Records Retention and Disposal Schedule for East Sussex ...€¦ · • support EDRM (Electronic...

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Records Retention and Disposal Schedule for East Sussex County Council

11 January 2019

Independent Inquiry Into Child Sexual Abuse: In 2015 the Home Secretary requested a moratorium on the destruction of records ‘which contain or may contain content pertaining directly or indirectly to the sexual abuse of children or to child protection and care’.

It is a criminal offence to knowingly destroy such material.

https://www.iicsa.org.uk/news/chair-of-the-inquiry-issues-guidance-on-destruction-of-documents

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Contents

SECTION PAGE/S

Introduction 3

Understanding the Retention and Disposal Schedule 4-5

Information that should be retained beyond the agreed retention period 6

Archives 7

Retention Schedules Contents 8-9

Retention Schedule 10-145

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Introduction

The records retention and disposal schedule is the definitive policy for retaining and disposing of records within East Sussex County Council. From this point forward it is referred to as retention schedule.

It shows:

• the types of records created and received by, or on behalf of East Sussex County Council • how long they should be kept for (based on legal reasons and / or business need) • the reasons for keeping them for this length of time • what should happen to them at the end of the retention period (destroyed, transferred to the Archive Service for permanent

preservation or offered to an archivist for archive appraisal).

How it will help you work and ensure compliance wit h legislation:

• the right information will be available as it won’t have been disposed of before it has fulfilled any legal or business requirements

• the confidence to know that you can legitimately destroy records • by only keeping what is necessary, you will easily be able to find what you are looking for, saving time looking through out of

date or time expired information • support EDRM (Electronic Document and Records Management) by applying retention periods to electronic records • enable transfer of paper records to the Record Centre • ensure that records worthy of permanent preservation are transferred to East Sussex Record Office • it is a requirement under the Freedom of Information Act 2000 for public bodies to have a retention schedule and it is a

requirement of the General Data Protection Regulations to ensure that it is publicly available

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Understanding the Retention and Disposal Schedule

The following Council functions have been included:

• Adult Social Care • Children and Families Services • Community Safety and Emergencies • Communication • Communities • Consumer Affairs • Coroner • Democracy • Economic Development • Environment • Financial Management • Health and Safety • Human Resources • Information and Records Management • Libraries • Legal Services • Management • Procurement • Risk Management and Insurance • Transport and Infrastructure • Waste Management

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The following header is used:

Class Code

Class Name Retention Notes Retention Period Disposal Trigger Action PD

Field Description

Class Code A unique reference for citation / ease of reference and for transferring records to the Record Centre

Class Name How groups of records are known

Retention Notes The reason for the action. Retention periods are based on legal and business need

Retention Period The length of time the record is kept for

Disposal Trigger What triggers the retention period (e.g. end of financial year, settlement of claim, date of Adoption Order)

Action

What happens at the end of the retention period. Records are:

Destroyed

reviewed by the department for extended retention

transferred to East Sussex Record Office for permanent preservation

offered to East Sussex Record Office for archive appraisal to determine whether they are worthy or permanent preservation

PD Whether the record contains personal data (‘Yes’, ‘No’, ‘P’ for ‘potentially’)

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Information that should be retained beyond the agre ed retention period

There must be legitimate reasons for retaining records beyond the agreed retention period, particularly where records contain personal information. Examples include:

• records relating to cases where legal action is pending or that are being used in investigations for example by the police, district or internal audit

• information that has been requested e.g. under the data protection regulations, Freedom of Information Act 2000 or Environmental Information Regulations 2004

• there is a hold on the destruction of records due to a government inquiry, e.g. Independent Inquiry into Child Sexual Abuse.

It is an offence to alter, deface, erase, destroy or conceal such information.

Records that were due for destruction and are needed for the above reasons should be retained for an appropriate period after the legal action / investigation / request has closed. If the file has been re-opened, the retention period may start again from the new closure date. Whether records are destroyed or kept for permanent preservation may need to be re-assessed by the Archives and Records Management Service.

If you have records that are not covered by the retention schedules, please do not assume they can automatically be destroyed. Please contact the Principal Records Officer who will advise you on how long the record should be kept for.

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Archives

East Sussex Record Office (ESRO), which is also run by ESCC, is responsible for the collection and preservation of unique and valuable archive material relating to the history of East Sussex and its people. The Record Office holds records created and received by the County Council and thousands of other organisations, families and individuals relating to East Sussex and Brighton & Hove dating from 1097 to the present day. It may therefore hold information that can help you with your day-to-day work.

When Council records are selected for permanent preservation they become archives and are passed to East Sussex Record Office.

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RETENTION SCHEDULES CONTENTS

AS Adult Social Care

CF Children and Families Services

CE Community Safety and Emergencies

CN Communication

CM Communities

CS Consumer Affairs

CO Coroner

DE Democracy

ED Economic Development

EN Environment

FM Financial Management

HS Health and Safety

HR Human Resources

IM Information and Records Management

LI Libraries

LS Legal Services

MA Management

PR Procurement

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RM Risk Management and Insurance

TI Transport and Infrastructure

WM Waste Management

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Retention Schedule

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AS Adult Social Care

AS1 Client / Carer Records

AS2 Complaints

AS3 Safeguarding

AS3.1 Local Authority Designated Officer (adults at risk)

AS4 Establishments

Class Code


AS1 Client / Carer Records

AS1.1 Adult client or carer record: ASC involvement only

Includes: Older People; Occupational Therapy; Physical/sensory Disabilities; Complaints; Directly Provided Services; Care Account

Limitation Act 1980

VAT Act 1994NHS Guidance to trusts 2009

8 years Last contact Archive sample Yes

AS1.2 Adult client or carer record: Casual contact / referral not leading to services

Where the service is integrated, or non-integrated with NHS. Where the person has made a one-off casual contact/enquiry. Where the record is accumulated in the course of handling external enquiries, requiring only a form/letter response or referral to another service.

2 years Last contact Destruction Yes

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Class Code


AS1.3 Adult client or carer record: ASC involvement only with previous Children's Services involvement

Where the person's case record as a child was closed. The person then went on to receive ASC involvement. Where the person's case record as a child was open. The person was then transitioned from CSD to ASC.

Retain the whole case record (both CSD and ASC elements) for the longest retention period in accordance with Children and Families retention schedule.

N/A Archive sample Yes

AS1.4 Adult client or carer record: Adult Mental Capacity or Deprivation of Liberty (DOLS)

Where the service was integrated or non-integrated with NHS

100 years

Date of birth Archive sample Yes

AS1.5 Adult client or carer record: Mental health

Mental Health Act 1983 NHS Guidance to Trusts 2009

Where the service was integrated, or non-integrated with NHS; where the person was sectioned under Mental Health Act; where the person was subject to a 'guardianship' with ESCC the responsible guardian

20 years after last contact or 8 years after death

Last contact or death Archive sample Yes

AS1.6

Adult client or carer record: Learning Disability

NHS Guidance to Trusts 2009

Where the service is integrated, or non-integrated with NHS.

20 years after last contact or 8 years after death

Last contact or death Archive sample Yes

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Class Code


Where the person has had previous Children's Services involvement, please refer to AS1.3.

AS1.7 Adult client or carer record: Safeguarding

Where the service is integrated, or non-integrated with NHS. 1. Where the record of the vulnerable adult is no longer at risk. 2. Where the record of the perpetrator continues to pose a risk to others in the community.

Limitation Act 1980 - section 2 Data Protection Act 1998 - schedule 3 / section 3(a)

1. 8 years after last contact 2. 100 years from date of birth

Last contact or date of birth

Archive sample Yes

AS1.8 Adult client or carer record: Disability registration or blue badge application

Where the service issues registrations for deaf/hard of hearing and blind/partially sighted and physical disability. Where the service issues a disabled

3 years Expiry Destruction Yes

AS1.9 Adult client or carer record: Directly Provided Service (DPS)

Where the service was commissioned by the ASC case file holder and was provided by in-house 'directly provided services' (DPS) for bed and day services.

Care Homes Regulations 2001,

Retain the DPS record, along with the main record. Apply the retention period to the whole record

Archive sample Yes

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Class Code


Schedule 3 using the above retention periods (a minimum of 8 years).

AS1.10 Adult client or carer record: Intermediate Care/Rehabilitation/Short-term Service

Where the service was commissioned by the ASC case file holder and was provided by in-house integrated or non-integrated with NHS, service provider, for example, community rehabilitation, home care, intermediate care.

NHS Guidance to Trusts 2009

Retain the service record, along with the main record. Apply the retention period to the whole record using the above retention periods (a minimum of 8 years).

Archive sample Yes

AS1.11 Adult client or carer record: Finance

VAT Act 1994

Retain the finance record, along with the main record and apply the retention period to the whole record using the above retention periods (a minimum of 8 years).

Archive sample Yes

AS2

Complaints

AS2.1 Complaints: by/about Adult Social Care service users

Destruction dates mirror those of the main case. Please see section AS1: Client/Carer Records.

Yes

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Class Code


AS3 Safeguarding

AS3.1 Local Authority Designated Officer (adults at risk)

AS3.1.1 Case management (safeguarding and allegations against people in positions of trust)

Retention is in-line with allegations against those working with children (Working Together to Safeguard Children: A Guide to inter-agency working to safeguard and promote the welfare of children, March 2015)

Care Act 2014

Protection of Vulnerable Groups Act 2006

75 years Date of birth Destruction Yes

AS3.1.2 Contacts list (partner agencies) Keep up to date N/A Destruction No

AS4 Establishments

AS4.1 Daily log 1 year End of current year Destruction Yes

AS4.2 Handover documents 1 year End of current year Destruction Yes

AS4.3 Staff Rotas Business need 2 years End of current year Destruction Yes

AS4.4 Signing in (staff and visitors)

Business need 1 year End of current year Destruction Yes

AS4.5 Session documentation Business need 2 years End of current year Destruction Yes

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Class Code


AS4.6 Outings List Business need 2 years Date of outing Destruction Yes

AS4.7 Clients’ money In-line with petty cash records (FM13.4)

6 years End of financial year Destruction Yes

AS4.8 Comfort fund In-line with petty cash records (FM13.4)


AS4.9 Administering of medication Business need Kept on client file and kept in-line with client case files

N/A N/A Yes

AS4.10 Medication in transit

Business need 2 years Date of outing Destruction Yes

AS4.11 Medications audit 2 years End of current year Destruction No

AS4.12 Infection control audit

Checks carried out in accordance with Department of Health guidelines (Care homes: infection prevention and control)

6 years Date of audit Destruction No

AS4.13 Food temperature check Safer Food Better Business for Residential Care Homes (Food Standards Agency)

6 years

End of current year Destruction No

AS4.14 Water temperature check HSE guidelines for prevention of Legionnaires disease

6 years End of current year Destruction No

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Class Code


AS4.15 Kitchen opening and closing lists / audits

Safer Food Better Business for Residential Care Homes (Food Standards Agency)


AS4.16 Cleaning schedules Business need (may be needed for inspection control audits)


AS4.17 Liaison with Coroner concerning deaths in the establishment

In-line with Coroner’s retention schedule

15 years Date of death Destruction Yes

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CF Children and Families Services

CF1 Audits, Inspections, Reviews and Statutory Returns

CF2 Child Employment

CF3 Childminding and Early Years Provision

CF4 Children’s Centres

CF5 Disabilities and Sensory Needs

CF6 Education otherwise than at school

CF7 Educational Psychology

CF8 Looked After Children - Adoption

CF9 Looked After Children - Fostering

CF10 Looked After Children – Residential Homes

CF11 Looked After Children – Secure Accommodation

CF12 Looked After Children – Supported Accommodation

CF13 Safeguarding

CF14 Schools - Admissions

CF15 Schools - Attendance

CF16 Schools - Exclusions

CF17 Schools - Governors

CF18 Schools - Meals

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CF19 Schools - Travel

CF20 Senior Management Team and Lead Member

CF21 Social Care

CF22 Special Educational Needs

CF23 Substance Misuse

CF24 Youth Justice

CF25 Youth Services - Duke of Edinburgh's Award

CF26 Youth Services - Early Intervention

CF27 Education and Learning

CF28 Traveller Education

CF29 English as an additional language

CF30 Looked After Children – Support for Care Leavers

CF31 Notebooks and Diaries

CF32 Complaints

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Class Code


CF1 Audits, Inspections, Reviews and Statutory Returns

CF1.1 Directorate inspection reports resulting from inspections carried out by external organisations

Permanent N/A Permanent No

CF1.2 Adoption agencies and fostering services inspection reports resulting from inspections carried out by external organisations

Business need Permanent N/A Permanent No

CF1.3 Children's homes inspection statutory reports

The creation of this document is a requirement of The Children's Homes (Amendment) Regulations 2011, Regulation 33, Visits by registered provider. Retention is not specified.

1 year Submission Destruction No

CF1.3 Note

Copies of the reports are retained permanently in the Corporate Parenting Panel Minutes by Democratic Services.

CF1.4 Children's homes inspection reports resulting from inspections carried out by external organisations

'Introduction to Children's Homes: A Children's Social Care Guide to Registration', Ofsted April 2012. This guide explains in more detail what the law says anyone intending to open a children’s home must do to in order to apply for registration. It states how often inspections will be carried out and explains the framework that is used.


CF1.5 Social Care Complaints statutory report

The creation of this document is a requirement of The Children Act 1989 Representations Procedure (England) Regulations 2006.


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Class Code


CF1.6 Youth justice inspection reports resulting from inspections carried out by external organisations


CF1.7 Inspections of premises where child care is provided

The Childcare (Voluntary Registration) Regulations 2007 No. 730, Schedule 3 Regulation 19, Keeping of records (other than records of complaints).

2 years Superseded Permanent No

CF1.8 Statistics provided under Regulation 33 (2) of the Children’s Homes Regulations 2001

Legal obligation to provide this information under Regulation 33 (2) of the Children’s Homes Regulations 2001.

15 years Date of statistics Destruction Yes

CF2 Child Employment

CF2.1 Case records of children and young people in entertainment

Retention period is based on business need. The East Sussex Record Office would like to appraise the records as they provide interesting information about performances of the day and children in entertainment may become famous.

25 years Date of birth Archive appraisal; ESRO will keep all the files but will weed the files

Yes

CF2.2 Notifications of intent to employ children and young people under the age of 16

Business need 25 years Date of birth Destruction Yes

CF2.3 Investigation records ACPO (Association of Chief Police Officers), Retention Guidelines of Nominal Records on the Police National Computer (March 2006).

6 years Closure Destruction Yes

CF2.4 PACE (Police and Criminal Evidence Act) records

Business need 6 years Closure Destruction Yes

CF2.5 Chaperone records for successful applications

ESCC has chosen to mirror the retention of foster parent records.


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Class Code


(Includes applications, licences and training records)

See CF9.10.

CF2.6 Unsuccessful applications to become Chaperones

ESCC has chosen to mirror the retention of unsuccessful applications to become foster parents. See CF9.11.


CF3 Childminding and Early Years Provision

CF3.1 Education entitlement - child's record

7 years When assessment made, return original birth certificates and common assessment framework forms (CAFS) to the referrer and destroy copies

Destruction Yes

CF3.2 Education entitlement - settings record

7 years End of the financial year

Destruction Yes

CF3.3 Education entitlement - criteria for funding

Limitation Act 1980, Section 8, Time limit for actions on a speciality.

12 years Expiry of contract Destruction Yes

CF3.4 Actions against settings 7 years

End of the financial year

Departmental review; Records no longer required to be destroyed and contentious cases to be retained and reviewed again the next year.

Yes

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Class Code


CF3.5 Minutes, agendas and circulated papers of the 2 Year Old's Early Years Education Entitlement Board

7 years End of the financial year


Yes

CF3.6 Minutes, agendas and circulated papers of the Early Years Communication Group

7 years Date of meeting Destruction No

CF3.7 Assessment/monitoring of early years settings

7 years



Yes

CF3.8 Moderation of settings at the end of the foundation stage

7 years



Yes

CF3.9 Sleep charts 21 years Date of birth Destruction Yes

CF3.10 Nappy charts 21 years Date of birth Destruction Yes CF3.11 Medicine charts 21 years Date of birth Destruction Yes

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Class Code


CF3.12 Specialist Early Years Service Pupil Files

Business need. ESCC has opted to keep most children's case records for 25 years from date of birth. However, special educational needs and educational psychology records are kept for longer as people tend to request access to them later in life.

50 years Date of birth Archive sample* Yes

CF4 Children’s Centres

CF4.1 Children's Centres family files Business need 25 years Date of birth Destruction Yes CF4.2 Deliberately blank CF4.3 Contacts database Business need - details needed in

case of an emergency and are no longer needed when the child is no longer in receipt of a service and so details are deleted in compliance with the Data Protection Act.

Keep up to date and then delete when the family is no longer in receipt of a service.

Yes

CF4.4 Attendance of children and families

As a 15 year retention period has been adopted for staff attendance (see CF4.5 and CF4.6 below), the same retention period has been adopted for the attendance of children and families.

15 years Last entry Destruction Yes

CF4.5 Visitor's book ESCC has chosen to mirror the retention period for visitor's records in children's residential homes. See CF10.19.


CF4.6 Staff duty roster of persons working at the children’s centre, and a record of the actual rosters worked

ESCC has chosen to mirror the retention period for staff duty rosters in children's homes. See CF10.17.

15 years Date of roster Destruction Yes

CF4.7 Bookings for room hire Business need 3 years After event Destruction No CF4.8 Young Parent Worker Files TBC Yes CF4.9 Nursery records where there are

no child protection issues Business need 25 years Date of birth of

youngest child Destruction Yes

CF4.10 Nursery records where there are Business need 25 years Date of birth of Destruction Yes

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Class Code


child protection issues youngest child CF5 Disabilities and Sensory Needs

CF5.1 Disability Team case records for

children and young people with disabilities or sensory needs

Children with disabilities receive a service throughout their life and so it is important that records are available.

7 years Records are transferred to the Transition Team when the child reaches the age of 16. The Transition Team scans relevant information from the files and returns the file to the Access and Disability Team.

Death Archive sample Yes

CF5.2 Sensory Needs Team case records for children and young people with sensory needs

50 years Date of birth Archive sample Yes

CF6 Education otherwise than at school

CF6.1 Case records of children and young people without disabilities, special educational needs or children who are not sick who have been educated otherwise than at school

Retention mirrors that of files for pupils tutored at school

25 years Date of birth Archive appraisal Yes

CF6.2 Case records of children and young people with disabilities, special educational needs or sick children who have been educated otherwise than at school

Retention mirrors that of files for pupils tutored at school


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Class Code


CF7 Educational Psychology

CF7.1 Educational psychology case records

Business need. ESCC has opted to keep most children's case records for 25 years from date of birth. However, special educational needs and educational psychology records are kept for longer as people tend to request access to them later in life.


