating to operations regarding health and safety at work (for Occupational Health and Safety Training see
HR 8)
Ref
HS1
HS1.1
POLICIES
Basic activity
description
Health and Safety at
Work of employees.
Example of records
Written statement of
employers general policy.
HS1.2
Health and Safety at
Work of employees
Arrangements and
procedures for carrying
out policy at HS1.1.
HS1.3
Health and Safety
procedures
Written procedures
HS1.4
Safety clothing and
headwear on construction
sites
Written procedures
Statutory
Provisions/Authority
Statutory. Health and
Safety at Work etc. Act
1974 s.2(3): Written
Statement of general
policy for employee
health and safety at work.
Statutory. Health and
Safety at Work etc. Act
1974 s.2(3): Written
Statement of general
policy for employee
health and safety at work.
Statutory. Management of
Health and Safety at
Work Regulations 1992.
Reg. 4: Health and
Safety.
Statutory. Construction
(Head Protection)
Regulations 1989 SI 1989
No. 2209. Reg. 5: Rules
and Directions.
Retention Period
Until superseded.
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Until superseded
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Until superseded
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Retain for duration of work
on site
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
32
9YF
Ref
HS2
HS2.1
HS2.1.1
HEALTH AND SAFETY OPERATIONS
ACTIVITY: INSPECTIONS AND ASSESSMENTS OF WORKING ENVIRONMENT AND EQUIPMENT
Basic activity
description
Process of inspecting
equipment to ensure it is
safe.
Example of records
Equipment inspection
records.
Statutory
Provisions/Authority
Statutory
Retention Period
6 years from destruction of
equipment
Action at the end of the
Administrative life of the record
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
HS2.1.2
Fire Alarm/emergency
lighting
Inspection reports
Common Practice
Retain last two certificates
HS2.1.3
Building installations
Inspection reports
Common Practice
Retain last two certificates
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
HS2.1.4
Other statutory
inspections/tests
Inspection reports
Common Practice
CY + 10 years
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
HS2.1.5
Working platforms and
personal suspension
equipment. Excavations
and cofferdams etc.
Inspection reports
Statutory.
Construction (Health,
safety and welfare)
Regulations 1996 SI 1996
No 1592 – Regs. 29,30
and Schedule 7.
3 months after work is
completed
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
33
HS2.1.2
Processes that permit
work
HS2.1.3
HS2.2
Process of carrying out
monitoring to ensure it is
safe
ACTIVITY: LOG BOOKS
HS2.2.1
Basic activity
description
Fire safety
HS2.2.2
Machine maintenance
HS2.3
ACTIVITY: LIFTING OPERATIONS
HS2.3.1
Basic activity
description
Lifting operations
(Thorough examinations)
Monitoring results
Example of records
Fire precaution log book
Machine maintenance log
book
Example of records
Examination
results/reports
Common Practice
Retain 1 year from last
action.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Statutory
Retain 3 years from last
action
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Statutory
Provisions/Authority
Common Practice
Statutory.
Provision and Use of
Work Equipment
regulations 1998 SI 1998
No 2306 Reg. 5.
Statutory
Provisions/Authority
Statutory.
Lifting Operations and
Lifting Equipment
Regulations 1998 SI 1998
No 2307 Reg. 9.
Retention Period
Retain 6 years after last
entry
Life of equipment
Retention Period
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
For as long as equipment is
operated.
Action at the end of the
Administrative life of the record
Current report to accompany
equipment if sold on.
HS2.3.2
Lifting operations
(Thorough examinations
and inspection – other
than an accessory)
Examination
results/reports
Statutory.
Lifting Operations and
Lifting Equipment
Regulations 1998 SI 1998
No 2307 Reg. 11.
For as long as equipment is
operated.
Previous reports
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
HS2.3.3
Lifting operations
(Thorough examinations
and inspection –
accessory for lifting)
Examination
results/reports
Statutory.
Lifting Operations and
Lifting Equipment
Regulations 1998 SI 1998
Retain 2 years from date of
report.
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
34
No 2307 Reg. 11.
Lifting operations
(Thorough examination
and inspection –
installation or after
assembly at new
site/location
Lifting operations
(Thorough examinations
and inspection – 6/12
monthly inspections under
Reg.9).
Examination
results/reports
Statutory.
Lifting Operations and
Lifting Equipment
Regulations 1998 SI 1998
No 2307 Reg. 11.
For as long as the
equipment is operated
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Examination
results/reports
Statutory.
Lifting Operations and
Lifting Equipment
Regulations 1998 SI 1998
No 2307 Reg. 11.
Until superseded or the
expiration of 2 years
whichever is later.
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
HS2.3.6
Lifting operations
(Records made under
regulation 10(2)
Examination
results/reports
Statutory.
Lifting Operations and
Lifting Equipment
Regulations 1998 SI 1998
No 2307 Reg. 11.
