Rushcliffe Borough Council Information Retention Schedule

Rushcliffe Borough Council Information Retention Schedule

Development Control (Planning)

Function

The process of controlling development through planning applications (including agricultural determinations, hazardous substances, listed buildings, advertisements, TPO consents etc.

Examples of records and retention period

• Application files and plans – indefinite
• Appeal files and plans – indefinite
• Planning Register (S. 69) – indefinite
• Preliminary enquiry information – 7 years
• Environmental Impact Assessments and screening opinions etc – indefinite if an application is made, otherwise 7 years
• Complaints monitoring and correspondence – 7 years

Function

The process of regulating the planning use of land or buildings.

Examples of records and retention period

• Enforcement files and plans – 11 years
• Enforcement appeal files and plans – 11 years
• Complaints monitoring and correspondence – 7 years

Function

Planning agreements.

Examples of records and retention period

• Monitoring records in respect of planning agreements and unilateral obligations – 10 years after discharge of all obligations 

 

Conservation and Design

Function

The process of maintaining the countryside and conservation areas.

Examples of records and retention period

• Register of conservation area tree notifications – indefinite
• Hedgerow removal regulations records – indefinite
• High Hedges records – indefinite
• Notices – indefinite
• Complaints – 10 years
• Conservation Area Appraisal work files – indefinite
• Conservation area boundary maps – indefinite

Function

The monitoring of listed or other significant buildings.

Examples of records and retention period

• List of buildings or special interest files (green books) – indefinite

Function

The monitoring of environment improvement schemes.

Examples of records and retention period

• Scheme Files – 7 years after completion
• Contracts – 7 years after completion

 

Building Control

Function

The enforcement of the Building Regulations and the process for inspecting building work to ensure compliance.

Examples of records and retention period

• Applications – 15 years 
• Initial Notice Register – indefinite
• Competent Persons notifications (self-certification) – indefinite

Function

Dangerous structure.

Examples of records and retention period

• Notices etc – 6 years 

Function

Demolitions.

Examples of records and retention period

6 years

 

Local Land Charges

Function

Local Land Charge searches and CON29 enquiries

Examples of records and retention period

• Local Land Charges Register – indefinite
• Local searches/ enquiries – 7 years 
• Statistical Information – 5 years 

 

Street naming and numbering

Function

The naming and numbering of streets.

Examples of records and retention period

New development site plans and numbering schemes (and associated correspondence) – indefinite

 

Planning Policy

Function

The activity of developing vision and strategic directions regarding existing and future land use as part of the statutory local development framework (LDF) and the regional spatial strategy (RSS.

Examples of records and retention period

• Adopted Local Plan – indefinite
• Local Development documents – indefinite

Function

The activity of consultation to gain approval for the Development Plan.

Examples of records and retention period

• Consultation documents and replies – 1 year after Plan is replaced/superseded
• Representations made by members of the public and organisations – 1 year after Plan is replaced/superseded
• Public Inquiry documents – 1 year after Plan is replaced/superseded

 

Community Engagement

Function

• Community Grant Applications and Awards
• Environmental Grants
• Nature Conservation Support Grants

Examples of records and retention period

5 years from date of grant.

 

Environment

Function

The process of assisting with the protection of nature and conservation.

Examples of records and retention period

• Implementation Group minutes – 10 years 
• Reports – 10 years 

Function

Climate Change work.

Examples of records and retention period

Service Level Agreements – 6 years 

 

Arts and Events

Function

The process of developing and promotion of event.

 

Examples of records and retention period

• Mailing lists – refresh every 3 years
• Contract documentation (including H & S requirements) – 7 years
• Ticket stubs – 3 years
• Risk Assessments – 7 years
• Attendance records and personal details of individuals – 3 years

Function

Monitoring the Borough art collection.

Examples of records and retention period

• Inventory of Borough art collection – indefinite
• Insurance valuation – indefinite

Function

Commissioning of arts and young people service.

Examples of records and retention period

• Service level agreements – 3 years after expiry
• Commissioning contracts – 7 years

 

Community Facilities (including Rushcliffe Country Park)

Function

Operation of facilities.

