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Easing of Coronavirus restrictions

Retention schedule


Introduction 

Staffordshire County Council is required by the Lord Chancellor’s Code of Practice on the Management of Records issued under Section 46 of the Freedom of Information Act 2000 to have and to implement a records retention and disposal schedule. This document sets out details about all the records created and kept by us, or our commissioned partners, in such a way that decisions can be made about identifying and disposing of them on a routine and timely basis.

Implementing the requirements detailed in this document is also a requirement of the SCC Records Management Policy.

This retention and disposal schedule has been produced in consultation with departments primarily responsible for the business activities and key stakeholders in the processes to establish the legal and regulatory requirements, and business needs on which record retention and disposal policies are based.


 

Scope 

This retention and disposal schedule applies to all documents defined as records ‐ ‘Information created, received and maintained as evidence and information by an organisation or individual, in pursuance of legal obligations or in the transaction of business’ i.e. evidence of SCC’s actions, transactions, decisions and agreements.

The retention requirements listed here apply to all records irrespective of media and format, or the system(s) in which the records are held, and should be applied to all copies including backups.

Divergence from the retention and disposal schedule may be appropriate in certain circumstances. For example, a pending or actual legal action, change of legislation or regulation, or legitimate business need. Any divergence requires liaison with the Information Governance Unit and authorisation by the Head of Information Governance Unit.


Responsibilities 

Business unit managers and team leaders are responsible for ensuring:

  • Record retention policies are implemented in their unit/team, supported by written procedures. 
  • Recordkeeping systems and arrangement of records enable identification of records due for disposal.
  • Records due for disposal are routinely identified and reviewed to ensure they are no longer required.
  • Divergence from Records Retention and Disposal Policy is authorised and the Information Governance Unit is notified of changes.
  • Staff dispose of records only in accordance with policies set out in this document.
  • Records are disposed of appropriately considering their sensitivity, security classification and the media and format(s) in which they are held in line. 
  • ICT Equipment and storage media are disposed of securely ensuring all records, data and information are removed in such a way that it is not recoverable.
  • Records of potential historic interest or research value are identified and transferred with agreement to Staffordshire County Council Archive Service.
  • Evidence of the disposal process is kept 

All staff are responsible for:

  • Following procedures and guidance for managing, retaining and disposing of records.
  • Only disposing of records in accordance with the requirements outlined in this document (if authorised to do so).
  • Ensuring that any proposed divergence from records retention and disposal policies is authorised

Legal requirements

Each entry in the retention and disposal schedule details the specific legislation, regulations, guidelines or codes of practice that stipulate or recommend how long records must be kept before they are disposed of. Where no such legislation or guidance exists, SCC Directorates have been consulted to determine the retention requirements that best suit each business activity.

Some overarching legislation requires that records be kept for a certain amount of time and applies to all Directorates and sections of the County Council. These include:

The Data Protection Act 1998

Principle 5 states that:

“Personal data processed for any purpose or purposes shall not be kept for longer than is necessary for that purpose or those purposes.” 

The Freedom of Information Act 2000

The Act requires us to make information available to the public unless specific exemption(s) apply. The Code of Practice issued under 46 of the Act sets out rules on how we should manage records and information, including responsibilities on all staff to implement records retention and disposal schedules.

The Local Government Act 2000

S.22 requires that written records of a local authority executive, or a committee of such an executive are be made available to the public. 


Independent inquiry into child sexual abuse 

On Thursday 12 March 2015 the Home Secretary established a statutory inquiry under the 2005 Inquiries Act with the aim of conducting an overarching national review of the extent to which institutions in England and Wales have discharged their duty of care to protect children against sexual abuse.

The Inquiry is independent of government. It is supported by a Panel, Victims and Survivors Consultative Panel, and other expert advisers. The Inquiry will cover England and Wales. A wide range of public institutions will be investigated including local authorities, the police, the armed forces, schools, hospitals, children’s homes, churches, and charities.

On 2nd July 2015 Justice Goddard wrote to John Henderson, as well as every Chief Executive of a Local Authority in England and Wales, requesting that the organisation: 

‘retain any and all documents; correspondence; notes; emails and all other information – however held – which contain or may contain content pertaining directly or indirectly to the sexual abuse of children or to child protection and care. For the purposes of this appendix, the word “children” relates to any person under the age of 18.’ 

The Head of Information Governance has been directed by the Chief Executive to lead on the Authority’s response to the Goddard Inquiry. 

We must not destroy, and must make available for inspection, all reports, reviews, briefings, minutes, notes and correspondence in relation to – 

  • allegations (substantiated or not) of individuals, organisations, institutions, public bodies or otherwise who may have been involved in, or have knowledge of, child sexual abuse, or child sexual exploitation
  • allegations (substantiated or not) of individuals having engaged in sexual activity with, or having a sexual interest in, children
  • institutional failures to protect children from sexual abuse or other exploitation
  • statutory responsibilities for the care of children in public or private care
  • the development of policy on child protection
  • the development of legislation on child protection
  • the determination of the award of Honours to persons who are now demonstrated to have had a sexual interest in children or are suspected of having had such an interest.

All of these document types – in whatever format – must be “retained pending further requests from the Inquiry”

Although SCC records retention schedules are very clear on the destruction dates of files, the instructions received by the Inquiry constitute a legal hold as defined by section 12.3 of the code of practice issued under Section 46 of the Freedom of Information Act. As such all records that fall within the above categories are retained, and not destroyed, until we are directed otherwise. 

For any advice on clarification on whether records can be destroyed or are covered by the Inquiry retention hold, consult the Information Governance Unit at infogov@staffordshire.gov.uk


Retention at a glance

 This section is intended to provide a quick reference guide to records retention periods. However, it does not give the full details of retention requirements, triggers, disposal actions and codes of practice, nor the authorities requiring or guiding retention periods. For full details please consult the Retention and Disposal Policies section of this schedule.

Adult health and care

  • Accommodation Support - 6 years after no longer in receipt of service
  • Case Management - 6 years after no longer in receipt of services
  • Community Living and Disabilities Support - 6 years after no longer in receipt of service
  • Mental Health Support - 20 years after end of treatment or service provision or 8 years after death
  • Vulnerable Adult Protection and Support - 6 years after no longer in receipt of service

Children and families

  • Adoptions Management - 100 years from date of adoption order
  • Case Management - Until service user’s twenty fifth birthday
  • Children in Need and Education Support - Until service user’s twenty fifth birthday
  • Foster Carer Supervision and Support (Unsuccessful or withdrawn applicants) - 3 years from decision or withdrawal
  • Foster Carer Supervision and Support (Successful applicants) - 10 years from termination of approval
  • Looked After Children - Until service user’s seventy fifth birthday
  • Residential Homes Management and Administration - 15 years from date created
  • Safeguarding Until service user’s twenty fifth birthday
  • SEN Assessment and Support - Until service user’s thirty first birthday
  • Targeted Intervention and Support - Until service user’s twenty fifth birthday
  • Youth Offender Support and Supervision - Until service user’s twenty fifth birthday