CF8 Looked After Children – Adoption

CF8.1 Registers and indexes of all matters relating to adoption

Business need (to locate records) and The East Sussex Record Office Statement of Collecting Policy.

Permanent N/A Permanent Yes

CF8.2 Adoption record of children and young people placed by ESCC

The Disclosure of Adoption Information (Post-Commencement Adoptions) Regulations 2005 No. 888, Regulation 6, Preservation of section 56 information (6. 'The adoption agency must keep section 56 information in relation to a person’s adoption for at least 100 years from the date of the adoption order'). Although, for children adopted prior to 30 December 2005, the Adoption Agencies Regulations 1983, SI 1983 No 1964, which specify that the records should be kept for a minimum of 75 years apply, ESCC has decided to keep all records for 100 years from the date of the Adoption Order to enable any adopted person to access their records throughout their lifetime.

100 years Adoption Order Yes

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Class Code


CF8.3 Adoption record of children and young people placed by other agencies/authorities

See CF8.2 100 years Adoption Order Yes

CF8.4 Adoption record where no Adoption Order was made

100 years Date of birth Yes

CF8.5 Letterbox records See CF8.2 100 years Adoption Order Yes

CF8.6 Adoption support records See CF8.2 100 years Adoption Order Yes

CF8.7 Post-adoption support records See CF8.2 100 years Adoption Order Yes CF8.8 Counselling records for relatives

of those who have been adopted


CF8.9 Adoption allowance records 100 years Adoption Order Yes

CF8.10 Adoption Panel Members ESCC has chosen to mirror the retention period of staff who work for the adoption service. Please refer to the Human Resources Retention and Disposal Schedule (HR).

15 years After leaving Panel Yes

CF8.11 Adoption and Permanence Panel Papers


CF8.12 Adopter records See CF8.2 100 years Adoption Order Yes

CF8.13 Unsuccessful applications to be adopters

10 years Refusal or withdrawal

Destruction Yes

CF8.14 Access to birth records: unsuccessful enquiries from adopted people

ESCC has chosen to mirror the retention period adopted for Subject Access Requests (SARS) made under the Data Protection Act. Please refer to the Information Management Retention and Disposal Schedule (IM).

3 years Last contact Destruction Yes

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Class Code


CF9 Looked After Children – Fostering

CF9.1 Statement of purpose The Fostering Services (England) Regulations 2011, Regulation 3, Statement of purpose and children's guide. Retention is not specified and ESCC has opted to keep these permanently.


F9.2 Children's guide The Fostering Services (England) Regulations 2011, Regulation 3, Statement of purpose and children's guide. Retention is not specified and ESCC has chosen to keep these permanently.


CF9.3 Register in respect of every child and young person placed with foster parents

The Fostering Services (England) Regulations 2011, Regulation 22, Records with respect to fostering services. This states that records in Schedule 2 should be kept for a minimum of 15 years from the date of the last entry. ESCC has chosen to keep these registers permanently.


CF9.3 Note

Legislation states that the following must be recorded: (a) the date of the placement, (b) the name and address of the foster parent, (c) the date on which the child ceased to be placed there, (d) the child's address prior to the placement, (e) the child's address on leaving the placement, (f) the child's placing authority (if it is not the fostering service provider), (g) the statutory provision under which the child is placed with foster parents.

CF9.4 Deliberately blank CF9.5 Deliberately blank

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Class Code


CF9.6 A record of all accidents occurring to children whilst placed with foster parents

The Fostering Services (England) Regulations 2011, Regulation 22, Records with respect to fostering services, Schedule 2.


CF9.7 Fostering Panel Members The Fostering Services (England) Regulations 2011, Regulation 23, Constitution and membership of fostering panel. The retention period is not specified and so ESCC has chosen to mirror the retention period of those who work for the fostering service. Please refer to the Human Resources Retention and Disposal Schedule (HR).

15 years Leaving Panel Destruction Yes

CF9.8 Fostering Panel Papers (final and draft minutes and recommendation sheets)

The Fostering Services (England) Regulations 2011, Regulation 24, Meetings of fostering panel. The retention period is not specified and ESCC has chosen to keep these records permanently.


CF9.9 Register of foster parents The Fostering Services (England) Regulations 2011, Regulation 31, Register of foster parents. This states that records should be kept for at least 10 years from the date on which his approval is terminated but ESCC has chosen to keep these permanently.


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Class Code


CF9.9 Note

Legislation states that the following must be recorded: (a) name, address, date of birth and sex of each foster parent and, in the case of a local authority fostering service, of each person with whom it has placed a child under regulation 24 of the Care Planning Regulations, (b) the date of approval and of each review of approval (as the case may be), and (c) the current terms of approval (if any).

CF9.10 Foster parents records The Fostering Services (England) Regulations 2011, Regulation 30 (1-4), Case records relating to foster parents and others. Minimum retention is specified in Regulation 32, Retention and confidentiality of records. ESCC has decided to keep these for longer.

75 years Termination of approval

Destruction Yes

CF9.10 Note

Refer to legislation for details of what is recorded on record

CF9.11 Unsuccessful applications to become foster parents

The Fostering Services (England) Regulations 2011, Regulation 30 (5), Case records relating to foster parents and others. Minimum retention is specified in Regulation 32 (3), Retention and confidentiality of records. ESCC has decided to keep these for longer.


Destruction Yes

CF9.11 Note

This could be because of refusal or withdrawal prior to approval. Legislation states that the following must be recorded: (a) the information obtained in connection with the assessment, (b) any report submitted to the fostering panel and any recommendation made by the fostering panel, and (c) any notification given under regulation 27.

CF9.12 Kinship carer records See CF9.10 Foster parent records. 10 years Termination of approval

Destruction Yes

CF9.13 Unsuccessful applications to become kinship carers

See CF9.11 Unsuccessful applications to become foster parents.


Destruction Yes

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Class Code


CF9.14 Fostering case records Arrangements for Placement of Children (General) Regulations 1991 No 890, Regulation 9, Retention and confidentiality of records. This states that these records should be kept for 75 years from date of birth, or in the case of those deceased before their 18th birthday, 15 years after death. ESCC has chosen to keep all records for the same length of time and has increased the retention period to 100 years from date of birth so that the record is accessible to the service user throughout their lifetime (as with adoption records).


CF9.14 Note

Includes privately fostered children, kinship fostering and care leavers.

CF10 Looked After Children – Residential Homes

CF10.1 Registration of the home Legislation does not specify retention periods for registration records. In email correspondence between the ESCC Records Manager and Ofsted in October 2010, Ofsted advised to keep them in accordance with The Children's Homes (Amendment) Regulations 2011, Section 29 Records, Schedule 4, Other records with respect to children's homes. All children’s homes must register with Ofsted unless they meet the requirements for an exemption.

15 years Expiry of registration Destruction No

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Class Code


CF10.2 Statement of purpose The Children's Homes (Amendment) Regulations 2011, Regulation 4, Statement of purpose and children's guide. This does not specify retention periods for these records. ESCC has chosen to keep these records permanently.


CF10.2 Note

Sets out the overall aims of the children’s home and the objectives for children who live there – the law sets out the information that the statement must contain in regulations (Schedule 1).

CF10.3 Children's guide The Children's Homes (Amendment) Regulations 2011, Regulation 4, Statement of purpose and children's guide. This does not specify retention periods for these records. ESCC has chosen to keep these records permanently.


CF10.4 Policies and procedures The Children's Homes (Amendment) Regulations 2011, Regulation 16, Arrangements for the protection of children; Regulation 17, Behaviour management and discipline; Regulation 24, Complaints and representations.


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Class Code


CF10.5 Register showing in respect of each child and young person accommodated in a children’s home

The Children's Homes (Amendment) Regulations 2011, Regulation 29, Other records, Schedule 4, Other records with respect to children’s homes. This states that these records should be kept for a minimum of 15 years from last entry. ESCC has chosen to keep these permanently.


CF10.5 Note

Includes - (a) the date of their admission to the home; (b) the date on which they ceased to be accommodated there; (c) their address prior to being accommodated in the home; (d) their address on leaving the home; (e) their placing authority; (f) the statutory provision (if any) under which they are accommodated.

CF10.6 Deliberately blank

CF10.7 Deliberately blank CF10.8 A record of any persons who

reside or work at any time at the children's home, who are not mentioned in the records kept in accordance with paragraphs 1 or 2 of Schedule 4 of the legislation

The Children's Homes (Amendment) Regulations 2011, Regulation 29, Other records, Schedule 4, Other records with respect to children's homes.

15 years Date residence in home ceases

Destruction Yes

CF10.9 Accident records 75 years Date of accident Destruction Yes

CF10.10 Incident records 75 years Date of incident Destruction Yes

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Class Code


CF10.11 A record of every fire drill or fire alarm test conducted, with details of any deficiency in either the procedure or the equipment concerned, together with details of the steps taken to remedy that deficiency


15 years Destruction No

CF10.12 Building and equipment maintenance records

Retention period mirrors that of fire drills and fire alarms records. See CF10.11.

15 years minimum Read in conjunction with the Council Assets Retention and Disposal Schedule (CA).

No

CF10.13 Record of all money deposited by a child or young person for safekeeping, together with the date on which the money was withdrawn, or the date of its return



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Class Code


CF10.14 Record of all valuables deposited by a child or young person and their date of return



CF10.15 Records of all accounts kept in the home



CF10.16 A record of menus served The Children's Homes (Amendment) Regulations 2011, Regulation 29, Other records, Schedule 4, Other records with respect to children's homes.

1 year End of current year Destruction No

CF10.17 Staff duty roster of persons working at the children’s home, and a record of the actual rosters worked


15 years. Last entry Destruction Yes

CF10.18 Daily log of events occurring in the home

The Children's Homes Regulations 2001 No. 3967, Section 29 (5) (Other records with respect to children’s homes).


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Class Code


CF10.19 A record of all visitors to the home and to children and young people accommodated in the home

The Children's Homes (Amendment) Regulations 2011, Regulation 29, Other records, Schedule 4, Other records with respect to children's homes. This states that these records must be kept for a minimum of 15 years after closure. ESCC has chosen to keep the records for 100 years after date of last entry to ensure that information about visitors received by children and young people is available throughout their lifetime.


CF10.19 Note

This class is applicable to signing in records. A record of visitors received by children and young people is also placed on their case record (see CF8.3.6)

CF10.20 Sanction records Records not mentioned in The Children's Homes (Amendment) Regulations 2011, Regulation 17, Behaviour Management and Discipline. ESCC has chosen to mirror the retention period of the case records for children in residential homes.


CF10.21 Control and restraint records Records not mentioned in The Children's Homes (Amendment) Regulations 2011, Regulation 17, Behaviour Management and Discipline. ESCC has chosen to mirror the retention period of the case records for children in residential homes.


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Class Code


CF10.22 Minutes, agendas and circulated papers for the residents' meetings

Business need 5 years Meeting date Destruction Yes

CF10.23 Minutes, agendas and circulated papers for the team meetings

Business need and the East Sussex Record Office Statement of Collecting Policy

5 years Meeting date Permanent Yes

CF10.24 Inventory stock account

Business need 2 years Superseded Destruction No

CF10.25 Case records of children and young people in residential homes

The Children's Homes (Amendment) Regulations 2011, Regulation 28, Children's case records. This states that these records should be kept for 75 years from date of birth, or in the case of those deceased before their 18th birthday, 15 years after death. ESCC has chosen to keep all records for the same length of time and has increased the retention period to 100 years from date of birth so that the record is accessible to the service user throughout their lifetime (as with adoption records).


CF10.25 Note

Refer to legislation for details of what is recorded (Schedule 3). ESCC also records administration of medicine on the case record. Previously CF10.6: Case records of children and young people in residential homes (who are not deceased before their 18th birthday) and CF10.7: Case records of children in residential homes (who are deceased before their 18th birthday).

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Class Code


CF11 Looked After Children – Secure Accommodation



CF11.3 Measuring outcomes Business need 2 years Document date Destruction Yes

CF11.4 Registration of the secure unit The Children (Secure Accommodation) Regulations 1991. These do not specify retention periods and so ESCC has chosen to mirror the retention periods of records from residential homes. See CF10. All children’s homes must register with Ofsted unless they meet the requirements for an exemption.

15 years Expiry of registration Destruction No

CF11.5 Statement of purpose The Children (Secure Accommodation) Regulations 1991. These do not specify retention periods and so ESCC has chosen to mirror the retention periods of records from residential homes. See CF10.


CF11.6 Children's guide The Children (Secure Accommodation) Regulations 1991. These do not specify retention periods and so ESCC has chosen to mirror the retention periods of records from residential homes. See CF10.


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Class Code


CF11.7 Policies and procedures The Children (Secure Accommodation) Regulations 1991. These do not specify retention periods and so ESCC has chosen to mirror the retention periods of records from residential homes. See CF10.


CF11.8 Register showing in respect of each child and young person accommodated in the secure unit

The Children (Secure Accommodation) Regulations 1991. These do not specify retention periods and so ESCC has chosen to mirror the retention periods of records from residential homes. See CF10.


CF11.8 Note

Records include admission and discharge books. Information includes - (a) the date of their admission to the home; (b) the date on which they ceased to be accommodated there; (c) their address prior to being accommodated in the home; (d) their address on leaving the home; (e) their placing authority; (f) the statutory provision (if any) under which they are accommodated.

CF11.9 A record of any persons who reside or work at any time at the secure unit, who are not mentioned in the records kept in accordance with paragraphs 1 or 2 of Schedule 4 of the legislation


15 years Date residence in the home ceases

Destruction Yes

CF11.10 Accident records The Children (Secure Accommodation) Regulations 1991. These do not specify retention periods and so ESCC has chosen to mirror the retention periods of records from residential homes. See CF10.

75 years Date of accident Destruction Yes

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Class Code


CF11.11 Incident records The Children (Secure Accommodation) Regulations 1991. These do not specify retention periods and so ESCC has chosen to mirror the retention periods of records from residential homes. See CF10.

75 years Date of incident Destruction Yes

CF11.12 A record of every fire drill or fire alarm test conducted, with details of any deficiency in either the procedure or the equipment concerned, together with details of the steps taken to remedy that deficiency


15 years Date of drill / test Destruction No

CF11.13 Building and equipment maintenance records


15 years minimum Read in conjunction with the Council Assets Retention and Disposal Schedule (CA).

No

CF11.14 Record of all money deposited by a child or young person for safekeeping, together with the date on which the money was withdrawn, or the date of its return



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Class Code


CF11.15 Record of all valuables deposited by a child or young person and their date of return



CF11.16 Records of all accounts kept in the home


15 years Last entry Destruction No

CF11.17 A record of menus served The Children (Secure Accommodation) Regulations 1991. These do not specify retention periods and so ESCC has chosen to mirror the retention periods of records from residential homes. See CF10.

1 year Date of menu Destruction No

CF11.18 Staff duty roster of persons working at the children’s home, and a record of the actual rosters worked



CF11.19 Daily log of events occurring at the secure unit



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Class Code


CF11.20 A record of all visitors to the secure unit and to children and young people accommodated at the secure unit



CF11.20 Note

This class is applicable to signing in records. A record of visitors received by children and young people is also placed on their case record.

CF11.21 A record of the receipt, disposal and administration of any medicine to any child

The Children (Secure Accommodation) Regulations 1991. These do not specify retention periods and so ESCC has chosen to mirror the retention periods of records from residential homes. The Children's Homes (Amendment) Regulations 2011, Regulation 29, Other records, Schedule 4, Other records with respect to children's homes. This states that these records must be kept for a minimum of 15 years after closure.


CF11.22 Minutes, agendas and circulated papers for the team meetings

Business need 2 years

Date of meeting Destruction (ensuring that any notes about residents have been transferred to their case record)

Yes

CF11.23 Inventory stock account Business need 2 years Superseded Destruction No CF11.24 Case records of children and

young people in secure accommodation

The Children (Secure Accommodation) Regulations 1991. These do not specify retention periods and so ESCC has chosen to


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Class Code


mirror the retention period of case records of children in residential homes. See CF10.25.

CF12 Looked After Children – Supported Accommodation


CF12.2 Deliberately blank CF12.3 Supported lodgings providers ESCC has chosen to mirror the

retention of foster parent records. See CF9.10.

10 years Termination of approval

Destruction Yes

CF12.4 Unsuccessful applications to become supported lodgings providers

ESCC has chosen to mirror the retention of unsuccessful applications to become foster parents. See CF9.11.


CF12.5 Case records of children and young people in supported lodgings

ESCC has chosen to mirror the retention period of fostering case records. See CF9.14.


CF13 Safeguarding

CF13.1 Child Death Overview Panel (CDOP) records

'Working Together to Safeguard Children: A Guide to inter-agency working to safeguard and promote the welfare of children', March 2010 Department for Education (DfE) (formerly Department for Children, Schools and Families (DfCSF)), Chapter 7. This document does not specify retention periods.

8 years After the child’s death and where the child’s illness or death could be relevant to an adult condition or have genetic implications for the family, the advice of clinicians should be sought as to whether to retain the records for a longer period.

Archive appraisal Yes

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Class Code


CF13.2 Child Death Overview Panel (CDOP) statistical and anonymised data

‘'Working Together to Safeguard Children: A Guide to inter-agency working to safeguard and promote the welfare of children', March 2010 Department for Education (DfE) (formerly Department for Children, Schools and Families (DfCSF)), Chapter 7. This document does not specify retention periods. Statistics are available in the CDOP annual report, which is kept permanently.

10 years Year of publication Destruction No

CF13.3 Serious Case Reviews 'Working Together to Safeguard Children: A Guide to inter-agency working to safeguard and promote the welfare of children', March 2010 Department for Education (DfE) (formerly Department for Children, Schools and Families (DfCSF)), Chapter 8. This document does not specify retention periods.

10 years Date the serious case review ends

Permanent Yes

CF13.4 Temporary registration of children from other local authorities with Child Protection Plans

1 year Notification Destruction Yes

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Class Code


CF13.5 Missing children and young people: East Sussex children missing or absconding

Statutory guidance on children who run away and go missing from home or care (2009), Department for Education (DfE) (formerly Department for Children, Schools and Families (DfCSF). This document does not specify retention periods.

Keep record in child’s case file for specified retention period (see sections on Looked After Children (CF8-CF12) and Social Care (CF21)).