Examples of records and retention period

• Bookings forms and hire agreements – 7 years
• Tickets and receipts – 3 years 
• Commercial contracts for the operation of bar/catering – 7 years after expiry
• Contracts for the provision of services at facilities – 7 years after expiry
• Health and Safety records (legionella, fire safety, risk assessments, monitoring record) – 7 years

 

Sports and Health Development

Function

Delivery and promotion of activities and interventions.

Examples of records and retention period

• Service Level Agreements for external delivery eg Nottinghamshire County Cricket Club, Nottingham Rugby Club – 3 years after expiry
• Commissioning agreements and grant funding contracts for delivery of services by RBC – 7 years
• Attendance records and personal details of individuals – 3 years

 

 

Legal Services

Function

Local legislation

Examples of records and retention period

• Byelaws – indefinite
• Orders – indefinite

Function

Land transactions

Examples of records and retention period

• Conveyances – indefinite
• Leases – indefinite
• Easements – indefinite
• Licences and wayleaves – indefinite
• Mortgages – 3 years after redemption

Function

Orders

Examples of records and retention period

• Tree Preservation Orders – indefinite or 3 years after revocation
• Rights of Way Orders – indefinite or 3 years after revocation
• Miscellaneous Orders – indefinite or 3 years after revocation

Function

Planning

Examples of records and retention period

• S106 Agreements – indefinite or 3 years after discharge of all obligations
• Enforcement Notices – indefinite
• Certificates of Lawfulness – indefinite
• RIPA authorisations etc /central record – 4 years

Function

Contracts

Examples of records and retention period

• Goods and services contracts – 6 years after terms of contract have expired (12 years if under seal) 
• Works contracts – as for the contract
• Tender specifications – as for the contract
• Tender records – as for the contract
• Evaluation criteria – as for the contract
• Tender documents or quotations – as for the contract
• Tender negotiations – as for the contract
• Documentation for unsuccessful tenders
• Car loans (staff) – 6 years after repayment
• Car leases (staff) – 6 years after expiry

 

Member Services

Function

Democratic Services

Examples of records and retention period

• Agendas and reports for Council, Cabinet, Committees and Sub-Committees – indefinite
• Minutes for Council, Cabinet, Committees and Sub-Committees – indefinite
• Background papers – 4 years from meeting date
• Agendas, reports and minutes of Member Working Groups and Panels – indefinite

Function

Standards and training

Examples of records and retention period

• Declarations of acceptance of office – 10 years (then archive)
• Register of Interests – 6 years 
• Register of Gifts and Hospitality – 6 years 
• Member training and development records – 6 years 

 

Electoral Registration and Elections

Function

Electoral Registration

Examples of records and retention period

• Electoral Register – 15 years
• Absent Vote Applications – 12 months after cancellation
• Special category Electors Applications – 12 months after cancellation
• Applications to register to vote – life of register, maximum of 12 months

 

Function

Elections

Examples of records and retention period

• Candidates’ election expenses – 2 years
• Election files – 10 years
• Election results – indefinite
• Election staff payments – 6 years
• Staff records – as long as interested in working on elections
• Candidate records – nominations are destroyed after election, notices are retained indefinitely
• Parish council correspondence – 10 years

 

Human Resources

Function

The management of personnel administration including recruitment, industrial relations, grievances, disciplinary, staff monitoring and termination.

Examples of records and retention period

• Personnel files – duration of employment and then as below for ex-employees
• Former employee files – 6 years from end of employment
• Recruitment files – 1 year from appointment being made
• Staff vetting files – duration of employment

 

Function

Routine staff training processes.

Examples of records and retention period

• Certificates – 10 years 
• Course material – 10 years 
• Training register – 10 years 

Function

The monitoring of employee interests as required by the employee Code of Conduct.

Examples of records and retention period

• Declarations of pecuniary and non-pecuniary interests – 10 yearly review
• Register of gifts and hospitality – 10 yearly review

Function

Papers relating to any injury at work.

 

Examples of records and retention period

Accident forms – 10 years

 

Information Technology

Function

The provision of IT services.

Examples of records and retention period

• Photocopier agreements – currency plus 6 years
• Hardware and software support agreements – currency plus 6 years
• Backup tapes – rolling 2 years
• Corporate e-mail archive – currently under consideration

 

Performance and Reputation

Function

The process of supporting and monitoring the performance management framework.

