Type of record | Description of record and examples | Storage media | Retention and disposal | Legislation or regulations |
Internal audit reports
|
Copies of final internal audit reports (council and traded services) and copies of internal audit advice notes and consultancy output.
|
Electronic.
|
6 years plus current year.
Secure disposal.
|
Accounts and Audit Regulations 2015
|
Internal audit control evaluations
|
Copies of internal audit control evaluations.
|
Electronic.
|
6 years plus current year.
Secure disposal.
|
Accounts and Audit Regulations 2015
|
Internal audit working papers
|
Internal audit working papers for council and traded services.
|
Electronic.
|
3 years plus current year.
Secure disposal.
|
Accounts and Audit Regulations 2015
|
Audit working papers
|
IDEA output files.
|
Electronic.
|
6 months.
|
Accounts and Audit Regulations 2015
|
Audit planning
|
Internal audit plans (council and traded services).
|
Electronic.
|
6 years plus current year.
Secure disposal.
|
Accounts and Audit Regulations 2015
|
Hate crime reports
|
Reports of hate crime held by equality and diversity.
|
Electronic.
|
7 years after disclosure.
Secure disposal.
|
Crime and Disorder Act 1998
|
Corporate fraud – proven cases
|
Records from proven fraud cases and supporting evidence (including disciplinary cases).
|
Electronic.
|
6 years plus current year.
Secure disposal.
|
Fraud Act 2006/Council Tax Reduction Scheme (Detection of Fraud and Enforcement) (England) Regulations 2013
|
Corporate fraud – unproven cases
|
Records from unproven fraud cases and supporting evidence.
|
Electronic.
|
1 year plus current year.
Secure disposal.
|
Fraud Act 2006/Council Tax Reduction Scheme (Detection of Fraud and Enforcement) (England) Regulations 2013
|
National Fraud Initiative
|
Records of exercises undertaken for the National Fraud Initiative.
|
Cabinet Office NFI website.
|
One exercise plus current exercise.
|
Fraud Act 2006
|
Corporate fraud requests
|
Specific data protection requests for information (in and out) for Fraud matters only.
|
Electronic
|
Proven - 6 years plus current year.
Unproven - 1 year plus current year.
Secure disposal.
|
Fraud Act 2006
|
Corporate fraud output
|
Output from proactive fraud work.
|
Electronic
|
6 years plus current year.
Secure disposal.
|
Accounts and Audit Regulations 2015
|
Risk registers
|
Copies of Council’s risk registers.
|
Electronic.
|
Until superseded.
Deleted.
|
Local Government Act 1972
|
Risk management groups
|
Minutes of risk management groups and supporting paperwork.
|
Electronic.
|
3 years plus current year.
Secure disposal.
|
Local Government Act 1972
|
Risk management framework
|
Copy of the risk management framework and toolkit.
|
Electronic.
|
Until Superseded.
Deleted.
|
Local Government Act 1972
|
Multi agency risk audits
|
Copies of multi-agency risk audits undertaken.
|
Electronic.
|
10 years plus current.
Secure disposal.
|
Local Government Act 1972
|
Insurance policies
N.B. Note caveats below in relation to EL and health policies.
|
Current and former insurance policies.
|
Electronic.
|
6 years plus current year.
Secure disposal
Policy numbers and insurer kept permanently.
|
Insurance Act 2015
|
Insurance schedule
|
Annual insurance schedule.
|
Electronic.
|
6 years plus current.
|
Insurance Act 2015
|
Insurance claims
|
Details (and copies) of claims and related correspondence.
|
Electronic.
|
Until claims under the policy are barred or three years after the policy lapses whichever is longer.
Secure disposal.
|
Insurance Act 2015
|
Insurance indemnities and guarantees
|
Details of indemnities and guarantees.
|
Electronic.
|
6 years plus current year.
Deleted.
|
Insurance Act 2015
|
Group health policies
|
Copies of the group health policies held.
|
Electronic.
|
12 years after cessation of benefit.
Deleted.
|
Insurance Act 2015
|
Employers Liability
|
Copy of the employer’s liability insurance certificate.
|
Electronic.
|
Minimum 40 years.
Deleted.
|
Employers Liability (Compulsory Insurance) Regulations 1998
|
Claims history
|
Records relating to claims history.
|
Electronic.
|
15 years plus current year.
Secure disposal.
|
Insurance Act 2015
|
Business continuity plans
|
Copies of business continuity plans for services/Council. May contain staff contact details.
|
Electronic.
|
Until superseded.
Secure disposal.
|
Civil Contingences Act 2004
|
Business continuity framework
|
Copy of the business continuity framework and toolkit.
|
Electronic.
|
Until superseded.
Deleted.
|
Civil Contingences Act 2004
|
Major emergency plan
|
Copy of the major emergency plan and thematic plans.
|
Electronic and paper.
|
10 years.