Yes

CF13.6 Missing children: notifications from other local authorities

Statutory guidance on children who run away and go missing from home or care (2009), Department for Education (DfE) (formerly Department for Children, Schools and Families (DfCSF). This document does not specify retention periods.

6 months after child is found or one year from notification, whichever period is longer

Destruction Yes

CF13.7 Inter-agency policies and procedures for safeguarding and promoting the welfare of children

'Working Together to Safeguard Children: A Guide to inter-agency working to safeguard and promote the welfare of children', March 2010 Department for Education (DfE) (formerly Department for Children, Schools and Families (DfCSF)), Chapter 3. This document does not specify retention periods.


CF13.8 Records of functions, governance, operational arrangements and associated papers of the Local Safeguarding Children Board (LSCB)

10 years Archive appraisal No

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Class Code


CF13.9 Local Safeguarding Children Board multi-agency child protection training and development course documentation and training resources

10 years Departmental review; Destruction

No

CF13.10 Attendance at Local Safeguarding Children Board multi-agency child protection training

3 years Date of course Destruction No

CF13.11 Risk assessments for outings and activities involving children and young people

Limitation Act 1980 25 years Date of birth of the youngest child

Destruction Yes

CF13.12 Approval and registration of centres for use for activities involving children and young people

Limitation Act 1980 25 years Expiry of registration Destruction Yes

CF13.13 Approval and registration of leaders who have contact with children and young people

35 years End of valid qualification / registration

Destruction Yes

CF13.14 Approval of outings and activities involving children and young people


Destruction Yes

CF13.15 Parental consents for children and young people to have their photograph taken or to be filmed


Destruction Yes

CF13.16 Parental consents for children and young people to participate in activities or outings


Destruction Yes

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Class Code


CF13.16 Note

Please ensure that the youngest child's date of birth, or as a minimum the year of birth, is recorded on the forms.

CF13.17 Health and Safety Assessment Procedure (HASP) Forms - Work Experience

HASP forms need to be kept for 13 years from the year of the visit - this is because a student who attended a placement can claim for up to 3 years (for injury or illness) after their 24th birthday if they had an SEN. The youngest student could be age 14.

13 years Year of the visit Destruction Yes

CF14 Schools – Admissions

CF14.1 Consultations on admission arrangements

Business need 6 years Closure Destruction No

CF14.2 Admissions criteria Business need 6 years Superseded Destruction No

CF14.3 Fair Access Protocol (FAP) Business need 6 years Superseded Destruction Yes

CF14.4 School admissions which are not appealed

Business need 2 years After school year Destruction Yes

CF14.5 School admissions which are appealed

Business need. As there is no further right of appeal, a short retention period has been adopted.

6 years Resolution Archive appraisal Yes

CF14.6 Waiting lists for schools Business need 1 year After end of school year

Destruction Yes

CF14.7 Personal data relating to individual panel members and clerks

Business need 6 years Date of last Panel attended

Destruction Yes

CF14.8 Procedures for School Admission Appeal Panels and Procedures for School Admission Appeal Panels (infant classes)


CF14.8 Note

These documents are no longer used by the department.

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Class Code


CF15 Schools – Attendance

CF15.1 Legal intervention Court records Business need 25 years Date of birth Destruction Yes

CF15.2 Children missing from education Business need 25 years Date of birth Destruction Yes

CF15.3 Penalty Notices Code of Conduct

Business need Destroy once superseded

Superseded Destruction No

CF15.4 Penalty Notices Business need 5 years Issue Destruction Yes CF15.5 Prosecutions Business need 25 years Child’s date of birth Destruction Yes

CF15.6 Parenting Orders Business need 25 years Child’s date of birth Destruction Yes

CF15.7 Appeals against Parenting Orders

Business need 25 years Child’s date of birth Destruction Yes

CF16 Schools – Exclusions

CF16.1 Fixed term exclusions Business need 25 years Date of birth Destruction Yes

CF16.2 Permanent exclusions Business need 25 years Date of birth Destruction Yes CF16.3 Appeals against exclusions Business need 25 years Date of birth Destruction Yes CF17 Schools – Governors

CF17.1 Files on governing bodies Mirrors Human Resources (HR)

Retention Schedule. 6 years

Date governorship ceases

Destruction Yes

CF17.2 Governor application forms from unsuccessful applicants

Mirrors Human Resources (HR) Retention Schedule.

6 months Date of application Destruction Yes

CF17.3 Governor application forms from successful applicants where a place was not allocated

Mirrors Human Resources (HR) Retention Schedule.

6 months Date of application Destruction Yes

CF17.4 Governor database Mirrors Human Resources (HR) Retention Schedule.

6 years


Destruction Yes

CF17.5 Governor training database Mirrors Human Resources (HR) Retention Schedule.

6 years


Destruction Yes

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Class Code


CF17.6 School governor minutes Business need 6 years Destruction No

CF17.7 East Sussex Governors Representative Group (ESGRG) agendas, minutes and associated records

Business need 6 years Meeting date Archive appraisal No

CF17.8 County Forum agendas, minutes and associated records


CF17.9 Area Meeting agendas, minutes and associated records


CF17.10 Governance and leadership advice provision


CF18 Schools – Meals

CF18.1 Successful applications for free school meals

Business need 6 years Entitlement ceases Destruction Yes

CF18.2 Unsuccessful applications for free school meals

Business need. There is no right of appeal and so a short retention period has been adopted.

1 year Date of application Destruction Yes

CF18.3 Food Policy Guidelines Business need Once superseded, destroy when no longer required for reference purposes

Superseded Destruction No

CF18.4 Menu leaflets distributed to parents prior to the introduction of a new menu

Business need 6 years Superseded Destruction No

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Class Code


CF19 Schools – Travel

CF19.1 Consultation on School Travel Business need 6 years Closure Destruction No

CF19.2 Assessment of the suitability of a school route


CF19.3 The provision of Home to School Transport for qualifying pupils


CF19.4 Appeals against refused applications for school transport

Business need 7 years Closure Archive appraisal Yes

CF19.5 Student travel applications Business need 3 years Entitlement ceases Destruction Yes

CF19.6 Student travel for students with special educational needs


CF20 Senior Management Team and Lead Member

CF20.1 Director's correspondence with Councillors and MPs in response to enquiries/representations which do not relate to individual children and young people (e.g. policy)

25 years Closure Archive appraisal No

CF20.2 Director's correspondence with Councillors and MPs in response to enquiries/representations which relate to individual children and young people

25 years Closure Archive appraisal Yes

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Class Code


CF21 Social Care

CF21.1 Case records of children or young people subject of Child Protection Plans who are not looked after or adopted children

The Children Act 1989 and Working Together to Safeguard Children: A Guide to inter-agency working to safeguard and promote the welfare of children, March 2010 Department for Education (DfE). These do not specify retention periods.

75 years Date of birth of youngest child in the family

Archive sample Yes

CF21.2 Case records of children or young people subject of Child Protection Plans who are looked after or adopted children



Archive sample Yes

CF21.3 Case records of children or young people receiving services from social care teams but not subject of Child Protection Plans



Archive sample Yes

CF21.4 Case records of children referred to Children’s Social Care but requiring no further action



Archive sample Yes

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Class Code


CF21.5 Family files

The Children Act 1989. This legislation does not specify retention periods.

Retain for specified length of time as for CF21.1, CF21.2 and CF21.3 above

Archive sample Yes

CF21.5 Note

Historic case files which were kept for the family as a whole rather than as separate files for individual children in the family. These are no longer created.

CF21.6 Case records of carers, other than local authority foster parents, adopters and child minders

The Children Act 1989. This legislation does not specify retention periods.

Retain for specified length of time as for CF21.1, CF21.2 and CF21.3 above

Archive sample Yes

CF21.7 Case records of unaccompanied minors, e.g. refugees or asylum seekers

Business need 25 years from date of birth or, if age not known 15 years from case closure

Archive sample Yes

CF22 Special Educational Needs

CF22.1 Case records of children or young people with special educational needs

Business need. ESCC has opted to keep most children's case records for 25 years from date of birth. However, special educational needs and educational psychology records are kept for longer as people tend to request access to them later in life. Samples kept for permanent preservation are done so in accordance with The East Sussex Record Office Statement of Collecting Policy. See Guidance Notes for further details.


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Class Code


CF22.2 Tribunal records relating to the provision of education to children and young people with special educational needs

Retention mirrors that of case records for children with special educational needs. See CF22.1.

50 years Date of birth Archive appraisal (along with case record under CF22.1)

Yes

CF23 Substance Misuse

CF23 Note 1

This section is not to be confused with early intervention. See CF26, Early Help (previously Youth Services - Early Intervention) for details.

CF23.1 Case records of children and young people involved in substance misuse

Business need 25 years Date of birth Destruction Yes

CF23.2 Case records of family substance misuse

Business need 25 years Date of birth of the youngest child and then destroy

Destruction Yes

CF24 Youth Justice

CF24.1 Case records of young people – prevention (non-looked after or adopted children)

Advice on Information Management in Youth Offending Teams (England), Youth Justice Board', January 2011 recommends 1 year after programme completion. ESCC requires these records for longer - for cases returning to YOT notice; to ensure retention of cases for legal proceedings.

25 years Completion of programme

Destruction Yes

CF24.2 Case records of young people – prevention (looked after or adopted children)

ESCC has decided that these files should mirror the retention period of the main case record for looked after and adopted children. See 'Advice on Information Management in Youth Offending Teams (England), Youth Justice Board', January 2011, section 3.6, p17 Children and young people looked after or supervised by the Local Authority.

100 years

Date of birth Yes

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Class Code


F24.3 Case records of young people - offenders: Pre-Court Decisions (Reprimands and Final Warnings) (non-looked after or adopted children)

Advice on Information Management in Youth Offending Teams (England), Youth Justice Board', January 2011 recommends 4 years after case and or until the young person reaches their 18th birthday, whichever occurs first. ESCC requires these records for longer - for cases returning to YOT notice; to ensure retention of cases for legal proceedings.


Destruction Yes

CF24.4 Case records of young people - offenders: Pre-Court Decisions (Reprimands and Final Warnings) (looked after or adopted children)

ESCC has decided that these files should mirror the retention period of the main case record for looked after children. See 'Advice on Information Management in Youth Offending Teams (England), Youth Justice Board', January 2011, section 3.6, p17 Children and young people looked after or supervised by the Local Authority.

100 years

Date of birth Yes

CF24.5 Case records of young people - offenders: Court Orders (Referral Orders and Sentences of Courts) (non-looked after children)

Advice on Information Management in Youth Offending Teams (England), Youth Justice Board', January 2011, section 3.4 Retention Timescales, p14 recommends 8 years after closure or until 18th birthday whichever occurs first


Destruction Yes

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Class Code


CF24.6 Case records of young people - offenders: Court Orders (Referral Orders and Sentences of Courts) (looked after or adopted children)

ESCC has decided that these files should mirror the retention period of the main case record for looked after children or adopted. See 'Advice on Information Management in Youth Offending Teams (England), Youth Justice Board', January 2011, section 3.6, p17 Children and young people looked after or supervised by the Local Authority

100 years

Date of birth Yes

CF24.7 Case records of young people convicted of sexual offences or assessed as presenting a risk (actual or potential) to children (non-looked after or adopted children)

Advice on Information Management in Youth Offending Teams (England), Youth Justice Board, January 2011 recommends 8 years after case closure or until 18th birthday, whichever occurs first. ESCC requires these records for longer - for cases returning to YOT notice; to ensure retention of cases for legal proceedings.


Destruction Yes

CF24.8 Case records of young people convicted of sexual offences or assessed as presenting a risk (actual or potential) to children (looked after or adopted children)

ESCC has decided that these files should mirror the retention period of the main case record for looked after or adopted children. See 'Advice on Information Management in Youth Offending Teams (England), Youth Justice Board', January 2011, section 3.6, p17 Children and young people looked after or supervised by the Local Authority.

100 years

Date of birth Yes

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Class Code


CF24.9 Case records of parents Advice on Information Management in Youth Offending Teams (England), Youth Justice Board', January 2011 recommends destroy on completion of Parenting Order sanctioned by a Court or on completion of other programme. ESCC requires these records for longer - for cases returning to YOT notice; to ensure retention of cases for legal proceedings.


Destruction Yes

CF24.10 Case records of victims (non-looked after or adopted children)

Advice on Information Management in Youth Offending Teams (England), Youth Justice Board', January 2011 recommends destroy on completion of intervention/support with the victim. ESCC requires these records for longer - for cases returning to YOT notice; to ensure retention of cases for legal proceedings.


Destruction Yes

CF24.11 Case records of victims (looked after or adopted children)

ESCC has decided that these files should mirror the retention period of the main case record for looked after or adopted children. See 'Advice on Information Management in Youth Offending Teams (England), Youth Justice Board', January 2011, section 3.6, p17 Children and young people looked after or supervised by the Local Authority.

100 years

Date of birth Yes

CF24.12 Reparation projects Business need and the East Sussex Record Office Statement of Collecting Policy.

Keep until project closure


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Class Code


CF25 Youth Services - Duke of Edinburgh's Award

CF25.1 Participant enrolment Guidance from South East Regional Office (emails with ESCC Records Manager, 23 June 2011). Local Authorities set their own retention periods. The South East Regional Office retains these records until a participant reaches the age of 21 and/or 7 years after completion date of expedition. ESCC has chosen a retention period of 11 years after enrolment as this allows the youngest participant (aged 13 years and 9 months) to reach the age of 25.

11 years Enrolment

Destruction Yes

CF25.2 Attainment of gold award Guidance from South East Regional Office (emails with ESCC Records Manager, 23 June 2011). Local Authorities set their own retention periods. The South East Regional Office retains these records for 7 years in-line with financial regulations.

7 years

Attainment Destruction See Note below

Yes

CF25.2 Note

Each year a list should be printed and transferred to the East Sussex Record Office for permanent preservation showing basic information so that a record is available of who attained the award. The information provided should be sufficient enough to identify the individual.

CF25.3 Attainment of silver and bronze awards

11 years Attainment Destruction See Note below

Yes

Each year a list should be printed and transferred to the East Sussex Record Office for permanent preservation showing basic information so that a record is available of who attained the award. The information provided should be sufficient enough to identify the individual.

CF25.4 Expedition monitoring 8 years

Closure Destruction No

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Class Code


CF26 Youth Services - Early Intervention

CF26.1 Early intervention case records of children and young people who don't have special educational needs and who are not looked after or adopted children


CF26.2 Early intervention case records of children and young people who have special educational needs students and who are not looked after or adopted children


CF26.3 Early intervention case records of children and young people who are looked after or adopted children

Retention mirrors that of case records for looked after and adopted children. See CF8.


CF26.4 No further action referrals 6 years Closure Destruction Yes

CF27 Education and Learning

CF27.1 Course information for adult learning which supports children

Business need 7 years Course completion Destruction Yes

CF27.2 Observation of teaching and learning

Business need 7 years Course completion Destruction Yes

CF27.3 Course monitoring forms Business need 7 years Course completion Destruction Yes CF27.4 Curriculum Plans Business need 7 years Superseded Destruction No

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Class Code


CF28 Traveller Education

CF28.1 Pupil files for travellers who have received support from Children's Services

ESCC has chosen to keep records relating to children who have additional educational needs for 50 years from date of birth because if the provision of education to vulnerable children is questioned, this tends to happen later in life.


Note Function ceased from September 2014.

CF29 English as an additional language

CF29.1 Pupil files for children whose first language is not English

When the provision of education to vulnerable children is questioned, this tends to happen later in life.


CF30 Looked After Children – Support for Care Leavers

CF30.1 Case records for service users leaving care

ESCC has chosen to mirror the retention period of case records of children and young people in residential homes (see CF10.25).


CF31 Notebooks and Diaries

CF31.1 Notebooks / Diaries Business need. Staff should follow the guidance 'Diary & Notebook Storage and Retention' for further instructions on how to manage notebooks / diaries, including the transfer of notes to the client case file.

If the notebook/diary exists only in paper format keep for 3 years after date of last entry and then destroy. All notes should be transferred to the relevant case file.

Last entry Destruction Yes

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Class Code


CF32 Complaints

CF32.1 Children's Services complaints: Stage 1 complaints


CF32.2 Children's Services complaints: complaints progressed beyond Stage 1

10 years Closure Archive appraisal Yes

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CM Communities

Class Code


CM1.1 Support to individual residents 2 years Resident leaving site Archive Appraisal Y CM1.1 Note

Defunct function

CM1.2 Liaison with individual residents where there are safeguarding concerns

Consideration had been given to keeping these for as long as the safeguarding files kept by Children's Services but these files would not provide additional content and this is not a statutory role. The role of this team is a liaison one at the request of other ESCC departments and relevant external authorities.

6 years Provision of advice Archive Appraisal Y

CM1.2 Note

Defunct function

CM1.3 Unauthorised encampments Permanent N/A Permanent Y CM1.4 Resident licences Limitation Act 1980, Section 5,

Actions founded on simple contract 6 years Expiry of licence Permanent Y

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CE Community Safety and Emergencies

CE1 Multi-Agency Risk Assessment Conference (MARAC)

CE Notes The Multi-Agency Risk Assessment Conference (MARAC) is not a single legal entity, and decisions around retention are the responsibility of each agency. Information shared at MARAC belongs to each agency individually. When children are involved in cases, information relating to the MARAC is also saved on the children's case files.

Class Code

Class Nam e Retention Notes Retention Period Disposal Trigger Action PD

CE1 Multi -Agency Risk Assessment Conference (MARAC)

CE1.1 Multi-Agency Risk Assessment Conferences (MARAC) minutes

Mirrors retention of ASC case files* 8 years Date of last contact Destruction Yes

CE1.2

Multi-Agency Risk Assessment Conferences (MARAC) referral forms

As CE1.1 8 years Date of last contact Destruction Yes

CE1.3

Multi-Agency Risk Assessment Conferences (MARAC) risk assessment forms


CE1.4

Communications re Multi-Agency Risk Assessment Conferences (MARAC) cases


CE1.5

Index of cases Business need. An electronic copy of the MARAC Index is kept in order to continually check when cases were heard at MARAC and record when case files (DASH, Referral form, minutes and other communication) are deleted in line with the retention period.


CE1.6

Independent Domestic Violence Advisors (IDVA) case files

As CE1.1 8 years Date of last contact Destruction Y

* SafeLives, previously CAADA (Co-ordinated Action Against Domestic Abuse) guidance suggests to keep minutes and related records for a minimum of a year from the latest meeting in case there is a repeat case. The guidance acknowledges that many organisations actually keep these records longer based on business need.

