Policy Statement and Standards for Records Management And

West Berkshire Council Policy Statement and Standards for Records Management and Record Retention and Disposal Schedule

Document Ref: Date Created: 30/09/05 Version: 2.2 Date Modified: 10/07/06

Author: Sue Broughton Sign & Date:

Client: West Berkshire Council Sign & Date: Change History Version Date Description Change ID

1 30/09/05 Original version service specific

2 13/12/05 Revised to map to service specific model from RMS – sent for consultation

3 22/06/06 Revised following additional input from Services

4 15/08/06 Final version including Policy statement Approved by Corporate Board

This document will be reviewed every two years or as required Policy Statement and Standards for Records Management and Record Retention Schedule 2006 WEST BERKSHIRE DISTRICT COUNCIL

Contents

CONTENTS 2

POLICY STATEMENT ON RECORD MANAGEMENT 12

STANDARDS FOR RECORDS MANAGEMENT 13

RETENTION RULES 17

1 DEMOCRATIC PROCESSES 17

Elections 17 Summary certification of those eligible to vote 17 District Elections 17 Parliamentary elections 17 European elections 17 Results 17

Council & Committee Meetings 18 Council & Committee papers 18 Minute taking 18

Partnership, Agency and External Meetings 19 Partnership internal processes 19 Partnership external processes 19 Countryside Management & Advisory Committee files 19

Honours Submissions 19 Homours Submissions 19

Political Parties Papers 19 Political Parties Papers 19

2 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 2 MANAGEMENT AND ADMINISTRATION 20

Corporate Planning & Reporting 20 Corporate Planning & Reporting 20 Preparing Strategic Business 20 Preparing departmental business 20

Statutory Returns 20 Statutory returns 20

Policy, Procedures, Strategy and Structure 21 Development processes 21

Public Consultation 21 Consultation processes 21

Information Management 22 Information Management processes 22 Management of archived records 22 Record of disposal/destruction of records 22 Monitoring of access to information 22

Enquiries and Complaints 23 Management of enquiries and complaints 23 Management of enquiries and complaints resulting in policy changes 23 Management of detailed responses 23 Management of routine responses 23 Ombudsman enquiries 23 General complaints / concerns 24 Review panel business meetings 24 Publicity about complaints procedures 24

Quality and Performance Management 24 Monitor or review process 24 Assessment of performance 24 Assessment of provider performance 24

Business Contingency Plans 24 Business Contingency Plans 24 Disaster Recovery Plans 24

3 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Public Relations 25 Design work 25 Publications 25

Media Relations 25 Process of interaction with the media 25 Media publications concerning local authorities 25

Promotions 25 Campaigns and events 25

Civic and Royal Events 25 Recording of ceremonial events and civic occasions 25 Organisation of a ceremonial event or civic occasion 25

General Staff Administration 26 Departmental and team meetings 26 Administrative files 26 Procedures 26 Postage books 26 Inventories 26 VDU Assessmente 26 General filing 26 Vehicle management 26

3 CLIENT SERVICES 27

Case Management Looked-after Children 27 Management systems 27 Case management processes 27 Looked after children 27 Looked after children other authorities 27 Supervision Order records 27

Case Management Looked-after Children 28 Adoption records 28 Uncompleted/Unsuccessful adoptions 28 Adoptive and foster carer checks 28 Case management of fosterers 28

4 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Case Management Looked-after Children 29 Fostering Service Records 29 Case records 29 Foster care enquiries 29

Child Protection 30 Child Protection 30 Child Protection Procedures 30 Schedule 1 Offences 30 Case Management Child Protection 30 Case Management Support or Non-Registration under CP 30

Case Management - Children’s Services - General 31 Children in need 31 Custodiianship 31 Short Term Records 31 ACPC Meetings 31 Missing children 31 Joint Files with Health 31 Support to unaccompanied minors 32 Services and support to youth: client personal case files 32 Reprimands & final warnings 32 Convictions 32 Sexual offences 32 Sexual offences on Sex Offenders Register 33 Victim details 33 Aggregated records for monitoring 33

Special Educational Needs 33 Support for individual children 33

Family Support 34 Support to Families 34 Family assessment 34

Adult and Elderly Case Files 34 Case management of services or support to adults 34 Vulnerable Adults 34 Joint Files with Health 34 Disabled driver (Blue Badge) records 34 Short term records 34

5 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Summary case management of support to people with mental illnesses 35 Case management where client has not been sectioned 35 Case management where client has been sectioned 35 Case management of services or support to all other people 35

Culture & Youth Services 36 Youth Activity Services 36 Annual statistics returns 36 Equipment Safety Check 36 Risk Assessments 36 Centre Guidelines 36 Access Organisations 36 Licences 36 Attendance Records 36 Financial Records 36 Grant Applications 36

Culture & Youth Services 37 Facility Inspection Records/Check Lists 37 Fire equipment checks 37 Emergency lighting and portable electric appliances 37 Personnel protective equipment check list 37 Consent for Activities 37 Accident Report Forms/Reports 37 Provision of services: young people 38 Duke of Edinburgh’s Award 38 Application Forms for Courses 38 Award – young people awaiting presentation 38 Award MV Participants 38 Individual Youth Centre Records 38 Provision of services: adults 38

Residential/Nursing Homes, Day Centres and Respite Homes 39 Residential Homes: Management 39 Residential Homes: Client files - children 39 Record of each child accommodated in the home 39 Residential Homes: Client files - adults 39 Residential Homes: Non-Client files 39 Registration of the Unit 39 Residential homes: Operation 40 Operational records /documents: children’s homes 40

6 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Policies 40 Menus 40 Financial Records 40 Operational records /documents: adults homes/day centres 41

Residential/Nursing Homes, Day Centres and Respite Homes 42 Exception statements 42 Statement of purpose 42 Inspection records 42 Charging 42 Missing persons 42 Policies and procedures 42

Residential/Nursing Homes, Day Centres and Respite Homes 43 Domiciliary care: client records 43 Domiciliary care: other records 43

4 LEGAL AND CONTRACTS 44

Litigation 44 Litigation 44

Prosecutions 44 Prosecution or sanction of an organisation or individual 44

Advice 44 Advice 44

Agreements 44 Agreements 44 S 38 Agreements 44 S 106 Agreements 44

Conveyance 45 Conveyance 45 Searches 45

Contracts and Tendering 45

Pre contract advice 45

7 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Pre contract advice 45

Pre-Qualification of Suppliers 45 Supplier expressions of interest and pre-qualification questionnaire responses 45

Specification and contract development 45 Specification and contract development 45

Tender issuing and return 45 Tender issuing and return 45

Tender evaluation 46 Tender evaluation 46 Successful tender document 46 Unsuccessful tender documents 46

Post tender negotiation 46 Post tender negotiation 46

Awarding of contract 46 Awarding of contract 46

Contract management 46 Contract operation & monitoring 46 Waste contracts 46 Management and amendment of contract 46

Tenancy agreements 47 Welfare housing tenancies 47

Legal Records & Documents 47 Miscellaneous Legal Records 47 Original Legal Documents 47

5. STATUTORY SERVICES 48

Registrars of Births, Marriages and Deaths 48 Registration – summary process and certification 48 Notices 48 Coroners records 48

8 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Inquiries into deaths – no inquest 48 Inquiries into deaths –inquest 48 Treasure trove 48 Magistrates 48

6. HUMAN RESOURCES 49

Personnel administration 49 Personnel management systems 49 Administration of employees 49 Administration of employees – subsidiary monitoring 49

Personnel administration 50 Superannuation records 50 References provided for ex -employees 50 Records relating to staff working with children and vulnerable adults 51 Records relating to carers for Adult Placements 51 Records relating to staff working within children’s residential homes 51 Records relating to staff working within adult day care and adult residential homes51 Volunteer Staff Registration forms 51 Police Record checks :Cultural and Youth Service Workers 52 Police Record checks : Community Care Workers 52 Staff Supervision forms 52 Complaints panel staff 52 All other administrative records 52 Personnel / Staff issues (Community Services) 52

Classification 53

Employee and Industrial Relations 53 General employee and industrial relations matters 53 Minor and routine liaison processes 53 Disciplinary grievances (where proved) 53 Disciplinary grievances (where unfounded or later diisproved) 53

Classification 54

Equal Employment Opportunities 54 Equal Employment Opportunities 54 EqualOpportunities Monitoring 54

9 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Occupational Health 54 Occupational health records 54

Recruitment 54 Recruitment records for un-shortlisted applicants 54 Recruitment records for shortlisted applicants 54

Staff Monitoring 55 Performance 55 Attendance records 55 Appraisal Records 55 Staff drivers 55

Staff Retention 55 Financial reward 55 Other strategy 55

Termination 55 Termination of employment 55

Training and Development 56 Routine staff training 56 Staff training concerning children 56 Staff training in occupational health and safety 56 Training materials 56 Training – proof of completion 56 Staff training personal records 56

Appointments of Statutory Officers 57 Personnel management systems 57 Administration of employees 57 Appointment of an individual for a statutory position 57 Selection process for a statutory post 57

7. ACCOUNTS AND AUDITING 58

Reporting 58 Consolidated annual financial reports 58 Consolidated periodic financial reports 58

10 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Financial Transactions Management 58 Approvals management 58

Financial Transactions Management 59 Receipt, expenditure and write-off of public monies 59 Financial records for domiciliary care 59 Journal Transfers Community Care 59 Midas Statement 59 Children’s Home accounts 59 Receivership records Community Servicea 60 Appointeeship records Community Care 60 Children’s Trust Fund Files 60 Public transport transactions 60 Balance and reconciliation of financial accounts 60 Taxation records 60 National Insurance Number – process for collection 60

Payroll 61 Accountable processes relating to payment of employees 61 Non-accountable processes relating to payment of employees 61 List of Authorised Signatories 61

Financial Provisions: Budgets and Estimates 61 Finalisation of annual budget 61 Development process for annual budget 61 Reporting process of annual budget 61

Financial Provisions: Loans 62 Borrowings 62 Summary management of loans 62

Financial Provisions: Housing 62 Mortgages 62 “Right to Buy” 62 Rent payments 62 Home Improvement Grants 62

Council Tax Valuation 63 Council Tax Valuation 63

Property History 63

11 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Property History 63

Rates and Local Authorities Tax Correspondence 63 Rates and Local Authorities Tax Correspondence 63

Summary Assets Management 63 Summary Assets Management 63 Summary management reporting 63

Asset Monitoring and Maintenance 64 Management systems for summary monitoring and management 64 Process of reporting and reviewing asset status 64 Process of maintaining assets 64

Asset Acquisition and Disposal 64 Management and disposal of the asset 64

8. PROPERTY AND LAND MANAGEMENT 65

Property and Land Management 65 Reports 65 Building and maintenance files 65 Establishment building maintenance 65 Establishment working files 65 Process of maintaining plant and equipment 65 Building control permission 65 Client related 65 Abstracts of title 65 Agreements with architects and builders 65

Property Acquisition and Disposal 66 Management of the acquisition (real property) 66 Management of the disposal (real property) 66

Property Development and Renovation 66 Property development and renovation 66 Management of buildings and estates of ‘special interest’ 66 Management of all other buildings and estates 66 Abstracts of title 66 Agreements with architects and builders 67

12 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Renovation or development process 67 Industrial development certificates 67 Land certificates 67

Leasing and Occupancy 67 Management of leased property 67 Management of occupied property 67

Housing Provision 68 Management of local authority welfare housing 68 Temporary housing 68 Provision of housing advice 68 Housing information from other agencies 68 Property adaptation: joint files with health 68

Systems Management 69 Development process for systems management 69 Implementation process for systems management 69 Support and administration process for systems management 69

Transport Management 70 Acquisition and disposal 70 Management 70 Vehicle usage 70 Driver usage 70

Insurance: Policy Management 70 Management of insurance arrangements 70 Insurance process 70 Renewal process 70

Insurance: Claims Management 71 Recording claims 71

9. GENERAL PUBLIC SERVICES 72

Health and Safety 72

H&S Inspections and Assessments 72 Inspection 72

13 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Quarry assessment 72 Monitoring 72 Environmental Inspections 72 Asbestos monitoring 72 Radiation monitoring 72 Safe systems 73 Risk assessment 73 Procedures 73 Injury records: adults 73 Injury records: children 73 Fire Safety Records for Children’s Homes 73 Construction Design & Management 73

Emergency Planning 74 Emergency/Disaster Plan 74 Emergency/Disaster Plan Test Records 74

Major Incident 74 Major incident reports 74 Minor incident reports 74

Enforcement Certification 75

Registration, Certification and Licensing 75 Management and monitoring 75 Administration 75 Site licensing 76 Registration for homes and carers 76

Notification 76 Notices to citizens 76

Investigation, Inspection and Monitoring 76 Investigation, monitoring or inspection according to law 76

Bye-Laws 77

Enactment 77 Creation of bye- laws 77

Administration and Enforcement 77

14 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Administration and enforcement of bye-laws 77

Cemeteries and Crematoria 77 Management of burials 77 Regulation of burials and cremations 77

Waste Management 78 Waste management 78

Collection 78 Collection of household waste 78 Collection of controlled waste 78

Disposal of Waste 78 Management of waste disposal sites 78 Short-term storage of household waste 78 Waste disposal management 78

Waste Management Other records 79 Waste Statistics (PI’s) 79 Abandoned Vehicle Related Records 79 General Correspondence and Management Operational Files 79

10. PLANNING AND LAND USE 80

Planning Scheme Development and Amendment 80 Development process for plans 80 Consultation 80 Development control 80 Countryside and open space amenity development 80 Parish paths Initiative 80

Countryside and Open Space Amenity Development 81 Countryside and open space amenity development 81 Greenham/Crookham Common Restoration files 81 Greenham Restoration 81 Parish paths Initiative 81 Rights of Way 81 Tree surveys 81

15 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Planning Scheme Regulation 82 Planning scheme regulation 82 Regulation of land or building use 82 Listed building planning approvals 82 Building planning approvals 82 Building compliance inspection 82 Enforcing building or land regulations 82 Planning permission 83 Development certification 83 Establishments 83 List of suppliers & supplies file 83 Demolition Notices 83

