City of London Records Retention Schedule · PDF file · 2013-12-27This version of the City of London Retention Schedule has been created for use by the City of London Records

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City of London Records Retention Schedule

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Introduction

This version of the City of London Retention Schedule has been created for use by the City of London Records Management service (CRMS) and staff at London Metropolitan Archives (LMA). Where it is circulated beyond these groups, it must be used in conjunction with advice from CRMS or LMA staff.

The main pieces of legislation which either directly or indirectly impose minimum retention periods on records used by the authority are as follows:

Tax Legislation: Minimum retention periods for certain financial records are imposed by statutes such as the VAT Act 1994, and the Taxes Management Act 1970. Statutory Registers: Various local government statutes require registers to be kept of certain events, notifications, or transactions. It is implicit within such

legislative requirement that these records be maintained on a permanent basis, unless the legislation concerned stipulates otherwise. The Audit Commission Act 1998: This provides auditors with a right of access to every document relating to the Council that appears necessary for the purposes

of carrying out the auditor’s functions under the Act. The Local Government Act 1972, s.225: Any document deposited with “the proper officer” of the Council in accordance with statute should be retained

permanently. (This is analogous to the position re Registers, above). Local Government Act 1972, Part VA: This governs public access to certain documents relating to Council and Committee meetings. Certain documents that form

part of the public part of the agenda are required to be available for inspection by members of the public.

Record keeping legislation which relates to the retention of information:

Public Records Act 1958 & 1967 Local Government (Records) Act 1962 Local Government Act 1972 Local Government (Access to Information) Act 1985 Freedom of Information Act 2000 The Data Protection Act 1998

The following standards, codes and guidelines should also be considered:

BS4783 Storage, transportation and maintenance of media for use in data processing and information storage BS 7799 Code of practice for information security management BS ISO 15489 Information and Documentation – Records Management BSI DISC PD008 Code of Practice for Legal Admissibility and Evidential Weight of Information Stored Electronically BSI DISC PD0010 Principles of Good Practice for Information Management BSI DISC PD0012 Guide for Practical Implications of the Data Protection Act BSI DISC PD0025 Effective Records Management: Measuring Performance in Records management programmes The National Archives Records Management Guidance MoReq2: Model Requirements for the Management of Electronic Records, 2010 Lord Chancellor’s Code of Practice for section 124 of the 1972 Act The National Archives Guidelines for the Management of Public Records Retention Guidelines for Local Authorities (Local Government Group of the Records Management Society of Great Britain, 2003:1) Lord Chancellor’s Code of Practice on the Management of Records under section 46 of the Freedom of Information Act 2000

It should be noted that it is a criminal offence to destroy information to prevent disclosure under the Freedom of Information Act 2000. Other legislation such as the Data Protection Act 1998 may require information to be destroyed. See the ‘Access to Information’ pages on the City Corporation intranet for further advice on Freedom of Information and Data Protection and how they relate to the retention and/or disposal of information.

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Some retention is required to provide evidence of events in the case of dispute. The Limitation Act 1980 specifies time limits for commencing litigation. The majority (but not all) of potential legal claims are statute barred on the expiry of 6 years. For this reason many organisations consider it prudent to retain files or records for a period of 7 years form the date when the subject matter was completed. It is important, though, to keep in mind that in the course of the Council’s everyday business many documents are generated that serve no purpose after relatively short periods of time. Many documents will relate to completed matters where, realistically, the risk of subsequent litigation or other dispute is minimal, if not non-existent. Long-term retention of such documents is counterproductive.

Some key documents and documents of either historic interest or intrinsic value should be kept permanently. The involvement of CRMS or LMA staff at an early stage will ensure that this information is preserved as part of the City of London Corporate memory.

We strongly recommend creating a departmental or service retention schedule which states how long information is to be kept and why, and records when information is destroyed. When creating a departmental or service retention schedule it’s important to consider that regardless of how good a schedule is created, it is the implementation of that schedule that is most important. In general terms a simple schedule that is well implemented is to be preferred to a complicated schedule that is poorly implemented.

The following retention periods are grouped under headings from the corporate classification scheme devised to assist with the organisation of information within the authority. The retention periods presented here are drawn from statutory requirement, corporate practice and best practice advice from the records management sector.

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1. Business

Statutory/ Ref Record Retention Period Notes Recommended

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2. Cemeteries and Crematoria Cemeteries & Crematoria Statutory/ Ref Record Retention Period Notes Recommended

Applications 5 years after last action Recommended

Cemetery plans Permanent. Offer to Archive (LMA) Recommended

Cemetery register Permanent. Offer to Archive (LMA) Recommended

Orders 5 years after last action Recommended

Permits 5 years after last action Recommended

Register of interments Permanent. Offer to Archive (LMA) Recommended

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3. Ceremonial Civic and Royal events Statutory/ Ref Record Retention Period Notes Recommended

Audio tapes Permanent. Offer to Archive (LMA) Recommended

Photographs Permanent. Offer to Archive (LMA) Recommended

Records created in process of organising a 7 years Recommended ceremonial event or civic occasion

Video tapes Permanent. Offer to Archive (LMA) Recommended

Visitors' book Permanent. Offer to Archive (LMA) Recommended

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4. Community Support Charities Statutory/ Ref Record Retention Period Notes Recommended

Accounts for charities for the relief of property 3 years, LA to retain Charities Act 1985, Section 1 (3) & Statutory Section 93 (for land)

Charities annual reports As dictated by the Charity Charities Act 1993, Section 45 (6) & Statutory Commissioners Section 93, Copies to Archive

Charity financial reports 7 years, 13 years if relating to land Charities Act 1993, Sections 46 & 93 Statutory

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5. Corporate Management and Support Approved lists Statutory/ Ref Record Retention Period Notes Recommended

Approved lists of contractors Until superseded Recommended

Unsuccessful applicants for approved lists 1 year after approval of list Recommended

Committee Agenda/Minutes/Reports Statutory/ Ref Record Retention Period Notes Recommended

Draft/rough minutes Destroy after date of confirmation of the Recommended minutes

Minutes, agendas, reports from COL committees - Permanent Go from Committee Clerks to LMA Recommended masters

Minutes, agendas, reports from COL committees - Destroy Masters retained by LMA; Committee Recommended copies retained by departments for reference and Clerks and recent copies available on unmarked the intranet

Petitions 6 years after date of petition Statute (Local Authorities Statutory (Referendums) (Petitions and Directions) (England) Regulations 2000)

Corporate Planning and Reporting Statutory/ Ref Record Retention Period Notes Recommended

Corporate Plans, Strategy Plans, Business Plans, Permanent. Offer to Archive (LMA) Recommended Annual Reports

Reports to central government 7 years Recommended

Strategic management team minutes Permanent. Offer to Archive (LMA) Recommended

Enquiries and Complaints Statutory/ Ref Record Retention Period Notes Recommended

Complaints 7 years, 16 years if negligence involved Limitation Act 1980, Latent Damage Statutory Act 1986

Copy letters (all groups) 3 years Recommended

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Enquiries and Complaints Statutory/ Ref Record Retention Period Notes Recommended

Detailed responses on policy, procedure or action - Permanent. Offer to Archive (LMA) Recommended Correspondence

Detailed responses on policy, procedure or action - Permanent. Offer to Archive (LMA) Recommended Reports

Detailed responses on policy, procedure or action - Permanent. Offer to Archive (LMA) Recommended Returns

General correspondence 3 years Recommended

Indexes Permanent. Offer to Archive (LMA) Recommended

Ombudsman complaints 10 years after case closed Recommended

Registers Permanent. Offer to Archive (LMA) Recommended

Resulting in significant change to policy or Permanent. Offer to Archive (LMA) Recommended procedure - Correspondence

Resulting in significant change to policy or Permanent. Offer to Archive (LMA) Recommended procedure - Reports

Resulting in significant change to policy or Permanent. Offer to Archive (LMA) Recommended procedure - Returns

Routine responses on policy, procedure or action - 2 after use concluded Recommended Form letters

Routine responses on policy, procedure or action - 2 after use concluded Recommended Printed material

Management Information Statutory/ Ref Record Retention Period Notes Recommended

Executive Board papers 10 years then archive review Recommended

Management information (all Groups) 4 years Recommended

Notification Statutory/ Ref Record Retention Period Notes Recommended

Appeals against notices 2 years after matter is concluded Recommended

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Notification Statutory/ Ref Record Retention Period Notes Recommended

Objections to notices 2 years after matter is concluded Recommended

Registration of premises infringement notices 2 years after matter is concluded Recommended

Performance indicators/statistics Statutory/ Ref Record Retention Period Notes Recommended

Performance indicators (all Groups) 6 years Recommended

Racial Incident Database 5 years after last incident Recommended

Statistics on repairs 3 years Recommended

Trading Standards statistical information 11 years Required for Department of Trade and Recommended Office of Fair Trading

Policy, Procedures, Strategy and Structure Statutory/ Ref Record Retention Period Notes Recommended

Asset management plan Permanent. Offer to Archive (LMA) Recommended

Children' s services plan Permanent. Offer to Archive (LMA) Recommended

Community plan Permanent. Offer to Archive (LMA) Recommended

Community safety plan Permanent. Offer to Archive (LMA) Recommended

Community strategy Permanent. Offer to Archive (LMA) Recommended

Education plan Permanent. Offer to Archive (LMA) Recommended

Monitoring and reviewing strategic plans and 5 years Recommended policies

Organisation charts Permanent. Offer to Archive (LMA) Recommended

Policy, procedure, precedent, instructions Permanent. Offer to Archive (LMA) Recommended

Records relating to policy implementation and Permanent. Offer to Archive (LMA) Recommended development

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Public Consultation Statutory/ Ref Record Retention Period Notes Recommended

Records created in the process of consulting the 1 year Recommended public in the development of minor policies

Records created in the process of consulting the 5 years Recommended public in the development of significant policies

Quality and Performance Management Statutory/ Ref Record Retention Period Notes Recommended

Assessment form 2 years from closure Recommended

Best Value Review 5 years from closure Recommended

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6. Democracy Elections Statutory/ Ref Record Retention Period Notes Recommended

Ballot papers - European Pass to central government Representation of the Peoples Act 1983 Statutory

Ballot papers - Local 6 months after date of election Representation of the Peoples Act 1983 Statutory

Ballot papers - Parliamentary Pass to Clerk of the Crown Representation of the People Act 1983. Statutory Section 55

Ballot papers - Referendum Pass to central government Representation of the Peoples Act 1983 Statutory

Election expenses 3 years Representation of the Peoples Act 1983 Statutory

Electoral registers 2 years Representation of the Peoples Act Statutory 1983. Past copies to be held by Archive