Community safety

  • Animal Health and Welfare Inspection and Monitoring - 6 years after site closure, change of use or keep until SCC no longer responsible for function
  • Civil Emergency Planning and Response - 3 years after date created
  • Complaint Investigation and Enforcement - 6 years after resolution, end of enforcement action or sentence period
  • Fair Trading Inspection and Monitoring - 6 years after site closure, change of use or until SCC no longer responsible for function
  • Safety Registration and Licensing - 6 years after expiry of license or registration
  • Sample and Product Testing - 6 years after date created

Democracy

  • Civic Offices Support - 6 years after date created
  • Decision Making - 6 years after date created
  • Electoral System Support - 1 years after date created
  • Member Support - 6 years after date created 

Education

  • Admissions and Transfers Processing - 6 years after end of academic year
  • Appeals Administration - 6 years after end of appeal process
  • School Capacity Planning - 6 years after review, decision not to proceed or completion of implementation

Environmental protection

  • Advice Provision - 6 years after date created
  • Complaint Investigation and Enforcement - 6 years after resolution, end of enforcement action or sentence period
  • Historic Enforcement Protection and Improvement - Keep until SCC no longer responsible for function
  • Natural Environment Protection and Improvement - Keep until SCC no longer responsible for function 

Finance

  • Accounting and Reporting - 6 years after end of financial year
  • Banking Administration - 6 years after end of financial year
  • Budgets Management - 6 years after end of financial year
  • Charities and Trusts Administration (Administrative records) - 6 years after end of financial year
  • Charities and Trusts Administration (Deeds and instruments) - Transfer after wound‐up
  • Financial Planning - 6 years after end of planning period or strategy superseded
  • External Funding Acquisition - Minimum 6 years after end of funding period or as required by funding body
  • Grant Funding Administration - Minimum 6 years after end of funding period or as required by funding body
  • Income Processing - 6 years after end of financial year
  • Loans and Leasing Administration - 6 years after settlement or end of lease
  • Payroll Administration - 6 years after end of financial year
  • Pension Fund Management - 6 years after end of scheme
  • Pension Scheme Administration - 6 years after death of last known beneficiary of member
  • Procurement (Unsuccessful tenders) - 1 year after contract awarded
  • Procurement (Awarded contracts) 6 /12 / 15 years after end of contract
  • Purchasing and Payment Processing - 6 years after end financial year
  • Taxes Management - 6 years after end of tax year 

Health and safety

  • Accident and Incident Reporting and Investigation (Adults) - 3 years after investigation
  • Accident and Incident Reporting and Investigation (Children) - 21 years after date of birth
  • Advice Provision - 6 years after date created
  • Hazardous Substances Management - 100 years after date created
  • Health Surveillance and Exposure Monitoring (identifiable individuals) Until seventy fifth birthday or 40 years after last medical assessment (50 years if exposed to ionising radiation)
  • Health Assessment - 6 years after last assessment
  • Pre‐employment health screening - 1 year after date created
  • Risk Assessment - 6 years after assessment superseded 

Human resources

  • Attendance and Time Recording - 2 years after date created
  • Employment Contracts Management - 6 years after end of SCC employment
  • Disciplinary and Grievance Procedures Administration - 6 years after end of SCC employment
  • Disclosure and Barring Service Checking (DBS reports) - 6 months after receipt
  • Disclosure and Barring Service Checking (Records of checking) - 6 years after termination of relevant contract
  • Industrial Relations Management - 10 years after date created or end of agreement
  • Performance Monitoring and Review - 6 years after date created
  • Recruitment and Termination Administration (Unsuccessful candidates) - 1 year after recruitment decision
  • Recruitment and Termination Administration (Successful candidates) - 6 years after end of SCC employment
  • Sickness Absence Management - 6 years after end of SCC employment
  • Leave Administration - 3 years after end of financial year
  • Staff Training (Individual training records) - 6 years after end of SCC employment
  • Training Provision (Course administration) - 6 years after date created
  • Training Provision (Course content) - 6 years after superseded or course no longer provided

Information and communication technology

  • ICT Service Design - 6 years after date created
  • ICT Service Operation - 1 year after date created
  • ICT Service Transition - 6 years after date created 

Information management

  • CCTV Recording - 31 days after recording
  • Information Access Management - 5 years after date created
  • Information Security Management - 3 years after date created
  • Records Storage Management - Lifetime of organisation
  • RIPA Management - Central Records, 1 year after inspection. Originals, 6 years after prosecution.
  • Voice Call Recording - 6 months after recording

Leisure and culture

  • Collections Access Management - 6 years after date created
  • Collection Acquisition (Surveys and unsuccessful bids) - 6 years after decision not to acquire or unsuccessful bid
  • Collection Acquisition (Acquired items) - Lifetime of deposit
  • Collections and Stock Management - Lifetime of deposit or library stock item
  • Reader, Membership and Loans Administration - 1 year after end of membership, account inactive or loan return 

Management

  • Business Planning - 6 years after date created
  • Communications Management and Marketing - 7 years after date created
  • Complaints Management (Service complaints) - 6 years after resolution
  • Consultation and Engagement - 6 years after date created
  • Events Management - 6 years after event
  • Feedback Processing - 2 years after date created
  • Performance Monitoring and Reporting - 6 years after date created
  • Policy and Procedures Development - 6 years after superseded
  • Research and Analysis (Raw data) - Out of date and/or no longer required
  • Research and Analysis (processed data, analysis and interpretation) - 6 years after date created
  • Strategic Planning - 6 years after superseded
  • Transformation and Change Management - 6 years after date created

Physical Assets and Property 

  • Equipment Management - 6 years after disposal of equipment
  • Facilities Management - 1 year after date created
  • Land Access Agreements and Licensing - 6 years after expiry of agreement or licence
  • Staffordshire County Council Land and Premises Acquisition and Disposal - 15 years after disposal of land or premises
  • Land Management - 12 years after end of SCC responsibility for site
  • Land Reclamation Scheme Management - 15 years after end of SCC responsibility for site
  • Premises Design and Construction Supervision - 15 years after completion or after SCC no longer responsible for premises, site or structure
  • Vehicle and Fleet Maintenance - 6 years after disposal of vehicle 

Risk Management and Insurance Administration

  • Audit - 6 years after audit or investigation or legal action
  • Business Continuity Planning - 6 years after superseded
  • Insurance Claims Administration - 6 years after settlement or repudiation but not before claimant reaches age of 24
  • Insurance Claims Administration (Subsidence claims) - 100 years after settlement or repudiation
  • Insurance Policy Administration (Liability) - 40 years after end of policy
  • Insurance Policy Administration (Non‐ liability) -10 years after end of policy

Transport and Infrastructure 

  • Highway Asset Management -15 years after end of life of structure
  • Highway Adoption and Dedication - Keep until end of SCC responsibility for function
  • Highway Maintenance - 6 years after date created
  • Highway Scheme Delivery - 15 years after completion or keep until SCC no longer responsible for function
  • Highway Works Regulation - 6 years after expiry of permit, or change to, or removal of licensed structure
  • Passenger Transport Management - 6 years after date created
  • Rights of Way - Keep until SCC not responsible for function
  • Traffic Management - 6 years after date created
  • Traffic Regulation - 6 years after extinguishment or expiry of order

 

Retention and disposal policies 

Policies contained within this schedule give details of records retention periods, criteria triggering the start of the retention period or disposal action, disposal action and the authority, for example, legislation, regulation, codes of practice or guidance requiring or forming the basis for keeping records.