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CN Communication

CN1 Corporate Communication

CN2 Departmental Communication

Class Code


CN1 Corporate Communication

CN1.1 Published work


NOTE Press releases, press release register, corporate news letters and mailing CN1.2 Photographs of Council

functions taken for press purposes, along with consent to be photographed

Permanent N/A Archive appraisal Yes

CN2 Departmental Communication

CN2.1 Press cuttings

Business need Keep for as long as required for business need

N/A Archive appraisal No

CN2.2 Subscriptions to mailing lists

Business need Keep current and delete once no longer subscribed

No longer subscribed Destruction

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CS Consumer Affairs

CS1 Advice, Education and Information

CS2 Enforcement

CS3 Investigations, Inspections and Monitoring

CS4 Registration, Certification and Licensing

Class Code


CS1 Advice, Education and Information

CS1.1 Service requests, referrals and notifications, including complaints

Limitation Act 1980; Business need 6 years Resolution of complaint


CS2 Enforcement

CS2.1 Written warnings

Limitation Act 1980; Business need (in case enforcement needed)

6 years

Date of warning Destruction Yes

CS2.2

Simple cautions

Limitation Act 1980; Business need (in case enforcement needed)

6 years

Date of caution Destruction Yes

CS2.3 Prosecution records Criminal Procedure and Investigations Act 1996; Limitation Act 1980, Section 5 (Action founded on Simple Contract)

6 years Case closure or the length of the sentence if longer


CS3 Investigations, Inspections and Monitoring

CS3.1 Animal health inspections Limitation Act 1980; Animal Health Act 1981


CS3.2 Movement of animals Animal Health Act 1981; Welfare of Animals (Transport) Order 1997; Animal Diseases Control (interim

4 years Movement Destruction Yes

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Class Code


measures) (England) Order 2002; Sheep and Goats Identification and Movement (Interim Measures) (England) (No. 2) Order 2002

CS3.3 Notifiable diseases Animal Health Act 1981; Orders relating to Diseases of Animals (Animal Health) Ministry Handbook

6 years Last action Destruction Yes

CS3.4 TB monitoring Animal Health Act 1981; Limitation Act 1980

6 years Last action Destruction Yes

CS3.5 Officer's Notebooks Police and Criminal Evidence Act 1984


CS3.6 Officer's Visit Reports Limitation Act 1980 6 years Date of report Destruction Yes CS3.7 Case briefing Limitation Act 1980. As multiple

cases are discussed in meetings and some might lead to prosecutions, minutes need to be kept for the period required for prosecution records

6 years Date of meeting Destruction Yes

CS3.8 EU Verification forms Weights and Measures Act 1985 7 years Date of form Destruction Yes CS3.9 Samples and analyses Limitation Act 1980 6 years Closure Destruction Yes CS3.10 Public analyst dispatch forms Limitation Act 1980 6 years Date of form Destruction Yes CS3.11 Evidence items The various regulations under which

the items are seized determine the powers of the officers, but for all, items cannot be retained for longer than required as evidence. If a criminal case is instigated then the items can be retained as long as necessary for evidence until Court proceedings have been concluded.

Keep in the office for current use, then when no longer needed as evidence: - if an application has been made to the court for forfeiture of any illegal/unsafe goods seized, ESCC take ownership of the

See retention period field

Yes

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Class Code


goods and they can be destroyed or sent to charities - otherwise, valid items should be returned to the trader

CS3.12 Photographs relating to inspections, investigations and monitoring


CS3.13 Accredited Financial Investigator (AFI) Investigations

Criminal Procedure and Investigations Act 1996; Limitation Act 1980, Section 5 (Action founded on Simple Contract)

Keep until confiscation order has been complied with

N/A Archive appraisal Yes

CS4 Registration, Certification and Licensing

CS4.1 Copies of alcohol licensing applications/amendments

6 years Expiry of licence Archive appraisal No

CS4.2 Copies of food registrations 6 years Date of registration Departmental review; Once no longer required by the department, destroy

Yes

CS4.3 Animal feed registration and compliance

6 years Date registration ceases

Destruction Yes

CS4.4 Registers - explosives and fireworks

6 years Expiry of registration Destruction Yes

CS4.5 Explosives and fireworks licensing

6 years Expiry of licence Departmental review; Once no longer required by the department, destroy

Yes

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Class Code


CS4.6 Registration of a building to store fireworks and explosives and notifications to the fire and rescue service

6 years Expiry of licence Departmental review; Once no longer required by the department, destroy

Yes

CS4.7 Non-medical poisons licensing 6 years Expiry of licence Destruction Yes CS4.8 Campaign documentation 3 years Date of document Departmental

review; Once no longer required by the department, destroy

No

CS4.9 Buy with confidence BWC scheme

6 years End of membership Destruction Yes

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CO Coroner

CO1 Inquiries into deaths

CO2 Treasure Trove

Class Code


CO1 Inquiries into deaths

CO1.1 Registers of inquests See CO Note1 Permanent Yes CO1.2 Inquest records See CO Note1 15 years Date of death Permanent

See CO Note 2

Yes

CO1.3 Registers of reported deaths See CO Note1 Permanent N/A Permanent Yes

CO1.4 Papers on reported deaths with no inquest

See CO Note1 15 years Last action Destruction Yes

CO1.5 Coroner's daily record See CO Note 1 Permanent N/A Permanent Yes

CO2 Treasure Trove

CO2.1 Treasure Trove See CO Note 1 Guidance states 2 years. ESCC has chosen to mirror inquest papers. Treasure Act 1996

15 years Last action Permanent Y

CO Note 1 The National Archives Guidance - Operational Selection Policy OSP6: Records created by and relating to Coroners, 1970-2000, revised November 2005, Amended May 2007.

CO Note 2 ESRO will weed the files in accordance with the criteria listed below and any material not selected for permanent preservation will be confidentially destroyed. On occasion, access to records papers are created after the inquest papers have been transferred to the Record Centre or to the Archive Service: Where the inquest papers are at the Record Centre (i.e. those under 15 years old), the Coroner’s Office should request the corresponding inquest file on temporary withdrawal, add the new documents and then return the record to the Record Centre. Where records are at the Archive Service (i.e. those over 15 years old), the Coroner’s Office should send the new papers to the Archive Service. It should be

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clear which inquest they relate to and the Archive Service should be notified that documents are about to be sent as per ESCC Data in Transit policies and procedures.

All inquest papers prior to 01 April 1974 have been kept in their entirety with the exception of duplicates. The following appraisal criteria are used by the East Sussex Record Office (ESRO) for all inquest papers dated from 01 April 1974: The inquest paper and police report form, or the latter only when it is annotated with the verdict, are retained in all cases. These documents give a good summary of the circumstances of the death and considerable biographical detail concerning the deceased. Apart from the papers aforementioned, all road traffic accidents, and geriatric case inquests are destroyed, with the exception of photographs of topographical interest, the existence of which needs to be flagged on the list. Accident death inquests, including industrial accidents, are purposively sampled. All suicide and open verdict inquests are retained in their entirety, stripped of duplicates and copies. Correspondence between the coroner and persons requesting access to the files is added to the file in question.

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DE Democracy

DE1 Governance

DE2 Decision Making

DE3 Honours and Awards

DE4 Members

DE5 Planning

DE6 Representation

DE7 Scrutiny

Class Code


DE1 Governance

DE1.1 Constitution Permanent N/A Permanent No DE1.2 Delegation Schemes Local Government Act 2000 Permanent N/A Permanent No DE1.3 Register of compliance with

Code of Conduct under the Local Government Act 2000

Local Government Act 2000 1 year End of term of office Destruction No

DE1.4 Register of officers interests Local Government Act 1972 2 years

Termination of employment

Destruction Yes

DE1.5 Politically restricted posts Local Government and Housing Act 1989; Local Democracy, Economic Development and Construction Act 2009

2 years

Date of list Archive appraisal No

DE2 Decision Making

DE2.1 Forward Plan Permanent Permanent No

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Class Code


DE2.2 Notices of Motion Business need 5 years Date of motion Destruction No

DE2.3 Committee Meetings, minutes, agendas and agenda papers: Principal set

Local Government Act 1972 s100c Local Authorities (Executive Arrangements) (Access to Information) (England) Regulations 2000

Permanent Permanent N

DE2.4 Committee Meetings, minutes, agendas and agenda papers: Drafts

Business need 3 months Confirmation of principal/signed set

Destruction N

DE2.5 Committee Meetings, minutes, agendas and agenda papers: Background papers

Local Government Act 1972 s100d Local Authorities (Executive Arrangements) (Access to Information) (England) Regulations 2000

4 years Date of meeting Departmental review; Archive appraisal

N

DE2.6 Corporate Management Team Meetings, minutes, agendas and agenda papers: Principal set

Business need Permanent Permanent No

DE2.7 Corporate Management Team Meeting, minutes, agendas and agenda papers: Drafts

Business need 3 months Confirmation of principal/signed set

Destruction No

DE2.8 Corporate Management Team Meeting: Background papers

Business need 4 years Date of meeting Departmental review; Archive appraisal

No

DE2.9 Webcasts of Council meetings 5 years Date of meeting Departmental review; Archive appraisal

No

DE2.10 Cabinet briefing papers Permanent Permanent No

DE2.11 County Council petitions Business need 2 years Date of petition Destruction No

DE3 Honours and Awards

DE3.1 Nominations for Honours Business need 10 years Nomination Permanent Yes

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Class Code


DE3.2 Submissions to national awards other than Honours

Business need 10 years Submission Archive appraisal Yes

DE3.3 Congratulations letters from Chief Executive to people or organisations in East Sussex that have been awarded Honours

Business need 6 years Date of letter Archive appraisal Yes

DE4 Members

DE4.1 Register of Members' Contact Details

Business need 2 years Date of election Destruction Yes

DE4.2 Induction of new Members Business need 1 year End of term of office Destruction No DE4.3 Instructional literature Permanent N/A Permanent No

DE4.4 Register of Members' Interests Local Government Act 1972 Section 94 (1)

2 years End of term of office Destruction No

DE4.5 Declarations of Members' Interests

Business need 2 years End of term of office Destruction No

DE4.6 Register of gifts and hospitality Business need 2 years End of term of office Destruction No

DE4.7 Register of members of political groups

Business need 2 years End of term of office Destruction No

DE4.8 Correspondence with members Business need 5 years Date of correspondence

Destruction No

DE5 Planning

DE5.1

Council Plan Permanent N/A Permanent No

DE6 Representation

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Class Code


DE6.1 Wards and boundaries Electoral Registration and Administration Act 2013


DE6.2 Election notices Business need 1 year Date of election Destruction No

DE6.3 Election timetables Business need 1 year Date of election Destruction No

DE6.4 Local election expenses Representation of the People Regulations 2001, Electoral Commission guidance

2 years Date of election Destruction

No

DE6.5 East Sussex Youth Cabinet Big Vote ballot papers

Business need 1 year Date of election Destruction No

DE6.6 Ballot papers 1 year Date of election Destruction No

DE7 Scrutiny

DE7.1

Scrutiny Panel papers and reports

Business need 10 years Date of Panel Departmental review; Destruction

No

DE7.2

Scrutiny consultations with stakeholders

Business need 10 years Date of consultation Departmental review; Destruction

No

DE7.3

Scrutiny correspondence Business need 10 years Date of correspondence

Departmental review; Destruction

No

DE7.4

Training materials for elected members on scrutiny

Business need - training materials might be needed to develop member inductions after next election

1 year Date of next election Destruction No

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ED Economic Development

ED1 Strategies, Policies, Plans and Guides

ED2 Decision Making and Information Sharing

ED3 Business Funding and Programmes

ED4 Broadband Project

ED5 SELEP ERDF Facilitator Project

Class Code


ED1 Strategies, Policies, Plans and Guides

ED1.1 East Sussex Official Guide and East Sussex Business Guide & Directory


ED1.2 Economic Development Strategy


ED1.3 Economic Development Implementation Plan and Background

Business need 10 years From date of document


No

ED1.4 East Sussex Growth Strategy and Implementation Plan



No

ED1.5 East Sussex Business Survey Business need 10 years From date of document


No

ED1.6 East Sussex Local Economic Assessment (LEA)



No

ED2 Decision making and information sharing

ED2.1 East Sussex Economic Advisory Business need 5 years From date of meeting Destruction No

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Class Code


Board (EAB)

ED2.2 Small & Medium-Sized

Enterprises (SME) Commission Business need 10 years From cessation of

group Destruction No

ED2.3 Economic Development Officer Liaison Group

Business need 5 years From date of meeting Destruction No

ED2.4 Team East Sussex Business need 10 years From date of document


No

ED2.5 Adult Learning Skills & Partnership Board

Business need 10 years From cessation of board (January 2015)

Destruction No

ED3 Business Funding and Programmes

ED3.1 South East Local Enterprise Partnership (SELEP) funded projects

Business need. Government guidance in the contract does not prescribe how long the records should be retained for. It states that further guidance on the national monitoring and evaluation framework will be added to the contract once released, but the team are still awaiting this.

10 years After close of project Departmental review; Destruction

Yes

ED3.2 Regional Growth Fund (RGF) funded projects

Business need, Government guidance

10 years After close of project Departmental review; Destruction

Yes

ED3.3 ESCC funded projects: East Sussex Invest

Business need 10 years After close of project Departmental review; Destruction

Yes

ED3.4 ESCC funded projects: property Business need 10 years After close of project Departmental review;

Yes

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Class Code


& sites Destruction

ED3.5 ESCC funded projects: projects other than East Sussex Invest or property & sites


Yes

ED3.6 EU funded projects Funder requirement 10 years After close of project Departmental review; Destruction

Yes

ED3.7 Business East Sussex Business need 10 years After close of project Departmental review; Destruction

Yes

ED3.8 Wealden & Rother Rural Partnership (WARR)


Yes

ED4 Broadband Project

ED4.1 Broadband Project

Contractual and funder requirement; business need

30 years After close of project Departmental review; Archive appraisal

No

ED5 SELEP ERDF Facilitator Project

ED5.1 SELEP ERDF Facilitator Project Contractual and funder requirement; business need; See guidance https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/501180/ESIF-GN-1-008_ERDF_Document_Retention_Guidance_v1.pdf

Yes

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EN Environment

EN1 Archaeology

EN2 Historic Environment Record (HER)

EN3 Landscaping

EN4 Flood Risk Management

EN5 Dutch Elm Disease

EN6 Ecology

Class Code


EN1 Archaeology

In progress Class Code


EN2 Historic Environment Record (HER)

EN2.1 Historic Environment Record

Keep current No

EN2.2 OS Card Indexes


EN2.3 HER library documents


EN2.4 Shapefiles

Keep current No

EN2.5 Online Payment/Invoicing initial emails

Limitation Act 1980 7 years Last communication Destruction Yes

EN2.6 HER Enquiry log


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Class Code


EN3 Landscaping

In progress EN4 Flood Risk Management

EN4.1 Preliminary Flood Risk

Assessment (PFRA)

Flood Risk Regulations (2009) place a duty on the LLFA to create this document

Permanent Yes

EN4.2 Local Flood Risk Management Strategy and supporting papers

Permanent No

EN4.3 Flood incident database Permanent in-house

EN4.4

Drainage cases Land Drainage Act 1991 and Flood Risk Regulations 2009 (retention not specified). Needed by the business as evidence to support the reviews of the Preliminary Flood Risk Assessment.

Permanent in-house

EN4.5

Drainage cases which lead to formal enforcement action

Land Drainage Act 1991 (retention not specified). Required as evidence to support enforcement proceedings and should a complaint is made against the service (internal processes, Ombudsman or Judicial Review).

Permanent in-house

EN4.6

Drainage cases which do not lead to formal enforcement

PFRA review cycle - circumstances can change and low level cases may

6 years Departmental review (at the review stage, papers are

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Class Code


action

be revived and escalated. retained on the basis that changing circumstances may lead to re-occurrence and/or intensification of the issue).

EN4.7

Ordinary Watercourse Consents

ESCC has a consenting role under the Land Drainage Act 1991. Retention mirrors that of planning applications.

15 years Date application approved


EN4.8

Flood Risk Management project files where funding has been received from Southern Regional Flood and Coastal Committee (SRFCC)

Retention period to be assigned at a later date. No records are to be destroyed until retention period has been agreed. Audit / requirements of the funding body must be met.

EN4.9 East Sussex Flood Partnership Minutes and associated papers

Permanent

EN4.10

Surface Water Management Plans

Provides a comprehensive record and analysis of local flood risks at a given time - forms part of the evidence base for our Strategy, PFRA and Service Plan.

Permanent

EN5 Dutch Elm Disease

EN5 Note 1 For contracts with tree fellers, see Procurement Retention and Disposal Schedule.

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Class Code


EN5 Note 2 In 2011 ESCC took over this function. It had formerly been performed by the South Downs Joint Committee and funded by ESCC. 1 file (in paper format) was handed over to ESCC. File is not to be destroyed without consulting the Principal Records Officer.

EN5.1 Dutch Elm Disease Control

Zone Map Keep up to date Superseded Destruction No

EN5.2 Surveys on Dutch Elm trees In-line with financial records 7 years Date of survey Destruction Yes

EN5.3 Diseased Dutch Elm trees consents and supporting documentation

In-line with financial records 7 years Date tree felled Destruction Yes

EN6 Ecology

In progress

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FM Financial Management

FM1 Financial Strategy and Planning

FM2 Accounting and Reporting

FM3 Audit

FM3.1 Internal Audit

FM3.2 Fraud / Corruption

FM3.3 External Audit

FM4 Borrowing and Loan Debt Management

FM5 Budgets Management

FM6 Charity Endowments and Trust Fund Administration

FM7 Funding

FM7.1 Provision of funding by ESCC for voluntary and community groups in East Sussex

FM7.2 Acquisition of external funding for ESCC departments

FM8 Loans and Leasing

FM9 Payroll including PAYE and NIC

FM10 Pensions

FM10.1 Pension Fund Management

FM10.2 Pension Fund Administration

FM11 Investment Management

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FM12 Income

FM12.1 Income Processing

FM12.2 Debt Collection and Recovery

FM13 Purchasing and Payments

FM14 Value Added Tax (VAT)

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Class Code


FM1 Financial Strategy and Planning

FM.1.1 Financial strategy. Medium Term Financial Plan (MTFP) and budget summary

ESCC Financial Regulations and business need

6 years End of current financial year

Destruction No

FM1.2 Asset valuation ESCC Financial Regulations and business need


Destruction No

FM2 Accounting and Reporting

FM2.1 Statement of accounts The format of the Statement of Account is government by the Code of Practice on Local Authority Accounting in the UK


FM2.2 Reports of payments to suppliers over £500

ESCC Financial Regulations, business need


Destruction No

FM2.3 Preparation and notification of accounts

ESS Financial Regulations business needs


Destruction No

FM3 Audit FM3.1 Internal Audit FM3.1 Note 1

All local authorities must make proper provision for internal audit in line with the 1972 local Government Act (S151) and the Accounts and Audit Regulations 2003 (as amended in (2006) the latter states that authorities must maintain an adequate and effective system of internal audit of its accounting records and of it system of internal controls in accordance with the proper internal audit practices. These practises are defined within the “CIPFA” Code of Practice for Internal Audit in Local Government in the UK 2006.