Until superseded
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
HS2.4
ACTIVITY: RISK ASSESSMENTS
HS2.3.4
HS2.3.5
HS2.4.1
HS2.5
HS2.5.1
HS2.5.2
Basic activity
description
Process to assess the
level of risk
Example of records
Risk assessment
Statutory
Provisions/Authority
Statutory
Retention Period
Retain 3 years from last
assessment
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
ACTIVITY: ASBESTOS RECORDS
Basic activity
description
Process of monitoring of
areas where employees
and persons are likely to
have become in contact
with asbestos
Air monitoring of
employees exposure to
asbestos where
appropriate.
Example of records
Property asbestos files
Record or suitable
summary.
Statutory
Provisions/Authority
Statutory. Control of
Asbestos at Work
Regulations 1987 SI 1876
No. 2115.
Statutory. Control of
Asbestos at Work
Regulations 1987 SI 1987
No. 2115 Reg. 15.
Retention Period
40 years from last action.
Retain 5 years from date of
monitoring.
Retain 40 years if health
record required.
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
35
HS2.5.3
HS2.5.4
HS2.6
Asbestos health records
(where exposure to
asbestos exceeds the
action level)
Employee health records
Certificates of health
Certificate of health
examination
Statutory. Control of
Asbestos at Work
Regulations 1987 SI 1987
No. 2115 Reg. 16(1).
CY + 40 years.
Statutory. Control of
Asbestos at Work
Regulations 1987 SI 1987
No. 2115 Reg. 16(3).
Control of Asbestos at
Twok (Amendment)
Regulations 1998 SI 1988
3235 Reg. (4).
Retain 40 years from date
of issue.
Must be retained by the
employer.
Copy must be given to
the employee.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
ACTIVITY: RECORDING HEALTH & SAFETY EVENTS / INCIDENTS
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
36
Basic activity
description
Process that records
injuries to adults
Accident forms
Accident reports
HS2.6.2
Process that records
injuries to children
Accident forms
Accident reports
Ref
HS3
HS3.1
EMERGENCY PLANNING
HS2.6.1
HS3.1.1
HS3.1.2
HS3.2
HS3.2.1
HS3.2.2
Ref
HS4
Statutory
Provisions/Authority
Statutory
Based on Statutory
Retention Period
Retain 3 years from closure
Retain 25 years from
closure
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
ACTIVITY: PLANS AND RECORDING SYSTEMS
Basic activity
description
Process to develop the
emergency/disaster plan
for the local community.
Example of records
Major incident plan
Statutory
Provisions/Authority
Common Practice
Retention Period
Permanent
Common Practice
Basic activity
description
Activities that report on all
major incidents in the
local community. Whether
the emergency plan has
been invoked or not.
Activities that report on all
minor incidents in the
local community
HEALTH RECORDS
Statutory
Provisions/Authority
Common practice
Permanent
Common Practice
Retain 7 years after closure
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Retention Period
Action at the end of the
Administrative life of the record
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
Example of records
Post incident reports
Example of records
Health Screening records
Statutory
Provisions/Authority
Statutory.
Numerous regulations
Retain 10 years after
closure
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Process of recording the
results of the test for
emergency/disaster plan
for the local community.
ACTIVITY: MAJOR INCIDENTS
Basic activity
description
HS4.1
Example of records
Retention Period
Retain 40 years
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
37
HS4.2
COSHH
COSHH health
surveillance records
Statutory. Control of
Substances Hazardous to
Health Regulations 1999
SI 1999 No. 437 Reg. 11.
Records kept under the
1994 Regulations to be
kept as if the 1999
Regulations had not been
made. Reg. 18. COSHH
Regs. 2002.
Permanent
HS4.3
COSHH
Monitoring records to
comply with COSHH
Statutory. Control of
Substances Hazardous to
Health Regulations 1999
SI 1999 No. 437
Retain 5 years – general
records.
Statutory. Noise at Work
Regulations 1989 Reg. 5:
Assessment Record.
Until a further assessment
is made.
HS4.4
Noise monitoring
Ref
HS5
HS5.1
ENVIRONMENTAL HEALTH
Noise assessment
records
Retain 40 years for
personal experience of
identifiable individuals.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
Consider adding to health records.
ACTIVITY: ACCIDENT RECORDS
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
38
HS5.1.1
The process of Reporting
injuries, diseases and
dangerous occurrences.
RIDDOR
F2508
F208A
Statutory. Reporting of
Injuries, Diseases and
Dangerous Occurrences
Regulations 1995 SI 1995
No. 3163 Regs. 4/5.
Retain 7 years after last
action.
(If incident happens to a
person under the age of 18,
records retained until they
reach 18 + y years after last
action)
HS5.1.2
Records of minor
incidents in the local
community.
Enforcement, certification,
prosecution etc
Copy notices.
Copy certificates.
Common Practice
Retain 7 years after closure
of all active cases linked to
premises.
HS6
GRAVESTONES & MEMORIALS
HS6.1
ACTIVITY: INSPECTION REPORTS
HS6.1.1
The policies and
procedures regarding
inspection of gravestones
and memorials
Common Practice
Permanent
Inspection Policy
Inspection Procedures
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
E-version – save to EDMS/EDRMS.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business
folder.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
39
Ashington, Northumberland, NE63
9YF
Common practice
Permanent
E-version – save to EDMS/EDRMS.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business
folder.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF.