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7. Education Adult Education Statutory/ Ref Record Retention Period Notes Recommended

Barts Tuition Unit 7 years Recommended

General filing 7 years then archive appraisal Very miscellaneous Recommended

Grants 7 years 6 years after repayment of grant Recommended

Student learning 7 years Recommended

Study vouchers 7 years Recommended

Child Actors Statutory/ Ref Record Retention Period Notes Recommended

Child Actor File 7 years / 25 years Recommended

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City of London Records Retention Schedule 8. Emergency and Security Services Emergency planning Statutory/ Ref Record Retention Period Notes Recommended

Completed Incident Report forms and Incident 13 years Limitation Act 1980 Statutory

Emergency planning documentation (all Groups) Until superseded Recommended

Major Incident Plan Permanent. Offer to Archive (LMA) Recommended

Major incident reports Permanent. Offer to Archive (LMA) Recommended

Minor incident reports 7 years after closure Recommended

Records of testing emergency/disaster plans 10 years after closure Recommended

Training records 4 years Refresher training to take place every 3 Recommended years

Fire Precautions Statutory/ Ref Record Retention Period Notes Recommended

Application for a fire certificate None stated Fire Precautions Act 1971 Statutory

British Standard Compliance Certificates for Life of fire equipment Fire Precautions Act 1971, Fire Statutory Installation of Fire Equipment Precautions (Workplace) Regulations 1997 as amended, Building Acts & Regulations

Copy of application for a fire certificate Until issue of a fire certificate Fire Precautions Act 1971 Statutory

Fire alarm tests/defects/remedial action None stated Fire Precautions Act 1971 Statutory

Fire certificate & notice of exemption from Life of building to which the fire Fire Precautions Act 1971 Statutory requirement for a fire certificate certificate or exemption refers

Fire precautions training records None stated Fire Precautions Act 1971 Statutory

Fire risk assessment Life of workplace to which it refers or Fire Precautions (Workplace) Statutory until superseded by review Regulations 1997 as amended.

Fire training and fire drills Current year + 3 years Fire Precautions Act 1971, Fire Statutory Precautions (Workplace) Regulations 1997 as amended.

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Fire Precautions Statutory/ Ref Record Retention Period Notes Recommended

Improvement notices None stated Fire Precautions Act 1971 Statutory

Notice of material change to a fire certificate Life of fire certificate Fire Precautions Act 1971 Statutory

Prohibition notices None stated Fire Precautions Act 1971 Statutory

Statutory Notice issued by Fire Authority Until requirements of Notice have been Fire Precautions Act 1971, Fire Statutory confirmed as being discharged plus 12 Precautions (Workplace) Regulations months. 1997 as amended.

Test records for:-A & D pump suction tanks for Current year plus 15 years Fire Precautions Act 1971, Fire Statutory sprinkler systems Precautions (Workplace) Regulations 1997 as amended, Building Acts & Regulations

Test records for:- Fire Alarm, Sprinkler System, Fire Current year + 3 years Fire Precautions Act 1971, Fire Statutory Extinguisher, Hose Reels, Electronic Door Locks, Precautions (Workplace) Regulations Electro-Magnetic Door Holders, External Escape 1997 as amended. Routes, Smoke Extract Systems

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9. Environment and Consumer Protection Animal Impounding Statutory/ Ref Record Retention Period Notes Recommended

Animal Impounding notices 2 years after matter is concluded Recommended

Licences/Certificates/Registers Statutory/ Ref Record Retention Period Notes Recommended

A society’s lottery return 2 years The Gaming and Amusement Act 1976 Statutory (1976 cS2) Schedule 1 Part II 11-13 (at least 18 months for public inspection)

Acupuncture, tattooing, ear piercing and 12 months after expiry of licence As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Amusement machine permits 3 years Betting, Gaming and Lotteries Act 1963 Statutory Schedule 2, Local Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Amusement premises providing prizes 3 years Betting, Gaming and Lotteries Act 1963 Statutory Schedule 2, Local Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Animal Boarding licence Currency + 1 year Animal Boarding Establishment Act Statutory 1963, Section 1 Licensing of boarding establishment for animals

Animal trainers and exhibitors 12 months after expiry of licence As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

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Licences/Certificates/Registers Statutory/ Ref Record Retention Period Notes Recommended Auction Licence 3 years As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Builders skips on highway 12 months after expiry of licence As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Building Control registers 50 years after last entry Recommended

Burial registers Review after 100 years Local Authority Cemeteries Order 1977, Statutory Article 11(2)(b), To Archivist (LMA) for review

Caravan site licences. Whilst valid + 1 year As authorised under The Local Statutory Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Cemetery diaries 7 years

Cinema and cinema club licences 12 months after expiry of licence As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Civic Marriages Venue approval 1 year after removal of venue from As authorised under SI 2000 No2853, Statutory register Consult Archive (LMA)

Consent for display of advertisements Whilst relevant + 1 year Recommended

Control of Advertisements Review 5 years after last entry Statutory

Cooling towers register 6 years after last entry no longer relevant S1 1984-421 Town & Country Planning Statutory PT V111 31, Limitation Act 1980

Dangerous Wild Animals 12 months after expiry of licence As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Direction from the Foods Standards Agency 6 years after date of direction Foods Standards Act 1999 Sch 5 Statutory

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Dog breeding licence Currency + 1 year As authorised under The local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1, Breeding of Dogs Act 1973, Section 1 (6), The Breeding of Dogs (Licensing Records) Regulations 1999, SI 1999 No 3192

Door staff 12 months after expiry of licence As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Entertainment licence Currency + 1 year Bye-laws Recommended

Entertainment licences 12 months after expiry of licence As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Environmental Public Registers (See 4.13.2) 4 years after the information was Environmental Protection Act 1990 Statutory entered or 4 years after information relating to a particular process

Food Registers 50 years after last entry Food Safety Act 1990 Statutory

Form in which record of breeding to be kept Currency + 1 year As authorised under The local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1, Breeding of Dogs Act 1973, Section 1 (6), The Breeding of Dogs (Licensing Records) Regulations 1999, SI 1999 No 3192 The Schedule

Game dealers Currency + 1 year Game Licence Act 1860 Section 15, Statutory List of persons licensed to be kept for inspection, As authorised under the Local Authorities(Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

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Game licences Currency + 1 year Game Licence Act 1860 Section 15, Statutory List of persons licensed to be kept for inspection, As authorised under the Local Authorities(Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Game Licences List Currency + 1 Game Licence Act 1860 Section 15, Statutory List of persons licensed to be kept for inspection, As authorised under the Local Authorities(Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Gaming competition annual statements of 3 years Betting, Gaming and Lotteries Act Statutory competitions 1963, Schedule 2 Section 23

Gaming licences Currency + 1 Betting, Gaming and Lotteries Act Statutory 1963, Schedule 1 Sections 29, 34

Guidance for security contractors Until superseded Private Security Industry Act 2001 Statutory Section 20 (2) (3)

Hackney carriages and private hire vehicles. 12 months after expiry of licence As authorised under The Local Recommended (Including drivers) Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Hairdressers Register 6 years from last date of registration Recommended

Headstone approvals 7 years

Health & Safety Notices - Prohibition and 6 years after issue of notice As authorised under The Local Recommended improvement register Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Health certificates 6 years Byelaws Recommended

Hypnotism 12 months after expiry of licence As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Ice cream licence Whilst valid + 1 year Public Health Act 1936 Chapter 49 Statutory

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Integrated pollution control Register 6 years after date of last entry Corporate Recommended

Inter-track betting schemes 3 years Betting, Gaming and Lotteries Act 1963 Statutory Schedule 2, Local Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Killing and selling of game Currency + 1 year Game Licence Act 1860 Section 15, Statutory List of persons licensed to be kept for inspection, As authorised under the Local Authorities(Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Knackers’ yards 12 months after expiry of licence As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Late night cafe licence Currency + 1 year Bye-laws Recommended

Licence for child over 12 to train for a dangerous 6 years after child reaches 18th birthday Children and Young Persons Act 1933 Statutory performance Chapter 12

Licence for moveable dwellings Whilst valid + 1 year As authorised under The Local Statutory Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Licence for persons under 16 going abroad to 6 years after 18th birthday Children and Young Persons Act 1933 Statutory perform for profit Chapter 12

Licences 12 months after expiry of licence As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Lotteries 3 years Betting, Gaming and Lotteries Act 1963 Statutory Schedule 2, Local Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

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Market and street trading 12 months after expiry of licence As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

NHBC 16 years Building Act 1984, Limitation Act 1980, Statutory Latent Damage Act 1986

Noise level register 2 years from date of last entry in register Control of Pollution Act 1974 Chapter Statutory 40, Section 64

Nurse Agencies 12 months after expiry of licence As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Operation of loud speaker 12 months after expiry of licence As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Persons entitled to sell non-medicinal poisons 12 months after expiry of licence As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Pet Shop licence and other establishments where Currency + 1 year Bye-laws, Pet Animals Act 1951, Recommended animals are bred or kept for the purpose of carrying Animal Boarding Establishment Act on a business 1963, The Riding Establishments Acts 1964 and 1970,Breeding of Dogs Act 1973,Breeding and Sale of Dogs (Welfare) Act 1999

Petroleum Spirit Licence Whilst valid Petroleum Consolidation Act 1928 Statutory Sections 1 & 2, Petroleum Spirit Regulations 1929, SI 1929 No 992

Pig movement 12 months after expiry of licence As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Planting, retention and maintenance of trees in 12 months after expiry of licence As authorised under The Local Recommended part of highway Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853Schedule1

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Pleasure boats and pleasure vessels 12 months after expiry of licence As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Pool Betting. Annual Statements of competitions 3 years Betting, Gaming and Lotteries Act Statutory 1963, Schedule 2 Section 23

Pool promoters 3 years Betting, Gaming and Lotteries Act 1963 Statutory Schedule 2, Local Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Premises for the preparation of food 12 months after expiry of licence As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

PUSWA Footways and highways maintenance Review every 50 years Public Utilities Services Works Act,. Statutory To Archivist (LMA) for review

Register of approved contractors 6 years after last entry to become Private Security Industry Act 2001 Statutory Section 14

Register of licences for security contractors 6 years after last entry to become Private Security Industry Act 2001 Statutory Section 12

Register of lotteries/raffles 2 years after last entry Lotteries and Amusements Act 1976 Statutory (Schedule 1 Part II Sections 11, 12 and 13

Register of store licences and registered premises To be kept current Explosives Act 1875 Chapter 17, Statutory (Explosives) Section 28

Register relating to deposits and incineration at 6 years after last entry in register Food and Environment Protection Act Statutory 1985 Section 14. Open to public inspection.