FM3.1. Note 2

The internal Audit service primarily provides an independent and object opinion to the Country Council on its control environment. It does this by reviewing and reporting on systems and activities across the authority, making recommendations to management for improvements where necessary. The role in Internal Audit also includes conducting investigations into suspected fraud and corruption and providing advice ion the risk management and internal control as part of major projects and new system development.

FM3.1.1 Internal Audit charter and terms of reference

Code of Practise for Internal Audit, Local Government UK 2006

Permanent Permanent No

FM3.1. Internal Audit strategy and annual audit plan

Destroy Internal Audit version once no longer

Destruction No

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Class Code


needed for business need

FM3.1.3 Audit Report Code of practice 7 years Destruction No FM3.1.4 Annual internal audit report and

opinion No

FM3.2 Fraud and Corruption

FM3.2.1 National Fraud Initiative (NFI) Audi Commission guidance 7 years Destruction No FM3.2.2 Anti-fraud and corruption

strategy ESCC Financial and business need Keep most 2

recent versions then destroy oldest

Destruction No

FM3.2.3 Information on reporting fraud, corruption and other wrong doing

ESCC Financial and business need Keep most 2 recent versions then destroy oldest

Destruction No

FM3.2.4 Fraud/corruption investigations Police & Criminal Evidence Act 1984; National Audit Office guidance; HM Treasury guidance ESCC Financial Regulations; business need

7 years After outcome Destruction No

FM3.3 External Audit

FM3.3.1 Notice of audit of accounts 6 years End of Financial year Destruction No FM3.3.2 Notice of completion of the audit

of accounts Audit commission Act 1998, sections 15-16 Accounts and Audit Regulations 2011 Regulations 9,10,11


FM3.3.3 Requests by public to view accounts, questions for auditors and objects to accounts

6 years Destruction

FM4 Borrowing and Loan Debt Management

FM4.1 Treasury strategy and policy statement

Section 3 (1) local Government Action 2003 Prudential Code for Capital Finance 2004, CIPFA


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Class Code


Prudential Code CIPFA. Treasury Management in the public services. Code of practises. Cabinet reports are transferred to East Sussex Record office for permanent preservations by Democratic Services.

FM4.2 Stewardship report CIPFA Prudential Code/CIPFA Treasury Management in the Public Services - Code of practice; Local Government Act 2003; Local Government Investments. Cabinet reports are transferred to East Sussex Record Office for permanent preservation by Democratic Services.


Destruction No

FM4.3 Treasury management half year review

CIPFA Prudential Code/CIPFA Treasury Management in the Public Services - Code of practice; Local Government Act 2003; Local Government Investments. Cabinet reports are transferred to East Sussex Record Office for permanent preservation by Democratic Services.

6 years End of financial year Destruction No

FM5 Budget s Management

FM5.1 Revenue budgets management ESCC Financial Regulations; Business need


FM5.2 Capital budgets management ESCC Financial Regulations; Business need


FM6 Charity Endowments and Trust Funds Administration

FM6.1 Endowments and Trust Funds administration

Charities Act 1993; Charities Act 2006; The Charities (Accounts and Reports) Regulations 2005; Charity Accounts: The Framework 2005

6 years Winding up of fund Archive appraisal No

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Class Code


FM7 Funding

FM7.1 Provision of Funding by ESCC for Voluntary and Comm unity Groups in East Sussex

FM7.1.1 Successful applications for grant funding provided by ESCC

ESCC Financial Regulations; Business need. This matches the retention set for contracts in the procurement schedule, as the Commissioning Grants Prospectus is managed closely with Procurement.

6 years Expiration of funding agreement

Destruction No

FM7.1.2 Unsuccessful applications for grant funding provided by ESCC

ESCC Financial Regulations; Business need.

6 years Date of application Destruction No

FM7.1.3 Background notes and guidance notes on funding schemes


6 years Date of guidance Destruction No

FM7.1.4 Help and advice to voluntary and community groups


2 years after closure

Closure Departmental review; Destruction

No

FM7.1.5 Bulletin ESCC Financial Regulations; Business need.

1 year Date of bulletin Departmental review; Destruction

No

FM7.1.6 Funding guides produced by ESCC


1 year Date of guide Departmental review; Destruction

No

FM7.2 Acquisition of External Funding for ESCC Department s

FM7.2 Note 1

Other streams of funding exist for ESCC Departments apart from those listed below. E.g. Department for Transport, Department of Health, Department of Education. Funding contracts indicate what records need to be kept, in what format, and how long for. The requirements are different for different funders. Please contact Records Management for new classes to be added for specific funding streams.

FM7.2.1 Interreg revenue projects EU funding requirements; ESCC Financial Regulations; Business need. Interreg III ended in 2007 (record

12 years End of the programme


No

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Class Code


retention for revenue projects to 2019), Interreg IV ended in 2014 (record retention for revenue projects to 2026) and Interreg V ends in 2020 (record retention to revenue projects to 2032), although these dates could be subject to change. Must confirm with managing authority before destruction.

FM7.2.2 European Social Fund (ESF) European Secretariat guidance; ESCC Financial Regulations; Business need. Some documentation may need to be kept for longer - the European Secretariat will send out further guidance advising when it is safe to destroy records. The department should notify the Records Management Service when this guidance is received.

3 years After the European Commission has made their final payment

Departmental review with reference to European Secretariat guidance; Destruction

No

FM7.2.3 Heritage Lottery Fund The funder does not have any retention requirement as original documents are checked and certified at the time of claim submission. ESCC has chosen to match the retention of income processing (FM12.1.1) as the documents support income received.


FM7.2.4 Interreg capital projects EU funding requirements; ESCC Financial Regulations; Business need. Interreg III ended in 2007 (record retention to 2027 for capital projects), Interreg IV ended in 2014 (record

20 years End of the programme

Departmental review and confirmation from managing authority; Destruction

No

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Class Code


retention to 2034 for capial projects) and Interreg V ends in 2020 (record retention to 2040 for capital projects), although these dates could be subject to change. Must confirm with managing authority before destruction.

FM8 Loans and Leasing

FM8 Note 1

See Legal Services, Adult Social Care or Payroll for loans to individuals.

FM8.1 Loans provided by ESCC: Successful

ESCC Financial Regulations; Business need

6 years Maturity of loan Destruction Yes

FM8.2 Loans provided by ESCC: Unsuccessful


6 years Closure of unsuccessful application

Destruction Yes

FM8.3 Leasing administration ESCC Financial Regulations; Business need

6 years End of lease Destruction Yes

FM9 Payroll include PAYE and NIC

FM9.1 Payroll authorisations ESCC Financial Regulations; Business need


FM9.2 Payroll administration Taxes Management Act 1970; Financial Services Act 1986; Statutory Maternity Pay (General) Regulations 1986; Statutory Sick Pay (General) Regulations 1982; Income Tax (Employment) Regulations 1993


Destruction Yes

FM9.3 Redundancy payments administration



Destruction Yes

FM9.4 Tax and National Insurance administration

Income Tax (PAYE) Regulations; HMRC EC/FS3 04/08 - PAYE Compliance

6 years End of current tax year

Destruction Yes

FM9.5 Payroll Management Board minutes


Permanent

N/A Permanent

Yes

FM9.6 Timesheets Companies Act 1989 6 years End of current tax Destruction Yes

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Class Code


year FM9.7 Expenses claims HMRC EC/FS3 04/08 - PAYE

Compliance 3 years End of current tax

year Destruction Yes

FM10 Pension Fund

FM10.1 Pension Fund Management

FM10.1.1 Pension Fund Management Local Government Pension Scheme (Administration) Regulations 2008; Local Government Pension Scheme (Management and Investment of Funds) Regulations 2009; The Local Government Pension Scheme Regulations 2013

15 years End of receipt of benefits

Destruction No

FM10.1.2 Pension Fund financial reports and accounts

Business use 6 years Date of report Permanent No

FM10.1.3 Pension Fund statement of investment principles

Business use 12 years Date of statement Departmental review; Destruction

No

FM10.1.4 Pension Fund valuation report Business use 12 years Date of statement Permanent No FM10.1.5 Pension Fund strategy

statement Business use 12 years Date of statement Departmental

review; Destruction

No

FM10.1.6 Pension Fund policies and procedures

Retirement Benefits Schemes (Information Powers) Regulations 1995


Destruction No

FM10.2 Pension Fund Administration

FM10.2.1 Authorisations for pensions payments

Local Government Pension Scheme (Administration) Regulations 2008; The Local Government Pension Scheme Regulations 2013



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Class Code


FM10.2.2 Pension scheme approval Local Government Pension Scheme (Administration) Regulations 2008; The Local Government Pension Scheme Regulations 2013


Destruction Yes

FM10.2.3 Employer contributions administration

Local Government Pension Scheme (Administration) Regulations 2008; The Local Government Pension Scheme Regulations 2013



FM10.2.4 Pension contribution repayment Local Government Pension Scheme (Administration) Regulations 2008; The Local Government Pension Scheme Regulations 2013



FM11 Investment Management

FM11.1 Investment management ESCC Financial Regulations; Business need


Destruction No

FM12 Income

FM12.1 Income Processing

FM12.1.1 Income processing VAT Act 1994 6 years End of financial year Destruction Yes FM12.1.2 Payment card details Payment Card Industry Data Security

Standard (PCI DSS) - this is applied for annually. See also ESCC Payment Card Data Security Policy and Payment Card Data Handling Guidelines, no date.

Destroy immediately by cross-shredding, incineration or pulping

After transaction has been completed

Destruction Yes

FM12.2 Debt Collection and Recovery

FM12.2.1 Debtor accounts ESCC Financial Regulations; Business need

6 years Recovery action/receipt of payment

Destruction Yes

FM13 Purchasing and Payments

FM13.1 Purchase order requisitions ESCC Financial Regulations; Destroy Once purchase order Destruction No

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Class Code


Business need. There is no requirement to retain requisition forms as the orders are stored on database.

is raised and approved on finance system

FM13.2 Invoices and credit notes VAT Act 1994. HM Customs & Excise (now HMRC). Concession dated January 1996 to hold records for 3 years plus the current year.


Destruction No

FM13.3 Delivery notes VAT Act 1994. HM Customs & Excise (now HMRC). Concession dated January 1996 to hold records for 3 years plus the current year.


Destruction No

FM13.4 Petty cash ESCC Financial Regulations; Business need


Destruction No

FM13.5 Purchasing Card (P-Card) ESCC Financial Regulations; Business need


Destruction No

FM13.6 Travel warrants ESCC Financial Regulations; Business need

3 years Date of the last warrant

Destruction No

FM14 Value Added Tax (VAT)

FM14.1 Note 1

The VAT Act 1994 states that document retention should be 6 year plus the current year. ESCC has a concession dated January 1996 to hold records for 3 years plus the current year.

FM14.1 VAT return files VAT Act 1994. HM Customs & Excise (now HMRC) concession dated January 1996 to hold records for 3 years plus the current year.

3 years End of the current year

Destruction No

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HS Health and Safety

HS1 Accidents, Incidents and Reporting

HS2 Assessments and Inspections

HS3 Contractors Management

HS4 Monitoring

HS5 Policies, Procedures, Plans and Guidance

HS6 Training

HS Note There may be different requirements in establishments where care is provided. Please contact the Principal Records Officer for advice.

Class Code


HS1 Accidents, Incidents and Reporting

HS1.1 Accident and incident records: Adults

6 years Closure Destruction

HS1.2 Accident and incident records: Minors

Allows claims to be made 3 years after reaching majority

21 years after date of birth, or 6 years after closure whichever is the longer period

Destruction

HS1.3 Incidents reported under RIDDOR (Reporting of Injuries, Diseases, and Dangerous Occurrences Regulations): Adults

Reporting of Injuries Diseases and Dangerous Occurrences Regulations 1995/3163, Regulation 7 (Records), 'The record referred to in paragraph (1) shall be kept either at the place where the work to which it relates is carried on or at the usual place of business of the responsible person and an entry in such a record shall be kept for at least three years from the date on which it was made.'


HS1.4 Incidents reported under RIDDOR (Reporting of Injuries,

21 years after date of birth, or 6 years after closure whichever is the longer

Destruction

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Class Code


Diseases, and Dangerous Occurrences Regulations): Minors

period

HS1.5 Adverse incidents involving medical devices reported to the Medicines and Healthcare products Regulatory Agency (MHRA)

Retention specified in Pooled Budget Agreement. ESCC's providers, who are the lead in managing any adverse incidents also follow this.


HS2 Assessments and Inspections

HS2.1 Risk assessments Dependent on type of risk assessment*

6 years Last assessment Destruction

HS2.2 Workplace inspections 6 years Inspection Destruction HS2.3 Fire safety log book The Regulatory Reform (Fire Safety)

Order 2005, Statutory Instrument 2005 No. 1541, Regulation 9 (Risk Assessment)**

6 years End date in book Destruction

HS2.4 Control of Substances Hazardous to Health (COSHH) Assessments

Control of Substances Hazardous to Health (COSHH) Regulations 2002, Statutory Instrument 2002 No. 2677 Regulation 9 (4)(Maintenance, examination and testing of control measures)

6 years Assessment Destruction

HS2.5 Inspections of equipment Includes Electricity at Work Regulations 1989

6 years Inspection Destruction

HS2.6 Personal Emergency Evacuation Plan (PEEP)

The Equality Act 2010 6 years Last use Destruction

HS2.7 The issuing of personal protective equipment

6 years Last use Destruction

HS3 Contractors Management

HS3.1 Contractors Management TBC HS3.2 Notifiable Construction Work TBC HS4 Monitoring

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Class Code


HS4.1 Asbestos Monitoring TBC HS4.2 Compressed Air Monitoring TBC HS4.3 Geo-technical assessments of a

quarry TBC

HS4.4 Hazard Monitoring: Those exposed

TBC

HS4.5 Hazard Monitoring: Those not exposed

TBC

HS4.6 Noise Pollution Monitoring: Those exposed

TBC

HS4.7 Radon Monitoring TBC HS5 Policies, Procedures, Plans and Guidance

HS5.1 Corporate policies, plans and procedures

Health & Safety at Work Act (1974), Section 2 (3) (General Policy Statement)****


HS5.2 Local policies, plans, procedures and guidance

6 years Last amendment Destruction No

* The Display Screen Equipment Regulations 1992 require that computer users are trained in the safe use of their DSE and that a risk assessment is

conducted; The Regulatory Reform (Fire Safety) Order 2005, Statutory Instrument 2005 No. 1541, Regulation 9 (Risk Assessment), '(1) The responsible person must make a suitable and sufficient assessment of the risks to which relevant persons are exposed for the purpose of identifying the general fire precautions he needs to take to comply with the requirements and prohibitions imposed on him by or under this Order. (2) Where a dangerous substance is or is liable to be present in or on the premises, the risk assessment must include consideration of the matters set out in Part 1 of Schedule 1. (3) Any such assessment must be reviewed by the responsible person regularly so as to keep it up to date and particularly if— (a) there is reason to suspect that it is no longer valid; or (b) there has been a significant change in the matters to which it relates including when the premises, special, technical and organisational measures, or organisation of the work undergo significant changes, extensions, or conversions, and where changes to an assessment are required as a result of any such review, the responsible person must make them.'

** The Regulatory Reform (Fire Safety) Order 2005, Statutory Instrument 2005 No. 1541, Regulation 9 (Risk Assessment), '(1) The responsible person must make a suitable and sufficient assessment of the risks to which relevant persons are exposed for the purpose of identifying the general fire precautions he needs to take to comply with the requirements and prohibitions imposed on him by or under this Order. (2) Where a dangerous substance is or is liable to be present in or on the premises, the risk assessment must include consideration of the matters set out in Part 1 of Schedule 1. (3) Any such assessment must be reviewed by the responsible person regularly so as to keep it up to date and particularly if— (a) there is reason to suspect that it is no longer valid; or (b)

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there has been a significant change in the matters to which it relates including when the premises, special, technical and organisational measures, or organisation of the work undergo significant changes, extensions, or conversions, and where changes to an assessment are required as a result of any such review, the responsible person must make them.'

*** '(4) Every employer shall keep a suitable record of the examinations and tests carried out in accordance with paragraphs (2) and (3) and of repairs carried out as a result of those examinations and tests, and that record or a suitable summary thereof shall be kept available for at least 5 years from the date on which it was made.'

**** Health & Safety at Work Act (1974), Section 2 (3) (General Policy Statement), 'It shall be the duty of every employer to prepare and as often as may be appropriate revise a written statement of his general policy with respect to the health and safety at work of his employees and the organisation and arrangements for the time being in force for carrying out that policy, and to bring the statement and any revision of it to the notice of all of his employees.'

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HR Human Resources

HR1 Recruitment

HR2 Personal Records

HR3 Supervision Records

HR4 Redeployment, Restructure and Redundancy

HR5 Attendance

HR6 Organisation and Reviews

HR7 Workforce Information

HR8 Grievances

HR9 Training

HR10 Lone Working and Emergency Contacts

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Class Code Class Name Retention Notes Retention Period Disposal Trigger Action PD

HR1 Recruitment

HR1.1 Job authorisation 7 years End of system usage period

Destruction No

HR1.1 Note Keep in recruitment system throughout system usage period - final system output spreadsheet created at end of usage period HR1.2 Job adverts 7 years End of system usage

period Destruction No

HR1.2 Note Keep in recruitment system throughout system usage period - final system output spreadsheet created at end of usage period HR1.3 Job applications from

unsuccessful candidates Applicants often apply for several vacancies over an extended period. The retention period is therefore set as 1 year, in order to ensure applicants can access their accounts and previous applications, without needing to re-input information. Reducing the retention period would create inconvenience for applicants and for the recruitment support team.