Tender documents.
Common practice
Permanent
HS6.1.4
Tenders received.
(Successful tenders)
Common practice
Permanent
HS6.1.5
Tenders received.
(Unsuccessful tenders)
Common Practice
Until successful tender
contract signed.
E-version – save to EDMS/EDRMS.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business
folder.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF.
E-version – save to EDMS/EDRMS.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business
folder.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF.
E-Version – delete.
Hardcopy – CONFIDENTIAL
SHRED
HS6.1.2
Records associated with
the inspection and
resulting action taken
regarding the care of
gravestones and
memorials
HS6.1
ACTIVITY: TENDERS FOR REMEDIAL WORK
HS6.1.3
Records associated with
tenders for remedial work
on Gravestones and
Memorials
Gravestone inspection
Report (including
photographs)
Memorial inspection
report (including
photographs)
Report from Structural
Engineer.
Actions taken / work done
report.
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
40
IA INTERNAL AUDIT
The retention and use of records relating to the internal auditing of organisational processes
Ref
IA1
IA1.1
IA1.1.1
IA1.1.2
IA1.1.3
INTERNAL AUDIT
ACTIVITY: AUDIT PROCEDURES
Basic activity
description
Audit reports (including
interim & draft) that are
concerned with the
examination of long term
contracts.
Audit reports and
supporting papers
compiled during a fraud
investigation
Other audit reports
(including drafts)
Example of records
Statutory
Provisions/Authority
Retention Period
CY + 6 years
Retain 6 years after legal or
disciplinary proceedings
have been completed.
Internal audit records are
classed as those records
that have been created
solely for the purpose of
an internal audit review
and include:
Reports.
Terms of reference.
Programmes/plans.
Correspondence,
including emails, letters,
CY + 3 years
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
41
advice & consultancy.
Minutes of meetings etc.
Working papers.
Annual audit needs
assessment.
Internal audit strategy.
IA1.1.4
Audit management
programmes, plans and
strategies.
IA1.1.5
Audit Manual & guides
relating to departmental
procedures
Until superseded
IA1.1.6
Annual Reports to the
S151 Officer
CY + 3 years
Retain for 1 year after the
last date of the plan, or
from the time that they were
updated.
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
42
IF INFRASTRUCTURE, HIGHWAYS AND TRANSPORT
The retention and use of records relating to the provision of transport and planning services within the organisation
Ref
IF1
IF1.1
IF1.2
IF1.3
IF1.4
Ref
IF2
IF2.1
PLANNING AND DEVELOPMENT
Basic activity
Example of records
Statutory
description
Provisions/Authority
The activity of developing Structure Plan
Common Practice
a vision and strategic
Local transport plan
directions regarding
(shared)
existing transport and
infrastructure within the
municipality
The activity of
Amendments to definitive Common Practice
establishing planning
map.
scheme controls and
Road adoption
providing for them to be
amended and modified
The process of receiving, Enquiries, consultation
Statutory
considering and
documents, objections
responding to
and correspondence
submissions and
objections to planning
schemes and
amendments.
The process of
Common Practice
investigating and
enforcing planning
regulations.
INFRASTRUCTURE MANAGEMENT AND MAINTENANCE
Basic activity
description
The activity of providing
municipal services in
relation to infrastructure
within the local authority.
Example of records
Street Files.
Street Records.
Requests for:
Hedge clipping
Tree planting
Statutory
Provisions/Authority
Common Practice
Retention Period
Permanent
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Permanent
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Permanent
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Retain 50 years after
enforcement notice
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Retention Period
Retain 7 years after last
action.
Action at the end of the
Administrative life of the record
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
43
Naming of streets
Numbering of houses
Street load limits
Street signs
Bus shelters
Applications to dig
footpaths.
IF2.2
Ref
IF3
IF3.1
IF3.1.1
The activity of
maintaining and repairing
roads, streets, bridges,
bridle paths, rights of
way, tunnels, cycle paths
TRANSPORT
Common Practice
Retain 7 years after action
completed.
ACTIVITY: TRANSPORT MANAGEMENT
Basic activity
description
The process of
acquisition and disposal
of vehicles through lease
or purchase.
IF3.1.2
The process of managing
allocation & maintenance
of vehicles.
Ref
IF4
IF4.1
HIGHWAYS
Example of records
Leases.
Contract.
Quotes.
Approvals.
Fleet Authorisation
Numbers.
Approvals as Drivers.
Allocation &
Authorisations for
vehicles.
Maintenance.
Statutory
Provisions/Authority
Common Practice
Common Practice
Retention Period
Retain 7 years after the
disposal of the vehicle.
Retain 7 years after the
sale or disposal of the
vehicle.
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
ACTIVITY: HIGHWAYS INSPECTIONS
Basic activity
description
IF4.1.1
Maintenance records
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
The process of detailing
when a length of highway
was inspected, by whom,
inspection type, what was
found and follow up action
Example of records
Inspection reports.
Follow-up actions.