Reservoirs/lakes Review every 50 years Reservoirs Act 1975 & S1 1985-548, Statutory To Archivist (LMA) for review

Riding establishment licences 3 years after the last entry Riding Establishments Act 1964 Recommended Section 1, Licensing of riding

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Sale of poisons licence Whilst valid + 6 years As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Sale of poisons register Whilst valid + 6 years As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Scrap metal dealers licence Whilst valid + 6 years As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Seizure of stray dogs register 1 year from date of last entry Environmental Protection Act 1990, Statutory Section 149 Seizure of stray dogs. To be available for public inspection free of charge.

Sex establishment licence Currency + 1 year Bye-laws Recommended

Street naming and numbering Review every 50 years To Archivist LMA for review Recommended

Street works 12 months after expiry of licence As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Sunday Trading 12 months after all entries have been Sunday Trading Act 1994. Chapter 20 Statutory deleted or superseded Schedule 1

Theatre licences 12 months after expiry of licence As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Track betting licences 3 years Betting, Gaming and Lotteries Act 1963 Statutory Schedule 2, Local Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Trading Standards licensing registers 50 years after last entry To Archivist LMA for review Recommended

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Use of moveable dwellings and camping sites Whilst valid + 1 year As authorised under The Local Statutory Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Wholesale markets 12 months after expiry of licence As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Zoos 12 months after expiry of licence As authorised under The Local Recommended Authorities (Functions and Responsibilities) (England) Regulations 2000, SI 2000 No 2853 Schedule 1

Pest Control Statutory/ Ref Record Retention Period Notes Recommended

Pest Control Request 3 years Recommended

Trading Standards Statutory/ Ref Record Retention Period Notes Recommended

Trader enquiries 7 years Limitation Act 1980 Statutory

Trading Standards inspection visits 7 years Limitation Act 1980 Statutory

Trading standards sample and inspections records 7 years from last action Recommended

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10. Finance - General Accounting Budgets Statutory/ Ref Record Retention Period Notes Recommended

Budget variations 4 years Recommended

Budget Working papers 4 years Recommended

Copy of end-of-year out-turn statements 4 years Recommended

Copy posted transactions 7 years Recommended

European Bidding and funding papers 10 years Recommended

Objective 2 - other papers 6 years Recommended

Objective 2 project papers 10 years Recommended

Revenue estimates 4 years Recommended

Single generation budget papers 6 years Recommended

Trial balance 7 years Recommended

Cashiers Statutory/ Ref Record Retention Period Notes Recommended

Acknowledgement receipt of pay-packet 3 years Recommended

Bank paying-book 3 years Recommended

Cash receipting print-outs (from mainframe system) 3 years Recommended

Cash register rolls [audit rolls] 7 years Recommended

Cashiers paying-in sheets 3 years Recommended

Copy bank statements 7 years Original copies of bank statements Recommended should be held for 6 years. Limitation Act 1980

Daily cash reconciliation sheets 3 years Recommended

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Cashiers Statutory/ Ref Record Retention Period Notes Recommended

Handytill envelopes 3 years Recommended

Receipt Stubs - Council Tax 3 years Recommended

Receipt Stubs - others 7 years Recommended

Summary of Cashiers paying in sheets 3 years Recommended

Uncollected wages book 7 years Limitation Act 1980 Statutory

General Accounting Statutory/ Ref Record Retention Period Notes Recommended

Adult free meal sheets 4 years Recommended

Bank Pass Book sheets 7 years COL Audit Rules

Capital Budget Control System 7 years Recommended

Capital Financing 7 years Recommended

Cash lists 4 years Recommended

Cashier's Collection & Deposit Book 7 years COL Audit Rules

Cashier's Petty Cash 7 years COL Audit Rules

Cheques (blank) register 7 years COL Audit Rules

Deceased Persons Effects Register Permanent COL Audit Rules

End of year out-turn statements. 11 years Recommended

Hand written ledgers As for similar information on film or Recommended stored electronically

Imprest Account 7 years COL Audit Rules

Invoices 7 years COL Audit Rules

Orange Badges and Travel Permits 3 years after death or cessation of service Recommended

Post-dated cheques register 7 years COL Audit Rules

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General Accounting Statutory/ Ref Record Retention Period Notes Recommended

Posted transactions 7 years Recommended

Print Requisitions 5 years District Audit Recommended

RD Cheques register 7 years COL Audit Rules

Receivership Records 7 years COL Audit Rules

Records of patients property handed in for safe 7 years 6 Years after the end of the financial COL Audit Rules custody-and property held under Section 48 - year in which the property was disposed National Assistance Act 1948

Revenue Budget Control System 7 years District Audit Recommended

School meal income sheets 7 years VAT Accountant Recommended

Stores Requisitions 5 years District Audit Recommended

Take-up reports (Reports on changeover from 10 years Recommended previous computer system to current

Transfer Journals 7 years District Audit/VAT Accountant Recommended

Transport Sheets 5 years District Audit Recommended

Unpaid wages book 7 years COL Audit Rules

Various financial system maintenance reports 7 years Recommended

Various supporting tabulations 7 years District Audit Recommended

Investments Statutory/ Ref Record Retention Period Notes Recommended

Contract notes 7 years Limitation Act 1980 Statutory

Fund Manager’s quarterly report 10 years Recommended

List of holdings/history of holdings Review after 50 years Recommended

Register of holdings (previous system) Review after 50 years Recommended Statutory/

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Loans/Grants Statutory/ Ref Record Retention Period Notes Recommended

Copy bond certificates 6 years after redemption bonds Limitation Act 1980 Statutory

Grants to vacate properties 10 years Recommended

Registers of bonds/mortgages Review after 50 years Recommended

Renovation Grants 7 years Recommended

Student Grants/Awards 6 years after repayment of grant Recommended

Temporary Loans register 12 years after loan repaid Limitation Act 1980 Statutory

Mortgages Statutory/ Ref Record Retention Period Notes Recommended

Computer input forms for cash and adjustments to 7 years Recommended cash allocation on mortgage repayments

Edits and controls - weekly reports 3 years Recommended

End of year reports on all mortgage accounts 6 years after mortgage repaid Recommended

Giro credit slips from clients not paying by direct 3 years Recommended debit

Housing Associations 12 years after mortgage repaid Limitation Act 1980 Statutory

Individuals 12 years after mortgage repaid Limitation Act 1980 Statutory

Manual ledgers for insurance 7 years Recommended

MIRAS forms No longer relevant Until mortgage repaid Recommended

Various ledger reports from mainframe 7 years Recommended

Working papers and reconciliation’s on mortgage 7 years Recommended accounts

Payment of Accounts Statutory/ Ref Record Retention Period Notes Recommended

Bank mandates on cheque signatories for imprest 6 years after person ceases to be a Recommended account signatory

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Bank reconciliation 3 years Recommended

Batch control books 3 years Recommended

Batch control register (All types of payments) 7 years Recommended

Cancelled/returned cheques 7 years Recommended

Cheque ledger 7 years Recommended

Contracts register Review every 25 years Recommended

Copy remittance advices (to creditors) 3 years Recommended

Debts 7 years Limitation Act 1980 Statutory

Delivery notes 3 years (VAT Accountant) Recommended

Foreign payments 7 years Tax Management Act 1970, Custom Statutory and Excise Notice 700

Gully charges 3 years Covers keys etc., dropped down gully Recommended

Information collected from Housing Benefit and 7 years Social Security (Claims and Statutory Council Tax Benefit in respect of claims. Information) (Housing Benefit and Council Tax Benefit) Regulations 2002, SI 2002 No 1132, Limitation Act 1980.

Internal transfers/journals 7 years Recommended

Inventory book Until superseded by new inventory book Recommended and the new book is audited

List of authorised signatories 6 years after person ceases to be a Recommended signatory or listing

List of authorised signatures 6 years after person ceases to be a Other users should also retain listings Recommended signatory or the list is superseded for the period specified

Mayor’s expenses 7 years Taxes Management Act 1970, Income Statutory and Corporation Taxes Act 1988

Mayoral allowances 7 years Taxes Management Act 1970, Income Statutory and Corporation Taxes Act 1988

Official orders 7 years Copies of the originals held for 3 years Recommended

30


Periodicals payments register 6 years after final instalment Recommended

Requisitions for supplies/works 3 years Recommended

Various financial computer printouts 7 years Recommended

Resources Statutory/ Ref Record Retention Period Notes Recommended

Cash receipts and adjustments 4 years Recommended

Computer output 4 years Recommended

Shop records/account adjustments 4 years Recommended

VAT Statutory/ Ref Record Retention Period Notes Recommended

All records 7 years Finance Act 1985 Statutory

31


11. Finance - General Income General Income Statutory/ Ref Record Retention Period Notes Recommended

Assessment files (dead case) 2 years after external audit After external audit COL Audit Rules

Audit tickets “Pay & Display” 7 years Recommended

Bank statements 7 years Copies of bank statements retained for Recommended 3 years

Car Loan Repayments 1 year After external audit COL Audit Rules

Caretaker financial files 7 years Recommended

Cash lists for Land Charges personal searches 3 years Recommended

Cash Register Rolls 1 year After external audit COL Audit Rules

Cash register till rolls 7 years Recommended

Completed bank paying-in books 7 years Limitation Act 1980 and Audit Statutory

Completed receipt books 7 years Limitation Act 1980 and Audit Statutory

Completed receipt books & other documents 2 years after external audit After external audit COL Audit Rules

Copy Penalty Charge Notices [PCN’s] 1 year from issue date Recommended

Domestic Help Timesheet 2 years after external audit After external audit COL Audit Rules

Housing Act Advances 1 year After external audit COL Audit Rules

Housing cash receipts and adjustments 4 years Recommended

Income Returns from Departments 1 year after external audit After external audit COL Audit Rules

Land Charges Pt 1 Financial 6 years Recommended

Off and On Street financial returns 2 years Recommended

Paid PCN’s 6 months from receipt Recommended

PCN till rolls 7 years Recommended

32

General Income Statutory/ Ref Record Retention Period Notes Recommended

PCN’s cancelled Notices 6 months from issue date Recommended

Primary debtors record Lifetime of record or 7 years Whichever is the longer COL Audit Rules

Primary Periodical Income Record 3 years 3 Years COL Audit Rules

Private Street Works 1 year Basic information to be retained 12 COL Audit Rules months after completion of payment.

Public Health Acts etc. - payments by instalments 1 year Basic information to be retained 12 COL Audit Rules over a period of years months after completion of payment.

