CYNGOR TREF CONWY TOWN COUNCIL
GUILDHALL CONWY LL32 8LD
Retention and Disposal Policy
Introduction
The Council accumulates a vast amount of information and data during the course of its everyday
activities. This includes data generated internally in addition to information obtained from individuals
and external organisations. This information is recorded in various different types of document.
Records created and maintained by the Council are an important asset and as such measures need to
be undertaken to safeguard this information. Properly managed records provide authentic and
reliable evidence of the Council’s transactions and are necessary to ensure it can demonstrate
accountability.
Documents may be retained in either ‘hard’ paper form or in electronic forms. For the purpose of this
policy, ‘document’ and ‘record’ refers to both hard copy and electronic records.
It is imperative that documents are retained for an adequate period of time. If documents are
destroyed prematurely the Council and individual officers concerned could face prosecution for not
complying with legislation and it could cause operational difficulties, reputational damage and
difficulty in defending any claim brought against the Council.
In contrast to the above the Council should not retain documents longer than is necessary. Timely
disposal should be undertaken to ensure compliance with the General Data Protection Regulations so
that personal information is not retained longer than necessary. This will also ensure the most
efficient use of limited storage space.
1.
Scope and Objectives of the Policy
1.1 The aim of this document is to provide a working framework to determine which documents
are:
• Retained – and for how long; or
• Disposed of – and if so by what method.
1.2 There are some records that do not need to be kept at all or that are routinely destroyed in the
course of business. This usually applies to information that is duplicated, unimportant or only of
a short-term value. Unimportant records of information include:
• ‘With compliments’ slips;
• Catalogues and trade journals;
• Non-acceptance of invitations;
• Trivial electronic mail messages that are not related to Council business;
• Requests for information such as maps, plans or advertising material;
• Out of date distribution lists.
1.3 Duplicated and superseded material such as stationery, manuals, drafts, forms, address books
and reference copies of annual reports may be destroyed.
1.4 Records should not be destroyed if the information can be used as evidence to prove that
something has happened. If destroyed the disposal needs to be disposed of under the General
Data Protection Regulations
2.
Roles and Responsibilities for Document Retention and Disposal
2.1 Councils are responsible for determining whether to retain or dispose of documents and should
undertake a review of documentation at least on an annual basis to ensure that any unnecessary
documentation being held is disposed of under the General Data Protection Regulations.
2.2 Councils should ensure that all employees are aware of the retention/disposal schedule.
3.
Document Retention Protocol
3.1 Councils should have in place an adequate system for documenting the activities of their service.
This system should take into account the legislative and regulatory environments to which they
work.
3.2 Records of each activity should be complete and accurate enough to allow employees and their
successors to undertake appropriate actions in the context of their responsibilities to:
•
Facilitate an audit or examination of the business by anyone so authorised;
• Protect the legal and other rights of the Council, its clients and any other persons affected
by its actions;
• Verify individual consent to record, manage and record disposal of their personal data;
• Provide authenticity of the records so that the evidence derived from them is shown to be
credible and authoritative.
3.3 To facilitate this the following principles should be adopted:
• Records created and maintained should be arranged in a record-keeping system that will
enable quick and easy retrieval of information under the General Data Protection
Regulations;
• Documents that are no longer required for operational purposes but need retaining should
be placed at the records office.
3.4 The retention schedules in Appendix A: List of Documents for Retention or Disposal provide
guidance on the recommended minimum retention periods for specific classes of documents
and records. These schedules have been compiled from recommended best practice from the
Public Records Office, the Records Management Society of Great Britain and in accordance with
relevant legislation.
3.5 Whenever there is a possibility of litigation, the records and information that are likely to be
affected should not be amended or disposed of until the threat of litigation has been removed.
4.
Document Disposal Protocol
4.1 Documents should only be disposed of if reviewed in accordance with the following:
• Is retention required to fulfil statutory or other regulatory requirements?
• Is retention required to meet the operational needs of the service?
• Confidential waste’ – i.e. making available for collection by a shredding company;
• Is retention required to evidence events in the case of dispute?
• Is retention required because the document or record is of historic interest or intrinsic
value?
4.2 When documents are scheduled for disposal the method of disposal should be appropriate to
the nature and sensitivity of the documents concerned. A record of the disposal will be kept to
comply with the General Data Protection Regulations.
4.3 Documents can be disposed of by any of the following methods:
• Non-confidential records: place in wastepaper bin for disposal;
• Confidential records or records giving personal information: shred documents;
• Deletion of computer records;
• Transmission of records to an external body such as the County Records Office.