11. INFRASTRUCTURE AND TRANSPORT 84

Planning and Development 84 Development process for transport 84 Rights of way, highways and bridle paths 84 Transport planning scheme controls 84 Transport planning scheme submissions and objections 84 Enforcement of regulations 84

Planning and Development 85 Transport Schemes Thatcham NDR 85 Structures Register 85 Transport Assessments 85 Parish Roads Files 85 TRO Scheme files 85

Traffic Management 86 Traffic management 86 Parking 86

Design and Construction 86 Transport infrastructure design and construction 86

Infrastructure Management and Maintenance 86 Provision of municipal services 86 Utilities 86 Highway Records 86

16 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Land Drainage Records 86 Permits 86

Infrastructure Management and Maintenance 87 Highway Records 87 Land Drainage Records 87 Permits 87

Road Maintenance 87 Road maintenance and repair 87 Traffic Regulation & other orders 87

Public Transport 87 Services 87 Management and provision of public transport 87

School Transport 87 Records for children undergoing statutory assessments of SEN 87 Medical reports 87

School Transport 88 Contact records 88 Accident report forms 88 Risk assessments – SEN Pupils 88 Risk Assessments – other pupils 88 Risk Assessment Action Plans 88 Contractor vetting information 88 Operational files 88 Reference copies of key documents: 88 Legislation, DfEE, WBDC and others 88 Meetings files 88 Liaison with external organisations 88 Customer Care: Complaints, etc. 88 Data and statistics, service monitoring 88

School Transport 89 Pamphlets, guidance, advice, research, training received 89 Maps and plans 89 Police record checks 89 Vehicle acquisition and disposal 89 Allocation and Maintenance 89

17 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Vehicle usage 89 Driver usage 89

Systems Management 89 System development information 89 System implementation information 89 System processes to support and administer a system 89

12 . EDUCATION 90

General Education Files 90 Students 90 Consent for Activities 90 School Administration 90 Meetings and Projects 90 PI’s and Service Mmonitoring 90 Grant Applications 90

Education Policies 91 Policy Development - general 91 Policy development – major policies 91 Policy Development – minor policies 91

School Admissions and Exclusions 91 School Appeals 91

Student Support Services 92 Student Information 92 Universities (financial) 92 Universities (general) 92 Universities (management information) 92

Education Welfare Service 93 EWS Case Files 93 EWS Employment Records 93

13 . HERITAGE, TOURISM AND MUSEUM SERVICES 94

Collections Management 94

18 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Accession Register 94 Index Cards 94 Museum Object Entry Form [D Form] 94 Transfer of Title Form 94 Exit Form 94 Conservation Treatment Form 94 Deposit of Oral History Form 94 Enquiry Form [A Form] 94 Information Request Form [E Form] 94

Collections Management 95 Loan Form 95 Photocopy Form 95 Photograph Reproduction Form [Should be an order form] 95 Licence to Film Form 95 Licence to Photograph Form 95

Archaeology Service 95

Scheduled Monument Records 95 SMR Monument Files 95 SMR Consultation Files 95 SMR Monument History Files 95

Scheduled Monument Records 96 Monument Management Files 96 SMR History Files 96 Archaeology Project Files 96 SMR Enquiries Files 96

Tourism Service 96 Accommodation Booking Forms 96 Advertising Application Forms – Welcome to West Berkshire 96 Directions to Accommodation Providers 96

Tourism Service 97 Applications for Accommodation provision 97 Mailing Lists 97 Visitors Book 97 Accommodation providers Availability List 97 Correspondence 97

19 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Complaints 97

20 Policy Statement and Standards for Records Management and Record Retention Schedule 2006

Policy Statement on Record Management 1. Introduction

This policy sets out the Council’s responsibilities and activities in regard to best practice in the management of its records. Compliance with this policy will help eliminate unnecessary records, reduce storage costs, improve working practices, and enable the authority to support its management and storage of documents in accordance with the requirements of the Freedom of Information Act 2000, the Lord Chancellor’s Code of Practice on Records Management, the Data Protection Act 1998, and the Local Government Act 1972. The policy is intended as a framework for the development of individual directorate and service unit guidance and detailed operating procedures, to ensure legal compliance and accountability to the authority’s members and to the public, and to support open government and the authority’s decision making process. The attached schedule sets out the legislation, guidance and best practice regarding record retention and management in West Berkshire District Council.

2. Scope

This policy applies to all records of West Berkshire District Council held as recorded information regardless of the medium (including paper, microform, electronic, audio-visual, and archive copies of publications), which are created, collected, processed, used, stored and/or disposed of by the authority’s employees, partners and agents in the course of the authority’s legal and proper activities. It aims to ensure that records are managed in accordance with professional principles, British and European standards, and specified legislation and codes of practice or guidelines (see Appendix 1). It applies to all employees of West Berkshire District Council.

3. Policy Statement

West Berkshire District Council is committed to a framework for record management which ensures that:

 All records created and stored are authentic and reliable, providing accurate evidential and accountable content on the authority’s decisions and activities  All records created are accessible to the authorised users and the information contained therein is available on request to the public unless the content is exempt under legislation  All records are maintained in a format which facilitates auditing and other legal processes  All records created are stored securely, and protected against loss or damage which would impact upon the proper and effective conduct of the authority

21 Policy Statement and Standards for Records Management and Record Retention Schedule 2006  Any records which are no longer required, which are duplicated or superseded, are disposed of appropriately, including confidential paper and electronic documents  Any records which must be archived and retained are retained in an appropriate format and an appropriate and secure location (see also Record Retention Policy), and are readily accessible if required  The authority fulfils its legal and statutory requirements and complies with government directives on records management  The needs of the authority’s stakeholders, including the public, the partnerships to which it is contracted or with which it co-operates, its employees, and the National Archives and other record repositories, are fully met Standards for Records Management

1. Roles and Responsibilities of Staff

 The Chief Executive is responsible for the authorisation of the Record Management Policy. The Chief Executive has overall responsibility for the management of this policy within the Council.  Directors have overall responsibility for the management of this policy within their directorates, and for allocation of resources and other management support. They are responsible for the overall creation and operation of detailed operating procedures within their directorate.  Senior managers are responsible for the operation of the records procedures for their service unit within that service unit, and for supporting and monitoring all staff in maintaining good practice. They should regularly review practical aspects of records management and ensure that staff are aware of record keeping issues.  The responsibility for passing records to the National Archives under statutory requirements rests upon the manager of the service unit concerned. Guidance on public records is available in What is a Public Record? Summary guidance note for places of deposit published by the National Archives (copies available from the Information Officer Policy & Communication).  The Information Officer I&C or the Legal Services team are responsible for notifying relevant service units or directorates if the legislation relating to record management changes, and will advise on changes to the corporate policy and the service unit procedures in consequence.  All staff are responsible for the creation of accurate and reliable records, for housekeeping their own electronic and paper records in line with Records Management and Information Management guidelines, and for maintaining only those records which are required for their work.  Staff with specific responsibilities for records management will have these clearly defined in their job descriptions.  Roles and responsibilities in relation to record retention are defined within the authority’s Record Retention Schedule.  Staff responsibilities in respect of Data Protection and Freedom of Information are covered in the Policy, training and guidance available on these subjects.

2. Records Creation and Maintenance

All service units must have in place a record keeping system (paper or electronic or both) which enables it to document its activities and provides for quick and easy retrieval of information. The system must be maintained to enable records to be properly stored and protected, kept securely if required, and easily located and retrieved. It must also enable all authorised users to access shared documents quickly and effectively and in some cases must take into account the legal or regulatory environment specific to the area of work in which the service unit and the staff are engaged. Records management procedures for service units must include:

 Agreed guidelines on arranging and indexing records to facilitate retrieval  Procedures to link all relevant public documents into the Council’s EDRMS framework and the website/ intranet, in line with the requirements of the Freedom of Information Act 2000  Protocols and guidelines for referencing, titling, indexing, and version control and security marking of all records, and maintenance of a logical structure of folders. This is particularly important for records or files in shared folders and may form part of the EDRMS  Procedures for migration of electronic records across systems to facilitate accessibility  The ability to cross reference electronic and paper records or records kept on different electronic systems  Provision and identification of adequate storage accommodation for records (paper and electronic), which provides the requisite levels of security  Processes to monitor the movement and location of records to facilitate retrieval and to provide an audit trail, including conformity to standards for electronic records  Procedures for keeping the system updated, and for deleting or archiving out of date or superseded content  Identification of non-current records, and processes to transfer these to designated storage in line with the Records Retention Schedule  A business recovery plan, including identification of vital records and appropriate protection or security for these

3. Record Retention and Disposal

Disposal of the authority’s records must be a managed and documented process. The West Berkshire District Council Record Retention Schedule is available as a corporate statement of the authority’s responsibilities, and includes the schedules for retention and disposal of documents. The schedule prescribes minimum and permanent retention periods, however all retention periods referred to are minimum periods of retention only. All records should be reviewed at the end of any quoted time bearing in mind the purpose and value of their retention, and if retained, should be reviewed regularly. All confidential material must be disposed of at the end of the retention period as confidential waste, or, if electronic, must be deleted as confidential material under appropriate Standards by the ICT Service. All electronic records must be deleted from computer equipment which is resold or discarded.

The responsibility for ensuring that the appropriate records are reviewed and retained, archived or disposed of in accordance with the relevant legislation and guidance, and that appropriate documentation of disposal or transfer of records is maintained, rests with the directors and with the senior managers of the service units. This process must be included in the records management procedures created for each service unit or directorate. Records subject to a Freedom of Information request must not be destroyed. Documentation of Freedom of Information requests is covered in other guidance.

4. Training and Awareness for Staff

Ongoing internal training, including orientation/induction training, basic awareness training and in-depth training for frontline staff, as well as published guidance for all staff and general guidance on the intranet, will be made available to ensure that all staff are aware of their responsibilities in relation to Data Protection, Freedom of Information and Record Management. It will be the responsibility of senior managers to ensure that the appropriate staff within their service units have attended the training sessions, and that staff with specific responsibility for managing records have appropriate internal and if necessary, external training to fulfil their role. This will be addressed as part of the overall training strategy for the service unit and through the medium of the staff assessment process. Since all staff are involved in some aspect of record creation, maintenance and use, all staff must also be aware of the procedures for records management within their own service unit.

5. Access to Information under Freedom of Information or the Environmental Information Regulations

All decisions regarding access to recorded information which involve complex decision making processes (application of the public interest test, exemptions, application of administrative fees under the Regulations) will need to be documented, and complex requests for information will also need to be tracked to ensure that the authority adheres to the statutory timescales. Detailed information on documenting requests made under FoI and EIR is available for all staff, and forms part of the corporate training and awareness strategy.

6. Access to Personal Information under Data Protection

All requests for personal information are documented and tracked. Detailed information on documenting requests made under DP is available for all staff, and forms part of the corporate training and awareness strategy.

24 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 7. Performance Measurement

Performance indicators will include statutory indicators for requests for information made under appropriate legislation (see below), and agreed corporate indicators from response times in providing information from the records or retrieving the records themselves. These will be agreed within each directorate’s overall strategic plan.

Legislation Timescale PI’s Data Protection 40 days Respond fully within 40 days Freedom of Information 20 working days Respond fully (excepting exemptions) within 20 working days Environmental 20 working days Respond fully (excepting Information Regulations (proposed) exemptions) within 20 working days or 40 working days for complex enquiries and exemptions

8. Monitor and Review

This policy will be monitored by Policy & Communication and reviewed bi-annually in line with Freedom of Information and other relevant legislation by a working group appointed by the Head of Service Policy & Communication. In particular this will confirm that:  The scope and content of the policy is still appropriate in the light of legal requirements and the authority’s practical experience  Training and awareness is being provided in accordance with the policy  All service units are aware of their responsibilities, and that creation and maintenance of records are being carried out in line with the policy  Requests for personal data and for information (without personal content) are being answered within the statutory timescales applicable under the Data Protection Act 1998, the Freedom of Information Act 2000 and the Environmental Information Regulations 2004.