Divergence from the retention and disposal schedule may be appropriate in certain circumstances. For example, a pending or actual legal action, investigation or inquiry, change of legislation or regulations, or to support legitimate business need. 

Any divergence from policies contained in this schedule requires liaison with the Information Governance Unit and authorisation of the Head of Information Governance.

Adult health and care

Accommodation support 

  • Retention: Retain records 6 years after no longer in receipt of accommodation services 
  • Disposal: Destroy
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of a simple contract under Limitation Act 1980 s.5 and recommended by the DoH Guidance to Social Services
  • Scope: Placement planning, residential and nursing care, supported accommodation and lodgings provision

Case management

  • Retention: Retain records 6 years after longer in receipt of services
  • Disposal: Destroy
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of a simple contract under Limitation Act 1980 s.5 and recommended by the DoH Guidance to Social Services
  • Scope: Management and administration of adult health and care cases includingenquiry processing, referral, needs assessment, care and support planning, key information recording. 

Community living and disability support

  • Retention: Retain records 6 years after no longer in receipt of community and disability services 
  • Disposal: Destroy
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of a simple contract under Limitation Act 1980 s.5 and recommended by the DoH Guidance to Social Services 
  • Scope: Collection of benefits, day care and meals, administration of personal allowances, housing needs and adaptation support, personal care, occupational therapy, learning disabilities, rehabilitation, provision of equipment and carer support Excluding education support

Mental health support

  • Retention: Retain records 20 years after no longer in receipt of services, or 8 years after the patient’s death if the patient died while receiving treatment
  • Disposal: Destroy
  • Authority: NHS Records Management Code of Practice for Health and Social Care 2016
  • Scope: Mental health case records including psychological assessment records

Vulnerable adult protection and support

  • Retention: Retain records 6 years after no longer in receipt of protection and support services. 
  • Disposal: Destroy
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of a simple contract under Limitation Act 1980 s.5 and recommended by the DoH Guidance to Social Services
  • Scope: Investigation and protection planning, guardianship and receivership administration 

Children and families 

Adoptions management

  • Retention: Retain records for 100 years from date of adoption order. 
  • Disposal: Destroy (See IICSA retention hold advice p.4)
  • Authority: Requirement to maintain “Section 56 information” taken from The Disclosure of Adoption Information (Post‐ Commencement Adoptions) Regulations 2005.
  • Scope: The guidance on adoption for local authorities published by the DfE in 2014 specifies “Section 56”information that is covered by the 100 year retention rule as being:
    • Identifying information about the child, the birth parents, other birth relatives, adoptive parents and any other people involved in the adoption such as foster carers and professionals
    • Background information including the child’s birth and medical history, education, and development
    • Information supplied by the birth parent and other birth relatives including photographs, and letters
    • Information supplied by the adoptive parent(s) after the adoption
    • Information supplied by any foster carer
    • Information that the adopted person has asked to be kept, this would include their views on any contact
    • A copy of the child’s permanence record (CPR)
    • The prospective adopters’ report
    • Written record of the proceedings of the adoption panel and the agency decision
    • Any consent to placement and placement orders and any withdrawal of consent
    • The Adoption Placement Report
    • The Adoption Support Plan
    • The Adoption Placement Plan
    • Any other information the agency considers necessary to keep In addition 
    • Care leaver support records

Case management

  • Retention: Retain records until service user's 25th birthday (unless Looked After, SEN, or Adopted ‐ see other entries)
  • Disposal: Destroy (See IICSA retention hold advice p.4)
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of a simple contract under Limitation Act 1980 s.5 and recommended by the DoH Guidance to Social Services
  • Scope: Management and administration of children & families cases, including: enquiry processing, referral, needs assessment, care and support planning, key information recording

Children in need and education support

  • Retention: Retain records until service user's 25th birthday (unless Looked After, SEN, or Adopted ‐ see other entries)
  • Disposal: Destroy (See IICSA retention hold advice p.4)
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of a simple contract under Limitation Act 1980 s.5 and recommended by the DoH Guidance to Social Services
  • Scope: Parent and family education support, childcare provision and monitoring, support of gifted and talented children, post‐16 support, physical and sensory disability support, psychological and behavioural support and assessment

Foster carer supervision and support

  • Retention: Retain application and assessment records for unsuccessful applicants 3 years from application withdrawal or refusal. Retain records of successful applicants 10 years end of last placement is terminated after carer ceases to provide care. 
  • Disposal: Destroy (See IICSA retention hold advice p.4)
  • Authority: Foster Placement (Children) Regulations 1991 s.14 / Fostering Services Regulations 2002 s.32
  • Scope: Foster carer enquiry, application and assessment records, case files and statutory register maintenance

Looked after children support

  • Retention: Retain records until service user’s seventy fifth birthday
  • Disposal: Destroy (See IICSA retention hold advice p.4)
  • Authority: Arrangement for the Placement of Children (General) Regulations 1991 s.9 and Care Planning, Placement and Case Review (England) Regulations 2010 s.50
  • Scope: The Care Planning, Placement and Case Review (England) Regulations 2010 s.50 specifies (in s.49 – “Establishment of Records”) that the case records of a Looked After Child, retained until the child’s seventy fifth birthday, must include: 
    • care plan, including any changes made to the care plan and any subsequent plans
    • reports obtained under regulation 7
    • any other document created or considered as part of any assessment of child’s needs, or of any review of child’s case
    • any court order relating to c
    • details of any arrangements that have been made by the responsible authority with any other local authority or with an independent fostering agency under regulation 26 and Schedule 5, or with a provider of social work services, under which any of the responsible authority’s functions in relation to care are discharged by that local authority or independent fostering agency or provider of social work services In addition
    • Care leaver support records

Residential homes management and administration

  • Retention: Retain records 15 years from created
  • Disposal: Destroy (See IICSA retention hold advice p.4)
  • Authority: Children’s Homes Regulations 1991 s.17
  • Scope: Management and administration of children’s residential homes including records and registers relating to multiple residents Including: records specified within schedule 3 of the regulations – Admission and discharge, accidents, administration of medicinal products, money and valuable deposited for safekeeping, disciplinary records and daily log of events. In addition record of persons employed by or working at children’s home, duty rotas, record of other persons resident at the home and accounts. 

Safeguarding

  • Retention: Retain records until service user's twenty fifth birthday (unless Looked After or Adopted, see other entries)
  • Disposal: Destroy (See IICSA retention hold advice p.4)
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of a simple contract under Limitation Act 1980 s.5 and recommended by the DoH Guidance to Social Services. 
  • Scope: Child Protection administration, referrals and management, child sexual exploitation investigation, allegations and causes for concern about carers / adopters, medical arrangements, court case preparation and orders, liaison with police and other agencies.