4.4 The following principles should be followed when disposing of records:
• All records containing personal or confidential information should be destroyed at the end
of the retention period. Failure to do so could lead to the Council being prosecuted under
the General Data Protection Regulations;
• The Freedom of Information Act or cause reputational damage;
• Where computer records are deleted steps should be taken to ensure that data is ‘virtually
impossible to retrieve’ as advised by the Information Commissioner;
• Where documents are of historical interest it may be appropriate that they are transmitted
to the County Records office;
• Back-up copies of documents should also be destroyed (including electronic or
photographed documents unless specific provisions exist for their disposal).
4.5 Records should be maintained of appropriate disposals. These records should contain the
following information:
• The name of the document destroyed;
• The date the document was destroyed;
• The method of disposal.
5.
Data Protection Act 1998 – Obligation to Dispose of Certain Data
5.1 The Data Protection Act 1998 (‘Fifth Principle’) requires that personal information must not be
retained longer than is necessary for the purpose for which it was originally obtained. Section 1 of
the Data Protection Act defines personal information as:
Data that relates to a living individual who can be identified:
a) from the data; or
b) from those data and other information, which is in the possession of, or is likely to
come into the possession of the data controller;
It includes any expression of opinion about the individual and any indication of the
intentions of the Council or other person in respect of the individual.
5.2 The Data Protection Act provides an exemption for information about identifiable living individuals
that is held for research, statistical or historical purposes to be held indefinitely provided that the
specific requirements are met.
5.3 Councils are responsible for ensuring that they comply with the principles of the under the
General Data Protection Regulations namely:
• Personal data is processed fairly and lawfully and, in particular, shall not be processed
unless specific conditions are met;
• Personal data shall only be obtained for specific purposes and processed in a compatible
manner;
• Personal data shall be adequate, relevant, but not excessive;
• Personal data shall be accurate and up to date;
• Personal data shall not be kept for longer than is necessary;
• Personal data shall be processed in accordance with the rights of the data subject;
• Personal data shall be kept secure.
5.4 External storage providers or archivists that are holding Council documents must also comply
with the above principles of the General Data Protection Regulations.
6
Scanning of Documents
6.1 In general, once a document has been scanned on to a document image system the original
becomes redundant. There is no specific legislation covering the format for which local
government records are retained following electronic storage, except for those prescribed by
HM Revenue and Customs.
6.2 As a general rule hard copies of scanned documents should be retained for three months after
scanning.
6.3 Original documents required for VAT and tax purposes should be retained for six years unless a
shorter period has been agreed with HM Revenue and Customs.
7 Review of Document Retention
7.1 It is planned to review, update and where appropriate amend this document on a regular basis
(at least every three years in accordance with the
Code of Practice on the Management of
Records issued by the Lord Chancellor).
7.2 This document has been compiled from various sources of recommended best practice and with
reference to the following documents and publications:
•
Local Council Administration, Charles Arnold-Baker, 910h edition, Chapter 11
• Local Government Act 1972, sections 225 – 229, section 234
• SLCC Advice Note 316 Retaining Important Documents
• SLCC Clerks’ Manual: Storing Books and Documents
•
Lord Chancellor’s Code of Practice on the Management of Records issued under
Section 46 of the
Freedom of Information Act 2000
8 List of Documents
8.1 The full list of the Council’s documents and the procedures for retention or disposal can be found
in Appendix A: List of Documents for Retention and Disposal. This is updated regularly in
accordance with any changes to legal requirements.
Appendix 2 Retention Schedules
Records for permanent retention should be transferred to Conwy County Borough Council Archives.
TYPE OF RECORD
MINIMUM RETENTION PERIOD
REASON
FINANCIAL RECORDS Receipts and Payment Ledger/spreadsheets
Indefinitely.
Archive
Receipt books of all kind
6 years
Retain for VAT purposes
Paid Invoices
6 years
Retain for VAT purposes
Limitation Act 1980 (as amended)
Bank Reconciliation
Quarterly statement kept with minutes
Minute record
Bank Statements
Last completed audit year
Audit
Bank paying-in books
Last completed audit year
Audit
Cheque book stubs
Last completed audit year
Audit
Cheque lists
Last completed audit year
Consistency
Returned/cancelled cheques
Last completed audit year
Consistency
Booking forms
Last completed audit year
Audit
VAT Records
6 years
VAT
Budget
6 years (electronic/hard copies filed within minutes)
Reference
Quotations and tenders
6 years
Limitation Act 1980 (as amended)
Audited Annual Return
Indefinitely
Archive as per External Auditors
Other Audit documentation incl. correspondence
6 years
As per External Auditors
Investments
Indefinite
Audit, Management
Scales of fees and charges
5 years
Management
INSURANCE RECORDS Certificate of Employers’ Liability Insurance
40 years from date on which insurance commenced or
Although no longer a legal requirement
was renewed
the insurers/legal advisers say 40 years
still advisable.