Retention Rules

Description Retention Action Examples of Records Notes Classification 1 Democratic Processes Elections Permanent  Register of Electors Held manually and electronically Summary certification of Destroy after 12 months  Annual Registration forms in Elections. Out of date copies those eligible to (Common practice) sent Reading Records Office as a vote public record. Destroy after 2 years  Returns and Declarations as Held in Elections District Elections to Election expenses Destroy after 12 months Sent to Reading Records Office (Statutory)  All material except Declarations and Expenses Destroy after 2 years  Returns and Declarations as Held in Elections Parliamentary elections to Election expenses Passed to Clerk of the Crown  All material except Sent to the Clerk of the Crown (Statutory) Declarations and Expenses Destroy after 12 months  All material that is not sent Sent to Reading Record Office European elections (Statutory) to the Local Returning Officer immediately following the election Destroy 6 months from date  Declaration of results (local Results of election elections only) (Statutory)

Description Retention Action Examples of Records Notes Classification Council & Committee Meetings Substantive records -  Minutes Minutes -Hard & electronic copies Council & Committee permanent. Transfer to  Agendas – P&C papers Berkshire Records Office Electronic copies:  Committee Papers (including after 5 years. Pre-1996 – archived onto The process of preparing Part II items) business for Council Must be available for public tape/CD – ITU.  Decision Record Notices consideration and making the inspection. 1996 onwards - Minute Retrieval record of discussion, debate System in P&C. and resolutions.  Background Papers Agendas - Hard & electronic Background papers - 5 copies – P&C years. Kept by relevant Electronic copies – service area global/infodesk/repread Archive onto CD every 3 years. C’ttee Papers - Hard & electronic copies – P&C Electronic copies: global/infodesk/repread Archive onto CD every 3 years. Decision record notices - Hard & electronic copies – P&C Electronic copies – global/committees Archive onto CD every 3 years Also available on internet Destroy after date of  Draft/rough minute Minute taking confirmation/approval of  Notes/audio tapes minutes

Description Retention Action Examples of Records Notes Classification

28 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Partnership, Agency and External Meetings As for Council and  Documents establishing the Partnership internal Committee Meetings Committee processes (Permanent for substantive  Agendas The process of preparing record, 5 years for  Minutes business for partnership and background papers) agencies consideration and  Council Reports making the record of  Recommendations discussion, debate and resolutions, where the local  Supporting documents such authority legally owns the as Council briefing and record. discussion papers Owner of record to define  Local Strategic Partnership Partnership external (RMS recommended – 3 processes years) The process of preparing external committees consideration and making the record of discussion, debate and resolutions, where the local authority does not own the record. Permanent Snelsmore Countryside and Environment, Countryside Management Bucklebury Common Faraday Rd & Advisory Greenham Common Committee files Padworth and Wokefield meeting minutes/ Member contact details Honours Submissions Destroy five years after last  Honours monimation form Homours Submissions action  Covering letter The process of preparing  Covering submission honours submissions Political Parties Papers Destroy three years after  Leader of opposition papers Political Parties Papers last action  Leader of Council papers Process of undertaking representation

31 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 2 Management and Administration Corporate Planning & Reporting . Permanent. Archive . Corporate Plans Retain in Policy & Corporate Planning & after 7 years . Strategy Plans Communication until archived Reporting at Berkshire Records Office The corporate planning and . reporting activities of Local Permanent. Archive . Business Plans Local Government Act 1972 after 2 years . Service Plans Authorities Retain in Policy & Performance . Budget Plans until archived at Berkshire Records Office

. Permanent. . Corporate Board Policy & Performance until Preparing Strategic archived at Berkshire Records Business . Archive after 5 years. . Management Board Office The process of preparing . Strategy Plans business for strategic Local Government Act 1972 consideration and making the record of discussion, debate and resolutions

. Permanent. . Task Groups Policy & Performance until Preparing departmental archived at Berkshire Records business . Archive after 5 years . Working Parties Office The process of preparing business for cross Local Government Act 1972 departmental consideration and making the record of discussion, debate and resolutions Statutory Returns . Archive hard copy . OFSTED reports Retain in Policy & Performance Statutory returns after 3 years. Destroy until archived at Berkshire . The process of preparing 7 years from closure. Best Value Inspection Records Office information to be passed on Reports . Retain electronic Local Government Act 1972: to central government as . Performance Indicators part of statutory version Sch 225 & 228 Dependent on statute under which

32 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 requirements . SSI information is collected . Best Value Performance Plan . EU Procurement

34 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Policy, Procedures, Strategy and Structure . Hard copy - . Constitution Local Government Act 2000 Development processes permanent. Activities that develop Electronic – up-to-date . Policy, Procedure, Common practice policies, procedures, version Precedent, strategies and structures for ) the Local Authorities. Instructions ) . Records relating to Policy ) Implementation and . Retain for the lifetime Development of the Plan. Destroy 2 ) years after Plan was last updated. . Education plan ) ) . Asset management plan ) . Children's Services Plan ) . Community Safety ) . Community Strategy ) . Community Plan ) . Community Safety Plan ) . Local Agenda 21

. Procurement Strategy Public Consultation Destroy five years from  Annual Satisfaction Survey Common practice Consultation processes closure Held electronically.  Results of public The process of consulting consultation exercises the public and staff, where appropriate, in the  Results of employee development of significant consultation exercises

35 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 or minor policies of the local authority

Description Retention Action Examples of Records Notes Classification Information Management  Permanen  Classification Schemes Information Management Common practice t. Archive after 3 years to processes Berkshire Records Office  Registers The activity whereby  Indexes standards, authorities, restraints and verifications  Authorised Lists of File are introduced and Headings maintained to manage information effectively.

 Current  Record Retention Policy Management of archived Common practice edition retained. Earlier records versions archived for The management of reference only (single copy)  Accession registers and file collections of records indexes for records transferred to the archives  Permanen t. Administrative use  Indexes Record of Destroy 12 years after last  Disposal certificates Common practice based on disposal/destructio action Limitation Act n of records The process which records the disposal of records Destroy two years after last  Data Protection requests Retain longer if any legal case or Monitoring of access to action  Freedom of Information complaint in relation to individual information Requests making SAR is ongoing

38 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Enquiries and Complaints  Permanen  Indexes Management of enquiries t. Archive after 3 years to and complaints  Registers Berkshire Records Office. The management in summary form of enquiries and complaints directed to council.

 Permanen  Correspondence Management of enquiries t. Archive after 3 years to and complaints Berkshire Records Office.  Reports resulting in policy changes  Returns The management of enquiries, submissions and complaints which result in changes to Council policy or procedures

 Stage 1 -  Correspondence Management of detailed  Originals kept Destroy 3 years after responses on client files in confidential administrative use is section once case closed. Copy concluded The management of detailed  Complaints by Children kept by complaints Officer. responses on Council  Stage 1 actions, policy or procedures  Ombudsman  Original kept complaint files (complaints by Complaints Officer. Copy by children) Minimum 10 kept on file. Reviewed by years complaints officer at end of retention period  Stage 2 & Ombudsman - Destroy 6 years after administrative use is concluded

 Destroy 2  Printed Material  Management of routine years after administrative responses use is concluded  Form Letters The management of routine responses on Council

39 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 actions, policy or procedures Permanent Complaints section Ombudsman enquiries

41 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Review after 5 years Complaints section, transfer to General complaints / Reading Records Bureau if concerns appropriate. 5 years after last entry Complaints section, Reading Review panel business Records Bureau meetings 5 years after last entry  Leaflets Publicity about complaints procedures Quality and Performance Management . Best Value Review Monitor or review process Destroy 5 years from closure Common practice. Retained in . Service Review The process of monitoring or P&P or appropriate service reviewing the quality, . Performance Indicators efficiency, or performance of . Public Service Agreement a local authority service or Plan Agreement (PSA) unit. . Comprehensive Performance Assessment Plan (CPA) . Inspection Reports

Assessment of Destroy 2 years from closure . Assessment forms Common practice performance The process of assessing the quality, efficiency, or performance of a local authority service or unit

Assessment of provider Destroy 3 years from next . Service Review for Housing Working documents to be performance review Service providers retained during review, only The process of assessing the (Supporting People) report and user interviews to be quality, efficiency, or retained following creation of performance of an external report provider Business Contingency Plans Retain for seven years in  Contingency plans Retain indefinitely until Business Contingency archive  Minutes of meetings superceded, when these should Plans be archived and retained for 42 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 seven years Retain for seven years in  Recovery plans Retain indefinitely until Disaster Recovery Plans archive  Minutes of meetings superceded, when these should be archived and retained for seven years

44 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Public Relations

Design work Destroy 3 years from last Common practice The process of designing and action setting information for publication Archived as pdf files onto CD . Leaflets/Posters/ Brochures Publications every two months. Kept Kept by Print Unit The published work of the permanently . Stationery local authority Media Relations Hard copies – destroy 3 . Media enquiry record forms Policy & Communication. Process of interaction with years from closure. the media

6 months (RMS . Local newspapers Policy & Communication. Media publications recommended – permanent . Press cuttings concerning local archive) authorities Promotions Hard copies 2 years, . Press releases Policy & Communication. Campaigns and events electronic copies, 5 years The process of promoting the Hard copy 2 years . Staff newsletter Council's achievements Electronic copy 4 years . Members Information Bulletin internally and externally (RMS recommended – permanent archive) Civic and Royal Events Retained until end of term of . Photographs Policy & Communication. Recording of ceremonial office of Chairman of Council Scrapbook presented to . Newspaper Clippings events and civic Chairman at end of term of . Visitors Books occasions office. . Video and Audio tapes Destroy 2 years after Policy & Communication. Organisation of a administrative use is ceremonial event concluded or civic occasion

Description Retention Action Examples of Records Notes Classification General Staff Administration  Minutes of departmental Retain and review after three Departmental and team Destroy 3 years from last meetings years meetings action (earlier if agreed)  Minutes of minor Minutes & papers for internal departmental working meetings groups  Minutes of Local/team meetings Retain two years and review  Day files Administrative files  Timesheets Retain until superceded by  Procedures Procedures new procedures. Procedural  Staff leaflets and files for childrens or guidance community services retained permananetly Retain for six years and  Postage books Postage books destroy  Related paperwork Retain until superceded by  Inventory books Inventories new book and new book audited Retain for three years then  VDU Assessmente destroy Retain for three years,  General filing review, and destroy unless General filing not otherwise otherwise advised covered by Council policy or legislation Destroy two years after sale  Approvals as drivers Vehicle management or disposal of vehicle  Maintenance logs Process of management of  MOT certificates vehicles used by staff  DVLC log book  Vehicle usage report  Mileage records

Description Retention Action Examples of Records Notes LGC CLassification

47 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 3 Client Services Case Management Looked-after Children  Children’s Home Register Common practice. Closed for 50 Management systems Permanent - Transfer to years Systems, which manage place of deposit after children, looked after by the administrative use is local authority, in summary concluded form  Adopted via the local Case management Destroy 75 yrs from 18th authority Children Act 1989 processes birthday  In children’s home Care Standards Act (2000) Process involving individual  Fostered by local authority case management of children  On custodianship orders looked after by the local  On residence orders authority

 Looked after children’s files Looked after children 75 years from DoB, or 15  Residential Care children’s Within Team for a minimum of 2 Includes all children (or care years after death of child files years after closure, transfer to leavers) accommodated, or where child dies under the  Privately fostered children’s Reading Records Bureau for on care orders or children in age of 18 files storage if appropriate. care under pre 1989  Guardian ad litem files Can be micro-filmed legislation, and children on  Files of Children placed in emergency orders such as Berkshire by other emergency protection orders authorities who stay on to receive an aftercare service.  Register of looked after Looked after children Until child is 23 or 5 years children other authorities after child s death if child  Looked after children’s files Held within team Information on children dies before 23 years of age placed in Berkshire by other authorities & held on register of looked after children 75 years from date of birth, Files of children not looked after Within Team for a minimum of 2 Supervision Order records or 15 years after death of but subject to a legal order to the years after closure, then to Children and young people child where child dies under authority requiring supervision Reading Records Bureau for subject to supervision orders the age of 18. storage. Can be micro-filmed

50 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Case Management Looked-after Children Within Team for 2 years after Adoption records 75 years from DoB, or 15 closure, then to Reading Records Files of children who have years after death of child Bureau for storage. been adopted whether where child dies under the Adoption Agency regulations agency or non agency age of 18 (1983) Regulation 14 Adoption files must NOT be Human Fertilisation & microfiched, and require Embryology Act 1990) section 30 special storage. Children and Young Persons Arrangements for Placement of Children (General) Regulations 1991 SI 1991 No 890 Regs 8,9,10

 Uncompleted adoptive Within Team for 2 years after Review after 25 years applicants closure, then to Reading Records Uncompleted/Unsu  Unsuccessful adoptive Bureau for storage. ccessful adoptions applicants Adoption Agency Regulations  Counselling of birth parents (1983) Reg 14 which did not lead to Human Fertilisation & adoption Embryology Act 1990 (section 30) Must NOT be microfiched. Review after 75 years Adoptive and foster carer Adoption Agency checks Regulations (1991) Process involved in checking the suitability of people to become adoptive parents or foster carers  Approved adopters Within Team for 2 years after Case management of  Adoption allowance files closure, then to Reading Records fosterers  All approved adopters Bureau for storage. Review after 75 years Process involving individual  Counselling of adopted adult Adoption files must NOT be Adoption Agency case management of families records mircofiched, and require Regulations (1991) or adults who have fostered special storage children in their care

Description Retention Action Examples of Records Notes Classification Case Management Looked-after Children 15 years from date of last  Register of placements Within team for 2 years after Fostering Service Records entry  Details of each person closure, then to Reading Records working for foster service Management Unit for storage provider Fostering Regulations (2002) ~  Record of all accidents Regulation 22 Schedule 2 Review after 10 years from  Foster Carer Files Within Team for 2 years after Case records date of closure / approval  Supported lodging files closure, then to Reading Records Case record for each terminated Bureau for storage approved Foster Carers / Children Act 1989 Supported Lodgings Fostering Regulations (2002) Regulation 32 Refer to regulations for details on what foster care record should contain. Review after a minimum of 3  Information obtained in Within Team Foster care enquiries years from closure of the file connection with assessment Children Act 1989 Enquiries/applications to  Reports submitted to foster Fostering Regulations (2002) become foster parents which panels & any Regulations 30(1) and (4) and do not lead to approval or are recommendations Regulation 32 withdrawn  Any notification under Regulation 28

53 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Child Protection

Child Protection (RMS recommended  Child Protection Register (RMS recommended Process involving summary permanent) common practice closed case management of children for 70 years) under the protection of the local authority Current procedure kept within Child Protection Permanent team, send one copy of old Procedures procedures for storage at Reading Records Bureau. Berkshire Area CP Procedures

Schedule 1 Offences Destroy after 75 years from  Schedule 1 Offenders Within Team for 10 years of Case management of adults offenders date of birth notification. convicted of Schedule 1 (RMS recommended offences common practice Closed for 70 years) Case files which have Within Team for 5 years after Case Management Child Destroy after 35 years  Conference minutes closure, then to Reading Records Protection  Core assessment Bureau for storage. Can be Case Management of children  Investigation microfiched. who have at any time been  Registration (RMS recommended placed on the child protection common practice Closed register for 70 years)

Case Management Review after 6 years  Initial assessment Support or Non-  Advice Registration under CP Files of children and families receiving advice , support and other non statutory work or where child protection investigations took place but did not lead to registration

Description Retention Action Examples of Records Notes Classification Case Management - Children’s Services - General Review 6 years after closure Children in need or last contact. Within Team for a minimum of 2 Children in Need (who have NB Where there is a years after closure, transfer to not been looked after, or complaint on file, file not Reading Records Bureau for have not been the subject of to be destroyed without storage IF appropriate a child protection enquiry) first referring to complaints officer

Custodiianship Until child’s 18th birthday or Files of children on 2 years after last contact Within Team for a minimum of 2 Custodianship or residence whichever is the later. years, then transferred to order who have never been Reading Records Bureau looked after

