SECTION : AUDIT - Causeway Coast and Glens … · Web viewSECTION: ARTS Sub-work Area Example of records Statutory provisions/Authority Retention Period Action at end of administrative

SECTION : ACCESS TO THE COUNTRYSIDE

Sub-work Area Example of records Statutory provisions/Authority

Retention Period Action at end of administrative life of record

Public Rights of WayRegister of Public Rights of Way

Access to the Countryside Order 1983

Retained permanently

Permanent Preservation by the Council

Correspondence re Rights of Way


6 years Destroy

Project Files on Public Rights of Way


6 years (review dependent on project)

Destroy

SECTION: AUDIT



Audit (Internal and External)

Audit reports including the examination of long term contracts

The National Archives – Best practice guidelines

6 years Destroy

Report papers used in the course of a fraud investigation

The National Archives – Best practice guidelines

6 years after legal proceedings have been completed

Destroy

Ordinary audit reports The National Archives – Best practice guidelines

3 years Destroy

Terms of reference None Applicable 6 years Destroy

Programmes/plans/strategies The National Archives – Best practice guidelines

1 year after the last date of the plan

Destroy

Minutes of other meetings and other related papers

None Applicable 6 years Destroy

Internal Audit guides None Applicable 1 year after the last operational date

Destroy

Departmental procedure manuals

None Applicable 1 year after the last operational date

Destroy

Annual audit letters None Applicable 6 years Destroy

Local Government Audit Reports


SECTION : BIODIVERSITY



BiodiversityLocal Biodiversity Strategy and Action Plan (and associated projects)

Wildlife and Natural Environment(NI) Act 2011

6 years Destroy

Grants/Funding Claims None Applicable See Finance section See Finance section

Site designation and associated correspondence, reports, etc.

Nature conservation and amenity Lands(NI) Order 1985

Retained permanently


SECTION : BUILDING CONTROL



Building Control Applications

Approved building control applications

None Applicable Permanent Retention by Council


Dangerous Structures Legislation

Dangerous Structures Record Files

None Applicable 20 years after structure made safe

Destroy

Legal Proceedings Prosecutions – Non- compliance of legal responsibilities

None Applicable 20 years after compliance

Destroy

Postal Naming and Numbering

Street Naming & Numbering. Land and Property Gazetteer


Property Certificates Applications None Applicable 12 years Destroy

Energy Performance and Building Regulations

Records and Associated Correspondence

None Applicable 20 years after compliance

Destroy

SECTION : CEMETERIES



CemeteriesCounterfoils for issue of Grants of Right of Burial

None Applicable Permanent Permanent Preservation by the Council

Register of Burials None Applicable Permanent Permanent Preservation by the Council

Maps and Plans None Applicable Permanent Permanent Preservation by the Council

Purchase of Plot Forms None Applicable 10 years Destroy

Grave Opening Forms None Applicable 10 years Destroy

Duplicate/Transfer/Assignment Applications


Memorial Applications None Applicable 10 years Destroy

Correspondence relating to burials and memorials in cemeteries.


SECTION : COMMUNITY DEVELOPMENT

Sub work area Example of records Statutory provision/Authority


Community CentresGeneral correspondence None Applicable 6 years Destroy

Council reports None Applicable Permanent Permanent Preservation by the Council

Grant/Funding applications to the Council

None Applicable 7 years from last payment

Destroy

Booking documentation None Applicable 3 years Destroy

Information on upkeep of the building


Legal documentation relating to the buildings and land surrounding the buildings

None Applicable Permanent Permanent Preservation by the Council(Transfer to new owner on disposal)

Voluntary Bodies and Community Associations

Meetings – minutes and agenda

None Applicable Review 6 years after date of meeting

Destroy

Seeding grants None Applicable 7 years from last payment

Destroy

SECTION : COMMUNITY DEVELOPMENT

Sub work area Example of records Statutory provision/Authority


Project Initiatives Application forms None Applicable 7 years(May depend on body issuing funding if they stipulate timeframes for disposal)

Destroy

Letters of offer None Applicable 7 years Destroy

Claims – for Programme Expenditure


Destroy

Reports None Applicable 7 years Destroy

Correspondence None Applicable 7 years Destroy

Meetings – Minutes and Agenda

None Applicable Review after 7 years Destroy

Feasibility study - reports National Archives recommendation

10 years after issue

Records relating to major projects may be kept for second review (25 years)

Destroy

Applications for Funding

Grant/Funding applications to the Council


Destroy

SECTION: CORPORATE DOCUMENTS



Strategies and PlansAnnual Report and Accounts None Applicable Permanent Permanent preservation

by the Council

Asset Register None Applicable Permanent Permanent preservation by the Council

Arts Development Strategy None Applicable Permanent Permanent preservation by the Council

Capital Development Plan None Applicable Permanent Permanent preservation by the Council

Community Development/Regeneration Plan

None Applicable Permanent Permanent preservation by the Council

Community Safety Strategy None Applicable Permanent Permanent preservation by the Council

Corporate Plan None Applicable Permanent Permanent preservation by the Council

Integrated Business Plans None Applicable Permanent Permanent preservation by the Council

Departmental (Operational) Business Plans


District Policing Partnership Strategy


Corporate Risk Register None Applicable Permanent Permanent preservation by the Council

Departmental Risk Registers None Applicable 6 years Destroy

Economic Development Strategy


Good Relations Strategy None Applicable Permanent Permanent preservation by the Council

Waste Management Strategy None Applicable Permanent Permanent preservation by the Council

Acceptance of Gifts and Hospitality Register

Councillors’ Code of Conduct

Permanent Permanent Preservation by the Council

Policies All Internal and External policies and supporting information such as research data and questionnaires

Various; specific to each policy

Version ControlledSuperseded version held for 3 years

Destroy

Standing Orders Copy of Standing Orders None Applicable Permanent Permanent Preservation by the Council

Correspondence and related information

None Applicable 6 Years Destroy

Consultations Responded To

Letters and reports None Applicable 6 years Destroy

Bye-Laws Correspondence and related information

None Applicable 6 years from date of file closure

Destroy

Copies of Bye-Laws None Applicable Permanent Permanent preservation by Council

SECTION : COMMUNITY SAFETY PARTNERSHIP AND DISTRICT POLICING PARTNERSHIP (To Be Superseded By Policing and Community Safety Partnership in 2012 - Subject to Commencement Order)