1 year Inactivity by named applicant

Destruction Yes

HR1.3 Note Keep in online recruitment system HR1.4 Job applications from

appointed candidates See action field Add to personal

file and keep for as long as personal file (see HR2)

Yes

HR1.5 Short listing records for successful candidates

See action field Add to personal file and keep for as long as personnel file (see HR2)

Yes

HR1.6 Short listing records for unsuccessful candidates

As per 1.3 above, this is tied to the retention period for applicants. The online recruitment system only supports a single retention period for

1 year Inactivity by named applicant

Destruction Yes

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all recruitment records, so shortlisting records must be retained for the same period as applicant accounts.

HR1.6 Note Keep in online recruitment system HR1.7 Interview records for

successful applicants See action field Recruiting officer

to scan interview notes directly into the online system for Personnel to download or send them directly to Personnel, to be added employee's personal file (see HR2)

Yes

HR1.8 Interview records for unsuccessful applicants

As per 1.3 and 1.6 above 1 year Inactivity by named applicant

Destruction Yes

HR1.9 Pre-employment check documents for preferred candidates, where the job offer or acceptance is withdrawn.

6 months Inactivity by named applicant

Destruction Yes

HR2 Personal Records

HR2 Note 1 Includes any documentation related to a named individual employee's pay and conditions: Contract of employment, change of hours, determination of employment status, acting up/honourarium, job description, job application form, allowances etc

HR2 Note 2 If any personal records fall under more than one class, apply the one with the longest retention period HR2 Note 3 Personal files of County Archivists and Chief Officers should be permanently preserved. These individuals have been prominent in the

formulation and execution of the authority’s policy, and the information contained in the files on their origins, education, background and previous employment formed their work with ESCC is a fundamental to such a study.

HR2.1 SAP / Datastore employee records

Deliberately blank. The Records Manager is researching this. Do not destroy records until retention period approved.

HR2.2 Personal records which do not fall into the categories

Limitation Act 1980 7 years Termination of Employment

Destruction Yes

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below HR2.3 Personal records of

employees working in children's residential homes where there are no allegations of misconduct

The Children's Homes Regulations 2001 No. 3967, Section 29 (2) (Other records with respect to children's homes). Legislation states that the following must be recorded - full name; sex; date of birth; home address; qualifications relevant to, and experience of, involving children; whether full or part time (whether paid or not paid), and if part time, the average number of hours worked per week; whether they reside at the home.

75 years Termination of Employment

Destruction Yes

HR2.4 Personal records of employees working for the Fostering Service

Fostering Services Regulations 2011, Regulation 22 (Records with respect to fostering services) / Schedule 2 (Records to be kept by Fostering Service Providers)


Destruction Yes

HR2.5 Personal records of employees who are known or suspected to have been exposed to asbestos fibres whilst at work

The Control of Asbestos Regulations 2006, Regulation 22 (Health records and medical surveillance)


Destruction Yes

HR2.6 Personal records of employees who are known or suspected to have been exposed to radioactive substances whilst at work

Ionising Radiation Regulations 1999. Regulations: 21 (Dose assessment and recording), 23 (Dosimetry for accidents etc.), 24 (Medical surveillance), 25 (Investigation and notification of overexposure), 30 (Notification of certain occurrences), 32 (Equipment used for medical exposure)

Keep until the person to whom the record relates has or would have attained the age of 75 years but in any event for at least 50 years from the date of the last entry made in it

Termination of Employment

Destruction Yes

HR2.7 Personal records of Control of Lead at Work Regulations 40 years Termination of Destruction Yes

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employees who are known or suspected to have been exposed to lead whilst at work

2002, Regulation 10 (Medical surveillance)

Employment

HR2.8 Personal records who are known or suspected to have been exposed to compressed air whilst at work

Work in Compressed Air Regulations 1996, Regulation 10 (Medical surveillance)


Destruction Yes

HR2.9 Personal records of employees who are known or suspected to have been exposed to substances hazardous to health whilst at work (COSHH)

Control of Substances Hazardous to Health Regulations 2002, Regulation 10 (Monitoring exposure in the workplace)


Destruction Yes

HR2.10 Personal records of employees subject to disciplinary action, with the exception of disciplinary action concerning children and vulnerable adults

No longer used, see HR2.2 or HR2.11

HR2.11 Personal records of employees who work with children, young people or vulnerable adults who have had allegations (including where the allegation was unfounded), convictions, disciplinary action, inappropriate behaviour and or has breached the code of conduct in a way that has harmed or may have harmed a child and or indicates s/he is unsuitable to work with children / vulnerable people

For allegations against children, see Working Together to Safeguard Children: A Guide to inter-agency working to safeguard and promote the welfare of children, March 2010, Department for Education (DfE) (formerly Department for Children, Schools and Families (DfCSF)), Chapter 6 for these arrangements. Appendix 5, p358 (Recordkeeping) specifies the retention period.


Destruction Yes

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and employees who work with children or vulnerable adults and leave under a compromise agreement.

HR2.12 Personal records of employees subject to compromise agreements

(no longer in use)

HR3 Supervision Records

HR3.1 Supervision records which do not fall into the categories below

6 months Termination of Employment

Destruction Yes

HR3.2 Supervising records of employees who work with children, young people or vulnerable adults who have had allegations (including where the allegation was unfounded), convictions, disciplinary action, inappropriate behaviour and or has breached the code of conduct in a way that has harmed or may have harmed a child and or indicates s/he is unsuitable to work with children / vulnerable people

Employee's manager to send supervision records should be sent to the Personnel Support Unit when the employee changes role or leaves ESCC employment whichever is earlier. PSU to add to personal file and keep for as long as personal file (see HR2)

No

HR3.3 Supervision records of employees working in children's residential homes where there are no allegations of misconduct

Employee's manager to send supervision records should be sent to the Personnel Support Unit when the employee changes role or leaves ESCC employment whichever is earlier. PSU to add to personal file and keep for as long as personal file (see HR2)

No

HR3.4 Supervision records of employees working for the

Employee's manager to send supervision records should be sent to the Personnel Support Unit when the employee

Yes

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Fostering Service changes role or leaves ESCC employment whichever is earlier. PSU to add to personal file and keep for as long as personal file (see HR2)

HR3.5 Supervision files of individuals who have been assessed as being employees of ESCC following completion of an Employment Status Assessment checklist.

3 years plus the current financial year

Employee's manager to send supervision records should be sent to the Personnel Support Unit when the employee changes role or leaves ESCC employment whichever is earlier.

HR3.6 Exit interviews and questionnaires

TBC Destruction No

HR4 Redeployment, Restructure and Redundancy

HR4.1 Outcome letters for all forms of redeployment (sickness, performance, or as part of a restructure)

See action field Add to personal file and keep for as long as personal file (see HR2)

Yes

HR4.2 Restructure consultation pack

See action field Add to personal file and keep for as long as personal file (see HR2)

No

HR5 Attendance

HR5.1 Sickness and absence notifications

4 years Month of absence Destruction No

HR5.2 Attendance Improvement Manager sends copy to Personnel, to be added to personal file No

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Notices (all stages) and kept for as long as the personal file (see HR2) HR5.3 Return to work interviews Add to supervision file and keep for as long as the supervision

file (see HR3) No

HR6 Organisation and Reviews

HR6.1 Service Reviews: Non personal information

7 years Completion Destruction No

HR6.2 Restructuring and redeployment records: Non personal information


HR6.3 The transferring of salary scales for staff other than Chief Officers: Non personal information


HR6.4 The transferring of salary scales for Chief Officers: Non personal information


HR6.5 Project documentation on the transferring of salary scales: Non personal information


HR7 Workforce Information

HR7.1 Employment statistics: Non-personal demographic information about the council's workforce, relating to job role, location of work, salary hours worked, gender, age, ethnicity, disability etc.

3 years Completion Permanent Yes

HR7.2 Equal opportunities monitoring forms

3 years Submission of form Destruction No

HR7.3 Structure charts showing corporate and team structure

3 years Completion Permanent Yes

HR8 Grievances

HR8.1 Grievances raised by an Add to personal file and keep for as long as personal file (see No

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individual member of staff HR2) HR8.2 Grievances raised by a group

of employees Add to personal file and keep for as long as personal file (see

HR2) No

HR9 Training

HR9.1 Training completion

HR9.1.1 Training completion: Routine training (not relating to occupational health, children or vulnerable adults)

In-line with standard personal files (see HR2)

Health and Safety (First Aid) Regulations 1981

CIPD (Chartered Institute of Personnel and Development) guidelines

7 years Termination of employment

Destruction

HR9.1.2 Training completion: Children and vulnerable adults

Retain evidence that course completed and course content

35 years

Training completion Destruction

HR9.1.3 Training completion: Occupational Health and Safety

50 years Last activity Destruction

HR9.2 Administration

HR9.2.1 Training promotion / advertisement

Keep current and previous version

Destruction No

HR9.2.2 Course content and supporting materials

Business need Keep current and previous version

Destruction No

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HR9.2.3 Course applications

In-line with financial records (see FM)

7 years End of financial year Destruction

HR10 Lone Working and Emergency Contacts

HR10.1 Lone worker and emergency contact details for staff

Keep up to date and delete on termination of employment

Destruction Yes

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IM Information and Records Management

IM1 Access to Information – Data Protection

IM2 Access to Information - Freedom of Information

IM3 Corporate Record Centre

IM4 Information and Records Management

Class Code


IM1 Access to Information – Data Protection

IM1.1 Data Protection Notification The maintenance of this record is a requirement under data protection regulations Retention mirrors IM2

3 years Previous notification Destruction No

IM1.2 Subject Access Requests (SARS)

Mirrors IM2 3 years Closure Destruction Yes

IM1.2 Note

Includes internal reviews and complaints to the Information Commissioner

IM2 Access to Information – Freedom of Information

IM2.1 Freedom of Information requests case files : Routine enquiries

The National Archives’ Retention and Disposal Guidance 14, Records created by a public body fulfilling its obligations under the Freedom of Information Act 2000 (no date)


IM2.2 Freedom of Information requests case files : High profile cases and/or cases that resulted in policy/procedure change

As IM2.1.1 3 years Closure Archive appraisal Yes

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Class Code


IM3 Corporate Record Centre

IM3.1 A record of holdings: Internal depositors (database and finding aids)

Freedom of Information Act 2000 The Lord Chancellor’s Records Management Code of Practice issued under Section 46 of the Freedom of Information Act states:

48. It is important for an authority to keep records showing the location of the information it holds or has transferred to archives; or whether the information has been destroyed and if so, why and when. Business need - a full audit trail is needed to be able to answer requests for information including those made under data protection legislation.


IM3.2 A record of holdings: External depositors (database and finding aids)

Data not owned by ESCC Keep current. Once data no longer managed by ESCC transfer to owner and delete.

Destruction Yes

IM3.3 Loan history Business need. Loan details are needed whilst the record is on loan so that the record can be located. Once a record has been returned, details of the loan are no longer needed. The Record Centre has rarely been asked for details about which members of staff have accessed a file.

1 year Record returned from loan

Destruction Yes

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Class Code


IM3.4 Disposal authorisations As IM3.1 Permanent N/A Permanent Yes

IM3.5 Correspondence received via mailbox

Business need (based on referral rate).

2 years End of current year Destruction Yes

IM3.5 Note

Except for searches for information which are kept in line with access to information requests (see IM1 and IM2).

IM4 Information and Records Management

IM4.1 Record retention and disposal schedules

Needed to justify retention / disposal decisions. Freedom of Information Act 2000 The Lord Chancellor’s Records Management Code of Practice issued under Section 46 of the Freedom of Information Act states:

48. It is important for an authority to keep records showing the location of the information it holds or has transferred to archives; or whether the information has been destroyed and if so, why and when.


IM4.2 Record retention schedules: Background papers

All relevant information, such as decisions made, version, sign off IS included in the final retention schedule

3 years Date of issue Destruction No

IM4.3 Destruction certificates from waste disposal companies

This is the certificate only and not a record of which records were destroyed


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LI Libraries

LI1 Library Registration

Class Code


LI1 Library Registration

LI1.1 Registered library member Public Task – Public Libraries and Museum Act 1964

Library Byelaws

3 years Last activity Destruction Yes

LI1.2 Registered library member who is excluded / in breach of Library Byelaws

Library Byelaws 7 years Last activity Destruction Yes

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LS Legal Services

LS1 Social Care

LS2 Litigation

LS3 Planning and Highways

LS4 Property and Contracts

LS5 Education

LS6 Employment

LS7 Information

Class Code


LS1 Social Care

LS1.1

Adoption proceedings The Disclosure of Adoption Information (Post-Commencement Adoptions) Regulations 2005 No. 888, Regulation 6. Preservation of section 56 information (6.The adoption agency must keep section 56 information in relation to a person’s adoption for at least 100 years from the date of the adoption order). Although, for children adopted prior to 30 December 2005, the Adoption Agencies Regulations 1983, SI 1983 No 1964, which specify that the records should be kept for a minimum of 75 years apply, ESCC has decided to keep all records for 100 years from the date of the Adoption Order to enable any

100 years Date of adoption order

Archive sample Yes

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Class Code


adopted person to access their records throughout their lifetime.

LS1.2

Adult Social Care legal correspondence

Limitation Act 1980 (Sections 2, 11, 14, 28, 33). This retention period was agreed after discussions with Surrey County Council as the two Legal Services teams will be merging in the future.

12 years Closure Archive sample Yes

LS1.3

Children's Social Care: care proceedings

Limitation Act 1980 (Sections 2, 11, 14, 28, 33). A copy of the court bundle is to be sent to the client when the case is closed in legal. This will be sent to store with the child's care record for the period required by CPPCR (England) Regs 2010 (75 years after date of birth, or if the child died before 18, 15 years after the date of death (Section 50)).


LS1.4

Children's Social Care: pre-proceedings cases that do not go on to be issued

Limitation Act 1980 (Sections 2, 11, 14, 28, 33)


LS2 Litigation

LS2.1 Civil litigation (not involving minors)

Limitation Act 1980, Section 2 7 years Closure Destruction Yes

LS2.2 Civil litigation (insurance claims involving minors)

Limitation Act 1980, Section 2. For minors, the Limitation Act commences when the child reaches majority, so 25 years reflects 18 years of age + 7 years.


LS2.3 Trading Standards Prosecutions Appeals out of time 6 years Confirmation of sentence


LS2.4 Unlitigated debt matters

Business need - minor risk that matter will resurface

2 years Closure Yes

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Class Code


LS3 Planning and Highways

LS3.1 Legal Advice on Section 37 Agreements: road adoptions

Business need - previous experience of issues arising

7 years Closure Departmental review; Destruction

Yes

LS3.2 Legal advice on Section 38 Agreements: estate road supervision agreements - roads unadopted


15 years Date of Section 38 Agreement


Yes

LS3.3 Legal advice on Section 38 Agreements: estate road supervision agreements - roads adopted


7 years Date of adoption Departmental review; Destruction

Yes

LS3.4 Legal advice on Section 106 Agreements


7 years Date of agreement Departmental review; Destruction

Yes

LS3.5 Legal advice on Section 278 Agreements: works on the highway


7 years Date of agreement Departmental review; Destruction

Yes

LS3.6 ‘Not Proceeding’: all Planning and Highways matters


7 years Date of closure Departmental review; Destruction

Yes

LS3.7 Legal advice on Planning Matters, other than S106 Agreements

Law Society Guidance 7 years Date of closure Departmental review; Destruction

Yes

LS3.8 Legal advice on Highway Matters, other than S278 Agreement advice

Law Society Guidance 7 years Date of closure Departmental review; Destruction

Yes

LS3.9 Basic advice: planning Business need - previous experience of issues arising


Yes

LS3.10 Basic advice: highways Business need - previous experience of issues arising


Yes

LS3.11 Rights of Way Business need - previous experience of issues arising

7 years Date of closure Departmental review;

Yes

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Class Code


Destruction LS3.12 Common Land


7 years Date of closure Departmental review; Archive appraisal

Yes

LS3.13 Village Greens Business need - previous experience of issues arising

7 years Date of closure Departmental review; Archive appraisal

Yes

LS3.14 Environmental Advice Business need - previous experience of issues arising


Yes

LS3.15 Public notices Business need 7 years Date of notice Departmental review; Destruction

No

LS4 Property and Contracts

LS4.1 Acquisitions of property: East Sussex County Council and Sussex Police

Kept for 3 years from acquisition until 1 Dec 2003; 13 Oct 2006 retention period changed to 6 years, retrospectively for all records from 1 Dec 2003 to reflect changes made by HM Customs and Revenue to the Stamp Duty Land Tax Rules

6 years Acquisition Departmental review; Destruction

Yes

LS4.2 Sale of property: East Sussex County Council and Sussex Police, grants and taking of easements.

Kept for 3 years from sale until 1 Dec 2003; 13 Oct 2006 retention period changed to 6 years, retrospectively for all records from 1 Dec 2003 to reflect changes made by HM Customs and Revenue to the Stamp Duty Land Tax Rules

6 years Sale Departmental review; Destruction

Yes

LS4.3 Leases and Licences granted for fixed periods


6 years Termination Departmental review; Destruction

Yes

LS4.4 Compulsory Purchase Orders (confirmed)


12 years Confirmation Departmental review; Destruction

Yes

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Class Code


LS4.5 Legal Charges - Chronically Sick and Disabled


Return to Adult Social Care for discharge in the January following the termination of the loan

Yes

LS4.6 Rental of goods and provision of services: fixed terms


3 years Termination Departmental review; Destruction

Yes

LS4.7 Rental of goods and provision of services: indefinite terms


7 years Agreement Departmental review; Destruction

Yes

LS4.8 Deliberately blank Departmental review; Destruction

Yes

LS4.9 Payments under Part 1 of the Land Compensation Act 1973

Limitation Act 1980 (Section 2), Land Compensation Act 1973

6 years Date of payment Departmental review; Destruction

Yes

LS4.10 Sales of Police Houses Business need - previous experience of issues arising

5 years Sale of property Departmental review; Archive appraisal

Yes

LS4.11 "Not Proceeding": all conveyancing and contract matters



Yes

LS4.12 Sealing Registers Business need - previous experience of issues arising


LS4.13 Conveyancing - reviewable Business need - previous experience of issues arising


Yes

LS4.14 Conveyancing and Contracts - non reviewable



LS4.15 Leases and Licences for an indefinite period


7 years Date of lease or licence

Departmental review. Destroy those which have been determined for 3 years.