Short Term Records Review 1 year after last Held within Team Short Term Records not made contact, Team leader can into Files agree to retain for one further year at a time Destroy after 2 years  Minutes Within Team ACPC Meetings  Agenda Working Together to Safeguard Children 2 years  Notification / letters from Within Team Missing children other authorities Berkshire Area CP Procedures.  Lists of those currently missing / found As above, could be sent to Joint Files with Health Where services are run Reading Records Management NB: joint clients only, not files jointly with other Bureau for storage. of Social Services clients held agencies records of joint within joint teams services to be retained in Team manager to liase with line with longest Health (or agency) counterpart to retention period agree retention practice operated by any of the partner agencies

Description Retention Action Examples of Records Notes Classification Case Management - Children’s Services - General

Support to unaccompanied minors . Youth Service client files Services and support to . Youth Offending Team client youth: client files personal case files Process involving individual case management of services or support to youth Destroy 3 years after last Reprimands & final action or when young . Case file Held in YOT warnings person reaches 18 . Information on database. whichever sooner. . MG6A Youth Justice Board . Final Warning monitoring Guidance sheets

Convictions Weeded after 3 years to . Case file Held in YOT basic information. . Information on database. When age (Name; Date of birth; . MG6A 18 record moves to York House Gender . Court outcome sheets for storage. Last case-worker; Record of . Court monitoring offending & disposals). . Records Destroyed after 5 years . PSRs Youth Justice Board Guidance

Sexual offences Retained for indefinite  Case file. YOT: Youth Justice Board Sexual Offences period Guidance Schedule 1 Sex Sex Offenders Offenders Act Act 1997 Section 91 Disposal

Description Retention Action Examples of Records Notes Classification Case Management - Children’s Services - General

Sexual offences on Sex Subject to Length of Time on . Case file YOT Offenders Register Register Youth Justice Board Guidance Sex Offenders Act 1997 Personal victim Victim details Details to be . Case file YOT – Removed from client file at . Victim file Separate time of closure. Storage Victim file Anonymised at time of closure of client file Common Practice Data Protection Act 1998 Court Diary Aggregated records for Destroy after 3 years Unit Diary YOT monitoring Common practice Outcome Monitoring Special Educational Needs File destroyed 6 years after . Records for children Common practice Support for individual pupil leaves school/college undergoing statutory Statutory for SEN Records children or kept until child reaches assessments of special (guidance suggests 35 years as Process involving assessing 25 years old educational needs and for appropriate – eg. legal case) and providing individual pupils placed at specialist support for children who have colleges need of special educational . Medical reports support . Termly reports Medical reports should still . Social Services Reports be held by Health and Social . Education Psychology reports Services as appropriate . Docs. involved in assessing and providing individual support for children who have need of special educational needs support

60 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Family Support

Support to Families Review 6 years after closure  Parenting skills Within Team while current, Individual Case Management  Project files review 2 years after closure. in the provision of support by Where appropriate transfer to the local authority to families Reading Records Bureau for storage

Family assessment See 3.9, 3.10.2 Process involved in assessing a family’s suitability in the care of children Adult and Elderly Case Files

Case management of services or support to adults 35 years or 10 years after Strategy Meeting minutes With Client file Vulnerable Adults death of client Case conferences Client file could be sent to Files containing Vulnerable Reading Records Bureau for long Adult registration term storage As above, could be sent to Joint Files with Health Where services are run Reading Records Management NB: joint clients only, not files jointly with other Bureau for storage. of Social Services clients held agencies records of joint Team manager to liase with within joint teams services to be retained in Health (or agency) counterpart to line with longest agree retention practice retention period operated by any of the partner agencies Destroy 6 months from Within Team Disabled driver (Blue expiry of last permit IF Badge) records client does not receive any other services Review one year after Within Team Short term records contact Short term records not made into files which relate to one- off contacts or minor services

Description Retention Action Examples of Records Notes Classification Adult and Elderly Case Files

Summary case (RMS recommended management of permanent) support to people with mental illnesses 10 years after last contact / Remain in team (minimum of 2 Case management where action years) ; transfer for storage if client has not been If file is held jointly with appropriate sectioned other agencies, file must be retained in line with the longest retention period for other agency Common practice/ Departmental

A minimum of 20 years from Within Team, (minimum of 6 Case management where the date the doctor confirms years) transfer to Reading client has been no further treatment or care Records Management Bureau if sectioned is considered necessary  Mental Health files appropriate Mental Health Act 1983

Case management of Review 6 years after case is Individual Case Files : Remain in teams where possible services or support closed / contact ceased.  Elderly Case files (minimum of at least 2 years) ; to all other people  Learning Disabled case files transfer to Readings Records Process involved in assessing NB : Where there is a  Physically Disabled files Management Bureau if individual need and providing complaint on file, file not to  Sensory disability appropriate individual support or services be destroyed without first  Drug & alcohol misuse for all other people referring to Complaints  Occupational Therapy officer.

Where services are run jointly with other agencies records to be retained in line with longest retention period

Description Retention Action Examples of Records Notes Classification Culture & Youth Services Annual – file all meetings . Centre Guidelines Youth Activity Services . Meeting notes – Process involved in annual staff training, development of services or Directors, Seneshall, programmes for children Co-ordinators, Youth Activity Team, Award Committee, Award Field Officers Report Indefinite . Nos. A,B,S, G Part and Avonbank House Annual statistics returns completing of units etc. . First Aid boxes Equipment Safety Check Annually reviewed . Activity building/security AALA annual inspection Risk Assessments COSHH Health and Safety

Centre Guidelines Keep until ended . Organisation contact Avonbank Access Organisations address, date, numbers Annually Health and Safety . AALA/BCU Reports Centres covered Licences Legislation . Public Entertainment . Performing Rights Society Avonbank Operating Authority (D of E) 2 years . Y23 Attendance Records . Youth Club records See Accounts and . Leases In Centres Financial Records Auditing Section 7 . Accounts 7 years . Lottery Awards At Centres Grant Applications . Awards for all . New Opportunities Fund

Description Retention Action Examples of Records Notes Classification Culture & Youth Services 2 years . Annual/monthly checks At Cntres Facility Inspection Records/Check Lists Until superceded . Annual At Centres Fire equipment checks Until superceded . Annual At Centres Emergency lighting and portable electric appliances Until superceded . Annual At Centres Personnel protective equipment check list 2 years . Y23 At Centres Consent for Activities Used for reference in progression of training plans In accident book and . Y23 At Centres in accident books Accident Report electronically to WBDC – . Friar 1 On WBDC system WBDC Forms/Reports Retained for 21 years . Written reports/letters corporate H & S policy

Description Retention Action Examples of Records Notes Classification Culture & Youth Services Retain for 7 years Provision of services: from closure young people Process involved in the development of services or programmes for young people Keep until after 26th birthday Application to join dates/details Avonbank House Duke of Edinburgh’s of Awards gained Scheme open to 14 – 25 year Award Attendance records olds only closes after Award Application forms/records Course reports gained 25th birthday is deadline for completion. Up to a maximum 12 Course application Application Forms for months then destroyed Courses

Retained until action List of names Avonbank Award – young people completed (when related awaiting record of presentation presentation retained) Keep until after 26 birthday Application, dates/completion Avonbank Award MV Participants Membership, applications, course Theale Youth & Community Individual Youth Centre assessments, project reports Centre Records Financial records – see finance Waterside Centre Kennet Youth & Community Centre Retain for 7 years Provision of services: from closure adults Process involved in the development of services or programmes for adults

Description Retention Action Examples of Records Notes Classification Residential/Nursing Homes, Day Centres and Respite Homes RMS guidance suggests Residential Homes: these records should be Management kept permanently Summary management systems for management of children/adults housed by the local authority. Includes respite and day care facilities Children - until 75th Client files Within Home for duration of Residential Homes: Client anniversary of his / her DoB child’s stay. Where appropriate files - children or 15 years after date of records should move with child death if child died before or be returned to relevant care Record of each child reaching 18 management team. accommodated in the Children’s Homes Regulations home 2001. ~ Regulation 28 Schedule 3

Adults - minimum of 3 years Client files Within home / day centre while Residential Homes: Client from date of last entry current, then return to relevant files - adults (including notification of team to be kept with client file Record of adults death, illness or accident) Care Homes Regulations 2001. accommodated in the home Regulation 17 (schedule 3 ~ details records to be kept in respect of each service user). Destroy after 50 years Within home while current and Residential Homes: Non- for a minimum of 2 years , then Client files NB : legislation requires to Reading Records Bureau for records to be kept for 15 storage if appropriate. Record of anyone else resident years but West Berkshire Care Standards Act in the home, not accommodated policy is to keep above & Children’s Home Regulations there or an employee of the beyond this time. 2001 ~ Regulation 29 home Schedule 4

Duration of Registration Certificate of registration Within Home Registration of the Unit

Description Retention Action Examples of Records Notes Classification Residential/Nursing Homes, Day Centres and Respite Homes RMS guidance suggests Residential homes: these records should be Operation kept for 25 years  Register detailing each child Within home while current, for a Operational records Destroy after 50 accommodated in the home minimum of 2 years then to /documents: years of last entry  Accident books Reading Records Bureau for children’s homes  Record of receipt, disposal storage if appropriate. Documents relating to the and administration of any Care Standards Act ~ Children’s operation of the NB : legislation requires medicinal products to any Homes Regulations 2001 ~ establishment records to be kept for 15 child. Regulation 29 (schedule 4) years, but West Berkshire  Record of all Money/ policy is to keep above & Valuables deposited by beyond this time. children for safekeeping,.  Daily log of events  Visitors book  Complaints log  Secure unit records Duration of the home  Copies of Acts and Within home while current Policies Review – possibly to be kept Regulations for statute of limitations  Complaints policy / once home has closed procedure  Service provision manual  Current Health and Safety policy / manual  Statement of purpose Destroy after one year  Menus Within home Menus Children’s Homes Regs 2001 Regulation 29 Destroy after 15 years  Accounts Within Team for minimum of 2 Financial Records years, then to Reading Records Record of all accounts kept in Bureau for storage if appropriate a Children’s Home Children’s Homes Regs 2001 Regulation 29 – Schedule 4

Description Retention Action Examples of Records Notes Classification Residential/Nursing Homes, Day Centres and Respite Homes  Accident / incident books Within home/day centre Operational records Minimum of 3 years from  Record of all medicinal Care Standards Act 2000 /documents: adults date of last entry products kept / Care Homes Regulations 2001 homes/day centres Review after 3 years administration & disposal Regulation 17(schedule 4) Documents relating to the  Records on money/ valuables operation of the deposited by residents & establishment date returned / or used at the request of resident (purpose documented)  Menu’s  Records of any food provided for residents and of any special diets  Daily log / Communications book  Visitors book  Daily register of all residents  Admissions / discharge registers  Residents meetings  Admission / discharge registers  Complaints log

Description Retention Action Examples of Records Notes Classification Residential/Nursing Homes, Day Centres and Respite Homes Within Home Exception statements Destroy 1 year from end of exception . Statement of purpose Within Home Statement of purpose Duration of Home (adult . Statement of facilities Children’s Homes Regulations Aims/objectives of home/day homes - minimum of three provided by the home / 2001 ~ Schedule 1 centre years) centre for residents / users Care Standards Act 2000 and arrangements made for Care Homes Regulations 2001. visitors. Regulation 17 (schedule 4) . Service user’s guide . Inspection reports Inspection records Minimum of three years . Record book of inspection visits . Monitoring reports . Records of the scale of Within Home Charging Minimum of three years charges , including any Care Standards Act 2000 extras for additional services Care Homes Regulations 2001. and amounts by or in respect Regulation 17 (schedule 4) of each service user . Statement of procedure to be Missing persons Review after three years followed in the event of a client becoming missing  Acts and Regulations Within Home Policies and procedures Duration of the home  Complaints policy Departmental Review – possibly to be kept  Service provision manual for statute of limitations  Health and Safety policy once home has closed

Description Retention Action Examples of Records Notes Classification Residential/Nursing Homes, Day Centres and Respite Homes Minimum of 3 years  Service user’s care plan Within team whilst current & Domiciliary care: client  Detailed record of care then returned to relevant care records provided management team to be Care of clients within their  Contact Sheets reunited with main client file. own homes Care Standards Act 2000 Domiciliary Care Agencies Regulations 2001 Regulation 20 ~ Schedule 4 REGULATIONS STILL IN DRAFT Minimum of 3 years  All info. provided to the Within Team for a minimum of 6 Domiciliary care: other Commission for the purposes months before transferring to records of registration Reading Records bureau for  Details of any allegations of storage if appropriate. abuse Care Standards Act 2000  Details of any physical Domiciliary Care Agencies restraint used Regulations 2001  Carers observation sheets Regulation 20 ~ Schedule 4 REGULATIONS STILL IN DRAFT

73 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 4 Legal and Contracts Litigation Destroy 7 years after last  Case files Within Legal Services for 1 year, Litigation action  Prosecutions then to Reading Records Office Managing, undertaking or  Appeals for storage defending for or against litigation on behalf of the local authority Prosecutions Destroy 7 years from last  Prosecution/sanction files Common practice Prosecution or sanction of action  ASBOs an organisation or individual The process of prosecution or sanction of an individual or organisation for failing to comply with their legal responsibilities Advice Destroy 3 years after last As above Advice action The process of providing legal advice on a point of law Agreements  Concordat Common practice – dependent Agreements Destroy 6 years after on value of agreement. Mainly Process of agreeing terms agreement expires or is agreements between public between organisation (Not terminated bodies – not in regard to contractual agreements) contracts Destroy 6 months after last  S.38 Agreements In Legal Services S 38 Agreements action In Property – copies retained 20 years Destroy 1 yr after  S 106 agreements re: In Legal Services in secure S 106 Agreements compliance compliance storage In Property – copies retained 20 years

Description Retention Action Examples of Records Notes Classification Conveyance See also Property Acquisition and Disposal (8)

Retain for 12 years after  Conveyancing files Within Property for 2 years and Conveyance interest in property ceases, then pass to Reading Records Process of changing then destroy office ownership or land or property Destroy five years after  Local searches for properties Searches closure where the local authority is Searches carried out by Land the client Charges service Retain five years  Local searches/property searches