Meetings AgendasBackground PapersOfficer Reports


Minutes of DPP and CSP Meetings


Public Meetings/PSNI Reports None Applicable 6 years Destroy

Questions received from the public (confidential)


Standing Orders/ Legislation / DPP Reconstitution


Strategies, Plans and Policies

Policies and Procedures None Applicable Permanent Permanent preservation by the Council

Code of Practice on Functions and Responsibilities


Strategies and Plans None Applicable Permanent Permanent preservation by the Council

Local Policing Plans - Performance Indicators and Monitoring


Consultations Surveys/Consultations engaging Local Communities


SECTION : COMMUNITY SAFETY PARTNERSHIP AND DISTRICT POLICING PARTNERSHIP (To Be Superseded By Policing and Community Safety Partnership in 2012 - Subject to Commencement Order)



Annual Reports Annual Reports of DPP and CSP


Financial Information Accounts/Budgets None Applicable 6 years Destroy

Finance relating to funding for other groups


Grants/Funding payments None Applicable 7 years Destroy

Information Handling and Media

Press Releases and Publicity (including press cuttings)


Disclosure Log of Requests for Information under the Freedom of Information Act

FOI Act 2000 6 years Destroy

Data Protection Act – requests for data held on file

Data Protection Act 1998

6 years Destroy

Equality Equality Schemes and associated information

S75 of the Northern Ireland Act 1998

Permanent Permanent preservation by the Council

Information on Members

Personal information on members of DPP and CSP – ie attendance records, training etc


Projects Project initiatives, eg reports, correspondence, etc


SECTION: COUNCIL AND COMMITTEE MEETINGS



Council and Committee Meetings

Council and Committee Minutes

None Applicable Permanent Permanent Preservation by PRONI

Formal Officer Reports to Council


Council Agenda None Applicable 6 years Destroy

Draft minutes None Applicable Retain until minutes have been ratified

Destroy

Verbatim Transcripts of Discussions at Council and Committee meetings on Special or Contentious Issues

None Applicable 6 years (review dependent on issue discussed)

Destroy

Briefing papers and other ad hoc Officer reports


Record of attendance None Applicable 6 years Destroy

Action Sheets None Applicable 6 years Destroy

Councillors Declaration of Acceptance of Office

Local Government Act (NI) 1972


Register - Disclosure of Councillors Pecuniary Interests

Local Government Act (NI) 1972


Councillors Code of Conduct None Applicable Permanent Permanent Preservation by the Council

Instructional Literature Guide to decision makingMembers HandbookCouncillor Induction/Training

None Applicable 6 years (review and destroy out of date copies)

Destroy

SECTION : CUSTOMER SERVICES



Complaints Complaints Policy & Procedures

None Applicable Retain until superseded by new version (retain 1 copy for archive)

Destroy

Customer Complaints The Limitation (Northern Ireland) Order 1989

6 years following last action

Review for further retention in the case of contentious disputes.

Destroy

Complaints – (Commissioner for Complaints) Ombudsman

None Applicable 6 years following date of resolution of complaint

Review for further retention in the case of contentious disputes.

Destroy

Surveys and Consultations

Customer Satisfaction Surveys – individual responses


Completion of analysis of responses

Destroy

Customer Satisfaction Surveys – analysis

None Applicable 6 yearsReview for archival & re-use value.

Destroy

Consultation exercises issued by the Council and responses received

None Applicable 6 yearsReview for archival & re-use value.

Destroy

SECTION : ECONOMIC DEVELOPMENT AND REGENERATION

Sub-work Area Example of Records Statutory provisions/Authority


Economic Development Projects

Application Forms None Applicable 7 Years Destroy

Project Reports None Applicable 7 Years Destroy

General Information including correspondence


Internal/External Funding (including receipt of European Funding)

Application Forms None Applicable 7 YearsExternal Funding – return to funder

Internal Funding – Destroy

Letters of Offer None Applicable 7 YearsExternal Funding – return to funder


Project Reports None Applicable 7 YearsExternal Funding – return to funder


General Information including correspondence


Feasibility Studies Reports None Applicable 7 Years Destroy

Working Papers None Applicable 7 Years Destroy

Correspondence None Applicable 7 Years Destroy

General Information None Applicable 7 Years Destroy

SECTION : ECONOMIC DEVELOPMENT AND REGENERATION

Sub-work Area Example of Records Statutory provisions/Authority


Economic Development Meetings

AgendaMinutesCorrespondenceBackground Papers


Town/City Centre Management

Agenda None Applicable 7 Years Destroy

Minutes None Applicable 7 Years Determined on Review by PRONI

Correspondence None Applicable 7 Years Destroy

Reports None Applicable 7 Years Determined on Review by PRONI

SECTION : ELECTIONS



Nominations Nomination papers, Candidates Consent Form

12 months from the date of the election

Destroy

Statement of Persons Nominated

Rule 12 (5) and (6) Electoral law Act (NI) 1962

Retain until after the results are declared at the next Local Government Election

Destroy

Election Agents Declaration of Appointment of Election Agent.

12 months from the date of the election

Destroy

Ballot Papers Counted ballot papers, rejected ballot papers, unused ballot papers (both ordinary and tendered), spoilt ballot papers and used tendered ballot papers.

Ballot paper accounts, statements of rejected ballot papers and verification statements, completed corresponding number lists, statement as to postal ballot papers per DEA

Rule 60 Electoral Law Act (NI) 1962

Twelve months Destroy

Employment of staff Certificate of Employment Rule 60 Electoral LawAct (NI) 1962

Twelve months Destroy

Staff Payments including Income Tax form

HMRC Rules and Regulations

Current year +7 prior years

Destroy

Candidates Expenses List of Candidates Expenses Section 52 (1) and (2) Twelve months Destroy

SECTION : ELECTIONS



Electoral Law Act (NI) 1962

(After 12 months destroy unless a candidate requests the documentation to be returned.)

Electoral Registers List of Marked Registers Section 58 (1)(e) Local Election Rules Electoral Law Act 1962

Rule 60 Local Election Rules (as amended by Article 77(3) Local Elections Order (NI) 2010)

Twelve months from the date of the election. In the event of Multiple elections if a combined register is produced, the register is retained by the Area Electoral Office

Destroy

Register of Electors supplied to Council DRO for the purpose of election

Regulation 97 of the Representation of the People Regulations 2008

After Election.(Local Authority is not permitted under law to retain copies other than for the purposes of the Election.)

