DOCUMENT RETENTION AND DISPOSAL POLICY

Index

Introduction

Page 3

Scope and Objectives of the Policy

Page 3

Roles and Responsibilities for Document Retention and Disposal

Page 4

Document Retention Protocol

Page 4

Document Disposal Protocol

Page 5

Data Protection Act 1998 - Obligation to Dispose of Certain Data

Page 5

Scanning of Documents

Page 6

Review of Document Retention

Page 7

List of Documents

Page 7

Appendices

Appendix A - List of Documents for Retention and Disposal

Page 8

Ryde Town Council - Standing Orders - Appendix 5 - Document Retention and Disposal Policy - May 2019

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INTRODUCTION

The Town 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 Town 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 and ‘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 Town 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 Town 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.

Scope and Objectives of the Policy

The aim of this Policy 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.

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.

Duplicated and superseded material such as stationery, manuals, drafts, forms, address

books and reference copies of annual reports may be destroyed.

Ryde Town Council - Standing Orders - Appendix 5 - Document Retention and Disposal Policy - May 2019

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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

Roles and Responsibilities for Document Retention and Disposal

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.

Councils should ensure that all employees are aware of the retention/disposal schedule.

Document Retention Protocol

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.

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.

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.

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.

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.

Ryde Town Council - Standing Orders - Appendix 5 - Document Retention and Disposal Policy - May 2019

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Document Disposal Protocol

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?

• 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?

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.

Documents can be disposed of by any of the following methods:

• Non-confidential records: place in waste paper 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.

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).

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.

Data Protection Act 1998 - Obligation to Dispose of Certain Data

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:

Ryde Town Council - Standing Orders - Appendix 5 - Document Retention and Disposal Policy - May 2019

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• 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.

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.

Councils are responsible for ensuring that they comply with the principles 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.

External storage providers or archivists that are holding Council documents must also

comply with the above principles of the General Data Protection Regulations.

Scanning of Documents

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.

As a general rule hard copies of scanned documents should be retained for three months

after scanning.

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.

Ryde Town Council - Standing Orders - Appendix 5 - Document Retention and Disposal Policy - May 2019

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Review of Document Retention

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).

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, 910^h 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

List of Documents

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.

Ryde Town Council - Standing Orders - Appendix 5 - Document Retention and Disposal Policy - May 2019

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APPENDIX A - LIST OF DOCUMENTS FOR RETENTION AND DISPOSAL

Minimum

Location

Document

Retention

Reason

Disposal

Retained

Period

Minutes

Indefinite

categories

waste)

outlined in the

A list will be

policy,

kept of those

correspondence,

documents

both paper and

disposed of to

electronic, should

meet the

be kept.

requirements of

Records should

the GDPR

be kept for as

regulations.

long as they are

needed for

reference or

accountability

purposes, to

comply with

regulatory

requirements or

to protect legal

and other rights

and interests.

Correspondence

If related to Audit,

After an

Confidential

relating to staff

see relevant

employment

waste

sections above.

relationship has

A list will be

Should be kept

ended, a

kept of those

securely and

council may

documents

personal data in

need to retain

disposed of to

relation to staff

and access staff

meet the

should not be

records for

requirements of

kept for longer

former staff for

the GDPR

than is necessary

the purpose of

regulations.

for the purpose it

giving

was held. Likely

references,

time limits for

payment of tax,

tribunal claims

national

Ryde Town Council - Standing Orders - Appendix 5 - Document Retention and Disposal Policy - May 2019

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Minimum

Location

Document

Retention

Reason

Disposal

Retained

Period

between 3-6

insurance

months

contributions

Recommend this

and pensions,

period be for 3

and in respect

years

of any related

legal claims

made against

the council.

Documents from legal matters, negligence and other torts

Most legal proceedings are governed by the Limitation Act 1980 (as amended). The 1980

Act provides that legal claims may not be commenced after a specified period. Where the

limitation periods are longer than other periods specified the documentation should be

kept for the longer period specified. Some types of legal proceedings may fall within two

or more categories. If in doubt, keep for the longest of the three limitation periods.

Negligence

6 years

Confidential

waste. A list

will be kept of

those

documents

disposed of to

meet the

requirements of

the GDPR

regulations.

Defamation

1 year

Confidential

waste. A list

will be kept of

those

documents

disposed of to

meet the

requirements of

the GDPR

regulations.

Contract

6 years

Confidential

waste. A list

will be kept of

those

documents

Ryde Town Council - Standing Orders - Appendix 5 - Document Retention and Disposal Policy - May 2019

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Minimum

Location

Document

Retention

Reason

Disposal

Retained

Period

disposed of to

meet the

requirements of

the GDPR

regulations.

Leases

12 years

Confidential

waste.

Sums recoverable by

6 years

Confidential

statute

waste.

Personal injury

3 years

Confidential

waste.

To recover land

12 years

Confidential

waste.

Rent

6 years

Confidential

waste.

Breach of trust

None

Confidential

waste.

Trust deeds

Indefinite

N/A

For Halls, Centres, Recreation Grounds

• Application to hire

6 years

VAT

Confidential

• Invoices

waste

• Record of tickets

A list will be

issued

kept of those

documents

disposed of to

meet the

requirements of

the GDPR

regulations.

Lettings diaries

Electronic files

VAT

N/A

linked to

accounts

Terms and

6 years

Management

Bin

Conditions

Event Monitoring

6 years unless

Management

Bin. A list will

Forms

required for

be kept of

claims, insurance

those

or legal purposes

documents

disposed of to

meet the

requirements of

the GDPR

regulations.

Ryde Town Council - Standing Orders - Appendix 5 - Document Retention and Disposal Policy - May 2019

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Minimum

Location

Document

Retention

Reason

Disposal

Retained

Period

For Allotments

Indefinite

Audit,

N/A

Management

Minutes

Indefinite

Audit,

N/A

Management

Legal papers

Indefinite

Audit,

N/A

Management

For Burial Grounds

• Register of fees

Indefinite

Archives, Local

N/A

collected

Authorities

• Register of burials

Cemeteries

Order 1977 (SI

• Register of

204)

purchased graves

• Register/plan of

grave spaces

• Register of

memorials

• Applications for

interment

• Applications for

right to erect

Memorials

• Disposal

certificates

• Copy certificates

of grant of

exclusive right of

burial

Planning Papers

Applications

1 year

Management

Bin

Appeals

1 year unless

Management

Bin

significant

development

Trees

1 year

Management

Bin

Local Development

Retained as long

Reference

Bin

Plans

as in force

Local Plans

Retained as long

Reference

Bin

as in force

Town/Neighbourhood

Indefinite - final

Historical

N/A

Plans

adopted plans

purposes

Ryde Town Council - Standing Orders - Appendix 5 - Document Retention and Disposal Policy - May 2019

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Minimum

Location

Document

Retention

Reason

Disposal

Retained

Period

CCTV

Daily notes

Daily

Data protection

Confidential

waste

Radio rotas

1 week

Management

Confidential

waste

Work rotas

1 month

Management

Confidential

waste

Observation sheets

3 years

Data protection

Confidential

waste

Stats

3 years

Data protection

Confidential

waste

Signing in sheets

3 years

Management

Confidential

waste

Review requests

3 years

Data protection

Confidential

waste

Discs - master and

For as long as

Data protection

Confidential

working

required

waste

Internal Operations

Destroy on

Management

Confidential

Procedure Manual

renewal

waste

Review annually

Code of Practice

Destroy on

Management

Confidential

renewal

waste

Review annually

Photographs/digital

31 days

Data protection

Confidential

prints

waste

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