Contracts and Tendering Pre contract advice Destroy 2 years after Expressions of interest Within Legal Services or relevant Pre contract advice contract let or not preceded service unit if held on site for 1 with year, then to Reading Records Office for storage Pre-Qualification of Suppliers For approved suppliers – As above Supplier expressions of held for up to five years Supplier expressions of interest For contracts of £50,000 and interest and pre- For unapproved suppliers Pre-qualification questionnaires above qualification destroy after one year Supporting supplier documents (Steve Hounsell) questionnaire Pre-qualification questionnaire responses assessments Process involved pre- qualification process for contracts Specification and contract development Ordinary Contracts destroy As above Specification and contract after 6 from expiry Tender specification development Contracts under seal Tender Documents Process involved in the destroy 12 years after terms Quotations development and of contract have expired Signed contract specification of a contract Tender issuing and return Destroy one year after start  Opening notice As above Tender issuing and return of contract  Tender envelope Process involved in issuing and return of a contract 76 Policy Statement and Standards for Records Management and Record Retention Schedule 2006

Description Retention Action Examples of Records Notes LGC CLassification

78 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Tender evaluation Destroy 1 year after start of  Evaluation criteria As above Tender evaluation contract Ordinary contracts destroy 6 Tender documents As above Successful tender years after contract expired Quotations document Contracts under seal destroy 12 years after contract expired Destroy 2 years after Tender documents Within service unit Unsuccessful tender contract not proceeded with Quotations documents Post tender negotiation Ordinary contracts destroy 6 Clarification of contract Within service unit Post tender negotiation years after contract expired Minutes (Steve Hounsell) Contracts under seal destroy 12 years after contract expired Awarding of contract Ordinary contracts destroy 6 Signed contract Within Legal Services or relevant Awarding of contract years after contract expired service unit if held on site for 1 Contracts under seal year, then to Reading Records destroy 12 years after Office for storage. contract expired Contract management Destroy 2 years after terms SLA Within Legal Services or relevant Contract operation & of contract expired Compliance & performance service unit if held on site for 1 monitoring reports year, then to Reading Records Office for storage. Permanent Inspection records Countryside and Environment, Waste contracts Contract performance Faraday Rd The process of monitoring the information waste contract Ordinary contracts destroy 6 Minutes Within Legal Services or relevant Management and years after contract expired Changes to requirements service unit if held on site for 1 amendment of Contracts under seal Variation forms year, then to Reading Records contract destroy 12 years after Extension of contract Office for storage contract expired Complaints Disputes on payment

Description Retention Action Examples of Records Notes LGC CLassification Tenancy agreements Ordinary tenancy destroy 6 Signed tenancy agreements Statutory Welfare housing years after contract expired Sealed tenancy agreements tenancies Tenancy under seal destroy The process of awarding 12 years after contract tenancies in welfare housing expired Legal Records & Documents Destroy 20 years after last  Advertisements Within Legal Services for 1 year, Miscellaneous Legal action  Footpaths / diversions then to Reading Records Office Records Planning enforcements can  Planning enforcements for storage only be destroyed after  CLUDs Requirement to retain individual review and  Listed Buildings enforcement notices on a assessment. register while they remain in force (s188 and article 26) Keep indefinitely  Legal Charge Agreements Within Legal Services in secure Original Legal Documents  S 106 Agreements storage  Original deeds  S.116 orders  Foothpath diversions and bridleways  Extinguishments  Modification Orders  Creation Agreements  Temporary Road Closures  Full Road orders  S.31(6) Highways Act matters (deposit statement and plan)

81 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 5. Statutory Services Registrars of Births, Marriages and Deaths Permanent – transfer to  Births Register Kept at Peake House Registration – summary place of deposit after  Marriage register Statutory 1837 Registration Act process and administrative use is  Deaths register and related legislation certification concluded  Certificates  Civil registration Destroy two years after last  Wedding banns Notices action  Notice of marriage Process of notification in relation to birth, death or marriage Permanent – transfer to  Reported deaths register Kept at Thatcham Police station Coroners records place of deposit after Set by Public Record Office Summary registration of administrative use is Coroner’s case work – refer to reported deaths concluded Home Office website www.homeoffice.gov.uk/circulars /a999/hoc9959.htm Destroy 15 years after last  Coroner’s case files Set by PRO Inquiries into deaths – no action inquest Process and actions of inquiring into deaths which do not proceed to inquest Permanent – transfer to  Coroner’s case files Set by PRO Inquiries into deaths – place of deposit after May be sampled inquest administrative use is Process and actions of concluded inquiring into deaths which proceed to inquest  Destroy 2 years after last Set by PRO Treasure trove action Process and actions of treasure trove Refer to Lord Chancellor’s  Magistrates publications

83 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 6. Human Resources Personnel administration . Employee Index Within HR offices Personnel management Duration of employment . Registers of personnel files systems plus ten or twelve years (eg. Name, DOB, date of Summary management For staff working with appointment, work history, systems that allow the children or vulnerable position/job title,dates held, date monitoring and management adults, duration of left) of employees in summary employment plus twenty form. five years  CV’s and nterview notes Within HR Offices, during Administration of Employees not working with  Medical clearance duration of employment, then employees children or vulnerable adults  Application forms indexed and filed in archive The process of administering -duration of employment  Letter of appointment employees to ensure that plus seven years  Letter of acceptance entitlements and obligations  Job description Employees working with are in accordance with  Probationary period reports children and vulnerable agreed employment  Medical examinations adults – duration of requirements  employment plus twenty Personal particulars five years  Educational qualifications  Declarations of pecunairy interest  Secrecy undertakings  Employment contracts  Exit interviews  Training records Destroy 2 years after action Sick leave Administration of completed Jury Service employees – Study leave subsidiary monitoring Special and personal leave Attendance books Process of monitoring staff leave and attendance Flexitime sheets Eureka Time Recording Leave applications Annual leave

Description Retention Action Examples of Records Notes Classification Personnel administration  Superannuation records Superannuation records Destroy 6 years from date of last pension payment

References provided for 5 years from reference/end ex -employees of employment References given/information to enable reference to be provided

Description Retention Action Examples of Records Notes Classification Personnel administration Duration of employment  Include here any policies and Records relating to staff plus 25 years guidance or procedural working with documents for children’s children and services vulnerable adults Minimum of 3 years from  References Staff records. In Record Office Records relating to carers date of unsuccessful  Application forms after two years for Adult applications AP Schemes (England) Regs Placements Minimum of 7 years after 2004 Records of references and ceasing to be an AP carer other information relating to for successful applications applicants for appointment as carers for Adult Placements Destroy after 50 years  Personnel/Staff issues Within home while current for a Records relating to staff  Record of staff employed minimum of 2 years, then to working within NB : legislation requires  Duty Rosters (including Reading Records Bureau for children’s records to be kept for 15 record of hours actually storage if appropriate. residential homes years but West Berkshire worked) Care Standards Act policy is to keep above & Children’s Home Regulations beyond this time. 2001 Regulation 29 Schedule 4 ~ details records to be maintained in respect of each staff member Minimum of 3 years  Record of all staff employed Staff records – in team while Records relating to staff (detailing those providing current. Then return to HR working within personal care) department adult day care and  Staff meetings Staff meetings / rotas ~ within adult residential  Duty Rosters unit / centre homes Care Standards Act 2000 Care Home Regulations 2001 (schedule 4) Until staff resign from  Application Forms D of E, Avonbank House Volunteer Staff Service  Registration Forms Adventure Dolphin - at Centre Registration forms  Training Expedition Co-ordinator Cultural & Youth Service Records/Qualifications Personnel records checked workers annually. AALA regulations Data Protection Act 1998 86 Policy Statement and Standards for Records Management and Record Retention Schedule 2006

Description Retention Action Examples of Records Notes Classification Personnel administration In line with CRB Policy  Approved certificate Copies of approvals kept at Police Record checks Centre :Cultural and Youth CRB Code of Practice suggests Service Workers retain 6 months after employment ends Retain until after next  Approved certificatie and Police Record checks : inspection (statutory other papers Community Care requirement) Workers Destroy seven years after  Meeting notes on With Senior Managers Staff Supervision forms employment ceases (WBDC performance management Cultural & Youth Service Policy)  Appraisals Workers

As for staff / personnel files Complaints panel staff External Investigators Independent people Review panel members Duration of employment  Policies and guidance All other administrative plus 6 years  Job descriptions records May be necessary to retain  Person specifications some items longer as  Timesheets ‘library’ of information –  Staff rotas/timetables consider for archive Minimum of 3 years  Record of all staff employed Staff records – in team while Personnel / Staff issues (detailing those providing current. Then return to HR (Community personal care) department Services)  Staff meetings Staff meetings / rotas ~ within  Duty Rosters unit / centre. Care Standards Act 2000 Care Home Regulations 2001 (schedule 4)

Description Retention Action Examples of Records Notes Classification Employee and Industrial Relations Permanent – to archivist to  Generic agreements and General employee and review awards industrial relations  Negotiations matters  Disputes Identification and  Claims lodged development of significant directions concerning industrial matters Destroy 2 years after  Daily industrial relations Minor and routine liaison administrative purpose management processes concluded

Oral warning – 6 months  Disciplinary Disciplinary grievances Written warning – 1 year  Grievance (where proved) Remove and destroy after Processing of disciplinary and relevant time is ‘spent’ grievances where proved Warnings involving children – placed on personal file permanantly Destroy immediately  Disciplinary Disciplinary grievances grievance is found to be  Grievance (where unfounded unfounded, or after or later diisproved) successful appeal

89 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Equal Employment Opportunities Destroy 5 years after action Equal Employment completed Opportunities The process of investigation and reporting on specific cases to ensure entitlements and obligations are in accordance with agreed Equal Employment Opportunities guidelines and policies Destroy 5 years after action  Monitoring forms from job EqualOpportunities completed applications Monitoring Process of monitoring general equal opportunities processes (employment of people with disabilities, gender respresentation, ethnic representation) Occupational Health Records relating to accident  Health questionnaire See Employment Records Code Occupational health or injury at work – 12 years  Medical clearances Part 4 issued by the Information records Other records – as relevant  Adjustment to workplace commissioner The process of checking and to circumstances for which  Restrictions ensuring the health of staff these were collected  Recommendations Recruitment 4 months from date  Completed job application Within HR Offices Recruitment records for applicant informed not forms un-shortlisted short-listed  CVs applicants  Internal notes The selection of an individual  Adverts for an established position.  Referee reports Records where application not short-listed 4 months from date  Completed job application Within HR Offices Recruitment records for applicant informed of the forms shortlisted appointment decision  CVs applicants  Internal notes

90 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 The selection of an individual  Interview records for an established position. Records where applicants short-listed but unsuccessful

92 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Staff Monitoring  Destroy 1  One to one Performance year after employee has  Probationary reports (see Performance related reports terminated employment or also main employment for staff in employment. Can five years after action records) also include reports on completed  Performance plans voluntary staff (whichever longest) Annual leave – 2 years  Annual leave Attendance records Sick leave – 3 years  Sick leave Process of monitoring staff All others – two years after  Compassionate leave leave and attendance action completed  Maternity leave  Jury service  Study leave  Atttendance records (flexitime, leave sheets etc)  Policies and procedures relating to attendance Destroy seven years after  Staff apparaisal Appraisal Records employment terminated Process of staff appraisal Destroy two years after last  Vehicle log book Staff drivers action unless accident/insurance case Staff Retention Destroy 7 years after action  Letters or supporting documents All records relating to actual Financial reward completed for one off honoraria payments are dealt with under  Work related bonuses Accounts and Auditing Section 7 Destroy 3 years after action  Employee of the month and Other strategy completed similar Termination  Resignation Termination of If a pension is paid  Redundancy (Section 188) employment records should be  Dismissal Process of termination of destroyed 6 years  Death employment through after last payment of  Retirement voluntary redundancy, dismissal and retirement pension. Otherwise destroy six years

93 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 after last action.