Destroy

Count Results per DEA None Permanent (for historical purposes).

Permanent Preservation by Council

Casual Vacancy by Co option

Correspondence between political party and Council re filling of casual vacancy

None Retain until after the results are declared at the next Local Government Election and then confidentially destroy

Determined on Review by PRONI

SECTION : EMERGENCY AND BUSINESS CONTINUITY PLANNING



Emergency Planning and Business Continuity

Integrated Emergency Plan (includes Business Continuity Plans and Contacts Directories)

The Local Government (Northern Ireland) Order 2005.DOE Circular No (1) LG 07 06

Permanent. These plans are version controlled and updated at least annually


Circulars and Advice Notes on Emergency Planning and Business Continuity


6 years Destroy

Records on activities relating to all major incidents in the local community and post emergency debriefing



Records on activities on all minor incidents in the local community and debriefing


6 years Destroy

Minutes/Reports -Internal Crisis Management Team


6 years Destroy

SECTION : ENVIRONMENTAL HEALTH AND ENVIRONMENTAL PROTECTION



Food ControlInspection records S16 of the Food

Standards Agency Framework Agreement

6 years Destroy

Food standard records S16 of the Food Standards Agency Framework Agreement

6 years Destroy

Food complaints S16 of the Food Standards Agency Framework Agreement

6 years Destroy

Food samples S16 of the Food Standards Agency Framework Agreement

6 years Destroy

Food poisoning S16 of the Food Standards Agency Framework Agreement

6 years Destroy

Food premises register None Applicable Permanent Permanent Preservation by the Council

Food control procedures None Applicable Retain until superseded.


EC approved premises S16 of the Food Standards Agency Framework Agreement

6 years Destroy

Annual Returns S16 of the Food Standards Agency Framework Agreement

6 years Destroy




Pollution ControlNoise complaints None Applicable 6 years Destroy

Environmental Protection Complaints


Consultation responses and associated documents(Planning Consultations now on line via Epic system)


Sample results None Applicable 6 years Destroy

Annual Return None Applicable 6 years Destroy

LAPPC inspection records None Applicable 6 years Destroy

Contaminated land information None Applicable Permanent Permanent Preservation by the Council

Consumer SafetyPremises files None Applicable 6 years Destroy

Complaints None Applicable 6 years Destroy




Health & Safety (Within Environmental Health Remit)

Premises files/complaints None Applicable 6 years Destroy

Sports Safety Certificates None Applicable Permanent Permanent Preservation by the Council

Cooling Tower Registers None Applicable Permanent Permanent Preservation by the Council

Accident investigations None Applicable 6 years from conclusion of investigation

Destroy

Fireworks and MSER inspections


Public Health and Housing

Public health complaints None Applicable 6 years Destroy

Private Tenancy Order andRent Order documents including inspection records.


Regulation of Investigatory Powers (RIPA)

Surveillance Authorisation Form

Application Form

Supplementary documentation and notification of approval

Inspection reports

Monitoring information

Regulation of Investigatory Powers Act 2000

3 years from the cancellation of RIPA authorisation

Destroy

Refused Surveillance Regulation of 3 years recorded Destroy

Authorisation Forms Investigatory Powers Act 2000

from the date recorded in box 11 of the RIP 1 form

Annual Return Regulation of Investigatory Powers Act 2000

3 years Destroy

Tobacco Control FilesComplaints None Applicable 6 years after

conclusion of the matter

Destroy

Inspection records None Applicable 6 years after conclusion of the matter

Destroy

Caravan Site RecordsApplication forms, licence, site maps, inspection reportscorrespondence, etc


SECTION : EQUALITY



Disability Discrimination Act

Disability Action Plan Disability Discrimination Act

6 years Destroy

Disability Working Group – minutes, agenda, correspondence, etc


Section 75 of NI ActAnnual reports to Equality Commission

NI Act (S75) 6 years Destroy

Policy screening forms and reports

NI Act (S75) 6 years (review - dependent on policy)

Destroy

EQIA reports and associated research materials


Complaints NI Act (S75) 6 years Destroy

Subject specific files on equality issues


Monitoring forms – recruitment (unsuccessful candidates)

Fair Employment Act See Human Resources Section

See Human Resources Section

Fair Employment Article 55 review reports Annual workforce

monitoring reports

Fair Employment Act See Human Resources Section

See Human Resources Section

Equality Scheme and Associated Action Plans

NI Act (S75) Permanent Permanent Preservation by the Council

SECTION : EUROPEAN FUNDING PROGRAMMES (ADMINISTRATION OF)


Retention Period Action at end of administrative life of records

Rural Development Programme

Application Forms Article 9 of the Council of Europe Regulations (EC No. 1083/2006)

+ 10 years(to 2021)

Transfer to lead Government Body

Letters of Offer Article 9 of the Council of Europe Regulations (EC No. 1083/2006)

+ 10 years(to 2021)


Reports Article 9 of the Council of Europe Regulations (EC No. 1083/2006)

+ 10 years(to 2021)


Legal Documentation Article 9 of the Council of Europe Regulations (EC No. 1083/2006)

+ 10 years(to 2021)


Correspondence Article 9 of the Council of Europe Regulations (EC No. 1083/2006)

+ 10 years(to 2021)


General Information Article 9 of the Council of Europe Regulations (EC No. 1083/2006)

+ 10 years(to 2021)



Article 9 of the Council of Europe Regulations (EC No. 1083/2006)

+ 10 years(to 2021)


Financial Information Article 9 of the Council of Europe Regulations (EC No. 1083/2006)

+ 10 years(to 2021)


Procurement Information Article 9 of the Council of Europe Regulations (EC No. 1083/2006)

+ 10 years(to 2021)


Claims – for Programme Expenditure


+ 10 years(to 2021)


Claims – for Administration of Programme


+ 10 years(to 2021)


SECTION : EUROPEAN FUNDING PROGRAMMES (ADMINISTRATION OF)


Retention Period Action at end of administrative life of records

PEACE Funding Application Forms Article 9 of the Council of Europe Regulations (EC No. 1083/2006)

Peace I – 30.4.13Peace II – 31.12.15Peace III – 31.12.21


Letters of Offer Article 9 of the Council of Europe Regulations (EC No. 1083/2006)