Statutory
Provisions/Authority
Common Practice
Retention Period
CY + 20 years
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
44
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
45
IM RECORDS AND INFORMATION MANAGEMENT
The retention and use of records relating to the provision of records and information management within the organisation
Ref
IM1
IM1.1
IM1.1.1
IM1.1.2
IM1.1.3
RECORDS MANAGEMENT
ACTIVITY: RECORDS MANAGEMENT PROCEDURES
Basic activity
description
The process of preparing
corporate policies and
procedures.
The activity whereby
standards, authorities,
restraints and verifications
are introduced and
maintained to manage
information effectively.
Retention procedures
Example of records
RM Policy
RM Strategy
Retention and disposal
Policy.
Corporate Scanning
Strategy.
Digital Preservation
Policy.
Statutory
Provisions/Authority
FOIA
Public Records Act
Retention Period
Until superseded
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF.
All backups to be deleted.
Classification Schemes.
Registers.
Indexes.
Authorised lists of File
Headings.
Common Practice
Until superseded
Retention Schedule
FOIA
Public Records Act
Until superseded
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
All backups to be deleted.
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF.
All backups to be deleted.
IM1.1.4
The management of
collections of records
transferred to the
archives.
Transfer records
FOIA
Public Records Act
Permanent
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
46
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF.
IM1.1.5
Ref
IM2
IM2.1
IM2.1.1
IM2.1.2
IM2.1.3
Ref
IM3
IM3.1
Emails which are held in
the corporate email
archiving system
FOIA
Public Records Act
Retain 4 years
All backups to be deleted.
e-version – Fully delete
All backups to be deleted.
INFORMATION MANAGEMENT
ACTIVITY: SYSTEMS MANAGEMENT
Basic activity
Example of records
description
The internal process to
CRM
develop or extend the
capabilities of a system
used to support the
activities of the Local
Authority.
The process to implement Implementation Plan
a system used to support
the activities of the Local
Authority.
The process to support
and administer a system
used to support the
activities of the Local
Authority.
FREEDOM OF INFORMATION ACT
Statutory
Provisions/Authority
Retention Period
Retain for life of the system
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Retain 7 years after last
action.
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Retain 5 years after last
action.
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
ACTIVITY: POLICY RECORDS
Basic activity
description
Example of records
Statutory
Provisions/Authority
Retention Period
Action at the end of the
Administrative life of the record
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
47
IM3.1.1
The process of handling
FOI requests
FOI Policy.
FOI Procedures.
Implementation of FOI.
FOI retention and
disposal policy.
Documents on
organisation’s FOI Policy.
FOIA 2000 (s.46)
DPA 1998
Case records
FOIA 2000 (s.46)
DPA 1998
IM3.1.2
Case records that lead to
the development of
precedents and best
practice
IM3.2
ACTIVITY: INDIVIDUAL TRANSACTION RECORDS
Until superseded.
(Permanent retention in
archives)
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
All backups to be deleted.
Permanent
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
All backups to be deleted.
IM3.2.1
Basic activity
description
Receipt of FOI requests,
detailing the FOI request,
the consideration of
possible exemptions and
subsequent appeals.
Example of records
Case file records.
Statutory
Provisions/Authority
FOIA 2000 (s.46)
DPA 1998
Retention Period
Retain 3 years after date of
creation.
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
All backups to be deleted.
IM3.3
ACTIVITY: ACCESS STATUS RECORDS
IM3.3.1
Basic activity
description
Statistical data.
Example of records
Number of requests
received and answered.
Details of their outcomes.
Etc.
Statutory
Provisions/Authority
FOIA 2000 (s.46)
DPA 1998
Retention Period
Retain 10 years.
Also keep as required for
DCA reporting
requirements (if applicable)
Action at the end of the
Administrative life of the record
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
48
Ashington, Northumberland, NE63
9YF.
IM3.3.2
Activities detailing access
decisions
Public Interest Test.
Redacted versions of
documents.
FOIA 2000 (s.46)
Retain 10 years.
(You may wish to keep this
information as it could be
considered current until
superseded by a
subsequent decision. This
will depend on how you
choose to record such
information).
All backups to be deleted.
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF.
All backups to be deleted.
IM3.4
IM3.4.1
IM3.4.2
ACTIVITY: OTHER RECORDS
Basic activity
description
Records scheduled for
disposal
FOI financial
transactions
Example of records
Information subject to FOI
request but scheduled for
destruction.
Fees received
Statutory
Provisions/Authority
FOIA 2000 (s.46)
DPA 1998
FOIA 2000 (s.46)
DPA 1998
Retention Period
~Retain 1 year from the
date of the last
correspondence on the
matter.
Use current financial
retention schedule
Action at the end of the
Administrative life of the record
Undertake original disposal of
information according to the
corporate retention schedule.
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
49
LC LEGAL AND CONTRACTS
The retention and use of records relating to the provision of legal and contractual services within the organisation
Ref
LC1
LC1.1
CASE FILES
Basic activity
description
All Case Files
Working files and
papers except as
shown in sections
HP1.1 above.
Ref
LC2
LC2.1
Example of records
Section 106 agreements.