Yes

LS4.16 Legal Charges – Loans



Yes

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Class Code


LS4.17 Public Funding Investment (PFI) Business need - previous experience of issues arising


Yes

LS4.18 Tenancy Agreements Business need - previous experience of issues arising


Yes

LS4.19 Basic advice: property Business need - previous experience of issues arising


Yes

LS4.20 Basic advice: contracts Business need - previous experience of issues arising


Yes

LS4.21 Complex advice: property and contracts



Yes

LS5 Education

LS5.1 Advice on education matters Business need 7 years Closure Archive appraisal Yes

LS5.2 Academy conversions Business need 7 years After the CTA was entered into

Archive appraisal No

LS5.3 Special Educational Needs Tribunal Appeals

Mirrors the retention period of Children's Services SEN files (see Children and Families Services Retention and Disposal Schedule).


LS6 Employment

LS6.1 Advice on employment matters Business need 7 years Closure Destruction Yes

LS6.2 Advice to the police


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Class Code


LS7 Information

LS7.1 Advice on Freedom of Information and Data Protection Matters


LS7.2 Advice on corporate/governance matters


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MA Management

MA1 Complaints

MA2 Comments and Compliments

Class Code


MA1 Complaints

MA1 Note

Does not include complaints regarding children and vulnerable adults / safeguarding issues.

MA1.1 Complaints 6 years Closure Destruction Yes MA1.2 Local Government Ombudsman 10 years Closure Archive Appraisal Yes MA2 Comments and Compliments

MA2.1

Enquiries made by Councillors/MPs on behalf of Constituents

TBC Closure Archive appraisal Yes

MA2.1 Note

High profile cases, e.g. those which set a precedent, lead to policy change, receive media attention should be clearly marked ‘ESRO’

MA2.2 Compliments

2 years Date received Destruction Yes

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PR Procurement

PR Note 1: Does not apply to private finance initiatives (PFI) and grant funded projects such as European projects.

Class Code

Class Name Retention Notes Retention Period

Disposal Trigger Action PD

PR1.1 Contracts register Permanent N/A Permanent No

PR1.2 Tenders log Permanent N/A Permanent No

PR1.3 Contracting and tendering policies Permanent N/A Permanent No

PR1.4 Contracts: Where the contract is awarded and is over £500 000 and/or under seal

12 years Expiry of contract Permanent No

PR1.5 Contracts: Where the contract is awarded and is under £499 999 and/or not under seal

6 years Expiry of contract Archive appraisal No

PR1.6 Tendering records: Where the contract is awarded and is over £500 000 and/or under seal

Limitation Act 1980 Section 8 (Time limits for actions on a speciality)


PR1.7 Tendering records: Where the contract is awarded and is under £499 999 and/or not under seal

Limitation Act 1980 Section 5 (Actions founded on simple contract) revised PSO


PR1.8 Records created as part of the tendering process where no contract was awarded (unsuccessful, late, declined, abandoned schemes)

Public Contracts (Amendment) Regulations 2009 Regulation 47D (Time Limit to bring an action against a public body)

18 months Issue of the Contract Award Notice

Destruction No

PR1.9 Service level agreements Limitation Act 1980 Section 5 (Actions founded on simple contract) revised PSO

6 years Expiry Destruction No

PR1.10 Financial Regulations Waiver Taxes Management Act (1970), Section 12B (Records to be kept for purposes of returns)

5 years Date of waiver Destruction No

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RM Risk Management and Insurance

RM1 Claims

RM2 Insuring against loss

RM3 Risk Management

Class Code


RM1 Claims

RM1.1 Public liability claims Limitation Act 1980, plus business need

7 years Settlement of claim or repudiation

Destruction Yes

RM1.2 Employer's liability claims Limitation Act 1980, plus business need


Destruction Yes

RM1.3 Liability claims for minors Limitation Act 1980, plus business need

25 years from date of birth and then destroy provided that the claim has been settled or repudiated for 4 years

Date or birth / repudiated

Destruction Yes

RM1.4 Personal accident claims: Adults Limitation Act 1980, plus business need


Destruction Yes

RM1.5 Personal accident claims: Minors

Limitation Act 1980, plus business need

Keep for 25 years from date of birth and then destroy provided that the claim has been settled or repudiated for 4 years

Date or birth / repudiated

Destruction Yes

RM1.6 Motor vehicle claims for bodily injury or material damage



Destruction Yes

RM1.7 Property claims The Limitation Act does not apply but ESCC has decided that all claims


Destruction No

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Class Code


should have the same retention period (with the exception of claims involving minors)

RM1.8 Balance of risk claims The Limitation Act does not apply but ESCC has decided that all claims should have the same retention period (with the exception of claims involving minors)


Destruction No

RM1.9 All risk claims The Limitation Act does not apply but ESCC has decided that all claims should have the same retention period (with the exception of claims involving minors)


Destruction No

RM1.10 Business travel claims for employees of ESCC

The Limitation Act does not apply but ESCC has decided that all claims should have the same retention period (with the exception of claims involving minors)


Destruction Yes

RM1.11 Claims for the loss of ESCC IT equipment

The Limitation Act does not apply but ESCC has decided that all claims should have the same retention period (with the exception of claims involving minors)


Destruction No

RM1.12 Foster care claims The Limitation Act does not apply but ESCC has decided that all claims should have the same retention period (with the exception of claims involving minors)


Destruction Yes

RM1.13 School journey and work experience claims



Destruction Yes

RM1.14 Indemnity claims (officials and professionals)



Destruction Yes

RM1.15 Money claims for theft or loss of The Limitation Act does not apply but ESCC has decided that all claims should have the same retention period (with the exception of claims


Destruction Yes

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Class Code


involving minors) RM2 Insuring against loss

RM2.1 Employer's Liability Certificate Employers Liability (Compulsory

Insurance) Regulations 1998 stated that Employer's Liability Certificates should be kept for 40 years. This was revoked by the Employer's Liability (Compulsory Insurance) Regulations 2008 but ESCC has opted to retain the retention period as the Certificates are needed as evidence of the insurance being in place. This is particularly relevant for disease claims.


RM2.2 Motor vehicle Insurance Certificates



RM2.3 Insurance Policy renewal records

There is no legislation that governs the retention of these records but ESCC has decided that this retention period should mirror that of Employer's Liability Certificates (RI2.1)


RM3 Risk Management

RM3.1 Risk Management Strategy This document appears in Cabinet papers which are retained permanently.

Keep onsite. Once superseded, destroy when no longer required for reference.

Destruction No

RM3.2 Strategic Risk Log This document appears in Cabinet papers which are retained permanently.

Keep current. Do not send to the Record Centre.

No

RM3.3 Risk Management Reports 5 years Date of report Destruction

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TI Transport and Infrastructure

TI1 Parking

TI2 Structures

TI2.1 Bridges and Culverts

TI2.2 Retaining Walls

TI2.3 Tunnels

TI2.4 Demolition of Structures

TI3 Rights of Way

TI3.1 Legal Orders and Agreements

TI3.2 Legal Orders and Agreements Supporting Records

TI3.3 Strategies, Policies and Plans

TI3.4 Strategies, Policies and Plans Supporting Records

TI3.5 Maps, Registers and Summaries

TI3.6 Surveys and Assessments

TI3.7 Parish Files

TI3.8 Network Changes

TI3.9 Customer / Landowner Contact

TI3.10 Access

TI3.11 Rights of Way Maintenance

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TI4 Highways

TI4.1 Highway Land Information

TI4.2 Highway Maintenance

TI4.3 Agreements and Licences

TI4.4 Changes to the Highway

TI5 Countryside Maintenance

TI5.1 Countryside Promotion

TI5.2 Meetings, User Groups and Forums

TI5.3 Capital Programme

TI5.4 Countryside Sites

TI5.5 Rights of Way and Countryside Maintenance Operations

TI6 Transport

TI6.1 Public Transport

TI6.2 Client Transport (internal)

TI6.3 Real Time Passenger Information

TI6.4 Infrastructure Design

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TI1 Parking

TI1.1 Civil Enforcement Officer Pocket Books


TI1.2 Civil Enforcement Officer errors and complaints

Business need to monitor enforcement contractor's performance.


TI1.3 Penalty Charge Administration Notice administration: Non- financial

3 years After the PCN has been paid / cancelled / written off

Destruction Yes

TI1.4 Penalty Charge Administration Notice administration: Financial element

6 years After the PCN has been paid / cancelled / written off

Destruction Yes

TI1.5 Witness statements 6 years Closure Destruction Yes

TI1.6 Bailiff records 2 years Closure Destruction Yes

TI1.7 Parking permits 1 year Expiry Destruction Yes TI1.8 Public consultations concerning

parking controls 6 years Closure Destruction Yes

TI1.9 Car park daily sheets 7 years End of financial year Destruction No

TI2 Structures

TI2 Note 1

When transferring records to the Record Centre, the listing form should include structure reference, structure name, nature of works and applicable dates, e.g. 430A/A Bodium Bridge, strengthening works, 1989.

TI2 Note 2

The Structures Team is to notify the Record Centre when the life of the structure has ended so that the retention period can be applied.

TI2.1 Bridges and Culverts

TI2.1.1 Design of bridges and culverts 12 years After life of structure Archive appraisal No TI2.1.2 Assessment and inspection of

bridges and culverts BD21 - The Assessment of Highway Structures

12 years After life of structure Archive appraisal No

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TI2.1.3 Monitoring of bridges and culverts

BD79 - Design Manual for roads and bridges; Part 18 The Management of Sub-standard highway structures


TI2.1.4

Works on bridges and culverts 12 years After life of structure Archive appraisal No

TI2.1.5 Correspondence relating to bridges and culverts


TI2.2 Retaining Walls

TI2.2.1 Design of retaining walls 12 years After life of structure Archive appraisal No

TI2.2.2 Assessment and inspection of retaining walls

BD21 - The Assessment of Highway Structures


TI2.2.3 Monitoring of retaining walls BD79 - Design Manual for roads and bridges; Part 18 The Management of Sub-standard highway structures


TI2.2.4 Works on retaining walls 12 years After life of structure Archive appraisal No TI2.2.5 Correspondence relating to

retaining walls 12 years After life of structure Archive appraisal No

TI2.3 Tunnels

TI2.3.1 Design of tunnels 12 years After life of structure Archive appraisal No TI2.3.2 Assessment and inspection of

tunnels BD21 - The Assessment of Highway Structures

12 years Archive appraisal No

TI2.3.3 Monitoring of tunnels BD79 - Design Manual for roads and bridges; Part 18 The Management of Sub-standard highway structures


TI2.3.4 Works on tunnels 12 years After life of structure Archive appraisal No

TI2.3.5 Correspondence relating to tunnels


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TI2.4 Demolition of Structures

TI2.4.1 List of demolished structures Keep onsite whilst current and keep up to date

Permanent No

TI3 Rights of Way

TI3.1 Legal Orders and Agreements

TI3.1 Note 1

Legal Orders are also known as Sealed Orders.

TI3.1 Note 2

In 2014 jurisdiction of the Hastings area was transferred to East Sussex County Council. It had formerly been the remit of Hastings Borough Council. The Sealed Orders and supporting records were transferred to ESCC and the relevant retention periods below were applied.

TI3.1.1 Public Path Creation Agreements

Highways Act 1980 s25 Permanent N/A Permanent No

TI3.1.1 Note 1

Created in triplicate. A copy is given to the landowner, a copy is kept on working file and a copy is transferred to ESRO when no longer needed onsite. Electronic copies are kept.

TI3.1.2 Public Path Licence Agreements Business need Permanent N/A Permanent No

TI3.1.2 Note 1

Created in triplicate. A copy is given to the landowner, a copy is kept on working file and a copy is transferred to ESRO when no longer needed onsite. Electronic copies are kept.

TI3.1.3 Public Path Creation Orders Highways Act 1980 s26 Permanent N/A Permanent No

TI3.1.3 Note 1

Legal Orders are created in triplicate by ESCC. A copy is kept on the working file, a copy is sent to the Archive Service shortly after creation and a file is kept by the creating department that contains one copy of all Sealed Orders. They are created in triplicate for business continuity. Original Orders have to be provided to the Secretary of State in duplicate upon request and so ESCC has chosen to produce an extra copy so that one is available to ESCC at all times. A copy is sent to the Archive Service shortly after creation to prevent inadvertent loss (e.g. through fire or flood). Electronic copies are kept.

TI3.1.4 Public Path Diversion Orders Highways Act 1980 s119 As TI3.1.3 No

TI3.1.5 Public Path Extinguishment Orders

Highways Act 1980 s118 As TI3.1.3 No

TI3.1.6 Definitive Map Modification Orders (DMMO)

Countryside and Wildlife Act 1981 Countryside and Rights of Way Act 2000

As TI3.1.3 No

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Class Code


TI3.1.7 Reclassification Orders Countryside and Wildlife Act 1981 Countryside and Rights of Way Act 2000

As TI3.1.3 No

TI3.1.8 Legal Event Orders Wildlife and Countryside Act 1981 As TI3.1.3 No

TI3.2 Legal Orders and Agreements Supporting Records

TI3.2.1 Supporting records on Legal Orders and Agreements

As per TI3.1 above and Limitation Act 1980


P

TI3.3 Strategies, Policies and Plans

TI3.3.1 Rights of Way Improvement Plan

Countryside & Rights of Way Act 2000 s60. Retention - The East Sussex Record Office Statement of Collecting Policy (these documents provide easily accessible information (i.e. in summary format) of the organisations priorities, achievements, services provided and information provided to staff and the public)


TI3.3.2 Rights of Way Annual Report Creation - Countryside Commission (since renamed the Countryside Agency and now part of Natural England) - no legal requirement to produce since 2000. Retention - The East Sussex Record Office Statement of Collecting Policy (these documents provide easily accessible information (i.e. in summary format) of the organisations priorities, achievements, services provided and information provided to staff and the public)


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Class Code


TI3.3.3 Rights of Ways Policies, Plans and guidance

Retention - The East Sussex Record Office Statement of Collecting Policy (record needed to justify decisions made and actions taken)


TI3.4 Strategies, Policies and Plans Supporting Records

TI3.4.1 Monitoring the Rights of Way Improvement Plan

Countryside & Rights of Way Act 2000

N/A Life of RoWIP Departmental review; Destruction

No

TI3.4.2 Scrutiny reports relating to Rights of Way

Business need 1 year Date of report Destruction No

TI3.5 Maps, Registers and Summaries

TI3.5.1 Definitive Map and Statements Countryside and Wildlife Act 1981 Countryside and Rights of Way Act 2000


TI3.5.2 Draft Definitive Maps National Parks & Access to the Countryside Act 1949


TI3.5.3 Rights of Way Map National Parks & Access to the Countryside Act 1949/Wildlife & Countryside Act 1981


TI3.5.4 Working copy Rights of Way maps

Business need 7 years Date of map Departmental review; Destruction

No

TI3.6 Surveys and Assessments

TI3.6.1 Rights of Way Network Surveys Highways Act 1980 Permanent N/A Permanent No

TI3.6.2 Surveys carried out to draw up the original definitive map

National Parks & Access to the Countryside Act 1949


TI3.6.3 Rights of Way Network Survey photographs


TI3.7 Parish Files

TI3.7.1 Parish files Highways Act 1980. Indefinite retention is for business need and

Keep indefinitely Yes

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not because ESRO has requested to keep them permanently.

TI3.7.2 Parish file photographs Business need Keep indefinitely No

TI3.8 Network Changes

TI3.8.1 Public rights of way diversions Highways Act 1980 s.119 Permanent N/A Permanent P

TI3.8.2 Claims to add public rights of way to the Definitive Map

Wildlife & Countryside Act 1981 s.53 7 years Closure Departmental review; Destruction

P

TI3.8.3 Temporary path closures Traffic Regulation Act 1984 7 years Closure Departmental review; Destruction

No

TI3.8.4 Advice on planning applications affecting Rights of Way

Business need 7 years Date of response Destruction P

TI3.9 Customer / Landowner Contact

TI3.9.1 Customer/Landowner contact regarding the Rights of Way Network in East Sussex


P

TI3.10 Access

TI3.10.1 Local Access Forum Minutes, Agendas and papers circulated at the meeting

Countryside & Rights of Way Act 2000


P

TI3.10.2 Register of Declarations made under section 31 (6) of the Highways Act 1980

Section 31A of the Highways Act 1980, inserted by paragraph 4 of Schedule 6 to the Countryside and Rights of Way Act 2000, requires authorities to set up a register of declarations lodged and maps and statements deposited under section 31(6) of the 1980 Act.

Permanent N/A Permanent P

TI3.10.3 Public Rights of Way Section 31(6) deposits


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TI3.10.4 Licensed and Permissive Bridleways in East Sussex


TI3.10.5 Licensed and Permissive Footpaths in East Sussex


TI3.10.6 Public Rights of Way Searches Claims investigations 7 years Date of search Destruction No

TI3.10.7 Commons Searches Claims investigations 7 years Date of search Destruction No

TI3.10.8 Land registry searches Claims investigations 7 years Date of search Destruction No

TI3.10.9 Network promotion Business need 7 years After promotion ceased


TI3.10.10 Rights of Way Access team meetings

Business need 7 years Date of meeting Destruction P

TI3.11 Rights of Way Maintenance

TI3.11.1 Rights of Way maintenance work on bridges and paths

Business need 20 years Closure Departmental review; Destruction

No

TI3.11.2 Rights of Way maintenance photographs of bridges and paths

Business need 20 years Date of photograph Departmental review; Permanent

No

TI3.11.3 Public Rights of Way (PROW) clearance maps

Business need Destroy once no longer needed for business use

No

TI3.11.4 Master list of Rights of Way paths

Business need 25 years Date last updated Departmental review; Permanent

No

TI3.11.5 Master list of Rights of Way bridges

Business need 25 years Date last updated Departmental review; Permanent

No

TI3.11.6 "Public Paths - Schedule of Bridges"


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Class Code


TI4 Highway s

TI4.1 Highway Land Information

In progress

TI4.2 Highway Maintenance

In progress

TI4.3 Agreements and Licences

In progress

TI4.4 Changes to the Highway

TI4.4.1 Highway changes: advice and queries


TI5 Countryside Maintenance

TI5.1 Countryside Promotion

TI5.1.1 Countryside publications and promotional literature

Business need Keep current version and destroy when no longer needed. Transfer one copy of each to East Sussex Record Office for archival appraisal.