Examples of records and retention period

• Performance Indicators – electronic copies 7 years
• Project and Review reports and associated papers – electronic copies 7 years
• Consultation documents – electronic copies 7 years
• Quarterly performance key tasks – electronic copies 7 years
• Annual plans – electronic copies 7 years
• Policies Strategies – electronic copies 7 years
• Complaints received – electronic copies 7 years

 

Communications and Public Relations

Function

The process of designing and producing information for publication.

Examples of records and retention period

• Corporate publications – electronic copies 10 years
• Leaflets – electronic copies 10 years

 

Function

The process of interaction with the media.

Examples of records and retention period

 

Press releases – electronic copies 7 years

Function

The monitoring of media publications concerning the Council.

Examples of records and retention period

• Press cuttings – not kept
• Media reports – not kept

 

Revenues

Function

The collection of council tax and Non domestic rates.

Examples of records and retention period

• Council Tax accounts – indefinite
• Business rates accounts – 10 years

Function

The collection of revenues.

Examples of records and retention period

• Sundry debtor accounts – 7 years
• Cash Receipting records – 7 years
• Correspondence – 7 years

Function

The prevention and detection of benefit fraud.

 

Examples of records and retention period

• Benefit entitlement Accounts – life of application plus 6 years
• Applications – life of application plus 6 years
• Valuables Register (DWP verification) – 7 years

Function

The prevention and detection of benefit fraud.

Examples of records and retention period

• Suspected fraud case files – 3 years from closure
• Fraud investigation files – 3 years from closure
• Non Police Agencies (NPA)01 (Identity) forms – 6 months after closure of case

Function

The valuation of land for the purpose of council tax and non domestic rates.

Examples of records and retention period

• Valuation lists – original lists maintained by Valuation Office
• Central lists – original lists maintained by Valuation Office
• Valuation schedules of amendment – 2 years

Function

The administration of mortgage accounts.

Examples of records and retention period

• Mortgage accounts – 12 years from final payment.

 

Accountancy

Function

Financial Management – Accounts and Audit Reporting.

Examples of records and retention period

• Statement of accounts – indefinitely
• Preparation working papers for Statement – retain for 6 years
• Final Accounts working papers – retain for 3 years
• Grant Claims – retain for 6 years
• Estimates preparation and associated working papers – retain for 3 years
• Budget monitoring – retain for 3 years
• Delegated decisions – virements etc – retain for 3 years

Function

Ledger Records – General and Subsidiary Ledgers.

Examples of records and retention period

• Financial Management System – indefinitely
• Journals (routine adjustments) – retain for 3 years
• Feeder posting records – retain for 3 years
• Leisure Centre weekly income sheets – retain for 3 years
• Staff Costing system – retain for 6 years
• Contracts register – retain for 6 years
• Asset Register – retain for 6 years
• Salaries and Wages Costing – retain for 2 years

Function

Trial Balances and Reconciliations – to support ledger balances and published account.

Examples of records and retention period

• FMS Feeders – retain for 3 years
• Leisure Centre Cash reconciliation – retain for 3 years
• Capital receipts records – retain for 6 years

Function

General

Examples of records and retention period

• Correspondence on routine financial matters – retain for 3 years
• Consulting the public in the development of financial reporting arrangements – destroy Returns after administrative use is concluded

Function

Statutory Returns

Examples of records and retention period

• RO and CO forms, Whole of Government accounts RA forms and other information required by Central government as part of statutory requirements – retain for 6 years

 

Financial Services

Function

General and Banking

Examples of records and retention period

• Income stubs and paying-in slips – 3 years
• Bank statements (Bank copy) – 6 years
• Bank statements (Hexagon copy) – 6 years
• Cash books – 6 years
• Creditors audit logs – destroy post audit
• Cheques over £5,000 – destroy post audit
• BACS reports – destroy post audit
• Sub-contractors information – destroy post audit

Function

Payroll

Examples of records and retention period

• Payroll audit logs – retain until consolidated report for whole year transferred to COLD
• Superannuation records – keep indefinitely
• Standard pay 01 and 12 payroll analysis – 6 years
• Other payroll documentation – 6 years
• P11D’s – 6 years
• Timesheets – 6 years
• Payroll claims (mileage, subsistence, overtime, etc) – 6 years
• Other variable payroll input – 6 years
• Leaver forms and ancillary documentation – 6 years
• VAT Partial Exemption – 3 years
• VAT returns – 3 years
• VAT prints and VAT receipts – 3 years
• Insurance policy documentation – 6 years
• Insurance claims – 6 years
• Reconciliations – 3 years

Function

The provision of leisure facilities.