SEN assessment and support

  • Retention: Retain records until end of academic year in which service user’s thirty first birthday occurs
  • Disposal: Destroy (See IICSA retention hold advice p.4)
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of a simple contract under Limitation Act 1980 s.5 and requirements of Children and Families Act 2014 s.46 
  • Scope: Special Educational Needs (SEN) assessment and statementing including Education Health Plans (EHC) and education support. 

Targeted intervention and support

  • Retention: Retain records until service user's twenty fifth birthday (unless Looked After, SEN, or Adopted ‐ see other entries).
  • Disposal: Destroy (See IICSA retention hold advice p.4)
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of a simple contract under Limitation Act 1980 s.5 and recommended by the DoH Guidance to Social Services
  • Scope: Eligibility and assessment records, requests for support, consent, children missing education, intensive prevention

Youth offender supervision and support

  •  Retention: Retain records until service user's twenty fifth birthday
  • Disposal: Destroy (See IICSA retention hold advice p.4)
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of a simple contract under Limitation Act 1980 s.5. and recommended by the Youth Justice Board Guidance 2014
  • Scope: Young offender case management, bail and remand supervision, education, health, safeguarding assessment and intervention, and public protection assessment intensive supervision and surveillance, and restorative justice and reparation management, parent and carer support

Community safety 

Animal health and welfare inspection and monitoring

  • Retention: Retain records 6 years after closure or change of use of site or SCC no longer responsible for function
  • Disposal: Destroy / Transfer to new authority
  • Authority: SCC business need
  • Scope: Animal health and welfare inspection and monitoring Excluding complaint investigation and enforcement, and registration and licensing

Civil emergency planning and response 

  • Retention: Retain records 3 years after date created
  • Disposal: Destroy
  • Authority: Based on a 3 year timescale in which an action can be brought in the case of personal injury or property damage under Limitation Act 1980 s.11
  • Scope: Emergency response planning, exercise planning and operation, incident response and recovery management, and review

Complaint investigation and enforcement

  • Retention: Retain records 10 years after resolution, end of enforcement action or sentence period
  • Disposal: Destroy
  • Authority: UK Police Information Management Standards / Criminal Procedure and Investigations Act 1996 (section 23(1)) Code of Practice
  • Scope: Complaint investigation, investigation operations, intelligence gathering, formal notification and prosecution, property and sample seizure

Fair trading inspection and monitoring 

  • Retention: Retain records 6 years after closure or change of use of site or SCC no longer responsible for function
  • Disposal: Destroy / Transfer to new authority
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of tort under Limitation Act 1980 s.2
  • Scope: Fair trading monitoring and inspection Excluding, complaint investigation and enforcement, and registration and licensing

Safety registration and licencing

  • Retention: Retain records 6 years after expiry or revocation of licence or registration
  • Disposal: Destroy
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of a simple contract under Limitation Act 1980 s.5
  • Scope: Registration, licensing and safety certification of sites, sellers, animal movement licensing,  animal trainer and exhibitor licensing, public weighbridge operators, sports ground licensing

Sample and product testing

  • Retention: Retain records 6 years after date created
  • Disposal: Destroy
  • Authority: SCC business need based on maintaining records as contractual evidence based on Limitation Act 1980 s.5  or negligence under  Limitation Act 1980 s.14A
  • Scope: Testing and analysis of samples and products Including sample receipt, handling and storage,  testing and analysis, testing methodologies, reports, sample return or disposal

Democracy 

Civic offices support

  • Retention: Retain records 6 years after date created
  • Disposal: Destroy
  • Authority: Local Government (Access to Information) Act 1985 s.50c
  • Scope: Provision of support to the Chair and Vice Chair in relation to their civic functions Including: Events arrangement, event attendance administration, civic gift giving and receiving, civic exchanges administration 

Decision making

  • Retention: Retain records 6 years after date created
  • Disposal: Transfer signed master copies to SRO / Destroy duplicate   and reference copies
  • Authority: Local Government (Access to Information) Act 1985 s.50c   / The Local Authorities (Referendums)(Petitions)(England) Regulations 2011 s.12
  • Scope: Management, administration and support for the democratic decision making process including administration and support for Council and Cabinet, administration, support for scrutiny and overview function, administration of submission of reports and responses, administration of membership of committees and working groups, recording of appointments to external bodies and petition processing  Excluding support for individual Members

Electoral system support

  • Retention: Retain records 1 year after date created
  • Disposal: Destroy
  • Authority: Based on a 1 year timescale in which an action can be brought under the Representation of the People Act 1983 s.76
  • Scope: Provision of support for the county electoral system including provision of electoral process advice, appointment of returning officers and verification of electoral expenses

Member support

  • Retention: Retain records 6 years after date created
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Provision of support to Members Including processing of member requests for information, advice and research, maintenance of member information

Education 

Admissions and transfers processing

  • Retention: Retain records 6 years after end of academic year
  • Disposal: Destroy
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of tort under Limitation Act 1980 s.2
  • Scope: Primary, secondary school admissions and transfers Excluding appeals processing

Appeals administration

  • Retention: Retain records 6 years after end of appeals process
  • Disposal: Destroy
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of tort under Limitation Act 1980 s.2
  • Scope: Administration of appeals panels and council case preparation including school exclusions, admissions, Statementing and home‐school transport appeals, excluding advocacy and parental support relating to appeals processes

School capacity planning

  • Retention: Retain records 6 years after date of end of review, decision not to proceed or completion of Implementation
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Review of school places including development and submission of proposals for expansion or reduction in capacity of local authority maintained schools and changes to school catchment areas

Environment 

Advice provision

  • Retention: Retain records 6 years after date created
  • Disposal: Destroy
  • Authority: Based on a 6 year period in which an action can be brought in the case of negligence under Limitation Act 1980 s.14A
  • Scope: Provision of environmental management, protection and improvement advice

Complaint investigation and enforcement 

  • Retention: Retain records 10 years after resolution, end of enforcement action or sentence period
  • Disposal: Destroy
  • Authority: SCC business need based on UK Police Information Management Standards  
  • Scope: Complaint investigation, informal resolution, and enforcement action

Historic environment protection and improvement 

  • Retention: Retain records until SCC no longer responsible for function
  • Disposal: Transfer to new authority
  • Authority: SCC business need
  • Scope: Planning, monitoring and review,  protection and improvement scheme management,  surveying, monitoring and analysis, and historic environment records maintenance Excluding planning application consultation

Natural environment protection and improvement 

  • Retention: Retain records until SCC no longer responsible for function
  • Disposal: Transfer to new authority
  • Authority: SCC business need
  • Scope: Protection and improvement scheme management and monitoring Environmental consents, strategic planning, surveying, monitoring and analysis including geological and landscape sites, species and habitat  Excluding planning application consultation

Finance 

Accounting and reporting 

  • Retention: Retain records 6 years after the end of the financial year in which records created
  • Disposal: Destroy
  • Authority: Companies Act 2006  and   Value Added Tax Act 1994 s.6 and Finance Act 1998 Sch.18 pt. 3
  • Scope: Statutory, corporate and management accounts, abstracts, ledgers, budgetary control records. 