Reports Article 9 of the Council of Europe Regulations (EC No. 1083/2006)



Legal Documentation Article 9 of the Council of Europe Regulations (EC No. 1083/2006)



Correspondence Article 9 of the Council of Europe Regulations (EC No. 1083/2006)



General Information Article 9 of the Council of Europe Regulations (EC No. 1083/2006)







Financial Information Article 9 of the Council of Europe Regulations (EC No. 1083/2006)



Procurement Information Article 9 of the Council of Europe Regulations (EC No. 1083/2006)



Claims - for ProgrammeExpenditure




Claims – for Administration of Programme




SECTION : EVENTS



Civic & Ceremonial Events

Information relating to ceremonial events such as Freedom of the Borough (includes photos, visitor books, etc)

None Applicable Permanent Determined on Review by PRONI

All information relating to the organisation and administration of Civic/Ceremonial events


Council Run Events None Applicable 6 years Destroy

SECTION : FINANCE



General FinanceAnnual Report & Accounts None Applicable Permanent Permanent Preservation

by the Council

Annual Reports Working Papers

None Applicable Current year +6 years

Destroy

Annual Abstract Working Papers


Destroy

BACS Reports None Applicable Current year +6 years

Destroy

Bank Reconciliation None Applicable Current year +6 years

Destroy

Bank Statements None Applicable Current year+6 years Destroy

Capital Payments None Applicable Current year +6 years

Destroy

Financial Information for Best Value Reviews


Destroy

Election Expenditure Claims None Applicable Current year +6 years

Destroy

Error Suspense Reports None Applicable Current year +6 years

Destroy

Batch Reports None Applicable Current year +6 years

Destroy

Journals None Applicable Current year +6 years

Destroy

Financial Information Recharges of Central Support Services


Destroy

Mileage Rates None Applicable Current year Destroy

Mileage Claims None Applicable Current year +6 years

Destroy

Cancelled Cheques None Applicable Current year +6 years

Destroy

Construction Industry Authenticated VAT Receipts


Destroy

Creditors – Completed Amend & Create Forms


Destroy

Creditors – Completed BACS Mandates


Destroy

Creditors Control Reconciliations


Destroy

Creditors – Payment Run Stationery/Reports


Destroy

Invoices None Applicable Current year+6 years Destroy

VAT Returns & Working Papers


Destroy

Asset Register None Applicable Current year +6 years

Destroy

Capital Monitoring None Applicable Current year+6 years Destroy

Loan Fund Advances Register None Applicable Permanent Permanent Preservation by the Council

Staff Car Loan Contracts None Applicable Current year +5 years

Destroy

Budget Working Papers None Applicable Current year +2 years

Destroy

Annual Budgetary Control Working papers


Destroy

Annual Revenue Budget Working Papers


Destroy

External Funding Reconciliations


Destroy

Grants/Funding Claims None Applicable Current year +6 years

Destroy

EU Grant Claims Information None Applicable Current year +8 years

Destroy

Budgetary Control None Applicable Current year +6 years

Destroy

Cash Security None Applicable Current year Destroy

Corporate Data Provided to Other Services & Government Agencies


Destroy

Corporate Data Used to Inform the Councils Annual Report & accounts


Destroy

Fund Information – Accounts, returns, Valuation & Other Reports

Statutory Permanent Permanent Preservation by the Council

Investments None Applicable Current year +6 years

Destroy

Record of treasury management transactions


Destroy

Treasury Adviser Contract (including fees)

None Applicable Current year Destroy

Internal Audit Reports None Applicable See Audit Destroy

Final Accounts (working papers)


Destroy

Payroll Wages & Salary records and other Payroll Details (also overtime, bonuses, expenses)

Taxes Management Act 1970

Current year +6 years

Destroy

Inland Revenue/HMRC approvals

Non Statutory Permanent Permanent Preservation by the Council

Income tax and NI returns, income tax records and correspondence with HMRC

The Income Tax (Employment) Regulations 1993 (SI 1993/744) as amended

Not less than 3 years after the end of the financial year to which they relate

Destroy

Statutory Sick Pay records, calculations, certificates, self-certs

The Statutory Sick Pay (General) Regulations 1982 (SI 1982/894) as amended

Current year+6 years Destroy

Time sheets None Applicable Current year +6 years

Destroy

SECTION : FLEET MANAGEMENT



Vehicle Maintenance Records

MOT details, servicing history Goods Vehicles (Licensing of Operators) Act 1995- Currently under review so may change

Keep for 15 months following repairs

Destroy

Driver Licence Declaration Forms and Checks

Evidence of all Council drivers’ legal ability to drive and carry out their functions

None applicable Keep for maximum 2 years, minimum 1 year

Destroy

Log Books for Council vehicles

Records vehicles ownership, servicing history, manual

Requirement of the Driver and Vehicle Licensing Agency

Indefinitely. If vehicle is sold to new owner logbook must go with the vehicle.

Transferred to new owner of vehicle.

Driver Training Records

Evidence of driver’s training and ability to carry out his duties

None Applicable Keep for as long as driver is employed by Council

Destroy

SECTION: GOOD RELATIONS



Applications for funds Applications made under the Bonfire Programme, Grant Aid and the Ethnic Minorities Programme. Includes personal details and financial information

Community Relations Council (OFMDFM) Good Relations Plan Letter of Offer

7 years Destroy

Consultations (Conducted by GRO)

Community Surveys, Good Relations Audit, letters of conclusion, public responses etc


7 years Destroy

Ethnic Minorities Programme

Council requests for funds, minutes and agendas of meetings, information on projects organised by the Council


7 Years (financial information)3 years (non-financial information)


Bonfire Programme Minutes and agendas of meetings, correspondence from NIHE, PSNI and NIFRS etc




Good Relations Plan Yearly plan of expenditure for Community Relations Council


7 years Destroy

Good Relations Field Trips/ Residential Courses

Hotel bookings, agendas, course content, personal information of attendees, financial information



Destroy

Re-Imaging Programme

All information on flags, murals, emblems and memorials




SECTION : HEALTH AND SAFETY



Risk Assessments (RA)