Insurance Documentation including policies
3 years
To cover any claims under Public
Liability Insurance, as per insurers. A
permanent record of insurance
company names and policy numbers to
be retained.
Insurance Claims (public/employer’s liability)
6 years
Recorded information
PAYROLL RECORDS Payslips/expenses
6 years
Tax
Tax and NI Records (including P11 and P35)
4years
Tax claims
Tax code notifications
6 years
Consistency
Timesheets/Overtime Records
Last completed audit year
Audit
PERSONNEL ADMINISTRATION Employee letters of appointment
6 years after departure from employment
Consistency
Employee contracts
6 years after departure from employment
Consistency
All other records
6 years after departure from employment
Consistency
RECRUITMENT Selection of an individual/interview record
1 year
Reference
Unsuccessful Applicants’ Employment Application
1 year
Reference
forms/references
PLANNING DOCUMENTS Planning Applications
After the Planning Authority decision made.
Reference
Handwritten responses from Councillors/Planning
Destroy 6 months after the Planning Authority decision
Reference
Committee members to planning applications
made, if a meeting was not held to discuss the application
Planning decisions
To be detailed in minutes
Reference
Structure Plans, Local Plans and similar documents
To be retained as long as they are in force
Reference
LEGAL DOCUMENTATION Deeds, conveyances and other legal documentation
Indefinitely
Audit, Management. Limitation Act
relating to ownership i.e Title Deeds and leases
1980. Lodged with Solicitors
Trust deeds and schemes
Indefinitely
Audit, Management. Limitation Act
1980. Lodged with Solicitors
Contracts not executed as a Deed
6 years
Limitation Act 1980 (as amended)
Any documentation which may be subject to legal
Retain until the threat of litigation has been removed.
Limitation Act 1980 (as amended)
action.
Minimum periods for retention: Negligence – 6 yrs.;
Defamation – 1 yr; Sums recoverable by statute – 6 yrs.;
(Where item falls into more than one category retain
Personal injury – 3 yrs.; to recover land – 12 yrs.; rent – 6
for longest period stated)
years.
ADMINISTRATION RECORDS Draft documents
Destroy once the final version of the document has been
Management
approved, unless required as a record of the development
of a policy initiative
Handwritten notes taken by clerk with a view to
Destroy once the minutes have been approved as correct
For clarification at following meeting
producing minutes
and a true record
Approved Minutes
Indefinitely
Archive
Reports
6 years after closure of file
Consistency
Back up tapes/records
Rotate to eliminate storing of materials which should
Management
have been destroyed
Asset Register
Current and last completed audit version
Audit and Management
Correspondence/General Admin files(see Historical
6 years (see correspondence kept for legal purposes
Management
Records below)
above)
Records which are duplicated, unimportant or only of a
short-term value should be destroyed in the normal
course of business
Emails
To be dealt with in the same way as manual records.
Management
Destroy routine/trivial emails and those where hard
copies have been taken
Historical Records (manual and electronically held)
Archive after 30 years. (Files to be closed after 5 years)
Public Records Act 1958. Archive
Personal Data
Kept for no longer than is necessary for the purpose for
Data Protection Act
which it is held
Register of Members’ Interests
Whilst a member
Publication Scheme
Risk Assessment
Information retained
Reference
Complaints
3 years
Reference
FOI Disclosure log
Destroy each record 5 years after record is opened
Management
Details of Request made under FOI Act
Destroy as above
Management
Disposal Schedules
Indefinitely
Management
Information from other bodies i.e. County
Retain for as long as useful and relevant
Management
Associations, NALC and other numerous bodies
Magazines and Journals
Any published works in print as defined by the Legal
Management
Deposit Libraries Act 2003, are to be delivered to the
British Library Board. Items published by other bodies to
be retained as long as useful and relevant
Approved by:
Town Council
Date:
23.09.2019
Review Frequency:
Every 3 years
Next review date:
2022