TPOs
Leases,
Licences,
General legal matters
Statutory
Provisions/Authority
Departmental Code of
Practice
Retention Period
Hardcopy – CY + 2 years
after matter closed.
e-version retain for period
identified by Head of Legal
Services
Action at the end of the
Administrative life of the record
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business
folder with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
LITIGATION
Basic activity
description
The process of
managing, undertaking
or defending for or
against litigation on
behalf of the local
authority.
Example of records
Correspondence
Criminal case file
Civil case file
Pleadings Orders
Statutory
Provisions/Authority
Common Practice
Retention Period
Background papers – 3
years after case concluded
or closed.
Court File Documents – 7
years after case concluded
or closed.
Action at the end of the
Administrative life of the record
Major Litigation records - Offer to
Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Major litigation – 7 years
after case concluded or
closed
LC2.2
ACTIVITY: ADVICE
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
50
LC2.2.1
Basic activity
description
The process of
providing legal advice
on a point of law
Example of records
Statutory
Provisions/Authority
Common Practice
Retention Period
Hardcopy - Retain 3 years
after last action.
E-version – Retain 3 years
after last action.
LC2.3
ACTIVITY: AGREEMENTS
LC2.3.1
Basic activity
description
Process of agreeing
terms between
organisations.
LC2.4
LC2.4.1
LC3.1.1
Concordat.
Statutory
Provisions/Authority
Common Practice
(Depends on value of
agreement. Mainly to do
with agreements between
public bodies, not in
regard to contracts).
Note this does not
include contractual
agreements.
ACTIVITY: CONVEYANCE (See also Property Acquisition and Disposal)
Basic activity
description
The process of
changing ownership of
land
LC2.4.2
Ref
LC3
LC3.1
Example of records
Example of records
Property records
Land charges
Deeds of Title
Retention Period
Hardcopy – 1 year after
expiration or termination of
agreement.
Action at the end of the
Administrative life of the record
If major precedent - Offer to Head
of Collections, Northumberland
Collections Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
E-version 6 years after
expiration or termination of
agreement.
Statutory
Provisions/Authority
Statutory
Retention Period
Closure + 12 years
Statutory
Permanent
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
CONTRACTS AND TENDERING
ACTIVITY: PRE-CONTRACT ADVICE
Basic activity
description
The process of calling
for expressions of
interest
Example of records
Expressions of Interest
Statutory
Provisions/Authority
Common Practice
Retention Period
Retain 2 years after
contract let, or not
proceeded with.
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
51
LC3.2
LC3.2.1
ACTIVITY: SPECIFICATION AND CONTRACT DEVELOPMENT
Basic activity
description
The process involved in
the development and
specification of a
contract
Example of records
Tender specification
NOTE for project files
containing drafts leading to
a final version these
records can be destroyed.
LC3.3
ACTIVITY: TENDER ISSUING AND RETURN
LC3.3.1
Basic activity
description
The process involved in
the issuing and receipt
of a tender
LC3.4
LC3.4.1
Statutory
Provisions/Authority
Statutory
Example of records
Opening notice
Statutory
Provisions/Authority
Common Practice
Tender envelope
Retention Period
Ordinary Contracts – paper
version
6 years after the terms of
contract have expired.
Contracts Under Seal –
paper version
12 years after the terms of
contract have expired.
Electronic versions of both
types
Retain 12 years.
Retention Period
1 year after start of
contract.
Note: Normally there is no
electronic version
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Action at the end of the
Administrative life of the record
Hardcopy - CONFIDENTIAL SHRED
ACTIVITY: EVALUATION OF TENDER
Basic activity
description
Summary tender
evaluation criteria
Example of records
Evaluation criteria
Statutory
Provisions/Authority
Statutory
Retention Period
Ordinary Contracts – paper
version.
Retain 6 years after terms
of contract have expired.
Contracts Under Seal –
paper version.
Retain 12 years after terms
of contract have expired.
Electronic versions of both
types
Retain for 12 years
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
52
LC3.4.2
Successful tender
document
Tender documents
Statutory
Ordinary Contracts – paper
version.
Retain 6 years after terms
of contract have expired.
Contracts Under Seal –
paper version.
Retain 12 years after terms
of contract have expired.
Electronic versions of both
types.
Retain for 12 years
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Common Practice
Retain 2 years after start of
contract.
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Retention Period
Action at the end of the
Administrative life of the record
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business
folder with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
Quotations
LC3.4.3
Unsuccessful tender
document
LC3.5
ACTIVITY: POST TENDER NEGOTIATION
LC3.5.1
Ref
LC4
LC4.1
Basic activity
description
The process in
negotiation of a contract
after a preferred tender
is selected
Tender documents
Quotations
Example of records
Clarification of contract.
Statutory
Provisions/Authority
Common Practice
Retain 1 year after terms of
contract have expired.
Post tender negotiation
minutes
AWARDING OF CONTRACTS
Basic activity
description
The process of
awarding a contract
Example of records
Signed contract
Statutory
Provisions/Authority
Statutory
Retention Period
Ordinary Contracts – paper
version.
Retain 6 years after terms
of contract have expired.
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
53
Contracts Under Seal –
paper version.