Shop records/account adjustments 4 years Recommended

Supporting documents to the above 3 years 3 Years COL Audit Rules

Test tickets “Pay & Display” 3 years Recommended

Revenues (Rates/Council Tax/Housing Benefits) Statutory/ Ref Record Retention Period Notes Recommended

Business Rates - Correspondence and supporting 3 years Recommended documents

Council Tax bandings 10 years Recommended

Council Tax Business Rates Post 1990 Valuation Review after 50 years To Archive (LMA) for review Recommended Lists

Council Tax Correspondence 4 years Recommended

Housing Benefits applications forms and 5 years Recommended supporting documents

Rates - Valuation lists Pre 1990 Review after 50 years To Archive (LMA) for review Recommended

Valuation certificates 10 years or when superseded Recommended

Sundry Debtors Statutory/ Ref Record Retention Period Notes Recommended

Cemeteries and allotments. Copy multi-part forms 3 years Recommended

Copy invoice from various departments 3 years Recommended

33

Sundry Debtors Statutory/ Ref Record Retention Period Notes Recommended

Financial Assessment forms (cases not proceeded 3 years Recommended with)

Former tenants arrears and accounts 6 years from cessation of tenancy Limitation Act 1980 Statutory

Rechargeable works and land charges - copy 3 years Recommended multipart forms

Residential and home care case files containing 6 years after cessation of Limitation Act 1980 but beware of the Statutory multipart forms residential/home care Latent Damage Act 1986 (15 Years)

Respite care-multi part forms 3 years Recommended

34


12. Finance - Insurance Insurance Statutory/ Ref Record Retention Period Notes Recommended

Accident reports and related correspondence Adults 7 years, Children and young Limitation Act 1980. Some LAs are Statutory persons 7 years after 18th birthday. retaining for 25 years in case of

Claims files 7 years after settlement of claims or 7 Limitation Act 1980, Workman’s Statutory years from 18th birthday whichever is Compensation Act later.

Claims Register 6 years after last entry Recommended

Computer list of property insured 7 years Recommended

Discontinued policies Permanent. Offer to Archive (LMA) Indefinitely Recommended

Engineering schedules 7 years Recommended

Incident reports and related correspondence 7 years, 16 years for negligence not Limitation Act 1980, Latent Damage Statutory involving personal injuries Act 1986

Insurance policies Until superseded or discontinued Recommended

Journals [settlement of claims] 7 years Recommended

Private street works 16 years Latent Damage Act 1986 Statutory

Property files 6 years after disposal of property Limitation Act 1980 Statutory

Register of insurances Permanent. Offer to Archive (LMA) Indefinitely Recommended

Right to buy property insurance 1 year after expiry of cover Recommended

Right to buy. Computer list of sum insured (history) 7 years Recommended

School journeys 7 years Limitation Act 1980 Statutory

35


13. Finance - Payrolls Payroll Statutory/ Ref Record Retention Period Notes Recommended

Absence return 4 years Recommended

Batches 7 years Taxes Management Act 1970, Income Statutory and Corporation Taxes Act 1988

Bonus sheets 4 years Taxes Management Act 1970,Income Statutory and Corporation Taxes Act 1988

Car Allowance claims 3 years After audit but minimum of 2 years COL Audit Rules

Car Loans 7 years As long as the person is Taxes Management Act 1970, Income Statutory employed by LA and Corporation Taxes Act 1988

Car mileage output 7 years Taxes Management Act 1970, Income Statutory and Corporation Taxes Act 1988

Copy payslips 7 years Taxes Management Act 1970, Income Statutory and Corporation Taxes Act 1988

Elements 3 years Recommended

Gross/net monthly pay roll 7 years Taxes Management Act 1970, Income Statutory and Corporation Taxes Act 1988

Gross/net weekly pay roll 7 years Taxes Management Act 1970, Income Statutory and Corporation Taxes Act 1988

Income tax form P60 7 years The minimum requirement as stated in Statutory Inland Revenue Booklet 490 is for at least 3 years after the end of the tax year to which they apply. Original must be retained in paper/electronic format. It is a corporate decision to retain for 7 years.

Individual pensioners files Currency of record, 1 year after case has COL Audit Rules been cleared after death

Members allowance register 7 years Taxes Management Act 1970, Income Statutory and Corporation Taxes Act 1988

36

Payroll Statutory/ Ref Record Retention Period Notes Recommended

National Insurance schedule of payments 7 years Taxes Management Act 1970, Income Statutory and Corporation Taxes Act 1988

Other staff returns (eg overtime allowances) 3 years After audit but minimum of 2 years. COL Audit Rules Bachelor recommends 4 years under Taxes Management Act 1970

Overtime 4 years Taxes Management Act 1970, Income Statutory and Corporation Taxes Act 1988

P11 & P35 returns 3 years COL Audit Rules

Part time fee claims 7 years Taxes Management Act 1970, Income Statutory and Corporation Taxes Act 1988

Pay Roll Awards 7 years Recommended

Payroll print outs 7 years Recommended

Payrolls (in whatever final form) 3 years (should be 7 - Bachelor) COL Audit Rules

Pensions payroll 3 years Bachelor recommends 7 years under COL Audit Rules Taxes Management Act 1970

Personal bank details Until superseded + 3 years Recommended

Sickness records, Payroll Maternity payment 4 years Recommended

Staff returns 4 years Recommended

Tax forms P6/P45/P48/P11/P11D/P35 7 years The minimum requirement as stated in Statutory Inland Revenue Booklet 490 is for at least 3 years after the end of the tax year to which they apply. Originals must be retained in paper/electronic format. It is a Corporate decision to retain for CY+6. Employees s

Time sheets 4 years Recommended

Timesheets including Bonus Sheet 3 years After audit but minimum of 2 years COL Audit Rules

37

Superannuation Statutory/ Ref Record Retention Period Notes Recommended

Actuarial certificates Review every 10 years Local Government Superannuation Act Statutory

Audit trail reports 7 years Audit Recommended

Half yearly tabulations of employees 13 years Audit Recommended superannuable pay and contributions

Half-Year tabulations of employees superannuable 7 years Recommended pay and contributions

Internal transfers 7 years Audit Recommended

Journals 7 years Audit Recommended

Leavers 7 years Recommended

Members records (including contributions) Review every 10 years Local Government Superannuation Act Statutory

Quinquennial Valuations - all papers and records Permanent. Offer to Archive (LMA) Local Government Superannuation Act. Statutory Indefinitely, Batchelor recommends 10 year review

Register of Contributors and Contributions Permanent. Offer to Archive (LMA) Indefinitely, Batchelor recommends 10 Statutory year review. Local Government Superannuation Act

Register of Pensioners Permanent. Offer to Archive (LMA) Indefinitely Recommended

Superannuation adjustments 7 years Taxes Management Act 1970, Income Statutory and Corporation Taxes Act 1988

Superannuation reports 7 years Taxes Management Act 1970, Income Statutory and Corporation Taxes Act 1988

Transfer Value documents Permanent. Offer to Archive (LMA) Local Government Superannuation Act. Statutory Indefinitely, Batchelor recommends 10 year review

38


14. Housing Index cards Statutory/ Ref Record Retention Period Notes Recommended

Housing assessment record cards 2 years after removal from housing list Recommended

Surveys/Inspections Statutory/ Ref Record Retention Period Notes Recommended

Right to buy survey files 12 years from date of sale Recommended

Working Files Statutory/ Ref Record Retention Period Notes Recommended

Caretaker administration files 7 years Limitation Act 1980 Recommended

Entry card & key files While valid Recommended

Estate files 7 years Recommended

Homeless persons files 2 years after removal from housing list Recommended

Housing advice case files 2 years after removal from housing list Recommended

Housing assessment files 2 years after removal from housing list Recommended

Housing Medical assessment register and files 2 years after removal from housing list Recommended

Housing Primary Rent Collection Records 7 years COL Audit Rules (including rebates and refunds)

Housing Property File/Ledger 7 years COL Audit Rules

Other Subsidiary Records 3 years COL Audit Rules

Property/Tenant files: signed leases (open/closed) While valid Recommended

Property/Tenant files: Unsigned leases Until lease signed or not proceeded Recommended

Tenancy files 12 years from cessation of tenancy Limitation Act 1980 Recommended

Tenancy relation files 3 years from cessation of tenancy Recommended

39


15. Human Resources Asbestos Statutory/ Ref Record Retention Period Notes Recommended

Arrangements to deal with accidents, incidents Recommend 40 years from date of Control of Asbestos at Work Regulations Statutory and emergencies incident 2002

Assessments & Reviews Whilst relevant Control of Asbestos at Work Regulations Statutory 2002

Employee information/instruction/ training Recommend add to personnel record Control of Asbestos at Work Regulations Statutory 2002

Exemption certificate Time expired or revoked + 6 years Control of Asbestos at Work Regulations Statutory 2002

Health records where exposure exceeds the action 40 years from date of last incident Control of Asbestos at Work Regulations Statutory level 2002

Identifying Plan Whilst relevant Control of Asbestos at Work Regulations Statutory 2002

Maintenance of control measures At least 5 years from the date on which Control of Asbestos at Work Regulations Statutory it was made 2002

Medical examination certificate 40 years from the date of issue Control of Asbestos at Work Regulations Statutory 2002

Notification of work with Asbestos At least 6 months from completion of Control of Asbestos at Work Regulations Statutory work 2002

Plan of Work At least 6 months from completion of Control of Asbestos at Work Regulations Statutory work 2002

Record of air monitoring of employees exposure to 5 years from date of monitoring or 40 Control of Asbestos at Work Regulations Statutory asbestos years if health record required 2002

Risk Assessment Whilst relevant Control of Asbestos at Work Regulations Statutory 2002

Control of Substances Hazardous to Health (COSHH) Regs 2004 Statutory/ Ref Record Retention Period Notes Recommended

Control Measures (including ventilation) Current year + 6 Control of Substances Hazardous to Statutory Health Regulations 2004

40

Control of Substances Hazardous to Health (COSHH) Regs 2004 Statutory/ Ref Record Retention Period Notes Recommended

Exemption certificate Time expired or revoked + 40 years Control of Substances Hazardous to Statutory Health Regulations 2004

Health surveillance and records 40 years from the last date of entry Control of Substances Hazardous to Statutory Health Regulations 2004

Information, instruction and training Until superseded Control of Substances Hazardous to Statutory Health Regulations 2004

List of employees exposed to certain biological 40 years from date of last entry made in Control of Substances Hazardous to Statutory agents Health Regulations 2004

Monitoring exposure of the workplace General records current year + 6. Control of Substances Hazardous to Statutory Personal health records current year + 40 Health Regulations 2004

Notification of fumigation Recommend 6 years from date of Control of Substances Hazardous to Statutory notification Health Regulations 2004

Notification of use of biological agents and Recommend whilst agent is in use + 6 Control of Substances Hazardous to Statutory years Health Regulations 2004

Risk Assessments No longer valid Control of Substances Hazardous to Statutory Health Regulations 2004

First Aid Statutory/ Ref Record Retention Period Notes Recommended

Record of accidents 3 years after date of last entry Health and Safety (First Aid) Statutory Regulations 1981

Health and Safety - General Statutory/ Ref Record Retention Period Notes Recommended

Accident books, accident records/reports 3 years after the date of the last entry Health and Safety (First Aid Statutory Regulations 1981)

Appointment of competent person Until no longer relevant The Management of H & S at Work Statutory Regulations 1999

Documents used in the process of checking and 75 years after D.O.B. Recommended ensuring the health of staff eg., Health Questionnaire.