General (Management) Risk Assessments

Management of Health and Safety at Work Regulations (NI) 2000

Until next assessment

Destroy

Manual Handling Risk Assessments

Manual Handling Operations (NI) 1992


Destroy

COSHH Assessments Control of Substances (Hazardous to Health) (NI) 2003


Destroy

Noise Assessments The Control of Noise at Work Regulations (NI) 2006


Destroy

Vibration Assessments The Control of Vibration at Work Regulations (NI) 2005


Destroy

Display Screen Equipment Assessments

Health and Safety (Display Screen Equipment Regulations) (NI) 1992


Destroy

Work at Height Risk Assessments

The Work at Height Regulations (NI) 2005


Destroy

Confined Space Risk Assessments

Confined Space Regulations (NI) 1999


Destroy

Personal Protective Equipment Risk Assessments

Personal Protective Equipment at Work Regulations (NI) 1993


Destroy

Legionella Survey/RA Control of Substances (Hazardous to Health) (NI) 2003

40 years Destroy

Asbestos Survey/RA The Control of Asbestos Regulations (NI) 2007

40 years Destroy

Fire Risk Assessments Fire and Rescue Services (NI) 2006


Destroy

Written Safe System of Work (SSoW)

SSoW for each Risk Assessment


Health Surveillance Records

Eye Tests None Applicable 40 years Destroy

Asbestos Records None Applicable 40 years Destroy

Audiometric Records None Applicable 40 years Destroy

Blood (Silica/Lead etc) None Applicable 40 years Destroy

Lung Function Tests None Applicable 40 years Destroy

Staff Health & Safety Training Records

Health and Safety Induction None Applicable Term of Employment Destroy

Site/Job Specific Induction None Applicable Term of Employment Destroy

Specialist Equipment Training None Applicable Term of Employment Destroy

First Aid at Work Training None Applicable Term of Employment Destroy

Manual Handling Training Manual Handling Operations (NI) 1992

Term of Employment Destroy

COSHH Training Control of Substances (Hazardous to Health) (NI) 2003

Term of Employment Destroy

Fire Safety Training None Applicable Term of Employment Destroy

Refresher Training None Applicable Term of Employment Destroy

Inspection and Audit Reports

Workplace Inspection Reports None Applicable 3 years or until actions closed

Destroy

Health & Safety Inspection Records

None Applicable 3 years or until actions closed

Destroy

Health & Safety Audit Reports None Applicable 3 years or until actions closed

Destroy

Corrective Action Plans None Applicable 5 years Destroy

Details of Supervision Records of Supervisory visits undertaken


Material Safety Data Sheets (MSDS)

Material Safety Data Sheets supplied with each hazardous material

Control of Substances (Hazardous to Health) (NI) 2003

Lifespan of Hazardous Material

Destroy

Spray Records Where exposure may lead to disease.List of Employees Exposed


Servicing/ Maintenance Records (See Fleet Management section also)

Servicing Schedules None Applicable Lifespan of Equipment & Vehicles

Destroy

Workshop Technical Manuals None Applicable Lifespan of Equipment & Vehicles

Destroy

Routine Servicing Records None Applicable Lifespan of Equipment & Vehicles

Destroy

Repair Records None Applicable Lifespan of Equipment & Vehicles

Destroy

Inspection Records None Applicable Lifespan of Equipment & Vehicles

Destroy

Fault Reports None Applicable Lifespan of Equipment & Vehicles

Destroy

Operators Daily Check Sheets None Applicable Lifespan of Equipment & Vehicles

Destroy

Plant Cards None Applicable Lifespan of Equipment & Vehicles

Destroy

Insurance Inspection Reports None Applicable 6 Years Destroy

Occupational Health Records

Pre-Employment Health Checks

None Applicable 40 years or Term of Employment

Destroy

Health Surveillance Records None Applicable 40 years or Term of Employment

Destroy

Operator/User Manuals Manufacturer’s Manuals supplied with the equipment

None Applicable Lifespan of Equipment

Destroy

Health and Safety Committee Meetings

AgendaMinutesCorrespondence


Health & Safety Policy Policy Document Health and Safety At Work (NI) Order 1978

Until next review Destroy

Witness Statements Statements of the Injured Party and other witnesses

None Applicable Case Closure Post Claim Settlement and/or appeal – 6 years

Destroy

Details of Similar Incidents

Previous Accident/ Incident Data


Previous Complaints None Applicable 40 years Destroy

Correspondence regarding same of Similar Issues


Physical Evidence Relating To Incidents, Claims, Prosecutions etc.

Samples of Material/Substances

None Applicable Case Closure Post Claim Settlement and/or Appeal

Destroy

Digital Photographs None Applicable Case Closure Post Claim Settlement and/or Appeal

Destroy

Diagrams and Building Plans None Applicable Case Closure Post Claim Settlement and/or Appeal

Destroy

Items of Equipment None Applicable Case Closure Post Claim Settlement and/or appeal

Destroy

Sketches, Drawings etc. None Applicable Case Closure Post Claim Settlement and/or appeal

Destroy

Building Health and Safety

Construction Details None Applicable 40 years Destroy

Plant and Equipment Information


Method of Servicing and Cleaning


Material Information None Applicable 40 years Destroy

Information on Services None Applicable 40 years Destroy

SECTION : HUMAN RESOURCES



Personnel FilesPersonnel Files (including disciplinary records, grievance records and working time records).

None Applicable 6 years after employment ceases

Destroy

Job Descriptions None Applicable Until amended Destroy

Dignity at Work None Applicable 6 years after employment ceases

Destroy

Statutory Maternity records, calculations, certificates (Mat B1s) or other medical evidence/Maternity Leave Monitoring

The Statutory Maternity Pay (General) Regulations 1986 as amended

3 years after the end of the tax year in which the maternity period ends.

Destroy

Parental Leave None Applicable 5 years from birth/adoption of the child or 18 years if the child receives a disability allowance

Destroy

Correspondence in respect of individuals from individuals or managers (eg performance, conduct, lateness issues)

None Applicable 6 years from employment ceases

Destroy

Time RecordingRecords relating to working time

The Working Time Regulations 1998

2 years from date on which they were made

Destroy

National Minimum Wage Records

National Minimum Wage Act 1998

3 years after the end of the pay reference period following the one that the records cover.