Examples of records and retention period

 

• Customer database – held by Council contractors Parkwood, Glendale and Mitie. Customer database is a live document that is constantly updated. 
• Health & Safety inspection reports and testing records
• Maintenance inspection reports – as above
• Usage figures – as above
• CCTV recordings – none kept.

Car Parking

Function

Car Parking Penalty Charge notices and appeal information.

Examples of records and retention period

• Electronic database kept by NCC since contract commenced May 2008 – 7 years
• Hard copies of older PCN and appeals kept in office – 7 years 

Function

On street parking dispensations.

Examples of records and retention period

• Electronic database kept by NCC since contract commenced May 2008 – since may 2008

Function

Car park ticket information.

Examples of records and retention period

• Ticket machine information and orders for ticket rolls. Income contained on FMS – 3 years 

 

Neighbourhood Services

Function

Street Cleansing

Examples of records and retention period

• Complaint records kept on CCTS including correspondence to complainants kept on the network and email archive system – 3 years  

Function

Grounds Maintenance

Examples of records and retention period

• Complaint records kept on CCTS including correspondence to complainants kept on the network and email archive system – 3 years  

Function

Licensing

Examples of records and retention period

• Application history is kept on the LalPac database with documents kept on the Document management System system, for example, application forms and associated correspondence – currency of licence plus 6 years
• Complaint records are kept on the Uniform database with documents kept on the Document management System system, for example, warning letters or incoming correspondence such as a complainant’s letter or email – 6 years from file closure
• Various documents such as letters and reports are kept on the Document management System electronic filing system – 6 years from file closure
• Internal memoranda and court proceedings document – 6 years from file closure
• Criminal Records Bureau (CRB) results – these are not scanned and are destroyed once they have been finished with (application determined).
• DVLA records – currency of licence plus 6 years

Function

Pest and Dog Control

Examples of records and retention period

• Complaint records are kept on the Uniform database with documents kept on the Document management System system e.g. warning letters or incoming correspondence such as a complainant’s letter or email – 6 years

Function

Neighbourhood Enforcement

Examples of records and retention period

• Complaint records are kept on the Uniform database with documents kept on the Document management System system e.g. warning letters or incoming correspondence such as a complainant’s letter or email – 6 years

 

Waste and Fleet

Function

Depot Licence Legislation

Examples of records and retention period

• Drivers Tachographs – 2 years
• Working time directive and records – 3 years
• Driving licences and Checks 6 Monthly Checks – 6 months then renewed

Function

Transport and Fleet

Examples of records and retention period

• Drivers log books – 3 years
• Accident records and reports – 6 years
• MOT Test station records – 2 years
• Vehicle servicing records – 3 years
• Vehicle defect reports (no faults) – 1 years
• Vehicle defect reports (with faults) – 3 years
• Vehicle servicing records – life of the vehicle
• Purchase orders – 7 years
• Playground inspections – indefinite
• Lohler records for vehicles and equipment (certificate) – 6 monthly/yearly as required by regulations
• SLA/ quotes and estimates – length of contract plus 6 years
• O licence records – currency plus 5 years

Function

Recycling2go

Examples of records and retention period

• Waste records (Tip tickets) – 7 years
• Waste transfer – 7 years
• Duty of care – 7 years
• Hazardous waste consignment notes – 7 years
• Environment agency reports – 7 years
• Waste Data Flow – 7 years
• Recycling credits – 7 years

Function

Depot Admin

Examples of records and retention period

• Astro clocking in (used for manual staff Astro clocking in records (used for manual staff overtime payments); Time sheets – 7 years
• Copies of Accident, incident and personal accident forms – indefinitely
• Expenses claims – 7 years
• Staff emergency contact details – employment period plus 1 year
• Tanker invoices and other invoices – 7 years
• Sundry debtors – 7 years