General safety training records Recommend 6 years from date of Health and Safety at Work etc. Act 1974 Statutory

41

Health and Safety - General Statutory/ Ref Record Retention Period Notes Recommended

Manual Handling Assessment Until superseded Manual Handling Operations Statutory Regulations 1992

Noise information & training Until superseded The Noise at Work Regulations 1989 Statutory

Permits to Work 6 months Health and Safety at Work etc Action Statutory 1974, Factories Act 1961, The Noise at Work Regulations 1989

Records of tests and thorough examinations and 5 years from the date on which the tests The Control of Substances Hazardous Statutory repairs of control systems and protective were carried out to Health Regulations 2004 equipment under the Control of Substances Hazardous to Health Regulations 2004

Relevant information & training in connection & Add to employees training record Health & Safety (Safety Signs & Statutory safety signs Signals) Regulations 1996

Risk assessment of new or expectant mothers Until no longer relevant The Management of H & S at Work Statutory Regulations 1999

Workstation information Until superseded The Health and Safety (Display Screen Statutory Equipment) Regulations 1992

Young persons/children risk assessment Recommend 6 years from date of The Management of H & S at Work Statutory Regulations 1999 Lead Statutory/ Ref Record Retention Period Notes Recommended

Arrangements to deal with accidents, incidents Until superseded The Control of Lead at Work Statutory and emergencies Regulations 2002

Health record At least 40 years from the date of the The Control of Lead at Work Statutory last entry Regulations 2002

Information, instruction and training Recommend at least 6 years after The Control of Lead at Work Statutory employee leaves Regulations 2002

Information/training/ instruction Recommend at least 6 years after The Control of Lead at Work Statutory employee leaves Regulations 2002

Lead assessments, maintenance, air monitoring 6 years The Control of Lead at Work Statutory Regulations 2002

Monitoring of lead in air 5 years from date of the last entry made The Control of Lead at Work Statutory Regulations 2002

42

Lead Statutory/ Ref Record Retention Period Notes Recommended

Monitoring of lead in air 5 years from date on which record was The Control of Lead at Work Statutory made Regulations 2002

Record of examination and tests and subsequent 5 years from date on which record was The Control of Lead at Work Statutory repairs made Regulations 2002

Record of examination and tests and subsequent 5 years from date on which record was The Control of Lead at Work Statutory repairs made Regulations 2002

Risk Assessment Until superseded The Control of Lead at Work Statutory Regulations 2002

Lifting Operations and Equipment Statutory/ Ref Record Retention Period Notes Recommended

EC declarations For as long as the equipment is operated The Lifting Operations and Lifting Statutory Equipment Regulations 1998

Thorough examination and inspection (6/12 Until superseded or the expiration of 2 The Lifting Operations and Lifting Statutory monthly inspections) years whichever is later Equipment Regulations 1998

Thorough examination and inspection (accessory 2 years from date of report The Lifting Operations and Lifting Statutory for lifting) Equipment Regulations 1998

Thorough examination and inspection (other than For as long as the equipment is operated The Lifting Operations and Lifting Statutory an accessory Equipment Regulations 1998

Thorough examinations For as long as the equipment is operated The Lifting Operations and Lifting Statutory Equipment Regulations 1998

Thorough examinations and inspection For as long as the equipment is operated The Lifting Operations and Lifting Statutory (installation or after assemble at new site) Equipment Regulations 1998

Occupational Health Statutory/ Ref Record Retention Period Notes Recommended

Employee general. Includes health questionnaire, 40 years after leaving COL Recommended medical clearance, restrictions, recommendations

Employees exposed to asbestos 40 years after leaving COL Control of Asbestos at Work Regulations Statutory 1987

Health records specified by the Control of 40 years after leaving COL The Control of Substances Hazardous Statutory Substances Hazardous to Health Regulations 2004 to Health Regulations 2004 (COSHH)

43

Occupational Health Statutory/ Ref Record Retention Period Notes Recommended

Medical records under the Control of Asbestos at 40 years from the date of issue The Control of Asbestos at Work Statutory Work Regulations 2002 - medical examination Regulations 2002 certificates

Medical records under the Control of Asbestos at 40 years after leaving COL The Control of Asbestos at Work Statutory Work Regulations 2002 - medical records Regulations 2002 containing details of employees exposed to asbestos

Medical Surveillance records and details of 40 years after leaving COL The Control of Lead at Work Statutory biological monitoring under the Control of Lead at Regulations 2002 Work Regulations 2002

Welfare 7 years Recommended

Personal Protective Equipment Statutory/ Ref Record Retention Period Notes Recommended

Record of issue Life of equipment Personal Protective Equipment at Work Statutory Regulations 1992

Record of Maintenance and examination Recommend 5 years from date of action Personal Protective Equipment at Work Statutory Regulations 1992

Record of training Recommend minimum 3 years from Personal Protective Equipment at Work Statutory date of action or add to employees Regulations 1992 personal file

Risk assessment Until superseded Personal Protective Equipment at Work Statutory Regulations 1992

Personnel Statutory/ Ref Record Retention Period Notes Recommended

Actuarial Valuation reports Permanent. Offer to Archive (LMA) Recommended

Annual appraisal/assessment records 6 years Recommended

Annual Leave records 2 years Recommended

Application form of successful candidate Duration of Employment Recommended

Application forms and interview notes for 1 year Recommended unsuccessful candidates

44


Approvals as drivers 7 years after disposal of vehicle Recommended

Chief Officer Records Permanent. Offer to Archive (LMA) Permanently for historical purposes Recommended

Compromise Agreements, Redundancy details, 6 years from the date of redundancy Recommended calculations of payments, refunds, notification to the Secretary of State (Note – copies of Compromise Agreements are kept in Central HR)

CRB check disclosure forms Must be shredded within 6 months Recommended

Flexi time records/time cards 2 years Recommended

Income tax and NI returns, Income tax records and Not less than 3 years after the end of The Income Tax (Employments) Statutory correspondence with the Inland Revenue the financial year to which they relate Regulations 1993

Inland Revenue Approvals Permanently Recommended

Parental leave records 6 years from end of employment Recommended

Pensioners’ records 12 years after benefit ceases Recommended

Personal files and training records including: 6 years from end of employment Recommended disciplinary records and working time records complaints against the employee, grievances raised by the employee, requests for flexible

Process of selection of an individual for a statutory Destroy 2 years after date of Recommended position

Records relating to events notifiable under the 6 years from the end of the scheme year The Retirement Benefits Schemes Statutory Retirement Benefits Schemes (Information powers) in which the event took place, or the (Information Powers) Regulations 1995 Regulations 1995, records concerning decisions to date upon which the accounts/reports allow retirement due to incapacity, pension were signed/completed accounts and associated documents

Records relating to staff working with children 35 years from end of employment Recommended including training concerning children

References given/information for reference 6 years from end of employment Recommended

References received 1 year Recommended

Sickness records 3 years Recommended

45


Statutory Maternity Pay records, calculations, 3 years after the end of the tax year in The Statutory Maternity Pay (General) Statutory certificates (Mat Bls) or other medical evidence which the maternity period ends Regulations 1986

Statutory Sick Pay records, calculations, 3 years after the end of the tax year to The Statutory Sick Pay (General) Statutory certificates, self-certificates which they relate Regulations 1982

Summary of record of service, eg name, position 10 years from end of employment Recommended held, dates of employment

Unpaid/Special Leave records 2 years Recommended

Wage/Salary records (also overtime, bonuses, 6 years Taxes Management Act 1970 Statutory expenses)

Reporting of Injuries, Diseases and Dangerous Occurrences Statutory/ Ref Record Retention Period Notes Recommended

Flammable gas incident and dangerous gas At least 3 years from date it was made RIDDOR1995 Statutory

Initial notification (other than a disease) At least 3 years from date it was made RIDDOR1995 Statutory

Notice of death At least 3 years from date it was made RIDDOR1995 Statutory

Notification of a disease At least 3 years from date it was made RIDDOR1995 Statutory

Safety Representatives Statutory/ Ref Record Retention Period Notes Recommended

Employer notification of appointment 12 months after written notice of Safety Representatives and Safety Statutory termination or resignation received Committee Regulations 1977

Inspection of the Workplace Until Superseded + 6 years Safety Representatives and Safety Statutory Committee Regulations 1977

Request for a Safety Committee The life of the Safety Committee Safety Representatives and Safety Statutory Committee Regulations 1977

Working Time Regulations Statutory/ Ref Record Retention Period Notes Recommended

Employee opt-out Recommend 2 years after date of Working Time Regulations 1998 Statutory termination of agreement

46

Working Time Regulations Statutory/ Ref Record Retention Period Notes Recommended

Improvement Notice Recommend 6 years after prohibition Working Time (Amendment) Statutory notice ceases to be valid Regulations 2003

Improvement Notices Recommend 6 years after date of notice Working Time (Amendment) Statutory Regulations 2003

Record of time worked 2 years after date on which they were Working Time Regulations 1998 Statutory made

47


16. Information and Communication Management Drawings Statutory/ Ref Record Retention Period Notes Recommended

Drawings Until superseded. Offer to Archive (LMA) (unless part of a contract then see Recommended LEGAL)

Index cards Statutory/ Ref Record Retention Period Notes Recommended

Acquisition/disposal index cards 12 years after interest in property ceases Recommended

Index cards (general) Until superseded Recommended

Information Management Statutory/ Ref Record Retention Period Notes Recommended

Accession registers Permanent. Offer to Archive (LMA) Common practice Recommended

Authorised lists of file headings Permanent. Offer to Archive (LMA) Common practice Recommended

Classification schemes Permanent. Offer to Archive (LMA) Common practice Recommended

Depositor files Permanent. Offer to Archive (LMA) Common practice Recommended

Disposal certificates 12 years after last action Common practice Recommended

Indexes Permanent. Offer to Archive (LMA) Common practice Recommended

Registers Permanent. Offer to Archive (LMA) Common practice Recommended

Maps Statutory/ Ref Record Retention Period Notes Recommended

Maps/plans Until superseded. Offer to Archive (LMA) (unless part of a contract then see Recommended LEGAL)