Banking administration 

  • Retention: Retain records 6 years after the end of the financial year in which records created
  • Disposal: Destroy
  • Authority: Companies Act 2006  and   Value Added Tax Act 1994 s.6 and Finance Act 1998 Sch.18 pt. 3
  • Scope: Bank accounts administration including instruction and payments, bank deposits, account monitoring and reconciliation

Budgets management 

  • Retention: Retain records 6 years after the end of the financial year in which records created
  • Disposal: Destroy
  • Authority: Companies Act 2006  and   Value Added Tax Act 1994 s.6 and Finance Act 1998 Sch.18 pt. 3
  • Scope: Management of capital and revenue budgets  

Charities and trusts administration

  • Retention: Retain administrative records 6 years after the end of the financial year in which records created  / Retain trust deeds and charity and endowment instruments until charity, trust or endowment wound up
  • Disposal: Destroy Transfer records to Archives Service.
  • Authority: SCC Business need based on 6 year period for which annual reports and all supporting documents must be retained under Charities Act 2011 s.165 / SCC business need
  • Scope: Administration of charity, trust and endowment for which SCC acts as trustee including annual reports, deeds, instruments, winding‐up records

External funding acquisition

  • Retention: Retain records a minimum of 6 years after the end of funding period unless otherwise specified by external funding body
  • Disposal: Destroy
  • Authority: Funding body requirements
  • Scope: Identification of funding opportunities and resources, development and submission of bids, management of funding resources, monitoring and reporting of outcomes to funding body Excluding grant funding administration

Financial planning

  • Retention: Retain records 6 years after the end of planning period or strategy superseded  
  • Disposal: Destroy
  • Authority: Companies Act 2006  and   Value Added Tax Act 1994 s.6 and Finance Act 1998 Sch.18 pt. 3
  • Scope: Strategic medium and long  term financial planning

Grant funding administration 

  • Retention: Retain records minimum of 6 years after end of funding or monitoring period or  period specified by funding body
  • Disposal: Destroy
  • Authority: SCC Business need or funding body requirements
  • Scope: Processing and assessment of applications for grant funding, administration of funding payments, financial and outcome monitoring and reporting

Income processing

  • Retention: Retain records 6 years after the end of the financial year in which records created
  • Disposal: Destroy
  • Authority: Companies Act 2006  and   Value Added Tax Act 1994 s.6 and Finance Act 1998 Sch.18 pt. 3
  • Scope: Processing income received for supply of goods and services, posting slips, tabulations, income records, receipt books, debtor accounts, cash books, till rolls

Loans and leasing administration

  • Retention: Retain records 6 years after end lease period or settlement of loan
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope:  Processing of staff loan and leasing applications, administration of loans, repayments and leasing

Payroll administration

  • Retention: Retain records 6 years after the end of the financial year in which records created  
  • Disposal: Destroy
  • Authority: Taxes Management Act 1970 s.34
  • Scope:  Transactional HR records  including expenses and allowances claims, changes to pay, increments,  loss of earnings, statutory and non‐statutory payments and deductions, additional hours claims redundancy payments, income tax and national insurance records

Pension fund management

  • Retention: Retain records 6 years after the end of scheme 
  • Disposal: Destroy
  • Authority: The Retirement Benefits Schemes (Information Powers) Regulations 1995 s.15
  • Scope: SCC pension fund  management records including fund management strategy, policy and guidance influencing decisions  Excluding accounting and reporting

Pension scheme administration

  • Retention: Retain records 6 years after death of last known beneficiary of member
  • Disposal: Destroy
  • Authority: The Retirement Benefits Schemes (Information Powers) Regulations 1995 s.15
  • Scope: Records of member and employer  pension contributions, member notifications  administration of pension benefit  payments to scheme members, repayment of contributions  to members withdrawing from scheme including copies of legislation, regulation, guidance notices, policies affecting contributions and payments (Note: documents may that may not be readily available from other sources in the long‐term)

Procurement

  • Retention: Retain unsuccessful tenders  1 year after contract award decision / Retain awarded contract records   6 years (signed – ‘simple contracts’)   12 years (under seal)   15 years (conveyancing)   after end of contract, substantial completion, or end of overage or clawback period as applicable
  • Disposal: Destroy
  • Authority: Retention of unsuccessful tenders – SCC business need / The authority for awarded contracts depends on the nature or value of contract   Limitation Act 1980 s.5   or Limitation Act 1980 s.8 or Limitation Act 1980 s.14B
  • Scope: Pre‐tender planning, tender process , contract award and contract management including pre‐qualification questionnaires, requests for information, invitations to tender, tender evaluation, tender negotiation, supplier approval, bids and correspondence 

Purchasing and payment processing 

  • Retention: Retain records 6 years after the end of the financial year in which records created  
  • Disposal: Destroy
  • Authority: Companies Act 2006  and   Value Added Tax Act 1994 s.6 and Finance Act 1998 Sch.18 pt. 3
  • Scope: Orders, credit notes, creditor invoices, delivery notes, payment records, records of advances

Taxes management

  • Retention: Retain records 6 years after the end of the tax year to which records relate
  • Disposal: Destroy
  • Authority: Taxes Management Act 1970 s.34
  • Scope: Payment of collected taxes and National Insurance contributions to H.M. Revenue and Customs and claims and negotiation of refunds for e.g. overpayment Excluding transactional HR records 

Health and safety 

Accident and incident reporting and investigation (adults) 

  • Retention: Retain records 3 years after end of investigation
  • Disposal: Destroy
  • Authority: Social Security (Claims and Payments) Regulations 1979, Reg. 25(3) / Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995, Reg. 7.
  • Scope: Reporting and investigation of accidents or incidents, accidents, violent or aggressive conduct involving adults

Accident and incident reporting and investigation (children) 

  • Retention: Retain records 21 years after date of birth
  • Disposal: Destroy
  • Authority: Social Security (Claims and Payments) Regulations 1979, Reg. 25(3)  /  Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995, Reg. 7.
  • Scope: Reporting and investigation of accidents or incidents, accidents, violent or aggressive conduct involving children

Advice provision

  • Retention: Retain records 6 years after date created
  • Disposal: Destroy
  • Authority: Based on a 6 year period in which an action can be brought in the case of negligence under Limitation Act 1980 s.14A
  • Scope: Provision of health and safety advice and support

Hazardous substances control

  • Retention: Retain records 100 years after date created / Retain records until disposal or demolition of affected premises or end of operations involving hazardous substances
  • Disposal: Destroy / Transfer copy to new owner of premises at disposal
  • Authority: Based on a period in which an action can be brought in the case of negligence under Limitation Act 1980 s.14A and Control of Substances Hazardous to Health   Regulations 2002 Reg. 10 (5) / Control of Lead at Work Regulations 2002 Reg.10, / Control of Asbestos Regulations 2012 Reg.22 / Ionising Radiations Regulations 1999 Reg. 24
  • Scope: Surveying, testing, identification, monitoring, risk assessment, management plans, records of control measures plans of work, licenses, notifications of works  and remediation or demolition works including work operations and processes involving hazardous substances Excluding individual health surveillance and exposure monitoring