TI5.1.2 Supporting records relating to regular publications and events


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TI5.2 Meetings, User Groups and Forums

TI5.2.1 Countryside Maintenance Operational and team meeting minutes and papers

Business need 15 years Date of meeting Departmental review; Permanent

No

TI5.2.2 Cuckoo Trail Working Party minutes and papers


No

TI5.2.3 Cuckoo Trail User Group minutes and papers


No

TI5.3 Capital Programme

TI5.3.1 Capital Programme: individual bridge projects, work done

Business need 25 years Closure Departmental review; Archive appraisal

No

TI5.3.2 Capital Programme: individual surfacing projects, work done

Business need 25 years Closure Departmental review; Archive appraisal

No

TI5.3.3 Capital Programme: list of bridge works to be undertaken each year

Business need 25 years Date of the last work undertaken


No

TI5.3.4 Capital Programme: list of surfacing works to be undertaken each year

Business need 25 years Date of the last work undertaken


No

TI5.3.5 Capital Programme: bid information

Business need 10 years Departmental review; Destruction

No

TI5.4 Countryside Sites

TI5.4.1 Countryside Sites management, other than Seven Sisters Country Park


No

TI5.4.2 Countryside site maps Business need 25 years Map closure Departmental review; Destruction

No

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TI5.4.3 Seven Sisters Country Park management


No

TI5.4.4 Seven Sisters Country Park: events and filming agreements

Business need 3 years Date of agreement Destruction Yes

TI5.4.5 Seven Sisters Country Park bookings

Business need 3 years End of financial year Destruction Yes

TI5.4.6 Seven Sisters Country Park: Visitor Centre


No

TI5.4.7 Ditchling Common Country Park - fishing permit records

Business need 5 years Date of permit Destruction Yes

TI5.4.8 Countryside work diaries Business need 5 years End of financial year Destruction Yes

TI5.4.9 Tasks programme for volunteers Business need 5 years Date of publication Destruction No

TI5.5 Rights of Way and Countryside Maintenance Operation s

TI5.5.1 Job sheets Health and Safety regulations relating to risk assessments - see Health and Safety retention and disposal schedule: HS2.1 (Risk Assessments)

6 years Date of job Destruction No

TI5.5.2 Rights of Way Asset Management System (RAM) job packs


Date of job pack Departmental review; Destruction

No

TI5.5.3 Tools and Plant maintenance Limitation Act 1980 (Section 2); Health and Safety regulations - see Health and Safety retention and disposal schedule: HS2.5 (Inspections of Equipment)

6 years Date of inspection Destruction No

TI5.5.4 Depot workshop maintenance Limitation Act 1980 (Section 2) 7 years After the building is closed


No

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Class Code


TI6 Transport

TI6.1 Public Transport

TI6.1.1 Concessionary fares user information

Business need (information needed whilst the user is active but not for long afterwards).

1 year Cessation of service Destruction Yes

TI6.1.2 Transport operators registrations (copy)

Length of service Destruction

TI6.1.3 Transport surveys Length of contract Destruction

TI6.1.4 Asset Management Keep current. Destroy previous record when new record created.

Destruction

TI6.1.5 Notifications of road closures Period of closure Destruction

TI6.1.6 Bus timetables Deliberately blank - Team Manager to advise

No

TI6.1.7 Statistical returns 6 years End of financial year Destruction

TI6.1.8 Bus fares Keep current. Destroy previous record when new record created.

Destruction

TI6.1.9 Concessionary fares scheme details

6 years End of financial year Destruction

TI6.2 Client Transport (internal)

TI6.2.1 Deliberately blank

TI6.2.2 Client information 7 years After they cease transport

Destruction Yes

TI6.2.3 Staff discounted travel


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Class Code


TI6.2.4 Ticket payment scheme data 6 years End of financial year Destruction Yes

TI6.3 Real Time Passenger Information

In progress

TI6.4 Infrastructure Design

TI6.4.1 Transport Design Projects Based on experience, this team is asked for records / statistics under FOI legislation dating back 5 years. Safety audits and records documenting design decisions are needed for a longer period because they can be used as evidence in accident claims / investigations / corporate manslaughter cases. The department took the decision that the risk was reduced if there had been no accidents within that 25 year period.

25 years Closure of project Destruction

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WM Waste Management

WM1 Waste Sites (landfill)

WM2 Waste Sites (other than landfill)

WM3 Waste Procurement and Contract Management

WM4 Waste Disposal Authority

WM5 Waste Awareness


WM1 Waste Sites (landfill)

WM1.1 Maps and plans of landfill sites

Business need. Plans are needed in the event of an incident, e.g. landslip or site excavation.


WM1.1 Note All ESCC landfill sites have been closed. Maps and plans showing boundaries, borehole locations etc. WM1.2 Landfill communications and

meetings Business need. Landfill records are needed in the event of an incident, e.g. landslip or site excavation.


WM1.2 Note Correspondence and meeting minutes. May contain crucial information about the site and what has been agreed in terms of looking after the site.

WM1.3 Landfill site information and development

Business need. Landfill records are needed in the event of an incident, e.g. landslip or site excavation.

Permanent (Record Centre not ESRO)

N/A Permanent No

WM1.3 Note Records of how former landfill sites are being remediated - important so we know in the future what has been done to the site. Information on monitored natural attenuation (MNA) - natural remediation of the landfill site, Pebsham Leachate Tankers, renewable energy, capping, replacing infrastructure. Includes planning permission, gas management plan, 'Environmental Permits'. Often contain the surveys conducted to check the feasibility of infrastructure on the site. There often come in use for other purposes.

WM1.4 Landfill monitoring Business need. Landfill records are Permanent N/A Permanent No

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needed in the event of an incident, e.g. landslip or site excavation.

(Record Centre not ESRO)

WM1.4 Note Raw data from biochemical and geographic monitoring of the site. Kept in order to track long-term trends and help predict when the landfill site will reach a 'steady state'.

WM1.5 Landfill maintenance and servicing



N/A Permanent No

WM1.5 Note Service records, service schedules.

WM1.6 Leachate disposal Business need. Landfill records are needed in the event of an incident, e.g. landslip or site excavation.


N/A Permanent No

WM1.6 Note Leachate management can be required for decades after a landfill site has closed. Includes MTS contract, SW disposal records, MTS tanker records.

WM1.7 Landfill consultants Business need. Landfill records are needed in the event of an incident, e.g. landslip or site excavation.


N/A Permanent No

WM1.7 Note E.g. ERM, ENVIROS. Can include professional advice from consultants about the contents and management of the site. WM1.8 Landfill finance Business need. Landfill records are

needed in the event of an incident, e.g. landslip or site excavation.


N/A Permanent No

WM1.8 Note Includes invoices. These invoices might be the only record that a piece of equipment has been installed, as the maintenance and servicing records are not 100% complete.

WM1.9 Landfill contract management



N/A Permanent No

WM1.9 Note These records might be the only record that a piece of equipment has been installed, as the maintenance and servicing records are not 100% complete.

WM1.10 Pebsham handover Business need. Landfill records are needed in the event of an incident, e.g. landslip or site excavation.


N/A Permanent No

WM1.10 Note

Pebsham landfill site was the last active site in East Sussex. The last section of the site closed in November 2013. It is undergoing restoration as part of proposals to incorporate the site into the Combe Valley Countryside Park. Includes records relating to meetings and projects.

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WM2 Waste Sites (other than landfill)

WM2.1 Maps and plans of waste sites (other than landfill)

Business need. Plans needed in the event of an incident, e.g. landslip or site excavation.


WM2.1Note Maps and plans showing location, boundary and survey information regarding all ESCC waste facility sites, pre 2003. WM3 Waste Procurement and Contract Management

WM3.1 IWMSC procurement Business need 12 years Expiry of terms of

contract have expired (expire 2033)


No

WM3.1 Note Including contract, tender and negotiations. WM3.2 IWMSC contract

management Business need 12 years Expiry of terms of



No

WM3.2 Note Including records of meetings with contractor, performance deduction notices, correspondence, reports and other contractual documents. WM3.3 IWMSC audit Business need 12 years Expiry of terms of



No

WM3.3 Note Reports from internal and external auditors, audit commission meetings.

WM3.4 IWMSC communications Business need 12 years Expiry of terms of contract have expired (expire 2033)


No

WM3.4 Note Including press releases, briefing notes, Freedom Of Information requests, complaints, enquiries. A large number of IWMSC communications are dealt with through the contact centre, which pass on difficult ones to the Waste Team. Some of these are then passed on to Veolia.

WM3.5 IWMSC and Brighton & Hove City Council

Business need 12 years Expiry of terms of contract have expired (expire 2033)


No

WM3.5 Note Records for meetings, correspondence etc. with Brighton & Hove City Council relating to the IWMSC and Cityclean.

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WM3.6 Governance documents Business need 12 years Expiry of terms of contract have expired (expire 2033)


No

WM3.6 Note Including ESCC committee meeting papers on the waste contract for cabinet, lead members, B&HCC/ESCC joint meetings (e.g. Waste Project Board, Waste Finance Group), committee/cabinet meetings, meetings with Defra, also covers the Joint Working Agreement, which sets out how ESCC and BHCC will work together and share the cost of the contract.

WM3.7 Project management Business need 12 years Expiry of terms of contract have expired (expire 2033)


No

WM3.7 Note Special, one off projects to do with new developments within the framework of the contract e.g. service improvement, IT system, new facilities.

WM3.8 Waste technologies Business need 12 years Expiry of terms of contract have expired (expire 2033)


No

WM3.8 Note Incineration reports, facts & figures, anaerobic digestion

WM3.9 Waste data for IWMSC Business need 12 years Expiry of terms of contract have expired (expire 2033)


No

WM3.9 Note Contract data, including efficiency of processing, waste contract tonnage data.

WM3.10 Monitoring Business need 12 years Expiry of terms of contract have expired (expire 2033)


No

WM3.10 Note

Monitoring of facility performance, health & safety, compliance with permits, customer care.

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WM3.11 Commercial and trade waste Business need 12 years Expiry of terms of contract have expired (expire 2033)


No

WM3.11 Note

Records of non-contract waste that is processed through IWMSC facilities. ESCC & BHCC gain a royalty payment for this type of waste.

WM3.12 Holding agreement Business need 12 years Expiry of terms of contract have expired (expire 2033)


No

WM3.12 Note

Relating to negotiations between 2008 and 2015 that resulted in the Holding Agreement, covering changes to how Veolia will work with the Councils e.g. the royalty on non-contract waste. These changes are now being converted into a Deed of Variation to formally change the contract.

WM3.13 Site/facility information Business need 12 years Expiry of terms of contract have expired (expire 2033)


No

WM3.13 Note

Includes leases, maintenance inspections, environmental permits, planning consents.

WM3.14 Proposed ESCC waste facilities

Business need 12 years Expiry of terms of contract have expired (expire 2033)


No

WM3.14 Note

New facilities were constructed as part of the contract: Newhaven Energy Recovery Facility, Whitesmith Composting Facility, Transfer Stations, the Materials Recovery Facility and various Household Waste Recycling Sites. Includes records of facility design, development and construction.

WM3.15 IWMSC finance Business need 12 years Expiry of terms of contract have expired (expire 2033)


No

WM3.15 Note

Records relating to the Unitary Charge payment to Veolia from ESCC & BHCC i.e. the monthly payment for the service we receive from Veolia. Can also include other financial records such as income from electricity at the energy recovery plant.

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WM3.16 IWMSC funding: Defra PFI credits


Expiry of grant Departmental review; Destruction

No

WM3.16 Note

The Veolia contract is financed by PFI credits. Including correspondence.

WM3.17 Recycling income Business need 12 years Expiry of terms of contract have expired (expire 2033)


No

WM3.17 Note

Recycling income is the audit trail of how much money Veolia get from selling recycling collected in the contract, who they sell it to, and how it is shared between Veolia, ESCC and BHCC. In some respects it is a subset of the documents evidencing the unitary charge, but it has been assigned its own category because of the wider interest in recycling.

WM3.18 IWMSC Risk management Business need 12 years Expiry of terms of contract have expired (expire 2033)


No

WM3.18 Note

Risk registers for the IWMSC and records of meetings, reviews and reports associated with risk. The risk register is known as the 'Deliverability Document' for the purpose of the IWMSC.

WM4 Waste Disposal Authority

WM4.1 Joint Municipal Waste Management Strategy and associated records

Business need 5 years End of strategy Departmental review; Archive appraisal

No

WM4.1 Note A joint strategy to help decide and plan how to manage our waste from 2006-2020. The strategy was updated in 2014 to cover up to 2025. In partnership with the East Sussex District and Borough Councils. Also includes consultation records and other related records about the development of the strategy e.g. cabinet papers.

WM4.2 Background documents for Waste and Minerals Plan for East Sussex, South Downs and Brighton and Hove

Business need. The current Waste & Minerals Plan runs until 2026 and these documents should be kept until after this to assist with formulating the new plan.

1 year End of the current plan

Destruction No

WM4.2 Note Working documents, evidence base and data from the Waste team used to help the Planning team produce the Waste & Minerals Plan. The approved plan is held by Planning. The plan covers local authority collected waste as well as waste from commercial and industrial premises and from construction, demolition and excavation works. Formally adopted February 2013.

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WM4.3 Joint waste authority Business need 5 years

Closure Departmental review; Archive appraisal

No

WM4.3 Note Background papers relating to proposal and review into creating a single joint waste authority in East Sussex. Investigations are ongoing.

WM4.4 Government National & European policy


WM4.4 Note Information on how changes to legislation have been implemented in East Sussex. Also includes ESCC consultation responses and impact assessment reports.

WM4.5 Charity permits

Business need 6 years Date or permit Destruction

WM4.5 Note A permit scheme for charities to dispose of waste. This service is now managed by Veolia, but ESCC still have documents from previous years. Includes applications, records of who had a permit and correspondence with them.

WM4.6 Landfill Allowance Trading Scheme (LATS)

Business need 6 years Date scheme abolished

Destruction

WM4.6 Note A landfill permit scheme which limited the amount of waste each Waste Disposal Authority (WDA) could dispose of to landfill each year. The scheme was abolished at the end of 2012/2013. Includes LATS permits, and records of whether ESCC needed to purchase additional permits to comply with the scheme.

WM4.7 Meetings and projects relating to waste disposal, including South East 7 (SE7)

Business need 2 years After the terms of the Veolia contract have expired (expire 2033)


No

WM4.7 Note Meetings with District and Borough Councils, other Local Authorities, the South East 7 group, and Defra. Including NAWDO (National Association of Waste Disposal Officers), WRSG (Waste Resource Strategy Group), WORG (Waste Operations & Recycling Group), WRAP (Government's Waste and Resources Action Programme), Waste Team planning meetings. Also includes the Joint Waste Committee (JWC) which consists of members from ESCC and the District and Borough Councils. It is administered by Rother DC. Records include minutes, agendas, papers, projects and benchmarks relating to waste disposal. The South East 7 (SE7) is a partnership of upper tier Local Authorities in the South East that are committed to working together in a set of key work areas. SE7 members are ESCC, Brighton and Hove City Council, Hampshire County Council, Kent County Council, Medway Council, Surrey County Council, and West Sussex County Council.

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WM4.8 Recycling: recycling credit and Waste Recycling Cost Sharing Agreement (WRCSA)

Business need. Recycling credit is a separate agreement to the IWMSC, but the two are linked because the level of recycling payment is linked to how much it costs to dispose of waste in the IWMSC.

12 years After the terms of the Veolia contract have expired (expire 2033)


No

WM4.8 Note Information about how much is paid in recycling credits. Including retained recycling credit, deliverable recycling credit, reuse recycling credit. Records of Recycling Credit payment to District & Borough Councils (Waste Collection Authorities), the supporting evidence trail and the WRCSA agreement. Also old documents for third party credit - although this does not exist anymore.

WM4.9 Waste crime Limitation Act 1980 6 years Closure Departmental review; Destruction

Yes

WM4.9 Note Enforcement and investigation into crimes e.g. fly tipping, builders disposing of waste. Can end in prosecution, which are often passed on to District & Borough Councils. Includes correspondence, requests made to the DVLA to obtain the address and name of a person suspected of waste crime via their number plate.

WM4.10 Abandoned vehicle contract Business need 5 years. End of contract Departmental review; Destruction

No

WM4.10 Note

The current contract is with H R Ripley & Co and ends March 2016. Information on usage of the contract and developing the successor to the contract.

WM4.11 Coastal Pollution Plan Limitation Act 1980, Sections 2, 14A, 14B; Business need. To cover any potential litigation arising from a coastal pollution event. This is longer than the basic limitation period but the Legal Services team have agreed 12 years is prudent as the time to bring a claim would run from when the loss/damage could have reasonably been discovered so the longer period would cover latent damage.

12 years Date of plan Departmental review; Destruction

No

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WM4.11 Note

Coastal Pollution Plan and the accompanying Waste Disposal Plan.

WM4.12 Coastal pollution events Limitation Act 1980, Sections 2, 14A, 14B; Business need. To cover any potential litigation arising from a coastal pollution event. This is longer than the basic limitation period but the Legal Services team have agreed 12 years is prudent as the time to bring a claim would run from when the loss/damage could have reasonably been discovered so the longer period would cover latent damage.

12 years End of clean up Departmental review; Destruction

No

WM4.12 Note

Records about Tier 2 coastal pollution events and clean up operations, invoices and contracts for services.

WM4.13 Waste facilities pre-IWMSC Business need 12 years After the terms of the Veolia contract have expired (expire 2033)


No

WM4.13 Note

Leases, surrenders and maintenance records for sites prior to the Veolia contract.

WM4.14 Waste data Business need, the majority of the data originates from the Veolia contract.

12 years After the terms of the Veolia contract have expired (expire 2033)


No

WM4.14 Note

Data, forecasts, waste data flow and statistical returns. Part of roll as Local Authority - returns have to be sent to Government. Including AP05 monthly spreadsheet.

WM4.15 Joint collection contract Business need 12 years After the contract expires


No

WM4.15 Note

Hastings and Eastbourne Borough, and Wealden and Rother District Councils set up a Joint Waste Partnership in 2013 with the Kier Group (10 year contract). ESCC are not part of the contract, but it impacts us so we have documents relating to it. Including correspondence, data, financial modelling.

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WM4.16 Household Waste Recycling Sites (HWRS) service review

Business need 12 years After the terms of the Veolia contract have expired (expire 2033)


No

WM4.16 Note

Review relating to saving money. Some overlap with Veolia contract.

WM5 Waste Awareness

WM5.1 Waste awareness educational and promotional materials

Business need Keep current version


WM5.1 Note Including leaflets. Relating to educational events / programmes / campaigns to encourage people to reduce waste.

Records Retention and Disposal Schedule for East Sussex ...€¦ · • support EDRM (Electronic...

Documents

Transcript of Records Retention and Disposal Schedule for East Sussex ...€¦ · • support EDRM (Electronic...