Requests for Information under FOI, DPA, EIR Statutory/ Ref Record Retention Period Notes Recommended

Database 7 years from closure Recommended

48

Requests for Information under FOI, DPA, EIR Statutory/ Ref Record Retention Period Notes Recommended

Database (ongoing index to RFI's) Delete entries after 7 years Recommended

Other Records 6 months Recommended

Policy Records Until superseded Recommended

Request for Information (RFI) Only previous year retained. This includes both Individual Agreed with Info Officer Transaction Records and Details of what access decisions have been taken relating to the RFI

49


17. Land and Asset Management Asset Records Statutory/ Ref Record Retention Period Notes Recommended

Asset registers (Furniture etc) To be kept updated Corporate Recommended

Estate management files 7 years Corporate Recommended

Leaseholder files 6 years after ceasing to be a Limitation Act 1980 Statutory

Repairs and consultation files 7 years Limitation Act 1980 Statutory

Right to Buy sales files 12 years after completion of sale Limitation Act 1980 Statutory

Copy agreements Statutory/ Ref Record Retention Period Notes Recommended

Commercial rent and miscellaneous charges - 12 months after expiry of lease licence/ Recommended copy agreements agreement

Leases Statutory/ Ref Record Retention Period Notes Recommended

Lease grants 10 years after completion Corporate Recommended

Lease terminations 10 years after completion Corporate Recommended

Leases - commercial Until the lease expires Corporate Recommended

Leases - right to buy Until the lease expires Housing Act 1980 Statutory

Property/tenant files: signed leases (open/closed) While valid Corporate Recommended


Maps/plans Until superseded (unless part of a Offer superseded maps to Archives Recommended contract then see LEGAL)

50

Property Statutory/ Ref Record Retention Period Notes Recommended

Acquisitions 12 years after property is sold Limitation Act 1980 Statutory

Compulsory purchase orders Review 6 years after purchase date. Corporate Recommended Consider destruction 12 years after purchase date, (Hillingdon LBC V ARC Ltd.- Limitation Act 1980 Section 9)

Deeds of dedication After 12 years weed to agreement and Consult Archive (LMA) before disposal Recommended plan then review every 10 years. Destroy 12 years after disposal.

Equity shared ownership 12 years after mortgage loan expires Limitation Act 1980 Statutory

Freehold title deeds Until interest in property ceases Corporate Recommended

Mortgages 12 years after the mortgage is repaid Limitation Act 1980 Statutory

Right to Buy files 12 years after RTB complete Housing Act 1980 Statutory

Statistics on repairs 3 years Recommended

Tenancy files 10 years after cessation of tenancy Corporate Recommended

Surveys/Inspections Statutory/ Ref Record Retention Period Notes Recommended

Block survey files Until superseded by new survey Recommended

Post inspection records 6 years from inspection Recommended

Surveys (all types) Maximum 10 years Earlier if possible or Recommended if superseded

Transport Management Statutory/ Ref Record Retention Period Notes Recommended

Allocations and authorisations for vehicles 7 years after disposal of vehicle Recommended

Vehicle log book 7 years after disposal of vehicle Recommended

Vehicle maintenance 7 years after disposal of vehicle Recommended

Vehicle usage record 7 years after disposal of vehicle Recommended

51

Transport Management Statutory/ Ref Record Retention Period Notes Recommended

Vehicles - Approvals 7 years after disposal of vehicle Recommended

Vehicles - Contracts 7 years after disposal of vehicle Recommended

Vehicles - Fleet authorisation numbers 7 years after disposal of vehicle Recommended

Vehicles - leases 7 years after disposal of vehicle Recommended

Vehicles - Quotes 7 years after disposal of vehicle Recommended


Building jobs 7 years Recommended

Building literature files 7 years Recommended

Building Surveyors files 7 years, 16 years in the case of Limitation Act 1980, Latent Damage Statutory negligence Act 1986

Buy back files 12 years from date of sale Limitation Act 1980 Statutory

Clerk of Works files 7 years,16 years if considering Limitation Act 1980, Latent Damage Statutory negligence Act 1986

Domestic boiler replacement files 7 years Limitation Act 1980 Statutory

Electrical working files 10 years after last entry EC Directives and health and safety Statutory Section 4

External and internal decorations One decoration cycle Recommended

Flat purchase files Purchase date 7 years Limitation Act 1980 Statutory

Flat sales 12 years from date of sale Limitation Act 1980 Statutory

Heating installation files 10 years after last entry EC Directives and health and safety Statutory Section 4

Lettings 3 years from cessation of letting Information on asbestos to be retained Recommended for 100 years

Lift installation files 10 years after last entry EC Directives and health and Safety Statutory Section 4

52


Mechanical working files 10 years after last entry EC Directives and health and safety Statutory Section 4

Parks and open spaces Review every 3 years, Only valid Recommended information to be retained

Quantity surveyors files 7 years, 16 years if considering Limitation Act 1980, Latent Damage Statutory negligence Act 1986

Right to Buy sales files 12 years from date of sale Limitation Act 1980 Statutory

Voids Until property re-let Information on asbestos to be retained Recommended for 100 years

53


18. Legal Services Advice Statutory/ Ref Record Retention Period Notes Recommended

Legal advice provided on a point of law 3 years. Major precedent - Archive (LMA) Major precedent - Archive (LMA) Recommended

Agreements Statutory/ Ref Record Retention Period Notes Recommended

Concordat (not contracts) 6 years after agreement expires Recommended

Bye Laws - Administration Statutory/ Ref Record Retention Period Notes Recommended

Applications and certificates 2 years after certificate has expired Recommended

Correspondence 2 years after correspondence has Recommended

Infringement notices (Parking) 2 years after matter is concluded Recommended

Licences 2 years after licence has expired Recommended

Permits 2 years after permit has expired Recommended

Bye Laws - Enactment Statutory/ Ref Record Retention Period Notes Recommended

Correspondence Permanent. Offer to Archive (LMA)) Recommended

Master Set of bye-laws Permanent. Offer to Archive (LMA) Recommended

Policy Development documents Permanent. Offer to Archive (LMA) Recommended

Submissions Permanent. Offer to Archive (LMA) Recommended

Civil Litigation Statutory/ Ref Record Retention Period Notes Recommended

Files 6 years after completion Limitation Act 1980, (includes Statutory associated papers)

54

Contracts and Tendering Statutory/ Ref Record Retention Period Notes Recommended

Contract management - Changes to requirements - 12 years after terms of contract have Statutory Contracts under seal expired

Contract management - Changes to requirements - 6 years after terms of contract have Statutory Ordinary contracts expired

Contract management - Complaints - Contracts 12 years after terms of contract have Statutory under seal expired

Contract management - Disputes on payment - 12 years after terms of contract have Statutory Contracts under seal expired

Contract management - Disputes on payment - 6 years after terms of contract have Statutory Ordinary contracts expired

Contract management - Extension of contract - 12 years after terms of contract have Statutory Contracts under seal expired

Contract management - Extension of contract - 6 years after terms of contract have Statutory Ordinary contracts expired

Contract management - Minutes and papers of 12 years after terms of contract have Statutory meetings - Contracts under seal expired

Contract management - Minutes and papers of 6 years after terms of contract have Statutory meetings - Ordinary contracts expired

Contract management - Variation forms - Contracts 12 years after terms of contract have Statutory under seal expired

Contract management - Variation forms - Ordinary 6 years after terms of contract have Statutory contracts expired

Contract management -Complaints - Ordinary 6 years after terms of contract have Statutory contracts expired

Contract monitoring - Compliance reports 2 years after terms of contract have Recommended expired

Contract monitoring - Performance reports 2 years after terms of contract have Recommended expired

Contract monitoring - Service level agreements 2 years after terms of contract have Recommended expired

Expressions of Interest 2 years after contract let or not Recommended proceeded with

55

Contracts and Tendering Statutory/ Ref Record Retention Period Notes Recommended

Opening notice 1 year after start of contract Recommended

Successful tender document - Contracts under seal 12 years after terms of contract have Statutory expired

Successful tender document - Ordinary contracts 6 years after terms of contract have Statutory expired

Tender envelope 1 year after start of contract Recommended

Tender evaluation criteria - Contracts under seal 12 years after terms of contract have Statutory expired

Tender evaluation criteria - Ordinary contracts 6 years after terms of contract have Statutory expired

Tender specification - Contracts under seal 12 years after terms of contract have Statutory expired

Tender specification - Ordinary contracts 6 years after terms of contract have Statutory expired

Unsuccessful tender documents 1 year after start of contract Recommended

Conveyance Statutory/ Ref Record Retention Period Notes Recommended

Conveyancing Files. The process of changing 12 years after closure Statutory ownership of land or property

Litigation Statutory/ Ref Record Retention Period Notes Recommended

Childcare case file 7 years. Major litigation - Archive (LMA) Major litigation - Archive (LMA) Recommended

Civil case file 7 years. Major litigation - Archive (LMA) Major litigation - Archive (LMA) Recommended

Correspondence 7 years. Major litigation - Archive (LMA) Major litigation - Archive (LMA) Recommended

Criminal case file 7 years. Major litigation - Archive (LMA) Major litigation - Archive (LMA) Recommended

56

Miscellaneous Agreements Statutory/ Ref Record Retention Period Notes Recommended

Miscellaneous agreements 12 years after agreement ceases to apply Limitation Act 1980 Statutory

Orders from Standing Orders Statutory/ Ref Record Retention Period Notes Recommended

Orders from standing orders 10 years after they have been Consult Archive (LMA) before destruction Recommended superseded

Petitions Statutory/ Ref Record Retention Period Notes Recommended

Petitions 6 years from date of petition Local Authorities (Referendums) Statutory (Petitions and Directions) (England) Regulations 2000, SI 2000 No 2852. Regulation 12

Precedents Statutory/ Ref Record Retention Period Notes Recommended

Precedents 5 years Recommended

Prosecution files Statutory/ Ref Record Retention Period Notes Recommended

Enforcement files, (Contravention files) 10 years after enforcement notice Recommended

Prosecution files 7 years Time to start at date of last court hearing Recommended

S106 Agreements Statutory/ Ref Record Retention Period Notes Recommended

S106 agreements Review every 25 years Recommended

Works/Contracts/Tenders (above £50,000 in value) Statutory/ Ref Record Retention Period Notes Recommended

Contracts not under seal 6 years Limitation Act 1980 (includes all Statutory references to contract)

Contracts under seal/above £50,000 12 years from contract completion date Limitation Act 1980 (includes all Statutory references to contract)

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Works/Contracts/Tenders (above £50,000 in value) Statutory/ Ref Record Retention Period Notes Recommended

