1. Introduction
Halton Holegate Parish Council is obliged to maintain and retain documentation for a number of purposes, including audit, tax liabilities and in the event of legal disputes and proceedings and recognises that the efficient management of its records is necessary to comply with its legal and regulatory obligations and to contribute to the effective overall management of the Council. Subject to those reasons, papers and records may be destroyed if they are no longer of use or relevance.
The Freedom of Information Act (2000 (FOIA), the Data Protection Act 1998 (DPA) and the General Data Protection Regulation 2018 (GDPR) require public bodies to manage information and its access in particular ways.
2. Storing and Accessing Data
The Council’s policy on record management will enable the Council to:
• Comply with the relevant legislation and codes of practice;
• Create authentic, reliable and useable records;
• Support the Council’s business functions, including asset management;
• Document the Council’s decisions and activities;
• Reduce storage costs;
• Facilitate the paperless Office;
• Enable the efficient and accurate retrieval of information; and
• Dispose correctly of records no longer required.
This Policy applies to all records created, received or maintained by the Council in the course of carrying out its functions. Records are defined as all those documents which facilitate the business carried out by the Council and which are thereafter retained (for a set period) to provide evidence of its transactions or activities. These records may be created, received or maintained in hard copy or electronically. A small percentage of the Council records may be selected for permanent preservation as part of the Council’s archives and for historical research.
The Council has a corporate responsibility to maintain its records and record management systems in accordance with the regulatory environment. The Clerk has overall responsibility for this Policy. The person responsible for records management will give guidance for good records management practice and will promote compliance with this policy so that information will be retrieved easily, appropriately and timely.
3. Staff Responsibility
Individual staff and employees must ensure that records for which they are responsible are accurate and are maintained and disposed of in accordance with the Council’s records management guidelines. All staff are obliged to:
• Keep accurate records in an organised and accessible form;
• Keep records for as long as necessary;
• Document actions and decisions in records;
• Document reasons for the disposal of records; and
• Ensure all records created by the Council are relevant, complete and accurate, without any unsubstantiated or subjective commentary, and protected against unauthorised addition, deletion, alternation, use or concealment.
4. Periods of Retention
The minimum periods for which various types of records must be kept are set out in the Retention Schedule Annex A. These reflect statutory requirements, codes of practice and recommendations published by professional and other bodies. In the absence of any guidance, it will be the responsibility of the Clerk to determine a suitable retention period.
At the end of the retention period, the record must be assessed to determine whether it should be retained for a further period. This is particularly relevant where the record has been the subject of a request for access to information under the DPA or FOIA. This is the case even where access to information has been refused, as the record should be retained until the end of the period in which an appeal can be lodged or the appeals procedure exhausted.
5. Is Retention required to fulfil Statutory Obligations or other Regulatory Obligations?
Specific legislation setting out mandatory retention periods for documentation held by Local Government is very limited, but includes the following:
• Tax Legislation - minimum retention periods for certain financial information are stipulated by the VAT Act 1994 and the Taxes Management Act 1970.;
• Statutory Registers - Various Local Government statues require registers to be kept for a variety of functions;
• The Audit Commission Act 1998 - Provides auditors with a right of access to every document relating to the Council that appears necessary for the purposes of carrying out the Auditor’s function under the Act; and
• The Local government Act 1972, Part VA - Governs public access to certain documents relating to Council and Committee Meetings.
6. Record Disposal
Records designated for disposal must be securely disposed of to preserve confidentiality, preferably by shredding. No record is to be disposed of without the approval of the Clerk, reasons must be given for disposal.
7. Retention Schedule
ANNEX A
|
DOCUMENT
|
MINIMUM RETENTION PERIOD
|
REASON
|
|
MINUTES
|
|
|
|
Minutes of Council Meetings
|
Indefinite
|
Archive
|
|
Minutes of Committee Meetings
|
Indefinite
|
Archive
|
|
EMPLOYMENT
|
|
|
|
Staff Employment Contracts
|
6 years after ceasing employment
|
Management
|
|
Staff References
|
6 years after ceasing employment
|
Management
|
|
Application Forms (Interviewed – unsuccessful)
|
6 months
|
Management
|
|
Application Forms (Interviewed – successful)
|
6 years after ceasing employment
|
Management
|
|
Disciplinary Files
|
6 years after ceasing employment
|
Management
|
|
Staff Appraisals
|
6 years after ceasing employment
|
Management
|
|
Staff Payroll Information
|
3 years
|
Management
|
|
Flexi Time Sheets
|
2 years
|
Audit
|
|
FINANCE
|
|
|
|
Staff Payroll Records
|
3 years
|
HMRC
|
|
Scales of Fees and Charges
|
6 years
|
Management
|
|
Receipt and Payment Accounts
|
Indefinite
|
Archive
|
|
Receipt Books of all kinds
|
6 years
|
VAT
|
|
Bank Statements
|
Last completed audit year
|
Audit
|
|
Bank Paying-In Books
|
Last completed audit year
|
Audit
|
|
Cheque Book stubs
|
Last completed audit year
|
Audit
|
|
Quotations and Tenders
|
6 years
|
Limitation Act 1980 (as amended)
|
|
Paid Invoices
|
6 years
|
VAT
|
|
Paid Cheques
|
6 years
|
Limitation Act 1980 (as amended)
|
|
VAT Records
|
6 years
|
VAT
|
|
Petty Cash and Postage
|
6 years
|
Audit, Tax, Limitation Act 1980 (as amended)
|
|
Investments
|
Indefinite
|
Audit, Management
|
|
INSURANCE
|
|
|
|
Insurance Policies
|
6 years after policy ends
|
Management
|
|
Certificates for Insurance against liabilities for Employees
|
6 years after policy ends
|
Management
|
|
Certificates for Public Liability
|
6 years after policy ends
|
Management
|
|
Insurance Claim Records
|
6 years after policy ends
|
Management
|
|
HEALTH AND SAFETY
|
|
|
|
Accident Books
|
3 years from date of last entry
|
Statutory
|
|
Risk Assessments
|
3 years
|
Management
|
|
GENERAL MANAGEMENT
|
|
|
|
Councillors Contact Details
|
Duration of Membership
|
Management
|
|
Title Deeds, Leases and Agreements
|
Indefinite
|
Audit, Management, Limitation Act 1980
|
|
Contracts
|
6 years
|
Limitation Act 1980
|
|
Correspondence
|
6 years or at the Clerk’s Discretion
|
Management
|
|
Contracts
|
6 years
|
Limitation Act 1980
|
|
Email Messages
|
At end of useful life
|
Management
|
|
Consent Forms
|
5 years
|
Management
|
|
GDPR Security Compliance Form
|
Duration of Membership
|
Management
|