Description Retention Action Examples of Records Notes Classification Training and Development 2 years after action  Course individual staff Routine staff training completed assessment Routine staff training processes, not occupational health and safety or child related, and not statutory Destroy 35 years after  Individual Escort training Dependent on service unit, may Staff training concerning training completed or last records and training register be kept within service unit or by children entry - Transport Learning & Development Destroy 50 years after  OH&S training register Staff training in training completed. occupational Individual course health and safety assessment records should be destroyed once the training has been renewed every 3 years Destroy 1 year after course  Powerpoint presentations Training materials is superseded  Handouts  Course notes Destroy 7 years after action  Certificates Training – proof of completed  Awards completion  Exam results Part of employment record –  CPD records HR Offices with personnel files Staff training personal keep as for employment  Staff training and records record for that staff member development sheet

Description Retention Action Examples of Records Notes Classification Appointments of Statutory Officers  Magistrates Register Personnel management Permanent - Transfer to systems place of deposit after Summary management administrative use is systems that allow the completed monitoring and management of statutory officers in summary form.  Administration of Destroy 6 years after employees duration of employment The process of administering employees to ensure that entitlements and obligations are in accordance with agreed employment requirements Appointment files for: Appointment of an Permanent - Transfer to  Shrievality individual for a place of deposit after  Magistrates statutory position administrative use is  Lord Lieutenant concluded  Tax commissioners Destroy 2 years after date  Vacancies and application Selection process for a of appointment records statutory post  Interview notes  Proespective staff register  Registers of applicants  Unsuccessful applications records

Description Retention Action Examples of Records Notes Classification 7. Accounts and Auditing Reporting  Consolidated annual reports Consolidated annual Permanent - Transfer to  Consolidated financial financial reports place of deposit after statements The process that consolidates administrative use is  Statement of financial financial transactions on an concluded position annual basis for corporate  Operating statements reporting purposes  Genral ledger  Consolidated monthly and Consolidated periodic Destroy when administrative quarterly reports financial reports use is concluded  Consolidated monthly and The process that supports quarterly statements and consolidates financial  Working papers to prepare transactions on a periodic the above (less than annual) basis,  Monthly accrial statements superseding those from the  Cashflow statements previous period. Excludes  Creditor listings and reports journals and subsidiary  Debtor listings and reports ledgers and cash books. Financial Transactions Management  Appointments and Statutory (Limitations Act) Approvals management Destroy 7 years after the delegations Management of the approvals end of the financial year in  Audit investigations process for purchase, which the records were  Arrangements for the including investigations created provision of goods and/or services

98 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Financial Transactions Management  Property adaptations Statutory. Period may be Receipt, expenditure and Destroy 6 years after  Official order books reduced with agreement of write-off of public conclusion of financial  Delivery notes Custom and Excise and/or the monies transaction that the record  Stock inventories Inland Revenue Identification of the receipt, supports  Inventory books expenditure and write-offs of  Allowances public monies. Includes  Work orders ordering and stock  Invoices documentation.  Vouchers Inclusive of:  Annual subsidiary ledgers & journals  Imprest paying in book  Unpresented cheque lists Regulations specify a Domiciliary care: Domiciliary care: Financial records for minimum of 3 years BUT all  Records of all business Within Community Care Team for domiciliary care financial records need to be transactions by the care a minimum of 6 months before kept for 6 years agency transferring to Reading Records  Copies of all receipts issued Centre for storage if appropriate. Destroy 6 years after last  Details of charges payable Care Standards Act 2000 transaction or 7 years after  Home Care assistant time Domiciliary Care Agencies death sheets Regulations 2001 Community care client files Regulation 20- ~ Schedule 4 containing ‘prime’ financial REGULATIONS STILL IN documentation DRAFT With client file in appropriate team. Destroy after 3 years Within Team for a minimum of 2 Journal Transfers year, transfer to Readings Community Care Records Management Bureau if appropriate . Audit, Tax , VAT, Statute of Limitations Departmental Retain until 31st March of the Within Team Midas Statement following year, then destroy Audit, Tax , VAT, Statute of Limitations Departmental Destroy after 15 years Within Team for minimum of 2 Children’s Home accounts years, transfer to Reading

99 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 (refer to section on Children’s Records Management Bureau if Homes ) appropriate. Children’s Homes Regs 2001 (Reg 29) schedule 4

Description Retention Action Examples of Records Notes Classification Financial Transactions Management

101 Policy Statement and Standards for Records Management and Record Retention Schedule 2006  Receivership records Within Team while current, Receivership records Destroy 6 years after death  Care of property transfer to Readings Records Community Management Bureau if Servicea appropriate. Audit, Tax , VAT, Statute of Limitations Departmental Within Team while current, Appointeeship records Destroy 6 years after death transfer to Readings Records Community Care Management Bureau if appropriate . Audit, Tax , VAT, Statute of Limitations Departmental Within Team while current, Children’s Trust Fund Review after 70 years transfer to Readings Records Files Management Bureau if appropriate. Audit, Tax , VAT, Statute of Limitations Departmental  Applications (bus season Statutory Public transport Destroy 6 years after tickets, concessionary fares transactions conclusion of financial tokens, rail warrants) Process involving the transaction that the record  Card issue provision and support for supports  Travel warrants individuals using public transport  Reconciliation Common practice Balance and reconciliation Destroy 2 years after  Summaries of accounts of financial administrative use is accounts concluded

 Taxation records Statutory Taxation records Destroy 5 years after the  Motor vehicle logs end of the financial year in  Fringe benefits tax records which the records were  Group certificates created.  Notification and input records Common practice National Insurance Destroy 2 years after Number – process employee ceases for collection employment

Description Retention Action Examples of Records Notes Classification Payroll  Authority sheets Statutory Accountable processes Destroy 7 years after  Payroll deduction authorities Within Team for 1 year, transfer relating to conclusion of financial  Payroll disbursement to Readings Records payment of transaction that record  Employee pay records Management Bureau if employees supports  Employee taxation records appropriate  Travel forms  Overtime sheets  Timesheets  Summary employee pay Common practice Non-accountable Destroy after administrative reports processes relating use is completed to payment of employees Destroy 1 year after audit Within Team List of Authorised Signatories Financial Provisions: Budgets and Estimates  Annual budget Common practice Finalisation of annual Permanent - Transfer to Only the final version of the budget place of deposit after annual budget needs to be kept The process of finalising local administrative use is authorities’ annual budget concluded  Draft budgets Common practice Development process for Destroy 2 years after annual  Departmental budgets annual budget budget adopted by local  Draft estimates The process of developing authority local authorities’ annual budget  Quarterly statements Common practice Reporting process of Destroy after following annual budget year’s annual budget has The process of reporting been adopted by local which examines the budget in authority relation to actual revenue and expenditure

Description Retention Action Examples of Records Notes Classification Financial Provisions: Loans  Loan files Statutory Borrowings Destroy 7 years after loan The activity of borrowing has been repaid in full money to enable a local authority to perform its functions and exercise its powers  Loans register Common practice Summary management of Permanent - Transfer to loans place of deposit after administrative use is concluded Financial Provisions: Housing The process of offering  financial help with welfare housing provision and maintenance

104 Policy Statement and Standards for Records Management and Record Retention Schedule 2006  Mortgage agreements Statutory Mortgages Last payment + 6 years if  Correspondence signed Last payment + 12 years if sealed  Sale documents Common practice “Right to Buy” Destroy 12 years after sale  Agreements concerning sale of house Destroy 7 years after end of  Correspondence and Tenancy General File to be Rent payments financial year in which requests concerning retained in Housing Services as created. payment long as WBC own the temporary Client Files Re the tenancy accommodation. Personal file  Rents/Rent books keep for 2 years and then to  Tenancy Condition Reading Records Office for  TSO Reports storage. Statutory  Agreement to pay loan Statutory Home Improvement Destroy 6 years after last  Details of payment Grants payment for grants under  Correspondence relating to £50,000. loan Destroy 12 years after last payment for grants over £50,000 Where plans and detailed drawings included offer to archive.

Description Retention Action Examples of Records Notes Classification Council Tax Valuation  Valuation lists Common practice Council Tax Valuation Valuation lists – permanent  Correspondence The valuation of rateable land - offer to archivist  Objections within a municipal district for Destroy 10 years after the  Reports the purpose of the making of year in which valuation was the rate made Property History  Rate books Common practice Property History Permanent - Transfer to  Rate cards The recording of information place of deposit after  Register of rateable for rateable properties administrative use is properties identifying the person or concluded company rated, and value of the property. (Excludes accounting information) Rates and Local Authorities Tax Correspondence  Objections Common practice Rates and Local Destroy 7 years after last  Notices Authorities Tax action  Applications Correspondence  Correspondence  Rate certificates  Notices of acquisition and disposition  Rate property files Summary Assets Management See Property Management Summary Assets for real property assets Management See Transport management for vehicle assets  Schedules of acquisitions Common practice Summary management Permanent - Transfer to  Consolidated current asset reporting place of deposit after reports Summary management administrative use is  Annual reports reporting on overall assets of concluded  Summary of current assets the local authority  Asset registers

Description Retention Action Examples of Records Notes Classification Asset Monitoring and Maintenance  Subsidiary asset registers Common practice Management systems for Destroy 7 years after summary conclusion of financial monitoring and transaction that the record management supports Management systems which allow themonitoring and management of assets in summary form  Routine returns and reports Common practice Process of reporting and Destroy 2 years after on asset status reviewing asset administrative use if  Inventories status concluded  Stocktaking  Surveys of usage  Acquisition and disposal reports and proposals  Garden maintenance Common practice Process of maintaining Destroy 7 years after last  Cleaning assets action  Painting

Asset Acquisition and Disposal  Legal documents relating to Statutory Management and disposal Destroy 6 years, if under the purchase/sale of the asset £50,000 or 12 years, if over  Particulars of sale documents Management of the asset (by £50,000, after all  Board of survey financial lease or purchase) obligations/entitlements are  Leases and disposal (by sale or write concluded  Applications for leases, of) process for assets licences and rental revision  Tender documents  Conditions of contracts  Certificates of approval

108 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 8. Property and Land Management Property and Land Management  Consolidated property & Reports Permanent –Transfer to buildings annual reports Reports to management on place of deposit after overall property of the local administrative use is authority concluded Retain for 12 years, then Within Property for 2 years and Building and maintenance destroy then pass to Reading Records files office Common practice Retain for 6 years, then Within Property for 2 years and Establishment building destroy then pass to Reading Records maintenance office. Common practice Retain for 12 years, then Within Property for 2 years and Establishment working destroy then pass to Reading Records files office. Common practice  Service records Common practice Process of maintaining Destroy 7 years after sale or  Plant files plant and disposal of asset equipment Retain for 12 years after Within Property for 2 years and Building control interest in property ceases, then pass to Reading Records permission then destroy office. Commercial / statute of limitations Retain for 5 years or life of Within Property for 2 years ad Client related involvement with client, then pass to Reading Records whichever is longer office. Review need for information after 5 years. Commercial / statute of limitations Retain for 12 years after Within Property for 2 years and Abstracts of title interest in the property then pass to Reading Records ceases, then destroy office. Commercial / statute of limitations Retain for 6 years after Within Property for 2 years and Agreements with interest in property ceases, then pass to Reading Records architects and then destroy office. Commercial / statute of builders limitations

Description Retention Action Examples of Records Notes Classification Property Acquisition and Disposal See also Conveyance (4)

111 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Retain for 12 years after  Leases Within Property for 2 years and Management of the interest in property ceases,  Plans then pass to Reading Records acquisition (real then destroy office. Commercial / statute of property) RMS advisory – offer limitations Management of the significant material acquisition (by financial lease to archivist for or purchase) process for real review property Destroy 15 years after all  Legal documents relating to Common practice Management of the obligations/entitlements are the sale disposal (real concluded  Particulars of sale documents property) RMS advisory – offer  Board of Survey Management of the disposal material re  Tender documents (by sale or write off) process significant/major  Conditions of contract for real property properties to archivist for review Property Development and Renovation

Property development and renovation Process of managing and undertaking renovations and development of property  Project specifications Management of buildings Permanent - Transfer to  Plans and estates of place of deposit after  Installation manuals ‘special interest’ administrative use is  Certificates of approval concluded RMS advisory –  Project specifications Management of all other retain for life of  Plans buildings and property or building  Installation manuals estates  Certificates of approval 12 years after interest in Within Property for 2years and Abstracts of title property ceases then pass to Reading Records office. Destroy after 12yrs. Commercial/statute of limitations

Description Retention Action Examples of Records Notes Classification Property Development and Renovation 6 years after interest in Within Property for 2years and Agreements with property ceases then pass to Reading Records architects and office. Destroy after 6yrs. builders Commercial/statute of limitations Destroy seven years  Work orders See also: Legal and Renovation or after the conclusion  Tender documents Contracts Section 4 development of the transaction  Conditions of contracts process that the record supports 12 years after interest in Within Property for 2years and Industrial development property ceases then pass to Reading Records certificates office. Destroy after 12yrs. Commercial/statute of limitations 12 years after interest in Within Property for 2years and Land certificates property ceases then pass to Reading Records office. Destroy after 12yrs. Commercial/statute of limitations Leasing and Occupancy  Management of leased property The process of managing leased property  Management of occupied property The process of managing the occupancy of property

114 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Housing Provision  Stock monitoring records Management of local Destroy 4 years after last authority welfare action housing The process of managing local authority welfare housing Destroy 7 years after last Client Files Within Housing Services for 2 Temporary housing action. Homelessness years, then to Reading Records The process of the allocation Housing Register Office for storage. Common Practice of temporary Medical Information accommodation/& permanent housing, registering clients Appeal details applying for housing, Correspondence from other managing tenancies and Agencies monitoring Rent Accounts Destroy 7 years after last  Impending homelessness Within Housing Services for 2 Provision of housing action.  Tenancies years then to Reading Records advice  Benefits Office for storage.  Finance Common Practice  Low level legal advice.  Client Files  Re all the Advice given. Supporting material. Destroy 7 years after last  Client files re homelessness Files to be kept within Housing Housing information from action.  Client files re Housing Services for 2 years and then to other agencies Register Applications Reading Records Office for  CAB storage.  Probation Service Common Practice  Social Services (Social Workers)  Newbury Mental Health  Two Saints  Other Housing providers Destroy after six years  Aids order book Retained as live file 1 year then Property adaptation: joint  Aids request form in storage files with health

Description Retention Action Examples of Records Notes Classification Systems Management  Development process for Retain for life of system systems then destroy management Internal process to develop or extend the capabilities of a system used to support the activities of the local authority  Implementation process Destroy 7 years after last for systems action management Internal process to implement a system used to support the activities of the local authority  Implementation plan Support and Destroy 5 years after last administration action process for systems management Internal process to support and administer a system used to support the activities of the local authority

Description Retention Action Examples of Records Notes Classification Transport Management  Leases Acquisition and disposal Destroy 7 years after the  Contracts Process of acquisition and disposal of the vehicle  Quotes disposal of vehicles through  Approvals lease or purchase  Fleet authorisation numbers  Approvals as drivers Management Destroy 7 years after the  Allocations and Process of managing sale of disposal of the authorisations for vehicles allocation and maintenance of vehicle  Maintenance vehicles  Vehicle usage reports Vehicle usage Destroy 3 years after the The process of recording sale or disposal of the vehicle usage vehicle  Vehicle log books Driver usage Destroy 7 years after The process of recording closure vehicle usage Insurance: Policy Management Permanent - Transfer to  Insurance register Management of insurance place of deposit after arrangements administrative use is Summary management of concluded insurance arrangements  Insurance policies Insurance process Destroy 7 years after terms  Correspondence Process of insuring local of the policy have expired authority officers, property, vehicles, equipment against negligence, loss or damage  Insurance policy renewal Renewal process Destroy 5 years after the records Process of renewing insurance policy has been  Correspondence insurance policies renewed

Description Retention Action Examples of Records Notes Classification Insurance: Claims Management  Claims records Recording claims Destroy 7 years after all  Correspondence The process that records obligations/entitlements are claims against the local concluded (allowing for the authority or local authority claimant to reach 25 years officers of age)