Destroy

Time and Attendance Details Held Through the Swipe Card

The Working Time Regulations 1998

2 years from the date which they were

Destroy

System (name, employee number, record of swipe ins and swipe outs).

made

Redundancy/Retirements

Redundancy Details, Calculation of Payments, Refunds, Notification to the Secretary of State

None Applicable 6 years from the date of redundancy

Destroy

Occupational Health Records

Medical Referrals to Occupational Health

None Applicable 6 Years After Employment Ceases

Destroy

Pre Employment Health Checks


Records of Workplace Occupational Hygiene Monitoring


Health Surveillance Records None Applicable 40 years Destroy

Sickness absence files on all employees (name, address, telephone number, employment details, sickness details and details of all illnesses).


Destroy

Doctor Reports on Employees who have been referred to Occupational Health.


Destroy

Training and Performance Appraisal

Induction Records None Applicable 6 years after employment ceases

Destroy

Annual Performance and Development Reviews (APDR)

None Applicable Permanent Permanent Preservation by Council

Training records attended by staff (Details of course and a list of staff attending).


Destroy

Recruitment and Selection

Application Forms and Interview Notes

None Applicable 1 year Destroy

References for Successful Job Applicants Obtained and Held From Pervious Employers, etc


Destroy

Equality/MonitoringAnnual reports to Equality Commission

Fair Employment Act Permanent Permanent Preservation by the Council

Fair EmploymentArticle 55 Review ReportsAnnual Workforce Monitoring Reports

Fair Employment Act Permanent Permanent Preservation by the Council

Monitoring Forms None Applicable 1 year then review Destroy

Other Statutory Returns None Applicable Permanent Permanent Preservation by the Council

Tribunal Records Employment Tribunal Applications

None Applicable 6 years after matter has been concluded

Destroy

OtherAnnual Statistics Reports None Applicable Permanent Permanent Preservation

by the Council

Annual Statistics on Absenteeism Within the Council


Reports Presented to Council None Applicable Permanent Permanent Preservation by the Council

Trade Union Agreements None Applicable Permanent Permanent Preservation by the Council

SECTION : INFORMATION MANAGEMENT


Retention Periods Action at end of administrative life of record

Freedom of Information

Requests received and responses provided

FOI Act 2000 6 years (unless subject to a complaint)

Destroy

Complaints / Appeals/ investigations under the Freedom of Information Act


Freedom of Information Publication Scheme

FOI Act 2000 6 year Destroy

Freedom of Information Disclosure Log


Data Protection Subject Access Requests received under the Data Protection Act


6 years (unless subject to a complaint)

Destroy

Data Protection Act – Complaints/ Breaches/ ICO Investigations


6 years Destroy

Environmental Information Regulations

Requests received and responses provided

Environmental Information Regulations 2004


Destroy

Complaints/Breaches/Investigations

Environmental Information Regulations 2004


Destroy

Records Management Information Retention & Disposal Policy and Schedule

Public Records Act (NI) 1923


Destruction Certificates Public Records Act (NI) 1923


Information Audits None Applicable 2 years Destroy

SECTION : INFORMATION MANAGEMENT


Retention Periods Action at end of administrative life of record

CCTV Records CCTV Footage Data Protection Act 1998Information Commissioner’s Office (ICO) CCTV Code of Practice

30 days Destroy

Administration in relation to CCTV (including audits and inspections)

Data Protection Act 1998Information Commissioner’s Office (ICO) CCTV Code of Practice

6 years Destroy

SECTION : INSURANCE



InsurancePolicies

Employers Liability(May also be referred to as Combined Liability if Public and Employers cover has been placed jointly)

The Employer’s Liability (Compulsory Insurance) (Amendment) Regulations (Northern Ireland) 2009

40 years Destroy

All other insurance policies including Property, Motor, Personal Accident, Professional Indemnity, Engineering, Legal Expenses etc including any endorsements

None Applicable Destroy 6 years after the expiry of the policy

Destroy

Sub-Contractors proof of insurance policy documentation associated with Purchase Order for the works and held across the organisation by various officers - not works which have been awarded following public tender as there will be a separate contract file.

None Applicable Destroy 2 years after the terms of the policy have expired

Destroy

Register of Insurance provided by Broker

Register provides a brief synopsis of the type and level of covers


SECTION : INSURANCE



Additions and Amendments to Policies

Routine correspondence held in central insurance file – endorsements, where applicable, should be placed with original insurance policy documentation which is retained in a secure location.

None Applicable Destroy 6 years after file has been closed.

Destroy

Incident/Accident Reports, Risk Assessments and other associated documentation that may be required to support or defend a claim

Incident/Accident reports together with any investigation reports.

None Applicable 6 years from the date of file closure based on the following:

Minor has 3 years to claim from reaching the age of 18

Employee has 3 years to claim from date of accident

Destroy

Claim Files Employers and Public Liability

Correspondence and related papers between Council, Solicitors, Insurer, Specialist Advisors, Medical profession etc regarding the settlement of a claim.

Claims are sometimes made and not always followed through by claimant. Insurers may decide to close files without payment or in many instances the case is

None Applicable 6 years from the date of file closure, except in cases involving a minor where the file is retained for 6 years after he/she becomes 18 years of age.

Destroy

repudiated. In such circumstances claims could be re-opened in line with age rules outlined under Incident /Accident reports outlined above

Property None Applicable Destroy 6 years after claim settled

Destroy

Motor Insurance None Applicable Destroy 6 years after claim settled, except in cases involving a minor where the file is retained for 6 years after he/she becomes 18 years of age.

Destroy

SECTION : LAND AND PROPERTY



Land & Property Acquisition and Disposal

Legal Title documents relating to the purchase/sale of land/property

None applicable Permanent Permanent Preservation by the Council

Particulars of Sale documents None applicable Permanent Permanent Preservation by the Council

Leases – Long Term (21 years +)


Leases – Short Term (up to 21 years)


Property Asset Register None applicable Permanent Permanent Preservation by the Council

Register of legal documents and Title Deeds


Correspondence re Land and Property

Correspondence relating to the acquisition of land/property

None applicable Retain until disposal + 6 years

Destroy

Correspondence relating to the management of land/property

None applicable Retain until disposal + 6 years

Destroy

Correspondence relating to the disposal of Land & Property

None applicable Retain for 6 years Destroy

Maps, Plans, Etc Maps, Plans, Drawings, Photographs relating to land and property schemes


SECTION : LEGAL MATTERS



Employment Related Claims

Correspondence and related papers re: claims, including, personnel, medical and tribunal records

Guidelines issued by the Law Society of Northern Ireland. (This is not statutory provision)

6 years from the date of file closure

Destroy

Statutory Appeals Correspondence and related court papers



Destroy

Judicial Reviews Correspondence and related court papers.