Secure disposal.
|
Civil Contingences Act 2004
|
Major emergency plan contacts
|
Contact details for key personnel for major emergency plan.
|
Electronic and paper.
|
Until superseded.
Secure disposal.
|
Civil Contingences Act 2004
|
Emergency planning test
|
Process of recording the results of the test for emergency/disaster plan for the local community.
|
Electronic.
|
10 years.
Secure disposal.
|
Civil Contingences Act 2004
|
Major incident records
|
Records and activities that report on all major incidents in the local community, whether the major emergency plan or other associated plan has been invoked or not.
|
Electronic and paper.
|
Personal data removed after 7 years unless connected to an ongoing legal procedure.
|
Civil Contingences Act 2004
|
Minor incident records
|
Records and activities that report on all minor incidents in the community.
|
Electronic and paper.
|
7 years.
Secure disposal.
|
Civil Contingences Act 2004
|
Incident debriefs
|
Documented outcomes of incident debriefs or other formal proceedings whether single or multi-agency.
|
Electronic.
|
Personal data removed after 7 years unless connected to an ongoing legal procedure.
|
Civil Contingences Act 2004
|
Health and safety – equipment
|
Equipment assessment and inspection Records.
|
Electronic and paper.
|
6 years from destruction of equipment.
Destroyed or deleted.
|
Health and Safety at Work Act 1974
|
Health and safety process
|
Process monitoring including copies of monitoring results, inspection records and maintenance records.
|
Electronic and paper.
|
3 years from last action.
Destroyed or deleted.
|
Health and Safety at Work Act 1974
|
Asbestos – employees
|
Process monitoring in areas where employees likely to come in contact with asbestos. Includes health surveillance records.
|
Electronic and paper.
|
40 years from last action or at age 75 years whichever is the greater.
Secure disposal.
|
Health and Safety at Work Act 1974
|
Health and safety risk assessments
|
Copies of risk assessments that identify the level of risk.
|
Electronic and paper.
|
3 years after assessment is superseded.
Secure disposal.
|
Health and Safety at Work Act 1974
|
Permits to work
|
Completed permits to work. May contain personal details.
|
Electronic and paper.
|
3 years from last assessment.
Secure disposal.
|
Health and Safety at Work Act 1974
|
Injury to adults
|
Records of injury to adults and accident reports.
|
Electronic and paper.
|
3 years after date of accident.
Secure disposal.
|
Reporting of Injuries, Diseases and Dangerous Occurrence Regulations 2013;
Health and Safety at Work Act 1974
|
Accident/Incident forms – childrens
|
Copies of accident/incident report forms containing details of accident, names, contact details, details of injury etc.
|
Electronic and paper.
|
Minimum 3 years after date of last entry (unless the person is under 18 when the form has to be kept until they reach 21).
Secure disposal.
|
Reporting of Injuries, Diseases and Dangerous Occurrence Regulations 2013;
Health and Safety at Work Act 1974
|
Accident/Incident forms – employees
|
Copies of accident/incident report forms for employees containing details of accident, names, contact details, details of injury etc.
|
Electronic and paper.
|
Minimum 3 years after date of last entry (unless the person is under 18 when the form has to be kept until they reach 21).
Secure disposal.
|
Reporting of Injuries, Diseases and Dangerous Occurrence Regulations 2013
|
Asbestos records
|
Asbestos records and copies of surveys.
|
Electronic.
|
40 years.
Secure disposal.
|
Control of Substances Hazardous to Health Regulations 2012, Asbestos Regulations
|
Legionella records
|
Legionella records.
|
Electronic.
|
5 years.
Secure disposal
See also asset management retention periods.
|
Control of Substances Hazardous to Health Regulations 2012;
Health and Safety at Work Act 1974
|
COSHH records
|
COSHH records.
|
Electronic and paper.
|
40 years.
Secure disposal.
|
Control of Substances Hazardous to Health Regulations 2002
|
Health and safety training
|
Records of training (health and safety).
First aid; fire warden; paper handling; COSHH; fire risk assessment; work at height risk assessment etc.
|
Electronic and paper.
|
Until no longer employed then in line with HR Retention periods.
Secure disposal.
|
Health and Safety at Work Act 1974
|
Workstation assessments
|
Service area workstation assessment forms including names.
|
Electronic and paper.
|
Until superseded.
Destroyed or deleted.
|
Display Screen Equipment Regulations 1992
|
Health and aafety audits – schools
|
Copies of health and safety audits: school management.
|
Electronic and paper.
|
4 years.
Secure disposal.
|
Health and Safety at Work Act 1974
|
Health and safety audits – Fire
|
Copies of health and safety audits: fire.
|
Electronic and paper.
|
4 years.
Secure disposal.
|
Health and Safety at Work Act 1974
|
Corporate warning register
|
Copy of the corporate warning register that contains names, addresses, details of reason for warning.
|
Electronic.
|
6 months to six years (depending upon category).
Secure disposal.
|
Health and Safety at Work Act 1974;
Crime and Disorder Act 1998
|