Unsuccessful tenders and quotations 3 years Recommended

58


20. Planning and Building Control Building Applications Statutory/ Ref Record Retention Period Notes Recommended

Applications 15 years after construction complete Recommended

Building files 15 years after construction complete Recommended

Certificates 15 years after construction complete Recommended

Correspondence 15 years after construction complete Recommended

Objections 15 years after construction complete Recommended

Permits 15 years after construction complete Recommended

Plans 15 years after construction complete Recommended

Specifications 15 years after construction complete Recommended

Building Applications (Listed or significant buildings) Statutory/ Ref Record Retention Period Notes Recommended

Applications Permanent. To Archive (LMA) Recommended

Building files Permanent. To Archive (LMA) Recommended

Certificates Permanent. To Archive (LMA) Recommended

Correspondence Permanent. To Archive (LMA) Recommended

Permits Permanent. To Archive (LMA) Recommended

Plans Permanent. To Archive (LMA) Recommended

Specifications Permanent. To Archive (LMA) Recommended

Building Work Inspections Statutory/ Ref Record Retention Period Notes Recommended

Building Inspection records 10 years after issue of certificate of final Recommended inspection

59

Building Work Inspections Statutory/ Ref Record Retention Period Notes Recommended

Certificate of final inspection 10 years after issue of certificate of final Recommended inspection

Diaries 10 years after issue of certificate of final Recommended inspection

Countryside Maintenance and Open Spaces Development Statutory/ Ref Record Retention Period Notes Recommended

Country parks and nature reserves development Policy files to Archive (LMA). All other Recommended plans files 7 years after administrative use concluded

Tree preservation orders Policy files to Archive (LMA). All other Recommended files 7 years after administrative use concluded

Enforcement of Building or Land Regulations Statutory/ Ref Record Retention Period Notes Recommended

Enforcement Notice 3 years after compliance with notice Recommended

Land Charges Statutory/ Ref Record Retention Period Notes Recommended

Adoption of highways Life of the highway Consult Archive (LMA) before destruction Recommended

Agreement book Until superseded Recommended

Ancient Monuments/Buildings of historical interest Until superseded Consult Archive (LMA) before destruction Recommended

Architectural & historical interest Until superseded Consult Archive (LMA) before destruction Recommended

Article 4 direction Until superseded Recommended

Building Control lists 3 years Recommended

CAAD 6 years Recommended

Changes to land register 3 years Recommended

Combined drainage orders Until superseded Recommended

60


Common land search papers 6 years Recommended

Compensation Pt 6B Until superseded Recommended

Conservation areas Until superseded Recommended

Deed of dedication Until superseded Recommended

Duplicate searches 6 years Recommended

Enforcement notices 6 years Recommended

Footpaths Until superseded Recommended

Land Charge register Until superseded Recommended

Land Charges error reports on searches 1 year Corporate

Land Charges personal searches 3 years Corporate

Light obstruction notices Until superseded Recommended (Lands Tribunal)

Major Road Constructions Until superseded but review at 10 year Recommended intervals

Old plans of previous administrations Until superseded Consult Archive (LMA) before destruction Recommended

Part 1 6 years Recommended



Planning compensation - Pt 3B Until superseded Recommended

Register of town or village green (Common Until superseded Consult Archive (LMA) before destruction Recommended registration searches)

Section 38 6 years Recommended

Section 38 - unsigned Until superseded Recommended

Smoke control areas and maps Until superseded Recommended

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Specific scientific interest Consult Archive (LMA) before Consult Archive (LMA) before destruction Recommended

Street names and numbers 3 years See also 5.9.7 Recommended

Town planning agreements Until superseded Recommended

Town planning agreements Until superseded Recommended

Tree preservation orders Until superseded Consult Archive (LMA) before destruction Recommended

Widening line for roads Until superseded Recommended


Maps/plans Until superseded (unless part of a Offer superseded maps to Archives Corporate contract then see Section 5 LEGAL)

Planning and Development Statutory/ Ref Record Retention Period Notes Recommended

Amendments to definitive map Permanent. To Archive (LMA) Recommended

Correspondence concerning enquiries and Permanent. To Archive (LMA) Recommended

Definitive map Permanent. To Archive (LMA) Recommended

Local transport plan Permanent. To Archive (LMA) Recommended

Road adoption Permanent. To Archive (LMA) Recommended

Structure Plan Permanent. To Archive (LMA) Recommended

Planning Permission Statutory/ Ref Record Retention Period Notes Recommended

Correspondence relating to any objections Transfer to Archive (LMA) for sampling Recommended

Hearing papers Transfer to Archive (LMA) for sampling Recommended

Planning application files 10 years after expiry of planning Planning Act Consider passing papers Statutory permission for significant schemes to Archive (LMA)

62

Planning Permission Statutory/ Ref Record Retention Period Notes Recommended

Planning application register Permanent. Transfer to Archive (LMA) Recommended when complete

Planning Scheme Controls Statutory/ Ref Record Retention Period Notes Recommended

Amendments to definitive map Permanent. Transfer to Archive (LMA) Recommended when superseded

Applications for Mineral extraction Permanent. Transfer to Archive (LMA) Recommended when superseded

Land Use surveys Permanent. Transfer to Archive (LMA) Recommended when superseded

Mineral Register Permanent. Transfer to Archive (LMA) Recommended when superseded

Successful Mineral Planning applications Permanent. Transfer to Archive (LMA) Recommended when superseded

Successful Waste Planning applications Permanent. Transfer to Archive (LMA) Recommended when superseded

Planning Scheme Development and Amendment Statutory/ Ref Record Retention Period Notes Recommended

Commons registration Permanent. Transfer to Archive (LMA) Recommended when superseded

Consultation documents and replies Permanent. Transfer to Archive (LMA) Recommended when superseded

Ecological records Permanent. Transfer to Archive (LMA) Recommended when superseded

Historically listed buildings Permanent. Transfer to Archive (LMA) Recommended when superseded

Inquiries and objections made by members of Permanent. Transfer to Archive (LMA) Recommended when superseded

Local Plan Permanent. Transfer to Archive (LMA) Recommended

63

when superseded

Planning Scheme Development and Amendment Statutory/ Ref Record Retention Period Notes Recommended

Public Inquiry documents Permanent. Transfer to Archive (LMA) Recommended when superseded

Sites and monuments records Permanent. Transfer to Archive (LMA) Recommended when superseded

Species records Permanent. Transfer to Archive (LMA) Recommended when superseded

Town Centre plans Permanent. Transfer to Archive (LMA) Recommended when superseded

Unitary Development plans Permanent. Transfer to Archive (LMA) Recommended when superseded

Planning Scheme Regulation Statutory/ Ref Record Retention Period Notes Recommended

Building Control applications 15 years after expiry of planning Building Act 1984 Section 56, Statutory permission Approved Inspectors Regulations 2000 Regulation 30, Building Control Performance Standards Standard 7

Building Control registers Permanent. To Archive (LMA) Recommended

Planning Scheme Submissions and Objections Statutory/ Ref Record Retention Period Notes Recommended

Archaeological: advice/conditions 15 years after decision. High profile Recommended cases to Archive (LMA)

Enquiries, consultation documents, objections and 7 years after decision. High profile cases Recommended correspondence to CRMS

Inquiries - Public etc 15 years after decision. High profile Recommended cases to Archive (LMA)

Mineral Planning applications consultation 15 years after decision. High profile Recommended cases to Archive (LMA)

Objections 15 years after decision. High profile Recommended cases to Archive (LMA)

64

Waste Planning application consultation 15 years after decision. High profile Recommended cases to Archive (LMA)

65


21. Public Relations Events Statutory/ Ref Record Retention Period Notes Recommended

Events, organising an event 7 years, then to Archive (LMA) COL has unique ceremonial role Recommended

Press Releases/Cuttings Statutory/ Ref Record Retention Period Notes Recommended

Major press releases 3 years Offer to Archive (LMA) Recommended

Press Cuttings 2 years Recommended

Public Relations Statutory/ Ref Record Retention Period Notes Recommended

Design and setting information for publication 3 years from last action Common practice Recommended

Media relations 3 years, to Archive (LMA) COL has unique ceremonial role Recommended

Publications Statutory/ Ref Record Retention Period Notes Recommended

Literature Destroy after administrative use, one COL has unique ceremonial role Recommended copy for archive review

Marketing Permanent COL has unique ceremonial role Recommended

Videos 10 years, then to Archive (LMA) COL has unique ceremonial role Recommended

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22. Registration and Coroners Registrar of Births Deaths and Marriages Statutory/ Ref Record Retention Period Notes Recommended

Appointment forms of registration officers 1 year after retirement Registrar General Recommended

Births Deaths and Marriage Registrars Permanent. To Archive (LMA) Recommended

Caveats against the grant of a superintendent 2 years Registrar General Recommended registrar’s certificate and licence, or Registrar General’s licence for marriage

Civil Marriage venues 1 year after removal of venue from Corporate Recommended register

Correspondence relating to false information given 4 years Registrar General Guidance Recommended to registration officers, falsification and forgery of certificates of birth, marriage or death, marriage of foreigners and persons divorced abroad.

Correspondence relating to registration of births, 4 years Registrar General Guidance Recommended marriages and deaths, correction of errors, issue of certificates under certain Acts, irregular burials

Counterfoils of certificates for disposal before or 6 years Registrar General Recommended after registration of death

Counterfoils of certificates issued at 5.20.14 7 years Registrar General Recommended

Counterfoils of certificates issued for disposal of 6 years Registrar General Recommended still births

Counterfoils of certificates issued for disposal with 6 years Registrar General Recommended no liability to register

Counterfoils of certificates issued for the purposes 3 years Registrar General Recommended of certain other Acts

Counterfoils of certificates issued relating to a 4 years Friendly Societies Act Statutory payment on the death of a child under 10

Counterfoils of certificates of registration of births 2 years Registrar General Recommended and still births

Counterfoils of forms of report of death to coroner 2 years Registrar General Recommended by registrar

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Registrar of Births Deaths and Marriages Statutory/ Ref Record Retention Period Notes Recommended

Counterfoils of requisitions to persons liable to 2 years Registrar General Recommended register who have failed to do so.