119 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 9. General Public Services Health and Safety H&S Inspections and Assessments Destroy 6 years from  Equipment inspection Statutory Inspection destruction of equipment records Process of inspecting  Fire equipment maintenance equipment to ensure it is safe When quarry is no longer in  Statutory Quarry assessment use, refer to Health and Processing the geo-technical Safety Executive (HSE) assessments of a quarry Destroy 3 years from last  Monitoring results Statutory Monitoring action  Care home and day centre See also Registration, Process of carrying out In case of care homes and fire safety checks Certification and Licensing in (9) monitoring to ensure that the day centre review after 3  Fire alarm tests Care Standards Act process is safe years.  Fire drills / practice Care Homes Regulations 2001  Statement of procedure to be Regulation 17. (Schedule 4) followed in the event of a fire Review after 3 years  H & S checks Within home / day centre Environmental Inspections  Hot water / Food hygiene Process of carrying out inspections of environmental aspects of day centre and care home provision Destroy 40 years from last  Property asbestos files Common practice based on Asbestos monitoring action Statutory Process of carrying out monitoring of areas where employees and persons are likely to have come into contact with asbestos Destroy 50 years from last  Radon monitoring Radiation monitoring action or at age 75 years Process of monitoring of whichever is the greater areas where employees and persons are likely to have come in contact with radiation

Description Retention Action Examples of Records Notes Classification H&S Inspections and Assessments Retain until superseded or  Health and Safety Common practice Safe systems process ceases plus 1 year procedures and guidance Process to ensure safe  Memos systems of work Destroy 3 years from last  Risk assessment Statutory Risk assessment assessment Process to assess the level of risk Destroy 1 year from last  Common practice Procedures action Processes that permit work Destroy 3 years from  Accident books Statutory Injury records: adults closure Process that records injuries to adults Destroy 25 years from  Accident books Based on Statutory Injury records: children closure Process that records injuries to children Destroy 15 years from last  Fire drill / fire alarm test Within home while current, then Fire Safety Records for action  Fire equipment maintenance to Reading Records Bureau for Children’s Homes (including details of any storage deficiency & steps taken to Children’s Homes Regs 2001 remedy it) Regulation 29 – Schedule 4

Indefinitely  Health & Safety Records Health & Safety at Work Act CDM Construction Design & Regulations Management Health & Safety records for Highways construction

Description Retention Action Examples of Records Notes Classification Emergency Planning  Major Incident Plan Contingency/disaster plans Emergency/Disaster Plan Permanent - Transfer to  Recovery/contingency plans should be destroyed/archived Process to develop the place of deposit after  Individual service plans when superseded by a new Emergency/Disaster Plan for superseded version, after it has been the local community published and acknowledged by the organisation.

Destroy 10 years after  Annual joint authority Emergency/Disaster Plan closure exercise reports Test Records Process of recording the results of the test of the Emergency/Disaster Plan for the local community Major Incident  Reports to Corporate Board Preserve all related documents Major incident reports Permanent - Transfer to or Executive on the incident as a single unit Activities that report on all place of deposit after  Leaflets permanently. major incidents in the local administrative use is  Newspaper cuttings Include current Disaster Plan at community, whether the concluded  External reports the time of the incident as emergency plan has been  Minutes of meetings relevant document invoked or not Destroy 7 years after  Reports (internal or external) Preserve all related documents Minor incident reports closure  Minutes of meetings on the incident as a single unit Activities that report on all for seven years. minor incidents in the local community

Description Retention Action Examples of Records Notes Classification Enforcement Certification Registration, Certification and Licensing  Visual impairment register Common practice Management and Permanent - Transfer to monitoring place of deposit after Summary management administrative use is systems that allow the concluded monitoring and management of registration, certification and licenses registration requirements in summary form Destroy 2 years after  Applications for animal Statutory: May want archival Administration registration or entitlement registration review in cases of licensing of The administration of lapses  Applications for registration children in entertainment. applications, registration, of a business premises certification and licences in In case of BD8 destroy 2  Applications for release of relation to local authorities’ years after clients death (if animals impounded registration requirements client file is to be destroyed  Registers prior to this, BD8 should be  Certificates of registration removed first) of ;door supervisors; taxi If client transfers to another drivers; beauty therapists authority BD8 should be  Animal movement licences transferred with client and  Gaming record kept of transfer for I  Fire certification year  Disabled Parking permits  Blue Badge  Registration to sell poison  BD8 form for registration of blindness or partial sight

Description Retention Action Examples of Records Notes Classification Enforcement Certification Registration, Certification and Licensing

124 Policy Statement and Standards for Records Management and Record Retention Schedule 2006  Diesel licenses Site licensing Transfer to place of deposit  Petroleum licenses The process involved in after administrative use is  Health and safety licensing licensing of the site for the concluded, destroy 60 years  Hazardous substances holding or use of toxic or after the registration or  Contaminated land hazardous substances entitlement lapses register/pollution (including petroleum, agricultural chemical products or herbicides)  Registration for homes Permanent - Transfer to and carers place of deposit after The process of registration of administrative use is homes or carers for the care concluded and support of children, in the responsibility of the local authority Notification Destroy 2 years after matter  Fire prevention notices Common practice Notices to citizens is concluded  Fire prevention infringement The process of offering notices notices to citizens with  Objections to notices respect to particular  Appeals against notices responsibilities  Registration of premises  Infringement notices  Animal impounding notices Investigation, Inspection and Monitoring  Trading standards sample Common practice Investigation, monitoring Destroy 7 years from last and inspections records or inspection action  Fire certificate compliance according to law Trading standards records inspections The process of investigation, held for five years from date monitoring or inspection laws of creation in the responsibility of the local authority

Description Retention Action Examples of Records Notes Classification Enforcement Certification Bye-Laws Enactment  Master set of byelaws Common practice Creation of bye- laws Permanent - Transfer to  Policy development The process of making local place of deposit after documents laws administrative use is  Correspondence concluded  Submissions  Consultations Administration and Enforcement Destroy 2 years after  Application and certificates Administration and certificate has expired or  Permits enforcement of penalty payment has been  Licences bye-laws made or the matter has  Infringement notices been finished or (parking) correspondence on the  Correspondence matter has ceased Cemeteries and Crematoria  Register of interments Cemeteriesand Crematoria run Management of burials Permanent - Transfer to  Cemetery register by Town Councils Summary management place of deposit after  Cemetery plans Green burial sites may apply systems that record the administrative use is  Green burials registers location of burials and concluded identity of deceased individuals Destroy 5 years after last  Permits Regulation of burials and action  Applications Orders cremations Process of regulation of burials and cremations

127 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Waste Management  Waste management Provision of hard waste removal, destruction and waste reduction services by the local authority to rate payers Collection  Bulky household waste Collection of household Destroy 6 years after last collection records waste action  Missed collections The process of arranging  Complaints collection or transportation of household waste Destroy 6 years after last Bulky household waste collection Collection of controlled action records waste Missed collections The process of arranging Complaints collection or transportation of controlled waste, flytipped waste etc. Disposal of Waste  Landfill, Management of waste Permanent - Transfer to  Civic Amenity Sites disposal sites place of deposit after  Transfer Sites The summary management of administrative use is  sites used for waste disposal concluded Bring Bank Centres within the local authority  Transfer sites Short-term storage of Destroy 10 years after site household waste closure The process of the short-term storage of household waste

Environment agency Waste disposal WBC - Destroy 6 years after Consignment notes management last action Waste Site Plans The process involved in Weigh bridge tickets managing the use, type and Correspondence amount of waste to be disposed at a specific site

Description Retention Action Examples of Records Notes Classification Waste Management Other records Permanent  Tonnages to Landfill Waste Statistics (PI’s)  Recycling/ composting tonnages  Cipfa/ Defra Statistics Permanent  Removal request Abandoned Vehicle  Destruction confirmation Related Records  Inspection forms Destroy  Day to day correspondence Defined locally General Correspondence and Management Operational Files

131 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 10. Planning and Land Use Planning Scheme Development and Amendment RMS advisory-  Structure plan Development process for permanent – offer to  Local plan plans Archivist when plan  Town Centre plans The activity of developing a superseded  Unitary development plans vision and strategic directions regarding existing and future land use within the Local Authority and the development of local and town centre plans to ensure implementation of the Structure plan Permanent – offer to  Consultation documents and Consultation Archivist after 3 years relies The activity of consultation to  Inquiries and objections gain approval for the made by members of the Structure Plan (Unitary public Development plans) or Local  Public Inquiry documents Plans Retain as live file for five  Planning application files and Town & Country Planning Act Development control years then pass to archive plans 1990 (Article 25) The process of controlling Retain permanently  Correspondence relating to development of areas any objections through applications for  Hearing papers planning permission  Planning application register Tree preservation orders –  Tree preservation orders  Tree Countryside and open permanently or until  Country parks and nature preservation orders - space amenity revoked – transfer to Tree reserves development plans permanently or until TPO development Officer (Countryside & and correspondence, land revoked Must be available for The process of maintaining Environment) if Order purchase agreements inspection revoked the countryside and  Site files Transfer to Tree Officer developing open spaces for  Countryside Stewardship files All other documents - (Countryside and Environment) if public amenity  Countryside management Order is revoked. permanent files - archive Town and Country Planning Act 1990 Town and Country Planning

132 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 (Trees) Regns 1999 Reg 3 Destroy after ten years  Parish records relating to  Common Parish paths Initiative work proposed and practice completed.

Description Retention Action Examples of Records Notes Classification Countryside and Open Space Amenity Development  Tree preservation orders  Tree Countryside and open  Country parks and nature preservation orders - space amenity Permanent – transfer to reserves development plans permanently or until TPO development place of deposit after and correspondence, land revoked Must be available for The process of maintaining administrative use purchase agreements inspection concluded the countryside and  Site files Transfer to Tree Officer developing open spaces for  Countryside Stewardship files Tree preservation orders – (Countryside and Environment) if public amenity  Countryside management Order is revoked. permanently or until files – archive Town and Country Planning Act revoked – transfer to Tree  Play areas and sports 1990 Officer (Countryside & grounds Waste Management) if Town and Country Planning Order revoked (Trees) Regns 1999 Reg 3 Permanent (historical  Restoration file  Greenham/Crookham interest  Bio-remediation files Common  Restoration Contacts Restoration files Permanent (historical  Bio-remediation files  Greenham Restoration interest)  Restoration fiels Destroy after ten years  Parish records relating to  Common Parish paths Initiative work proposed and practice completed. See Infrastucture and   Rights of Way transport Destroy aftre ten years  Highway trees  Tree surveys  School trees

135 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Planning Scheme Regulation  Building Control Registers Planning scheme Permanent - Transfer to regulation place of deposit after The summary management of administrative use is planning scheme regulation concluded  Industrial development Commercial/statute of limitations Regulation of land or Retain for 12 years after certificates building use closure then destroy The process of regulating the planned use of land or buildings  Building files Commercial/statute of limitations Listed building planning Permanent - Transfer to  Plans approvals place of deposit after  Specifications The process of approving administrative use is  Correspondence building applications in concluded  Applications relation to listed or other  Permits significant buildings  Certificates  Building files Commercial/statute of limitations Building planning Retain for 12 years after  Plans approvals construction completed then  Specifications The process of approving destroy  Correspondence building applications for all  Applications other buildings  Permits  Certificates  Objections  Certificate of final inspection Commercial/statute of limitations Building compliance Retain for 12 years after  Building inspection records inspection issue of certificate of final  Diaries The process of inspecting inspection then destroy building work for the purpose of insuring compliance  Enforcement notices Requirement to retain Enforcing building or land Destroy after 20 years and enforcement notices on a regulations only after individual register while they remain in The process of enforcing assessment and review force (s188 and article 26) building or land regulations

Description Retention Action Examples of Records Notes Classification Planning Scheme Regulation Retain for 12 years then  Planning permission Commercial/statute of limitations Planning permission destroy  Permission for office The process of permitting development development Retain for 12 years then  Industrial development Commercial/statute of limitations Development certification destroy certificates The process of certification of  Land certificates development

Retain for 12 years then  Commercial/statute of limitations Establishments destroy Retain for six years then  List of suppliers List of suppliers & destroy  Supplies file supplies file Retain for 16 years  Notices Demolition Notices  Council notices Notices served on the council by organisations/individuals intending to carry out demolition work

138 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 11. Infrastructure and Transport Planning and Development  Structure Plane Local Transport Plan documents Development process for Permanent - Transfer to  Local transport plan (LTP report) – retain 5 years transport place of deposit after under Transport Act 2000 The activity of developing a administrative use vision and strategic directions concluded regarding existing transport and infrastructure within the Local Authority  Definitive map Rights of way, highways Permanent - Transfer to  Correspondence concerning and bridle paths place of deposit after enquiries and disputes The activity of recording administrative use location of highways, bridle concluded paths and rights of way  Amendments to definitive Transport planning Permanent -Transfer to map scheme controls place of deposit after  Road adoption The activity of establishing administrative use is planning scheme controls and concluded providing for them to be amended and modified  Enquiries, Town & Country Planning Act Transport planning Permanent - Keep five years  Consultation documents, 1990 scheme as live file then transfer to  Objections and submissions and place of deposit correspondence objections The process of receiving, considering and responding to submissions and objections to planning schemes and amendments Destroy 3 years after  Parking enforcement F Enforcement of compliance with  Traffic violations regulations enforcement notice The process of enforcing infrastructure and transport regulations 139 Policy Statement and Standards for Records Management and Record Retention Schedule 2006

Description Retention Action Examples of Records Notes Classification Planning and Development Destroy eight years after  Names & Addresses of those Land Compensation Act 1973 Transport Schemes ‘relevant date’ eligible to entitlement Noise Insulation Regulations Thatcham NDR 1975

Indefinitely  Landowners Highways Act 1980 Structures Register (On microfiche)  Contractors  Individuals who have pursued an insurance claim Keep as live files for five  Report Transport Assessments years then to archive  Travel Plans 21 years  Correspondence Parish Roads Files  General Enquiries Keep as live files for three  Comments & objections to TRO Scheme files year then to archive TRO’s