Retain 12 years after terms
of contract have expired.
Electronic versions of both
types.
Retain for 12 years
LC4.2
LC4.2.1
ACTIVITY: CONTRACT MANAGEMENT
Basic activity
description
Contract operation and
monitoring
Example of records
Service Level Agreements
Statutory
Provisions/Authority
Common Practice
Compliance reports
Management and
amendment of contract
Minutes and papers of
meetings.
Changes to requirements.
Variation forms.
Extension of contract.
Complaints.
Hardcopy - 3 years after
terms of contract have
expired.
E-version – 3 years after
terms of contract have
expired.
Performance reports
LC4.2.2
Retention Period
Statutory
Ordinary Contracts – paper
version.
Retain 6 years after terms
of contract have expired.
Contracts Under Seal –
paper version.
Retain 12 years after terms
of contract have expired.
Electronic versions of both
types.
Retain for 12 years
Action at the end of the
Administrative life of the record
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business
folder with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Disputes of payment.
Ref
LC5
INSURANCES
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
54
LC5.1
LC5.1.1
LC5.1.2
LC5.1.3
LC5.2
LC5.2.1
ACTIVITY: INSURANCE POLICY MANAGEMENT
Basic activity
description
The summary
management of
insurance
arrangements.
The process of insuring
Local Authorities
Officers, property,
vehicles and equipment
against negligence, loss
or damage
Example of records
Insurance Register
Insurance Policies
Correspondence
Statutory
Provisions/Authority
Common Practice
Permanent
Common Practice
Permanent.
The process of
Insurance Policy renewal
renewing insurance
records.
policies.
ACTIVITY: CLAIMS MANAGEMENT
Basic activity
description
The process that
records insurance
claims against the Local
Authorities or Local
Authorities Officers.
Example of records
Claims Register.
Claim Records.
Correspondence
Retention Period
Retain 5 years after the
insurance policy has been
renewed.
Statutory
Provisions/Authority
Statutory.
Limitation Act 1980
Workman’s
Compensation Act.
Retention Period
Retain 7 years after all
obligations/entitlements are
concluded (allowing for the
claimant to reach 25 years
of age).
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business
folder with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63.
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
TENANCY AGREEMENTS (See Housing HP1.2)
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
55
MA CORPORATE MANAGEMENT AND ADMINISTRATION
The retention and use of records relating to the Corporate Management and Administration of the organisation
Ref
MA1
MA1.1
MA1.1.1
MANAGEMENT AND ADMINISTRATION
ACTIVITY: CORPORATE PLANNING AND REPORTING
Basic activity
description
The corporate planning
and reporting activities of
Local Authorities
MA1.1.2
The process of preparing
business for strategic
consideration and
making the record of
discussion, debate and
resolutions
MA1.1.3
The process of preparing
business for cross
departmental
consideration and
making the record of
discussion, debate and
resolutions
The process of preparing
business for Business
Unit consideration and
making the record of
discussion, debate and
resolutions.
MA1.1.4
MA1.2
Example of records
Corporate Plans.
Strategy Plans.
Business Plans.
Annual Reports.
Signed strategic
management team minutes.
Draft Minutes.
Statutory
Provisions/Authority
Common Practice
Retention Period
Permanent
Common Practice
Permanent
Common Practice
Closure + 3 years
Common Practice
Closure + 3 years
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Offer signed minutes to Head of
Collections, Northumberland
Collections Service, Woodhorn,
Ashington, Northumberland,
NE63 9YF.
Draft minutes
e-version – delete
Hardcopy - CONFIDENTIAL
SHRED
e-version – delete
Hardcopy - CONFIDENTIAL
SHRED
e-version – delete
Hardcopy - CONFIDENTIAL
SHRED
ACTIVITY: STATUTORY RETURNS
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
56
MA1.2.1
Ref
MA2
MA2.1
Basic activity
Example of records
Statutory
description
Provisions/Authority
The process of preparing Reports to Central
Common Practice
information to be passed Government
on to central government
as part of statutory
requirements
POLICY, PROCEDURES, STRATEGY AND STRUCTURE
Basic activity
description
Activities that develop
policies, procedures,
strategies and structures
for the Local Authorities.
Example of records
Policy, procedure,
Precedent, Instructions.
Organisation Charts.
Records relating to Policy
Implementation and
Development.
Asset management plan.
Community Strategy.
Community Plan.
Community Safety Plan
MA2.1.1
The process of
monitoring and reviewing
strategic plans, policies
or procedure to assess
their compliance with
guidelines.
MA2.2
ACTIVITY: PUBLIC CONSULTATION
MA2.2.1
Basic activity
description
The summary results
from consultation with
the public and staff in the
development of
Records relating to Best
Value Reviews.
Example of records
Retention Period
Closure + 7 years
Statutory
Provisions/Authority
Common Practice
Permanent
Common Practice
Closure + 5 years
Statutory
Provisions/Authority
Common Practice
Retention Period
Retention Period
Closure + 10 years
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL
SHRED
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
e-version – delete
Hardcopy - CONFIDENTIAL
SHRED
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL
SHRED
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
57
significant policies of the
local authority
MA2.2.2
Ref
MA3
MA3.1
MA3.1.1
MA3.2
MA3.2.1
The process of
consulting the public and
staff in the development
of minor policies of the
local authority.