Indefinite Permanent preservation by the Council

Prosecutions Correspondence and related court papers, including summonses and witness statements


18 months from the date of file closure

Destroy

Debt Correspondence and related court papers.


18 months from the date of file closure

Destroy

Contracts – Buildings File containing correspondence and related papers re contractual process

Statutory: Statute of Limitations (NI) 1958


Destroy

Sealed contract document Statutory: Statute of Limitations (NI) 1958

12 Years from contract completion date, but in BCC these are currently retained indefinitely

Destroy

SECTION : LEGAL MATTERS

Sub-work Area Example of records Statutory Retention Period Action at end of

SECTION: LEISURE SERVICES



Services and Activity Programme

Projects and initiatives: files, reports, etc

None Applicable 3 years after completion of the project/initiative

Destroy

Events and activities: files, programmes, reports, etc

None Applicable 3 years after the event

Destroy

Booking documentation (electronic and manual): application forms, booking sheets, booking diaries, etc


Courses and classes: attendance records, evaluations, etc


Information on services None Applicable 3 years Destroy

Customers Customer records, including membership

None Applicable Membership: 1 year after it expires.Customer databases: review annually.

Destroy

Management Performance management information, e.g. facility usage and energy consumption


Finance Accounts/Budgets None Applicable 3 years Destroy

Invoices, lodgements, till rolls, transfers, bank reconciliations, invoices, grant aid/SLAs and external funding


Direct debit and standing order records


SECTION: LEISURE SERVICES

Sub-work Area Example of records Statutory Retention Period Action at end of

SECTION : LICENSING AND REGULATION



Entertainment Licences

Applications received and all administration relating to the grant / refusal / renewal of Entertainment Licences

None Applicable 12 years after registration or entitlement lapses

Destroy

Amusement Permits Applications received and all administration relating to the grant / refusal / renewal of Amusement Permits


Destroy

Cinema Licences Applications received and all administration relating to the grant / refusal / renewal of Cinema Licences


Destroy

Societies Lotteries Applications received and all administration relating to the grant / refusal / renewal of Societies Lotteries


Destroy

Petroleum Licences Applications received and all administration relating to the grant / refusal / renewal of Petroleum Licences


Dog Licensing (including Licensing of Breeding Establishments)

Applications received and all administration relating to the grant / refusal / renewal of Dog Licences

None Applicable 6 years after registration lapses or death of dog

Destroy

Dangerous Dogs Documentation

None Applicable 6 years after registration lapses or death of dog

Destroy

Street Trading Licences

Applications received and all administration relating to the grant / refusal / renewal of Street Trading Licences


Destroy

SECTION : LICENSING AND REGULATION



Caravan Site Licensing Applications received and all administration relating to the grant / refusal / renewal of Caravan Site Licences.

None Applicable 6 years after close of business

Destroy

Registration of Hairdressers

Applications received and all administration relating to the grant / refusal / renewal.


Destroy

Tattooist, Acupuncture, Piercing & Electrolysis

Applications received and all administration relating to the grant / refusal / renewal.


Destroy

SECTION : MEDIA/PUBLIC INFORMATION



Media Relations Information Used in the Design of Publications


Published Work of Council None Applicable 3 years Destroy

Press Releases None Applicable 3 years Destroy

Other Media Reports None Applicable 3 years Destroy

Public Information Newsletters, Leaflets, Promotional and Other Campaigns


SECTION : MEMBERS SERVICES/ SUPPORT



Mayoral Support, Members Services and Civic Events

Members contact details/bank account details etc

None Applicable Until member retires/not re-elected

Destroy

Mayor’s Diary None Applicable 2 years Destroy

Members weekly schedule of meetings


Attendance Register None Applicable 6 years Destroy

Attendance at Conferences and Courses by Members


General correspondence regarding Mayor/Members support.


Civic Gifts Stock record and associated correspodence


SECTION: MUSEUMS AND HERITAGE



Archaeological Records and Features

Information files Accredited under the Museums, Libraries and Archives Accreditation Scheme which sets nationally agreed standards for museums in the UK

Permanent Permanent preservation by the Council

Local History Reference Collections

National photograph collectionsCatalogue of Book CollectionsCatalogue of collectionsMaps – inventory and indexRecord of Book purchasesInformation on industry, archaeology, geology.

None applicable Permanent Permanent preservation by the Council

Register of Collection Movement

Entry and Exit of documentationAccession RegistersMuseum accession registersDonations documentationLoans documentationReturns documentationDisposal documentationObject history filesModes database – catalogue of collections


Project Files Project fileLocal history toursLocal history projects

None applicable Permanent or as stated in project funding agreement

Permanent preservation by the Council

Promotion of Projects and Service

Local history leafletsNewsletterPhotographic library and digitisation projectPress cuttings/publicity


SECTION: MUSEUMS AND HERITAGE


Retention Period Action at end of administrative life of

SECTION : PARKS AND OPEN SPACES



General Lease Information None Applicable See Legal Matters See Land and Property

General correspondence None Applicable Minimum 3 years Destroy

Tenders/Quotations None Applicable See Procurement See Procurement

Maintenance & Inspection Records

Inspection records None Applicable See Property Maintenance

See Property Maintenance

Work schedules None Applicable Minimum 7 years Destroy

Contracts None Applicable See Legal Matters See Legal Matters

Maintenance Logs None Applicable See Property Maintenance

See Property Maintenance

Health and Safety Records

Health and Safety Information None Applicable See Health and Safety

See Health and Safety

Risk Assessments None Applicable See Health and Safety

See Health and Safety

SECTION : PERFORMANCE MANAGEMENT



Performance Management

Best Value service reviews and improvement plans


Resident and Customers Survey Results


Performance Indicator Data (Annual Returns to Department of Environment)


Progress Reports against Business Plans (eg Scorecard Reports)


SECTION : PROCUREMENT



Tenders and Quotations

Correspondence and related papers, including specifications, expressions of interest, tenders/quotations issued/received, evaluation records, documentation pertaining to negotiations after supplier is selected, and contract management.