142 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Traffic Management Destroy 7 years after action  Traffic orders Traffic management completed The activity of planning, and programming the continued flow, diversion or reduction of traffic  Parking Studies Parking Permanent - Transfer to The activity of planning and place of deposit after consulting on parking administrative use concluded Design and Construction  S38 agreements Transport infrastructure Permanent - Transfer to  S177 licences design and place of deposit after  Naming and numbering of construction administrative use new developments The activity of planning, concluded designing, programming and constructing roads, streets, bridges and tunnels Infrastructure Management and Maintenance Indefinitely  Street files Hedge clipping, tree planting, Provision of municipal Review administrative  Street records naming of streets, numbering of services issues after seven years  Street name changes, houses, street load limits, street The activity of providing from action taken (RMS numbering signs, bus shelters, applications municipal services in relation advisory)  Postal address queries to dig up pavements, HGV to infrastructure within the  Vehicle access crossings applications, Advice/comment, local authority Other administrative issues (see level crossings, Roundabouts, Notes) Traffic calming measures, Street lighting Indefinitely  Sewer plans New Roads & Streetworks Act Utilities  Section 58 notices 1991 Process of utilities management by utility plans & notices Indefinitely  Inspection Reports Highways Act 1980 Highway Records  Adoption Plans

143 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Indefinitely  Maps Land Drainage Act 1984 Land Drainage Records  Plans Seven years  Skip & Scaffold permits – Highways Act 1980 Permits applications and licences

145 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Infrastructure Management and Maintenance Indefinitely  Inspection Reports Highways Act 1980 Highway Records  Adoption Plans Indefinitely  Maps Land Drainage Act 1984 Land Drainage Records  Plans Seven years  Skip & Scaffold permits – Highways Act 1980 Permits applications and licences Road Maintenance Destroy 12 years after  Maintenance records and Road maintenance and action completed reports repair The activity of maintaining and repairing roads, streets, bridges, bridle paths, rights of way and tunnels Indefinitely  Road closures Road Traffic Regulation Act 1984 Traffic Regulation & other  S427 orders or S116 orders T&CP Act, Highways Act orders Public Transport  Services Destroy 3 years after  Timetables and routes Management and superseded or last action  Maps provision of public  Fares transport  Customer and industry The activities involved in the liaison management and provision of public transport School Transport Retained until individual  Pupil personal details held on Education (Pupil Information) Records for children reaches 25 years. File Routewise transport system (England)) Regulations 2000. undergoing closed on leaving S408 + S563 The School statutory school/college or cessation Standards + Framework Act assessments of of statement 1998. SEN Retained until individual  Pupil medical details held on Education (Pupil Information) Medical reports reaches 25 years. File Routewise transport system (England)) Regulations 2000.

146 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 closed on leaving S408 + S563 The School school/college or cessation Standards + Framework Act of statement 1998.

148 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 School Transport 6 years  Pupil emergency contact N/A Contact records details 7 years (insurance claim  School transport contracts Health + Safety Act 1974 Accident report forms reasons). If a minor until they reach 21 years of age. Until replaced or updated  SEN pupil risk assessments Health + Safety Act 1974 Risk assessments – SEN Pupils Indefinitely  Pupils risk assessments Health + Safety Act 1974 Risk Assessments – other pupils Indefinitely  Action Plans for pupils risk Health + Safety Act 1974 Risk Assessment Action assessments Plans Life of contract  Contractors files N/A Contractor vetting information 2 years after expiry  Contractors operational files Operational files Indefinitely – until  Transport documents and Reference copies of key superceded legislation documents:

Legislation, DfEE, WBDC and others 3 years  Transport Services Team Meetings files meetings Life of contract  Operator notes Liaison with external organisations 10 years  Operator complaint files and Performance indicators Customer Care: Routewise transport system Complaints, etc. 10 years - retain until  Transport Services Team Performance indicators Data and statistics, computerised records are records service monitoring sufficient

150 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 School Transport 3 years  Transport Services Team Pamphlets, guidance, records advice, research, training received Indefinitely or until  Routing and scheduling - Maps and plans superseded or historic value maps and pupil addresses diminishes Destroy once logged  School driver and school In line with CRB Policy and Police record checks escort records procedural guidance 15 months after the disposal  Leases, contracts, quotes, Vehicle acquisition and of the vehicle approvals, fleet authorisation disposal numbers The process of acquisition and disposal of vehicles through lease or purchase 15 months after the sale or  Approvals as drivers, Allocation and disposal of the vehicle allocations and Maintenance authorisations for vehicles The process of managing allocation and maintenance of vehicles 15 months after the sale or  Maintenance, DVLC log Vehicle usage disposal of the vehicle books, vehicle usage reports The process of recording vehicle usage 15 months after closure  Vehicle log book Driver usage The process of recording drivers usage Systems Management Retain for life of system Routewise transport system System development then destroy information 7 years after last action Routewise transport system System implementation information

151 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 5 years after last action Routewise transport system System processes to support and administer a system

153 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 12 . Education General Education Files Destroy 6 years after the  Student files Students pupil has left school 2 years Unless any legal . Consent forms At School Consent for Activities action ongoing (eg accident) Retain Indefinitely  Property (school) files Common practice School Administration Updated on a termly basis  School contact details Retain indefinitely (Until  Reference copies of superseded) documents including legislation (Until superseded) 1 copy archived from initial print  Pamphlets, guidance, advice, run immediately research, training materials

(Until superseded or no  Maps and plans longer of historical interest)  Services/Products provided e.g training notes, newsletters Destroy after 3 years but  Meetings files Common practice Meetings and Projects systematic review – all but  Topic/Project files what is absolutely necessary  Liaison with external to retain to be destroyed agencies Destroy after 3 years or until no longer of historical  Planning processes and interest service management

Destroyed after 10 years  Complaints/praise , Parents Some Best Value PIs PI’s and Service Helpline etc. Mmonitoring  Data / Stats/ Service monitoring Destroyed after 7 years  Docs produced in the process of preparing information to be passed on to central govt. as part of statutory requirements e.g. OFTSTEd forms

154 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Destroyed after 7 years  Voluntary groups – grant Statute of Limitations Grant Applications applications and approvals

Description Retention Action Examples of Records Notes Classification Education Policies Archive after administrative  Activities that develop Policy Development - use concluded policies, procedures, general strategies and structures e.g. all plans, organisation charts, instructions etc. Destroyed 5 years from  Monitoring/review strategic Policy development – closure plans, policies and procedure major policies to assess their compliance with guidelines

 Consulting of public and staff in the development of significant policies in the LEA

 Performance Indicator information Destroy 1 year from closure  Consulting of public and staff Policy Development – in the development of minor minor policies policies of the LEA School Admissions and Exclusions  Destroy 3 School Admission Appeal School Standards and School Appeals years after last action. Papers Framework Act 1998  Retain until individual School Standards and Framework reaches 25 years of age. School Exclusion Appeal Papers Act 1998 Archive after 4 years to Berkshire Records Office.  Section 509 Education Act 1996  Home to Destroy 3 years after last School Transport Appeal Papers action.

Description Retention Action Examples of Records Notes Classification Student Support Services Kept for duration of course  Application form Common practice Student Information + 7 years  Documentary evidence of income  Birth certificates  Passports  Confirmation of address documents  University notice of student suspending, withdrawing or transferring course Main cheque runs- originals  Fee invoices Common practice Universities (financial) retained for 7 years. Originals of individual payments to finance  University Annual Statement Statute of Limitations 7 years on instructions of reports auditors Destroyed after 2 years  Term dates Common practice Universities (general) Kept for duration of course  General correspondence with + 7 years HE and FE institutions Indefinitely Management Information & Universities (management performance indicator returns for information) DfES

Description Retention Action Examples of Records Notes Classification Education Welfare Service File destroyed 6 years after  EWS case files EWS Case Files pupil leaves school/college

Destroy 3 years after  Child employment record EWS Employment Records employment ceases

159 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 13 . Heritage, Tourism and Museum Services Collections Management Permanent Record of acquisitions. (a) WBM: Current and most Accession Register Registers must be copied recent. before being placed on (b) BRO: Previous. deposit in the BRO Permanent Pre-MODES catalogue. Documentation Centre, WBM. Index Cards Retrospective documentation transfer details to MODES. Permanent Record of objects entering West (a) White copy: WBM. Museum Object Entry Berkshire Museum - including (b) Blue copy: History File, WBM. Form [D Form] their status (eg loan or donation) Permanent Record of transfer of title to (a) White copy: WBM. Transfer of Title Form object/item to West Berkshire (b) Blue copy: History File, WBM. Museum Permanent Record of objects leaving West (a) White copy: WBM. Exit Form . Berkshire Museum, including the (b) Blue copy: History File, WBM. reason (eg conservation, end of loan, exhibition)

Destroy after transferring Documentation Centre, WBM. Conservation Treatment details to Form MODES. Permanent Transfers title and copyright to History File, WBM. Deposit of Oral History Recordings are placed on WBHS of oral recordings. Form deposit in Wessex Film & Sound Archive (a) 5 yrs Record of enquirer, type of (a) General Office, WBM. Enquiry Form [A Form] Data to be analysed prior to enquiry and object(s). b) History File, WBM. destruction Data Protection Act 1998 (b) Permanent When object is donated. (a) 12 months (FY) (a) Routine enquiries requiring (a) General Office, WBM. Information Request Form Data to be analysed prior to little effort. [E Form] destruction (b) Specific enquiries requiring (b) WBM. (b) Permanent unless research; usually generating transferred to MODES. information. Data Protection Act 1998 Data to be analysed at least

160 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 annually

162 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Collections Management 12 months, unless still Record of items loaned by WBHS General Office, WBM. Loan Form current (eg furniture, equipment). Data to be analysed prior to destruction. 12 months (FY) Record of person receiving General Office, WBM Photocopy Form Data to be analysed prior to photocopied material, with Data Protection Act 1998 destruction. conditions.

12 mths (FY) Record of person receiving copy General Office, WBM Photograph Reproduction Data to be analysed prior to print, with conditions. Data Protection Act 1998. Form [Should be an destruction. order form] 5 yrs Record of person/people and General Office, WBM. Licence to Film Form Data to be analysed prior to place/object. Data Protection Act 1998. destruction. Details of objects filmed to be transferred to MODES. 5 yrs Record of person/people and General Office, WBM. Licence to Photograph Data to be analysed prior to place/object. Data Protection Act 1998. Form destruction Details of objects filmed to be transferred to MODES

Archaeology Service Scheduled Monument Records Permanent Information explaining the nature West Berkshire SMR SMR Monument Files and location of historic buildings (Archaeology), West Berkshire landscapes, archaeological Museum monuments, features and finds 5 years unless case still Paperwork relating to West Berkshire SMR SMR Consultation Files current consultations on planning (Consultations), West Berkshire applications, forestry and Museum Prior to disposal case to be stewardship proposals Pink files logged on SMR Consultations database Member of staff responsible for disposal – Archaeological Officer Permanent Paperwork relating to the West Berkshire SMR SMR Monument History scheduling of monuments (Consultations), West Berkshire Files Museum Brown files

165 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 Scheduled Monument Records 10 years unless still current Record of grant aided projects to West Berkshire SMR Monument Management Prior to disposal skeleton manage monuments (Consultations), West Berkshire Files information should be added Museum to SMR History files Yellow files Member of staff responsible for disposal – Archaeological Officer Permanent Records relating to West Berkshire Museum SMR History Files establishment of SMR and Box files subsequent changes on lead authority, organisation and content 5 years unless case still Paperwork relating to projects West Berkshire Museum Archaeology Project Files current such as Lambourn Downs Green files Prior to disposal skeleton Mapping Project. Member of staff responsible for information should be added disposal – Archaeological to SMR History files Officer

2 years Paperwork relating to SMR West Berkshire Museum SMR Enquiries Files These files should not enquiries from the public and Ring binders contain any new info as this developers Member of staff responsible for should already have been disposal – SMR Officer extracted for the SMR Tourism Service Permanent Name, address of person Up to two years, storage Accommodation Booking requesting accommodation plus cupboard upstairs. After two Forms details of accommodation years Museum Attic booked. Legal contract between guests These booking forms are and establishment numbered. If unable to find suitable accommodation a line is put through form and it is kept with other forms. Permanent All details relating to Back office TIC Advertising Application accommodation, attraction, Legal document between TIC and Forms – Welcome eating out establishment, events providers. Quality Rating to West Berkshire which has been provided by confirmation with Visitbritain, AA themselves for current and RAC which is the criteria publication. required to go into accommodation section.

166 Policy Statement and Standards for Records Management and Record Retention Schedule 2006 While establishment is on Proprietors name and location Kept on computer, back office, Directions to TIC list with directions once booking has also at front office to give out Accommodation been made through TIC. when bookings are made from Providers TIC Data Protection Act

Description Retention Action Examples of Records Notes Classification Tourism Service 2 years Name, address, tel. no. for Front office TIC and Computer Applications for starting up information to be Data Protection Act Accommodation sent out. For application form to provision be sent when appropriate. Applications for new providers of B&B, Guest Houses, Hotels, Self Catering, Camping/Caravanning 1 year Letters requesting a copy of each Front office TIC Mailing Lists years ‘Welcome to West Data Protection Act Berkshire Guide’ to be sent for reference. Permanent Visitors comments regarding Front office TIC Visitors Book their experience when visiting Tourist Information Centre. Not retained after current Establishments phone in if they Front office TIC Accommodation providers year have availability to be given out, Availability List booked and displayed on our after hours display in window (unless otherwise stated). One year Recorded in the InComing Mail Kept on file in Front Office for 6 Correspondence Record Book’ for monthly stats months then back office for 6 months then destroyed, confidential waste While establishment is on Complaints, from visitors, Establishments are required to Complaints TIC list regarding dissatisfaction of be Quality Rated with either service or facilities whilst staying Visitbritain, AA or RAC. Any at establishment promoted in complaints are forwarded to the Welcome to West Berkshire. relevant organisation.

Note: Records archived by the Royal County of Berkshire may be accessible if requested. Contact the Information Officer, Information Management Team, Policy & Communication who will be able to access original retention schedules.