QUALITY AND PERFORMANCE MANAGEMENT
Common Practice
Basic activity
Example of records
description
The process of
Best Value Review.
monitoring or reviewing
Comprehensive
the quality, efficiency, or
Performance Assessment.
performance of local
authority service or unit.
The process of
Assessment Form
assessing the quality,
efficiency, or
performance of a local
authority service or unit
ACTIVITY: ENQUIRIES AND COMPLAINTS
Statutory
Provisions/Authority
Common Practice
Closure + 5 years
Common Practice
Closure + 2 years
Basic activity
description
The management in
summary form of
enquiries and complaints
directed to council.
Statutory
Provisions/Authority
Common Practice
Example of records
Indexes.
Summary of complaints
Registers
Closure + 1 year
Retention Period
Retention Period
Permanent
e-version – delete
Hardcopy - CONFIDENTIAL
SHRED
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
e-version – delete
Hardcopy - CONFIDENTIAL
SHRED
Action at the end of the
Administrative life of the record
These records may need to be
kept beyond their administrative
use to be used for evidential
purposes by the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising
and saving to EDMS/EDRMS or
appropriate shared business
folder with further review date.
Otherwise hardcopy to be stored
at Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland,
NE63.
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
58
MA3.2.2
The management of
enquiries, submissions
and complaints which
result in significant
changes to policy or
procedures.
Reports.
Returns.
Correspondence.
Common Practice
Permanent
MA3.2.3
The management of
routine responses on
Council actions, policy
procedures
Printed material.
Form letters.
Common Practice
CY + 2 years
Ref
MA4
MA4.1
MA4.1.1
MA4.1.2
MA4.2
Move to MA2.1?
These records may need to be
kept beyond their administrative
use to be used for evidential
purposes by the authority.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising
and saving to EDMS/EDRMS or
appropriate shared business
folder with further review date.
Otherwise hardcopy to be stored
at Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland,
NE63.
e-version – delete
Hardcopy - CONFIDENTIAL
SHRED
PUBLIC RELATIONS
ACTIVITY: PUBLICATIONS
Basic activity
description
The process of designing
and setting information
for publication.
The published work of
the local authority.
Example of records
Statutory
Provisions/Authority
Common Practice
Common Practice
Retention Period
3 years from last action
Dispose after administrative
use
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL
SHRED
One hardcopy to go to Head of
Collections, Northumberland
Collections Service, Woodhorn,
Ashington, Northumberland,
NE63 9YF
e-version – delete
other Hardcopies CONFIDENTIAL SHRED
ACTIVITY: MEDIA RELATIONS (Communications)
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
59
MA4.2.1
Basic activity
description
Process of interaction
with the media
Example of records
Press releases
MA4.2.2
Media publications
concerning Local
Authorities
MA4.3
ACTIVITY: MARKETING (Promotions)
MA4.3.1
Basic activity
description
The process of
developing and
promoting Local
Authorities campaigns
and events
Partners Magazine
‘In Touch’
‘Valley News’
Press Cuttings
Media Reports
Example of records
Reports and promotional
material
MA4.4
ACTIVITY: CIVIC AND ROYAL EVENTS
MA4.4.1
Basic activity
description
The recording of
ceremonial events and
civic occasions
MA4.4.2
Example of records
Visitors Book
Audio Tapes
Video Tapes
DVDs
Photographs
Newspaper clippings
The process of
organising a
ceremonial event or
civic occasions
Statutory
Provisions/Authority
Common Practice
Closure + 3 years
Common Practice
Permanent
Statutory
Provisions/Authority
Common Practice
Statutory
Provisions/Authority
Common Practice
Retention Period
Retention Period
Permanent
Retention Period
Permanent
CY + 7 years
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
60
PM PROPERTY AND LAND MANAGEMENT
The retention and use of records relating to the provision of property and land management services within the organisation.
Ref
PM1
PM1.1
PM 1.1.1
PM1.1.2
PM1.2
PM1.2.1
PM1.2.2
ASSET MANAGEMENT
ACTIVITY: SUMMARY ASSETS MANAGEMENT
Basic activity
description
See Property
Management for real
property assets.
(PM2.2.2)
Example of records
Statutory
Provisions/Authority
See Transport
Management for vehicle
assets. (IF3.1.1)
Summary management
reporting on the overall
assets of the local
authorities.
Schedules of
Common Practice
Acquisitions.
Consolidated Current
Asset Reports.
Annual Reports.
Summary of Current
Assets.
Asset Registers.
ACTIVITY: ASSET MONITORING AND MAINTENANCE
Basic activity
description
Management systems
that allow the monitoring
& management of assets
in summary form.
Process of reporting and
reviewing assets status
Example of records
Subsidiary asset
Registers.
Routine Returns and
Reports on Asset Status.