Health surveillance and exposure monitoring 

  • Retention: Retain identifiable individual’s records until 75th birthday or 40 years after last medical assessment or exposure monitoring period (50 years if working with or exposed to ionising radiation)
  • Disposal: Destroy Note: Should SCC cease to exist monitoring records should be provided to Health and Safety Executive (HSE)
  • Authority: Control of Substances Hazardous to Health   Regulations 2002 Reg. 10 (5)   Control of Lead at Work Regulations 2002 Reg.10,   Control of Asbestos Regulations 2012 Reg.22 Ionising Radiations Regulations 1999 Reg. 24
  • Scope: Health and exposure monitoring of employees (identifiable individuals) working with or exposed to substances hazardous to health

Health assessment 

  • Retention: Retain records 6 years after last assessment
  • Disposal: Destroy
  • Authority: Based on a 6 year period in which an action can be brought in the case of negligence under Limitation Act 1980 s.14A
  • Scope: Manager referred and self‐referred employee health assessment records

Pre-employment health screening

  • Retention: Retain records 1 year after date created
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Pre‐employment health screening assessment

Risk assessment 

  • Retention: Retain records 6 years after assessment has been superseded
  • Disposal: Destroy
  • Authority: Based on a 6 year period in which an action can be brought in the case of negligence under Limitation Act 1980 s.14A
  • Scope:  Identification, assessment of, and planning to mitigate risks including operational activities, individual or groups of employees, service users, first aid, machinery and equipment, premises and plant, service users and health and safety audits Excluding hazardous substances

Human resources 

Attendance and time recording 

  • Retention: Retain records 2 years after date created
  • Disposal: Destroy (See IICSA retention hold advice p.4)
  • Authority: Working Time Regulations 1998, Road Transport (Working Time) Regulations 2005 Reg.11
  • Scope: Timesheets, drivers log cards

Employment contracts management

  • Retention: Retain records 6 years after end of SCC employment
  • Disposal: Destroy (See IICSA retention hold advice p.4)
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of a simple contract under Limitation Act 1980 s.5
  • Scope: Individual employees’ terms and condition of employment, job description, personal specification, pay grade, change of role and record of changes to individuals’ employment contracts

Disciplinary and grievance procedures administration

  • Retention: Retain records 6 years after end of SCC employment
  • Disposal: Destroy (See IICSA retention hold advice p.4)
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of a simple contract under Limitation Act 1980 s.5
  • Scope: Administration of formal disciplinary and grievance processes including tribunal cases

Disclosure and barring service checking

  • Retention: Retain disclosure reports 6 months after receipt / Retain records of checking 6 years after termination of relevant contract
  • Disposal: Destroy (See IICSA retention hold advice p.4)
  • Authority: Home Office Code of Practice For Registered Persons and other recipients of Disclosure Information  / The Information Commissioner's Office, Employment Practices Code (data protection) / Based on a 6 year timescale in which an action can be brought in the case of a simple contract under Limitation Act 1980 s.5
  • Scope: Record of routine Disclosure and Barring Service (DBS) (formerly Criminal Records Bureau – CRB) checks having been made during employment where required by nature of job role

Industrial relations manager

  • Retention: Retain records 10 years after  date created or agreement ceases to be effective
  • Disposal: Destroy
  • Authority: CIPD Recommendation
  • Scope: Management of relationship between SCC, trade unions or employee representative organisations

Performance monitoring and review

  • Retention: Retain records 6 years after date created
  • Disposal: Destroy (See IICSA retention hold advice p.4)
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of a simple contract under Limitation Act 1980 s.5
  • Scope: Individual target setting to meet business plan requirements, mid‐year and end of year formal review of performance against targets

Recruitment and termination administration

  • Retention: Retain records of unsuccessful applicants 1 year after recruitment decision / Retain records of successful applicants (employees) 6 years after end of SCC employment
  • Disposal: Destroy (See IICSA retention hold advice p.4)
  • Authority: National Archives Guidance / Based on a 6 year timescale in which an action can be brought in the case of a simple contract under Limitation Act 1980 s.5
  • Scope: Recruitment planning, application processing and assessment, interview administration and candidate assessment, pre‐employment vetting and checks, contract offer administration, planning and management of employee probationary period and administration of employment termination processes Excluding transactional HR payments administration

Sickness absence management

  • Retention: Retain records 6 years after end of SCC employment
  • Disposal: Destroy (See IICSA retention hold advice p.4)
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of a simple contract under Limitation Act 1980 s.5
  • Scope: Formal sickness absence management processes including sickness absence records, self‐certification, fit notes, occupational health referrals and reports, return to work documentation, formal absence process records

Leave administration

  • Retention: Retain records 3 years after end of financial year in which records created
  • Disposal: Destroy (See IICSA retention hold advice p.4)
  • Authority: Statutory Sick Pay (General) Regulations 1982 reg. 13  / Statutory Maternity Pay (General) Regulations 1986 reg.26  / Statutory Paternity and Statutory Adoption Pay (Administration) Regulations 2002 reg.9
  • Scope: Maternity and paternity leave and non‐statutory leave e.g. contractual leave and unpaid leave

Staff training (individual training records) 

  • Retention: Retain records 6 years after end of SCC employment
  • Disposal: Destroy
  • Authority: CIPD Guidance
  • Scope: Training and development records relating to attendance and achievement of individual employees  Excluding records of training for work with hazardous substances

Training provision

  • Retention: Retain course administration records 6 years after date created / Retain course content and supporting materials until superseded or course no longer provided
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Development and provision of training and courses including e‐learning courses, course content and supporting materials, records of completion and attendance Excluding individual staff training records

Information communications technology 

ICT service design

  • Retention: Retain records 6 years after date created
  • Disposal: Destroy
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of a simple contract under Limitation Act 1980 s.5
  • Scope: ICT architecture management, capacity and availability management, design coordination, service catalogue maintenance

ICT service operation

  • Retention: Retain records 1 year after date created
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: ICT systems access management, application management, event and incident management, operations control, problem management, request fulfilment, technical management

ICT service transition

  • Retention: Retain records 6 years after date created
  • Disposal: Destroy
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of a simple contract under Limitation Act 1980 s.5
  • Scope: Application development, change evaluation, release and deployment management, service validation and testing, service asset and configuration management, transition planning and support

Information management 

CCTV recording

  • Retention: Retain recordings for 31 days after recording
  • Disposal: Destroy
  • Authority: Home Office National CCTV Strategy report 2007
  • Scope: CCTV recordings from SCC owned, operated or commissioned cameras or surveillance equipment

Information access management 

  • Retention: Retain records 6 years after date created
  • Disposal: Destroy
  • Authority: SCC business need based on National Archives Guidance
  • Scope: Information access request processing, data publication re‐use and licensing.