Function

Tanker Services

Examples of records and retention period

• Customers names and addresses on an electronic diary – duration of contract (address only may be retained longer)

 

Protection and Safety

Function

Food and Health & Safety

Examples of records and retention period

• Complaint records are kept on the Uniform database with documents kept on the Document management System system, for example, warning letters or incoming correspondence such as a complainant’s letter or email – 6 years
• Various documents such as letters and reports are kept on the Document management System electronic filing system – 6 years
• Food Registration forms are kept on the Document management System electronic filing system – 6 years

Function

Contaminated Land

Examples of records and retention period

• Complaint records are kept on the Uniform database with documents kept on the Document management System system e.g. warning letters or incoming correspondence such as a complainant’s letter or email – indefinitely
• Various documents such as letters and reports are kept on the Document management System electronic filing system. A Public register of IPPC is kept in paper form in the Department – indefinitely

Function

Air pollution

Examples of records and retention period

• 6 years

Function

Private Sector Housing (including grants)

Examples of records and retention period

• Complaint records are kept on the Uniform database with documents kept on the Document management System system, for example, warning letters or incoming correspondence such as a complainant’s letter or email – 6 years

Function

Grant Files

Examples of records and retention period

• Paper Grant files are kept in the Department for one year or until the grant is finalized and then will be archived at the depot – 10 years (repayment conditions may apply)

Strategic Housing

Function

The process of providing housing assistance and the associated issues of homelessness.

Examples of records and retention period

• Homelessness applications – 5 years
• Housing applications – 5 years
• Housing accommodation charges and associated information – destroy 6 years after the end of financial year in which created
• Home alarm service records and charges – 6 years
• Service Level Agreements (partnerships) – currency plus 3 years
• Surveys (eg housing needs) - excluding personal data – 10 years
• Personal data for surveys – 2 years from completion

Function

The investigation of harassment and unlawful eviction complaints.

Examples of records and retention period

• Witness statements; interview notes etc – 3 years from date of conviction or acquittal, or 1 year from date of decision not to prosecute

 

Community Safety

Function

Monitor the prevention of crime and disorder.

Examples of records and retention period

• Section 17 service area plans – currency plus 3 years

Function

Activities supporting Crime and Disorder Reduction Partnership.

Examples of records and retention period

• Annual Report – 3 years
• Crime and Disorder Act Audit Data – 3 years
• Maps – 3 years
• Action Plans – 3 years
• Reports and associated papers – 3 years
• Project information, for example, Neighbourhood Watch, Young People – 5 years
• Monitoring form – 5 years
• Statistical information – 5 years

Function

The process of monitoring Anti-Social Behaviour.

Examples of records and retention period

• Incident reports – 3 years from closure
• Case records (inc domestic violence) – 3 years from closure
• Perpetrator records – 3 years from closure
• CCTV footage – 3 years from closure

 

Customer Services

Function

Customer Information kept on Council CRM system.

Examples of records and retention period

• Electronic Customer Database linked to back office systems – 10 years 

Function

Telephone records,

Examples of records and retention period

• Recording of incoming calls to Customer Service Centre – 12 months commenced in July 2010

Function

Written customer communications.

Examples of records and retention period

• Emails and letters – sent to client services for retention

 

Estates

Function

Management of the acquisition and disposal of land and property.

Examples of records and retention period

• Maps
• Plans
• Land and Property Files relating to Purchase and sale
• Asset Register

Function

Management of land and property.

Examples of records and retention period

• Valuations
• Right to Buy and Shared Ownership files
• Rent Roll
• Invoices
• Land and property management files
• Lease arrangements, easements, etc

Function

Activities supporting the management of land and property.

Examples of records and retention period

• Market stall trading licenses
• Stall holder records
• Car park Licenses
• Cemetery Registers
• Cemetery Plot information

 

Rights of way

Function

Assisting with the review of rights of way within the Borough.

Examples of records and retention period

• Consultation undertaken following requests from the County Council
• Diversions made under the Town & Country Planning Act 1990

Function

Assisting with the undertaking of highway repairs.

Examples of records and retention period

• Consultation undertaken on traffic regulation orders prepared by Nottinghamshire County Council

Function

The provision of civil engineering works.

Examples of records and retention period

• Improvement schemes
• Contracts
• Quotations