Inventories
Stocktaking
Surveys of usage
Acquisition and disposal
reports and proposals
Statutory
Provisions/Authority
Common Practice
Common Practice
Retention Period
Permanent
Retention Period
Retain 7 years after the
conclusion of the financial
transaction that the record
supports.
Retain 2 years after
administrative use is
concluded.
Action at the end of the
Administrative life of the record
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
61
PM1.2.3
The process of
maintaining assets
PM1.2.4
The process of
maintaining Plant and
equipment.
The process of
maintaining building
contracts.
PM1.2.5
PM1.3
PM1.3.1
Ref
PM2
Garden maintenance.
Cleaning.
Painting
Service Records.
Plant files.
Common Practice
Retain 7 years after last
action.
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Common Practice
Retain 7 years after sale or
disposal of asset.
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Statutory
Retain 12 years after sale
or disposal of building.
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
ACTIVITY: ASSET ACQUISITION AND DISPOSAL
Basic activity
description
Management of the
acquisition (by financial
lease or purchase) and
disposal (by sale or write
off) process for assets
Example of records
Legal Documents relating
to the Purchase/Sale.
Particulars of Sale
Documents.
Board of Survey.
Leases.
Applications for Leases,
Licences & Rental
Revision.
Statutory
Provisions/Authority
Statutory
Retention Period
Retain 6 years, if under
£50,000.
Retain 12 years if over
£50,000.
After all
obligations/entitlements are
concluded.
Action at the end of the
Administrative life of the record
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
PROPERTY AND LAND MANAGEMENT
Basic activity
description
Example of records
Statutory
Provisions/Authority
Retention Period
Action at the end of the
Administrative life of the record
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
62
PM2.1
PM2.2
PM2.2.2
PM2.2.3
PM2.3
PM 2.3.1
Reports to Management
on overall property of the
Local Authority.
Consolidated Property &
Common Practice
Buildings Annual Reports.
Summary of leased
property.
Summary of Local
Authorities owned
property.
Site Register.
Register of Leases
ACTIVITY: PROPERTY ACQUISITION AND DISPOSAL
Basic activity
description
Management of the
acquisition (by financial
lease or purchase)
process for real property.
Example of records
Plans
Statutory
Provisions/Authority
Common Practice
Permanent
Retention Period
Retain for life of property or
building + 12 years.
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Action at the end of the
Administrative life of the record
Offer material re: major/significant
properties to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
These records may need to be kept
beyond their administrative use to
be used for evidential purposes by
the authority
E-version – save to EDMS/EDRMS
with further review date.
Hardcopy – consider digitising and
saving to EDMS/EDRMS or
appropriate shared business folder
with further review date.
Otherwise hardcopy to be stored at
Woodhorn Modern Records
Management Service, Woodhorn,
Ashington, Northumberland, NE63
9YF
ACTIVITY: PROPERTY DEVELOPMENT AND RENOVATION: The process of managing and undertaking renovations and development of
property. (for renovations of Council Housing see HP2.1)
Basic activity
Example of records
Statutory
Retention Period
Action at the end of the
description
Provisions/Authority
Administrative life of the record
Offer to Head of Collections,
Management of buildings Project specifications.
Common Practice
Permanent
Northumberland Collections
and estates of “special
Plans.
Service, Woodhorn, Ashington,
interest”
Installation Manuals.
Management of the
disposal (by sale or write
off) process for real
property.
Legal documents relating
to the sale.
Particulars of sale
documents.
Board of Survey.
Tender Documents.
Conditions of Contracts.
Common Practice
Retain 15 years after all
obligations/entitlements are
concluded.
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated
63
Northumberland, NE63 9YF
Certificates of Approval.
PM2.3.2
Management of all other
buildings and estates.
Project specifications.
Plans.
Installation Manuals.
Certificates of Approval
Common Practice
Work Orders.
Tender Documents.
Conditions of Contracts.
Statutory
PM2.3.3
The action process
involved in the
development and
renovation of property.
Ref
PM3
LEASING AND OCCUPANCY
PM3.1
PM3.2
Basic activity
description
The process of managing
leased property
The process of
managing the
occupancy of property
Example of records
Lease Agreements.
Rental Expenditure
Authorities.
Valuation Queries.
Applications for Leases,
Licences & Rental
Revision.
Requests for Works,
cleaning, etc.
Retain for the life of
property or building.
Offer to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
Retain 12 years after the
conclusion of the
transaction that the record
supports.
Offer material re: major/significant
properties to Head of Collections,
Northumberland Collections
Service, Woodhorn, Ashington,
Northumberland, NE63 9YF
(For asbestos see
HS2.5)
Statutory
Provisions/Authority
Common Practice
Common Practice
Retention Period
Retain 15 years after the
expiry of the lease.
Retain 7 years after the
conclusion of the
transaction that the
record supports.
Action at the end of the
Administrative life of the record
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
e-version – delete
Hardcopy - CONFIDENTIAL SHRED
Records Management Service – Retention & disposal schedule v.0.1
C = current, Cy = current year, T= termination of contract/term of office/employment, D = destroy, P = permanent, A = archive, S = select/sample for archive. Periods are in years unless otherwise stated