None Applicable 7 years after the date contract is awarded, to be extended as required if the contract runs for longer than 5/7 years.

Destroy

Contract Records Contract documentation, correspondence, etc.

None Applicable Length of Contract +5 years then Review before Destruction

Destroy

SECTION : PROPERTY MAINTENANCE



Permits to Work (PtW) Detailed Management Control Systems for High Risk Activities

Asbestos Removal None Applicable 40 years Destroy

Confined Space Entry None Applicable 5 years Destroy

Electrical Work None Applicable 5 years Destroy

Hot Work None Applicable 5 years Destroy

Excavations None Applicable 5 years Destroy

Work at Height None Applicable 5 years Destroy

Work with HFLs None Applicable 5 years Destroy

Building Health and Safety File

Construction Details None Applicable Lifespan of Building Destroy

Plant and Equipment Information


Destroy

Method of Servicing and Cleaning


Destroy

Material Information None Applicable Lifespan of Equipment

Destroy

Information on Services None Applicable Lifespan of Equipment

Destroy

Routine returns on asset status None Applicable 6 years Destroy

Inventories None Applicable 6 years Destroy

Stocktaking reports None Applicable 6 years Destroy

Inspection reports None Applicable 6 years Destroy

Requests for works None Applicable 6 years Destroy

Maintenance Records/Logs None Applicable 6 years Destroy

Theft or Vandalism Reports and Investigations


SECTION : PUBLIC CONVENIENCES



Public Conveniences

Routine returns on asset status


Inventories None Applicable 6 years Destroy

Stocktaking reports None Applicable 6 years Destroy

Inspection reports None Applicable 6 years Destroy

Requests for works None Applicable 6 years Destroy

Maintenance Records None Applicable 6 years Destroy

Theft or Vandalism Reports and Investigations


SECTION : REGISTRATION OF BIRTHS, DEATHS AND MARRIAGES



Registration of Births, Deaths and Marriages

RegistrationsWhite copies

General Handbook of Registration Officers in Northern Ireland (Section 8)

1 month Destroy

Form of particulars General Handbook of Registration Officers in Northern Ireland (Section 8)

1 year plus the current year

Destroy

B/D/M/CP certificate application forms

General Handbook of Registration Officers in Northern Ireland (Section 8)

1 year plus the current year

Destroy

Marriage Notice forms General Handbook of Registration Officers in Northern Ireland (Section 8)

3 years plus the current year

Destroy

Civil Partnership Notice forms General Handbook of Registration Officers in Northern Ireland (Section 8)

3 years plus the current year

Destroy

SECTION: SPORTS DEVELOPMENT

Sub-work Area Example of Records Statutory Provisions/Authority


Projects/Programmes Project and Programme Reports


Monitoring information for participants


CorrespondencePromotional Material


Financial InformationLetters of Offer

7 years(For funding Projects and Programmes this may depend on the body issuing funding if they stipulate timeframes for disposal)

Destroy

Strategies and Plans Sports Development StrategiesPlans


Service Level Agreements

Contracts Statutory Permanent Permanent Preservation by the Council

Internal and External Meetings

AgendaMinutesCorrespondence


SECTION: TOURISM



Tourist InformationGeneral tourism information None Applicable Reviewed Annually

(one copy retained for reference purposes but all other out of date material disposed of)

Destroy

Statistical information None Applicable 6 years Destroy

Activities information None Applicable Reviewed Annually (one copy retained for reference purposes but all other out of date material disposed of)

Destroy

Accommodation information None Applicable Reviewed Annually (one copy retained for reference purposes but all other out of date material disposed of)

Destroy

Events None Applicable 6 years Destroy

Tourism DevelopmentCorrespondence None Applicable 6 years Destroy

Policy & strategy None Applicable 6 years Determined on review by PRONI

Events & promotions None Applicable 2 years Destroy

Product Development None Applicable 6 years Destroy

Facilities Information None Applicable 6 Years Destroy

Tourism MarketingPartnerships – correspondence & minutes


Statistical information None Applicable 6 years Destroy

Marketing & publicity None Applicable 2 years Destroy

Events None Applicable 6 years Destroy

Promotions None Applicable 2 years Destroy

Correspondence None Applicable 6 years Destroy

Policy & Strategy None Applicable 6 years Determined on Review by PRONI

SECTION : WASTE MANAGEMENT



Waste Disposal Contracts

Contracts, Tenders and Quotations

None Applicable See Legal Matters and Procurement

See Legal Matters and Procurement

Waste Management Group Reports e.g. Arc 21, SWAMP etc

Reports to validate contract details, it is best practice to keep for external audit.

None Applicable Minimum 2 years then review

Destroy

Waste Transfer Notes/ Dockets

Docket from waste depositor showing amount of waste, category of waste, Environment Agency Licence number etc.

Waste & Contaminated Land (NI) Order 1997 (Article 5) (Waste Management- The Duty of Care Code of Practice)

2 years Destroy

Consignment Notes for Hazardous Waste

Docket from waste depositor showing same as above plus hazardous waste rating e.g. if material is flammable, carcinogenic etc

Hazardous Waste Regulations (NI) 2005

3 years Destroy

Waste Management Licenses

Each license provides terms and conditions of waste management. Copies of licenses should be displayed at each facility with the originals held centrally.

None Applicable Licence lasts in perpetuity unless revoked, suspended or surrendered.


Trade and Commercial Waste Customer Agreements

Records of any waste Council’s collect at a business’/ self trader’s etc request. Includes type of materials involved and also weight of waste collected.

None Applicable Keep until business closes

Destroy

SECTION : WASTE MANAGEMENT



Caravan Park Waste Collection Records

Records of any waste collected from Caravan site at Licensee’s request


Bulky Collection Records

Details of any bulky materials collected by Council, e.g. sofa’s, old table etc

None Applicable Keep for maximum of 2 years as needed for NIEA audit functions

Destroy

Waste Data Flow Documents

Recordings of all Council waste figures

None Applicable Keep for maximum of 2 years as needed for NIEA audit functions

Destroy

Driver Log Sheets Records details of any incidents drivers come across such as blocked street, cross contamination of bins etc

None Applicable Keep for 5 years then review

Destroy

Landfill Sites Weighbridge records None Applicable 7 years Destroy

Pre-notification None Applicable 2 years Destroy

Waste transfer documents None Applicable 2 years Destroy