Information security management 

  • Retention: Retain records 3 years after date created
  • Disposal: Destroy
  • Authority: SCC business need based on Computer Misuse Act 1990   s.11
  • Scope: Incident response and investigation, compliance audit

Records storage management

  • Retention: Retain records for lifetime of organisation
  • Disposal: Transfer to new authority
  • Authority: SCC business need based on Freedom of Information Act s. 46 Code of Practice
  • Scope: Records transfer processing, retrieval, disposal Excluding equipment and premises

Regulation of investigatory powers act processing 

  • Retention: Retain central record for 1 year after inspection / Retain originals 6 years after end of prosecution
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: RIPA application forms and approvals for directed surveillance and access to communications data

Voice call recording 

  • Retention: Retain 6 months after recording
  • Disposal: Destroy
  • Authority: SCC business need based on Financial Services Authority Telephone Recording: recording of voice conversations and electronic communications, Policy statement 08/1
  • Scope: Recordings of content of telephone calls

Leisure and culture 

Collections access management

  • Retention: Retain records 6 years after date created
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Administration public access to library, museum and archive collections and resources, provision of outreach services, research services Excluding member and reader administration Excluding reader and membership administration, and library loans administration

Collection acquisition

  • Retention: Retain survey and unsuccessful bid records 6 years after decision not to acquire or bid outcome / Retain acquisition records during lifetime of deposit or ownership
  • Disposal: Destroy / Transfer records to new owner or depositor
  • Authority: SCC business need
  • Scope: Surveying, assessment and acquisition of archive, museum and art items or collections, legal transfer of ownership and loan agreements Excluding  financial transaction records

Collections and stock management

  • Retention: Retain records until disposal of item or collection / Retain until disposal of library stock item
  • Disposal: Return to depositor or transfer to new owner or responsible body / Destroy
  • Authority: SCC business need
  • Scope: Archive, artwork and museum collection cataloguing, conservation, restoration, display, loan, de‐accessioning and disposal records and library stock management records

Reader, membership and loans administration

  • Retention: Retain records 1 years after end of membership,   account inactive or loan returned
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Administration of library membership, archive service reader cards, library loans and requests 

Management 

Business planning

  • Retention: Retain records 6 years after date created / Working papers and drafts to be retained for 1 year
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Business planning to achieve operational service delivery priorities based on corporate priority outcomes, and management of SCC's relationships with, and planning of joint and 'joined up' service delivery with other local authorities, partnership, private and third sector (voluntary) organisations including joint service delivery planning, monitoring and review

Communications management and marketing

  • Retention: Retain records 6 years after date created
  • Disposal: Destroy
  • Authority: SCC business need based on National Archives Guidance
  • Scope: Management of the council's engagement with both its external and internal audience including media monitoring and media relations management, marketing Excluding consultation and engagement,  events management

Complaints management 

  • Retention: Retain records 6 years after complaint resolution
  • Disposal: Destroy
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of tort under Limitation Act 1980 s.2  
  • Scope: Processing and investigation of, and response to complaints against SCC concerning decision making, service provision or staff, including  statutory, ombudsman, and non‐statutory complaints processes and legal defence case preparation

Consultation and engagement

  • Retain: Retain records 6 years after date created
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Community and stakeholder consultation and engagement including surveys, questionnaires, display materials

Events management

  • Retain: Retain records 6 years after event   
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Management of communications, marketing, engagement and training events to promote SCC, partner organisations, supported organisations and their services, and management of business events including development of programmes of events, event planning, delegate, event delivery and evaluation

Feedback processing

  • Retention: Retain records 2 years after date created
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Processing of customer feedback and comments Excluding complaints management processes

Performance monitoring and reporting

  • Retention: Retain records 6 years after date created
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Performance monitoring, bench marking, collection and analysis of performance data, reporting  to external agencies, partner organisations  and internally within SCC

Policy and procedures development

  • Retention: Retain records 6 years after superseded  
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Development and review of SCC corporate and operational policy, development and review of safe, efficient and effective business processes, methods of work and quality assurance measures and compliance monitoring  

Research and analysis 

  • Retention: Retain raw datasets until out of date and/or no longer required  / Retain processed data, analysis and interpretation 6 years from date processed or created
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Primary data collection, secondary source raw data, data processed for specific purposes, data analysis and interpretation

Strategic planning

  • Retention: Retain records 6 years after superseded  / Retain working papers and drafts for 1 year after strategy adoption
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Identification, development and planning to establish corporate strategic aims and objectives and priority outcomes

Transformation and change management 

  • Retention: Retain records 6 years after date created  / Retain working papers and drafts to be retained for 1 year after implementation completed
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Planning and management of change, oversight of major projects to achieve strategic aims and objectives and improve business delivery

Physical assets and property 

Equipment management

  • Retention: Retain records 6 years after disposal of equipment, fixed plant or system
  • Disposal: Retain 6 years after disposal of equipment
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of a simple contract under Limitation Act 1980 s.5   or negligence under  Limitation Act 1980 s.14A
  • Scope: Portable equipment, plant, fixed equipment and systems defects reporting and repair, routine inspection, testing, servicing and maintenance, transport and storage

Facilities management

  • Retention: Retain records 1 year after date created
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Visitors books and signing‐in sheets,  venue and resources enquiries and booking

Land access agreements and licensing

  • Retention: Retain records 6 years after expiry of agreement or license
  • Disposal: Destroy
  • Authority: Based on a 6 year timescale in which an action can be brought in the case of a simple contract under Limitation Act 1980 s.5
  • Scope: Land and premises access rights giving and taking

Land and premises acquisition and disposal

  • Retention: Retain records 15 years after SCC ceases to own or lease site or premises
  • Disposal: Destroy
  • Authority: Based on a 15 year long stop in which an action can be brought in the case latent damage under Limitation Act 1980 s.14b
  • Scope: Land and premises acquisition

Land management 

  • Retention: Retain records 12 years after SCC no longer responsible for site
  • Disposal: Transfer to new owner / organisation
  • Authority: SCC business need based on a 12 year timescale in which an action can be brought in the case of a land dispute under Limitation Act 1980 s.15
  • Scope: Management of access land, open spaces and common land including   Maintenance and improvement, pest and invasive species control, animal management, plant and wild animal disease control Excluding premises sites and management of environmental protection and improvement schemes

Land reclamation scheme management

  • Retention: Retain records 15 years after SCC no longer responsible for site
  • Disposal: Destroy
  • Authority: Based on a 15 year long stop in which an action can be brought in the case latent damage under Limitation Act 1980 s.14b
  • Scope: Identification of potential sites suitable for reclamation to create economic and/or environmental sites, management of land reclamation schemes Excluding procurement, funding acquisition, outcome monitoring and reporting and tenancies management

Premises design and construction supervision

  • Retention: Retain records 15 years after completion / Retain as built records until SCC no longer responsible for premises, site or structure
  • Disposal: Destroy / Transfer to new owner or authority
  • Authority: SCC business need based on a 15 year long stop in which an action can be brought in the case latent damage under Limitation Act 1980 s.14b
  • Scope: Building, site and fixed plant and systems design and construction including large scale / high value planned maintenance Excluding procurement