Counterfoils of Standard certificates of birth, 3 years Registrar General Recommended marriages and death

Declaration made by applications for certificates 5 years Registrar General Recommended for disposal (no liability to register)

Form 17 - Issue of books and forms of medical 5 years after last entry Registrar General Recommended certificates

Forms of appointment of authorised persons under 2 years after vacation of office Marriage Acts 1898 & 1949 Statutory the Marriage Act 1898 or the Marriage Act 1949

Forms of consent to marriages of minors 1 year Registrar General Recommended

Indexes to Births, Deaths and Marriage registers 100 years + Corporate Recommended

Marriage notices 5 years Registrar General Recommended

Notification of disposals of bodies and deceased 5 years Registrar General Recommended persons

Notification of the issue of the Registrar General’s 2 years from date of marriage Registrar General Recommended licence or licences for marriage

Registrar General’s authorities for registration after 2 years Section 7 and 21 Births & Deaths Statutory 12 months Registration Act 1953

Requisitions for certificates of birth, marriage or 2 years Registrar General Recommended death issued under certain Acts

Requisitions for certifications issued for the 7 years 1st Schedule - Industrial Assurance and Statutory purposes of the 1st Schedule to the Industrial Friendly Societies Act 1948 & 5th Assurance and Friendly Societies Act 1948 and Schedule - Friendly Societies Act 1974 the 5th Schedule to the Friendly Societies Act 1974

Statutory declaration regarding the loss or 7 years Industrial Assurances and Friendly Statutory destruction of a certificate issued under the Societies Act 1948 and the Friendly Industrial Assurances and Friendly Societies Act Societies Act 1974 and the Friendly Societies Act

Superintendent registrar’s certificates and licences 2 years from date of marriage Registrar General Recommended for marriage

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23. Social Services - Adults Adults Convicted of Any Schedule 1 Offence Statutory/ Ref Record Retention Period Notes Recommended

Adults Convicted of Any Schedule 1 Offence Permanent Retain any record or notification until Statutory the death of that person (Children and Young Persons Act 1933)

All Client Groups Statutory/ Ref Record Retention Period Notes Recommended

Short contact papers 2 years Retain papers for 2 years after the end Recommended of contact

Where a claim for damages or serious complaint 7 years Retain records for 7 years from the date Recommended arises of settlement

Family Placement - Adoptive Parents Statutory/ Ref Record Retention Period Notes Recommended

Adult Adoptees Counselled on their Origins Permanent File remains subject to 75 year rule and Recommended should be returned to fire and waterproof storage with strictly

Applicants who were not approved 20 years Retain records for 18 years from the Recommended date of the Panel's decision

Approved adoptive parents 20 years Retain records for 20 years from the Recommended youngest parent's date of birth

Family Placement - Foster Carers Statutory/ Ref Record Retention Period Notes Recommended

An approved Foster Carer decides to cease fostering 10 years from refusal, termination or Retain records for 10 years from date of Statutory cessation of service refusal, termination or cessation of service (The Foster Placement (Children) Regulations 1991).

Application to become a foster carer refused 10 years from refusal, termination or Retain records for 10 years from date of Statutory cessation of service refusal, termination or cessation of service (The Foster Placement (Children) Regulations 1991).

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Family Placement - Foster Carers Statutory/ Ref Record Retention Period Notes Recommended

Approval is terminated or registration cancelled 10 years from refusal, termination or Retain records for 10 years from date of Statutory cessation of service refusal, termination or cessation of service (The Foster Placement (Children) Regulations 1991).

Inspection/Quality Assurance - Childminders, Playgroups, Other Statutory/ Ref Record Retention Period Notes Recommended

Service ceased under normal circumstances 7 years Retain records for 7 years from the date Recommended of the service's closure

Registration refused or cancelled 10 years Retain records for 10 years from the Recommended decision to refuse or cancel registration

People with a Learning Difficulty Statutory/ Ref Record Retention Period Notes Recommended

People with a Learning Difficulty 7 years after last contact Retain case files for 7 years from the Recommended date of last contact with the client

People with a Mental Health Condition Statutory/ Ref Record Retention Period Notes Recommended

Death of a Client or Transfer of Responsibility to 7 years after last contact Retain for 7 years from the date of Recommended another Local Authority client's death or date of transfer

Elderly Clients in Residential Establishments or at 7 years after last contact Retain for 7 years from the date of Recommended home client's death or date of transfer

Protection of Property (Court of Protection) 7 years after last contact Retain for 7 years after last contact for Recommended financial audit purposes.

Those clients not subject to an order under the 7 years after last contact Retain case file for at least 7 years from Recommended Mental Health act 1983 the date which, in the opinion of the doctor concerned, the mental disorder has ceased or diminished to the point at which no further care or treatment is considered necessary; or 6 years after the death of the patient, whichever is the shorter. (DoH Guidance)

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People with a Mental Health Condition Statutory/ Ref Record Retention Period Notes Recommended

Those clients subject to an order under the 20 years after last contact Retain case file for at least 20 years Recommended Mental Health act 1983 from the date which, in the opinion of the doctor concerned, the mental disorder has ceased or diminished to the point at which no further care or treatment is considered necessary; or 6 years after the death of the patient, whichever is the shorter. (DoH)

People with a Physical Disability Statutory/ Ref Record Retention Period Notes Recommended

People with a Physical Disability 7 years after last contact Retain case files for 7 years from the Recommended date of last contact with the client

People with a Sensory Loss Statutory/ Ref Record Retention Period Notes Recommended

People with a Sensory Loss 7 years after last contact Retain case files for 7 years from the Recommended date of last contact with the client

Private Foster Carers Statutory/ Ref Record Retention Period Notes Recommended

Private Foster Carers 10 years from termination of care Retain for 10 years from the date of the Recommended ending of last private foster care arrangement or until the private foster carer's death, if earlier.

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24. Social Services - Children Adoption Records Statutory/ Ref Record Retention Period Notes Recommended

Records relating to a child or young person subject Permanent. To Archive (LMA) Retain for 75 years from adopted child Recommended to adoption proceedings and those that form the or young person's date of birth. child's green adoption file. All records held in connection with later cancelling of an adoption

Child Protection Statutory/ Ref Record Retention Period Notes Recommended

Case files for children or young people who have Permanent. To Archive (LMA) Retain case files for 75 years from the Recommended been subject to child protection investigations, child or young persons date of birth. assessments or treatments and whose names have or have not been placed on the Area Child Protection Register

Children or Young People in Need Statutory/ Ref Record Retention Period Notes Recommended

Assessment of needs and the provision of services Retain case file until child or young Retain case file until child or young Recommended to meet those needs (S17 Children Act 1989) and person attains the age of 18 years. person attains the age of 18 years.

Family support work including those whose Retain case file until child or young Retain case file until child or young Recommended children are subject to S8 Orders (Residence, person attains the age of 18 years. person attains the age of 18 years. Contact, Specific Issue or Prohibited Steps) or a S16 Family Assistance Order

Children or Young People Who Have Been Privately Fostered Statutory/ Ref Record Retention Period Notes Recommended Children or Young People Who Have Been Permanent. To Archive (LMA) Retain case file for 75 years from the Recommended (This is Privately Fostered child or young person's date of birth not required by law but is suggested as good practice, DoH Guidance, Vol 7, 1.10.5).

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Looked After Children or Young People Statutory/ Ref Record Retention Period Notes Recommended

Case files on children or young people who have Permanent. To Archive (LMA) Retain all records from the child or Recommended been either accommodated by the authority (S20 young person's first looked after episode Children Act 1989) or in the care of the authority onward for 75 years from the child or by virtue of an interim or full care order (S38 or young person's date of birth S31 Children Act 1989) Case files on children or young people who have been subject of an Emergency Protection Order (S44 Children Act

Entries on the Register of Children or young Permanent. To Archive (LMA) Retain information from the child or Recommended people placed by this authority. young person's entry on the register onwards for 75 years from the child or young persons date of birth. (Arrangements for Placement of Children (General) Regulations, 1991)

Statutory Supervision Statutory/ Ref Record Retention Period Notes Recommended

Supervision Orders made either under Family or 7 years after last contact Retain case file for 7 years after the last Recommended Criminal proceedings (S33(1) Children Act 1989 contact with children or young person. and S7(7)(b) Children and Young Persons Act 1969 as amended by the Children Act 1989 and by the Criminal Justice Act 1988).

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25. Transport and Infrastructure Design and Construction Statutory/ Ref Record Retention Period Notes Recommended

Records created in the design and construction of Permanent. To Archive (LMA) Recommended roads, streets, bridges and tunnels

Enforcement of Infrastructure and Transport Regulations Statutory/ Ref Record Retention Period Notes Recommended

Notices 50 years after enforcement notice Recommended

General Income Records Statutory/ Ref Record Retention Period Notes Recommended

Parking permit information 3 years electronic, paper 1 year after Recommended date of application

Highway Agreements Statutory/ Ref Record Retention Period Notes Recommended

Highway agreements 7 years after date of agreement Recommended

Permanent road closures Review after 10 years and reduce to Recommended order and map. Second review at 20 years to check if order has been superseded.

Infrastructure Management and Maintenance Statutory/ Ref Record Retention Period Notes Recommended

Advice / comment 7 years after last action Recommended

Applications to dig up pavements 7 years after last action Recommended

Bridge structures 7 years after last action Recommended

Bus shelters 7 years after last action Recommended

Car parks 7 years after last action Recommended

74

Infrastructure Management and Maintenance Statutory/ Ref Record Retention Period Notes Recommended

Footway crossing applications 7 years Recommended

HGV application 7 years after last action Recommended

Highways 7 years after last action Recommended

Level crossings 7 years after last action Recommended

Naming of streets 7 years after last action Recommended

Numbering of houses 7 years after last action Recommended

Records created in the maintenance and repair of 12 years after last action completed Recommended roads, streets, bridges, bridle paths, rights of way and tunnels

Requests for Hedge clipping 7 years after last action Recommended

Right of ways 7 years after last action Recommended

Roundabouts 7 years after last action Recommended

Street files 7 years after last action Recommended

Street lighting 7 years after last action Recommended

Street load limits 7 years after last action Recommended

Street records 7 years after last action Recommended

Street signs 7 years after last action Recommended

Traffic 7 years after last action Recommended

Traffic calming measures 7 years after last action Recommended

Traffic Orders 7 years after action completed Recommended

Tree planting 7 years after last action Recommended

Public Transport Statutory/ Ref Record Retention Period Notes Recommended

Customer and industry liaison 3 years after superseded or last action Recommended

75

Public Transport Statutory/ Ref Record Retention Period Notes Recommended

Fares 3 years after superseded or last action Recommended

Maps 3 years after superseded or last action Recommended

Timetables and routes 3 years after superseded or last action Recommended

76


26. Waste Management Waste Management Statutory/ Ref Record Retention Period Notes Recommended

Collection records (controlled waste) Permanent. Offer to Archive (LMA) Recommended

Collection records (household waste) 2 years after last action Recommended

Drainage Review every 3 years, Only valid Recommended information to be retained

Record of short term storage of household waste at 10 years after site closure Recommended transfer sites

Summary management records - Disposal sites Permanent. Offer to Archive (LMA) Recommended

Trade refuse 1 year after expiry of agreement Recommended

Waste site plans Permanent. Offer to Archive (LMA) Recommended