Vehicle and fleet maintenance

  • Retention: Retain records 6 years after disposal of vehicle
  • Disposal: Destroy
  • Authority: SCC business need based on maintaining records as contractual evidence based on Limitation Act 1980 s.5  or negligence under  Limitation Act 1980 s.14A
  • Scope: Vehicle and vehicle equipment defect reporting and repair, routine inspection, maintenance, servicing, statutory testing and taxing  Excluding financial transactions e.g. vehicle purchase and sales, contracts and leasing

Planning and development control 

Complaint investigation and enforcement

  • Retention: Retain records 10 years after resolution, end of enforcement action or sentence period
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Investigation of complaints, enforcement action relating to unauthorised mineral extraction and waste deposit

Developer contribution and obligation negotiations

  • Retention: Retain records 6 years after expiry of funding period or lifetime of development
  • Disposal: Destroy or transfer to new authority
  • Authority: SCC business need based on requirements of Town and Country Planning Act 1990 s.106 and Highway Act 1980 s.278
  • Scope: Negotiation and management of developer contributions and obligations for developments impacting on for e.g. highways and school places including Assessment of impact of proposed developments, negotiation, agreements and engrossment of contributions and obligations, monitoring of compliance and developer funding contribution expenditure monitoring

Land and property enquiry processing

  • Retention: Retain records 6 years after date created
  • Disposal: Destroy
  • Authority: Based on a 6 year period in which an action can be brought in the case of negligence under Limitation Act 1980 s.14A
  • Scope: Processing of land and property search enquiries including  common land, highway extent,  mineral and waste sites and developments, petroleum storage sites and rights of way searches

Mineral and waste site inspection and monitoring

  • Retention: Retain records until SCC is no longer responsible for function
  • Disposal: Transfer to new authority
  • Authority: SCC business need
  • Scope: Inspection and monitoring of mineral extraction and waste sites

Planning application processing

  • Retention: Retain records until SCC is no longer responsible for function
  • Disposal: Transfer to new authority
  • Authority: SCC business need
  • Scope: Processing of mineral and waste development planning applications including appeals and public inquiry processes including post‐application advice

Planning consultation processing

  • Retention: Retain records 6 years after consultation period
  • Disposal: Destroy
  • Authority: Based on a 6 year period in which an action can be brought in the case of negligence under Limitation Act 1980 s.14A
  • Scope: Processing, co‐ordination and submission of planning application consultation responses in relation to applications made to other decision‐making authorities for which SCC is the statutory consultee or development may impact SCC interests

Pre-planning application advice provision

  • Retention: Retain pre‐ application advice records 6 years after date created
  • Disposal: Destroy
  • Authority: SCC business need based on maintaining records in case of negligence under  Limitation Act 1980 s.14A
  • Scope: Provision of pre planning advice, documents, consultations, assessment, Regulation 21 statements

Risk management and insurance administration 

Audit

  • Retention: Retain records 6 years after audit, investigation or legal action
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Audit of financial management, administration, systems, and transactions to identify and prevent fraud and misappropriation, prevention or investigation of alleged fraud and / or misappropriation

Business continuity planning

  • Retention: Retain records 6 years after superseded
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Identification of, and planning to mitigate risks and response to, and recovery from, incidents affecting business activities including emergency incident planning,  operation and review of emergency exercises, incident response and recovery management, post incident review records

Insurance claims administration 

  • Retention: Retain records 6 years after from   settlement or repudiation (but not before the child / claimant reaches the age of 24) / Retain subsidence claims 100 years
  • Disposal: Destroy
  • Authority: Based on a 6 year period in which an action can be brought in the case of negligence under Limitation Act 1980 s.14A
  • Scope: Administration of liability and non‐liability insurance claims

Insurance policies administration

  • Retention: Retain liability policy documents 40 years after policy expiration or termination / Retain non‐liability documents 10 years after policy expiration or termination
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Administration of insurance policies including: arrangement, variation, renewal and termination of policies

Transport and infrastructure

 Highway Asset Management

  • Retention: Retain records 15 years after end of life of structure or asset no longer part of highway
  • Disposal: Destroy or transfer to new authority
  • Authority: Based on a 15 year long stop in which an action can be brought in the case latent damage under Limitation Act 1980 s.14b
  • Scope: Traffic and asset data management, dispute resolution

Highway adoption and dedication

  • Retention: Retain records until SCC no longer responsible for function
  • Disposal: Transfer to new authority
  • Authority: SCC business need
  • Scope: Administration of developer agreements (Highways Act 1980 s38 and Staffordshire Act s7 agreements), Adoption of road by SCC (as Highway Authority), dedication of land as public highway

Highway maintenance

  • Retention: Retain records 6 years after date created
  • Disposal: Destroy
  • Authority: Based on a 6 year period in which an action can be brought in the case of negligence under Limitation Act 1980 s.14A or in the case of a simple contract under Limitation Act 1980 s.5
  • Scope: Processing of fault reports and requests for service, safety and condition inspection, maintenance works scheduling and maintenance operations

Highway scheme delivery 

  • Retention: Retain records 15 years after scheme completion / Retain as built records until SCC no longer responsible for premises, site or structure
  • Disposal: Destroy / Transfer to new authority
  • Authority: Based on a 15 year long stop in which an action can be brought in the case latent damage under Limitation Act 1980 s.14b
  • Scope: Delivery of highway schemes including programme management, scheme brief development, site investigations and feasibility study, public consultation, scheme design, scheme delivery planning and monitoring Excluding procurement and contract management, and ongoing asset management

Highway work regulation 

  • Retention: Retain records 6 years after expiry of permit or licence, or from change to, or removal of, licensed structure
  • Disposal: Destroy
  • Authority: Based on a 6 year period in which an action can be brought in the case of negligence under Limitation Act 1980 s.14A
  • Scope: Regulation and co-ordination of works on the highway including licensing and issue of permits for access crossings, cattle grids, cellars and openings, cranes and booms, excavation, licensing of amenities and facilities, tree planting, fencing, minor local improvements, private apparatus and structures , skip and deposit, temporary traffic signals, and Inspection of sites and third party works on or affecting the highway

Passenger transport provision

  • Retention: Retain records 6 years after date created
  • Disposal: Destroy
  • Authority: Based on a 6 year period in which an action can be brought in the case of negligence under Limitation Act 1980 s.14A or in the case of a simple contract under Limitation Act 1980 s.5
  • Scope: Public transport provision of community , voluntary and provision of public, school, special needs and social care transport provision Including route planning, capacity management and scheduling Excluding procurement, contract management and complaint investigation

Rights of way network management 

  • Retention: Retain records until SCC no longer responsible For function
  • Disposal: Transfer to new accountable body
  • Authority: SCC business need
  • Scope: Created, establishment, modification or extinguishment of rights of way, licensing of structures and permissive paths including landowner declarations (Highways Act 1980 s 31)

Traffic management

  • Retention: Retain records 6 years after date created
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Abnormal load management, congestion management, traffic incident management excluding Civil contingency planning and response

Traffic regulation 

  • Retention: Retain TROs 6 years after extinguishment or expiry of order
  • Disposal: Destroy
  • Authority: SCC business need
  • Scope: Traffic Regulation Orders (TROs) including temporary orders

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