Record Retention and Disposal Policy
Record Retention & Disposal Policy.
In the course of carrying out its various functions, Distington Club for Young people (DCYP) creates and holds a wide range of recorded information. Records need to be properly retained to enable DCYP to meet its business needs, legal requirements, to provide evidence of events or agreements in the event of allegations or disputes and to ensure that any records of historic value are preserved.
The untimely destruction of records could affect:
• the conduct of DCYP business;
• the ability of DCYP to defend or instigate legal actions;
• DCYP’s ability to comply with statutory obligations;
Conversely, the permanent retention of records is undesirable and disposal is necessary to free up storage space, reduce administrative burden and to ensure that DCYP does not unlawfully retain records for longer than necessary (particularly those containing personal data).
This policy supports DCYP in demonstrating public accountability through the proper retention of records and by demonstrating that disposal decisions are taken with proper authority and in accordance with due process.
The purpose of this policy is to set out the length of time that DCYP records should be retained and the processes for disposing of records at the end of the retention period.
The policy covers the records listed irrespective of the media on which they are created or held including:
electronic files (including database, Word documents, PowerPoint presentations,
spreadsheets, webpages and e-mails);
photographs, scanned images, CD-ROMs and video tapes.
minutes of meetings;
submissions from external parties;
contracts and invoices;
Should any person become aware of any records missing from the Schedule, please notify the Club Secretary so that they may be added at the next opportunity.
The policy applies equally to full time, part time employees and volunteers and to associated persons who work for DCYP such as agency staff, contractors and others employed under a contract of service.
Committee is responsible for ensuring that this policy is applied within their Directorates.
The Chairman has lead responsibility for records management within DCYP.
E. MINIMUM RETENTION PERIOD
Unless a record has been marked for ‘permanent preservation’ it should only be retained for a limited period of time. Records that are marked for ‘permanent preservation’ should be held by DCYP for a total of F/T before being destroyed.
A recommended minimum retention period is provided for each category of record in the Schedules attached. The retention period applies to all records within that category. The recommended minimum retention period derives from either:
• business need as determined by the Committee Team;
• legislation; or
• guidance from outside legal bodies.
F.1 WHAT IS DISPOSITION?
The committee is responsible for ensuring that the Schedules are periodically reviewed (at least annually) to determine whether any retention periods applying to records held have expired. Once the retention period has expired, the record must be reviewed and agreed upon.
A ‘disposition action’ is either:
a) the destruction of the record;
b) the retention of the record for a further period within DCYP; or
c) the transfer of the record to Legal bodies.
Each of these options is described further below.
F.2 MAKING AND RECORDING THE DISPOSITION DECISION
A review of the record should take place as soon as possible after the expiry of the retention period or, if that is not feasible, the record should be retained and a later review date set. It need not be a detailed or time consuming exercise but there must be a considered appraisal of the contents of the record. The review should be conducted by ………………………….
• Designated committee members
The disposition decision must be reached having regard to:
on-going business and accountability needs (including audit);
current applicable legislation;
whether the record has any long-term historical or research value;
best practice in the applicable professional field (for example human resources);
costs associated with continued storage versus costs of destruction;
the legal, and reputational risks associated with keeping, destroying or
losing control over the record.
(Decisions must not be made with the intent of denying access or destroying evidence.)
The agreed disposal decision must be recorded on a Record Disposal Form. The form will
be available from the main office and will require the following information:
Description of the record;
The medium on which it is held eg CD;
The date of the creation of the record and the date of review;
The disposal decision and the method of disposal;
A summary of the reasons for the decision;
The titles of the reviewers and others consulted;
The signature of the person authorising disposal.
Completed forms must be passed to the Secretary for safekeeping.
No destruction of a record should take place without assurance that:
• the record is no longer required by any part of the business;
• no work is outstanding by any part of the record;
• no litigation or investigation is current or pending which affects the record;
there are no current or pending access requests which affect the record.
G.1 Destruction of Paper Records
Destruction should be carried out in a way that preserves the confidentiality of the record. Non-confidential records i.e. records that are clearly in the ‘public domain’ can be placed in ordinary rubbish bins or recycling bins. Confidential records should be placed shredded and placed in paper rubbish sacks for collection by an approved disposal firm. All copies including security copies, preservation copies and backup copies should be destroyed at the same time in the same manner.
G.2 DESTRUCTION OF ELECTRONIC RECORDS
All electronic records will need to be either physically destroyed (and a record of destruction certified) or wiped to the current Government standard. Deletion of the files is not sufficient.
H. FURTHER RETENTION WITHIN DCYP
The record may be retained for a further period if it has on-going business value or if there is specific legislation which requires it to be held for a further period. Please check with the appropriate Legal Services Directorate if there is any doubt as to how long a record should be retained under law.
A record should not ordinarily be retained for more than 30 years in aggregate from the date of creation.
This policy was made on 2/10/ 2016
DCYP Committee is responsible for the regular review and updating of this policy.
Table of Contents
1 Life of organisation
1.2 Register of Active Trustees and committee members – updated regularly F/T
1.3 AGM meeting’s 3 years
1.6 Annual plan 3 years
1.7 Annual reports and accounts 5 years
1.9 Quarterly reports 1 year
1.11 DCYP Risk registers F/T
1.14 Other meeting minutes 1 year
1.15 DCYP Presentations 1 year
1.16 Ad hoc reports 1 year
1.17 Correspondence 1 year
1.18 Consultations and responses 2 years
1.20 Contact information + active documents F/T
1.21 Memorandums of Understanding with other public bodies F/T
1.22 3 year Plan 3 years
1.23 Legal advice received from external solicitors /counsel 6 years
1.24 Litigation papers 6 years
1.25 External correspondence 2 years
1.26 Core Constitution F/T
1.27 External meeting notes and minutes 1 years
2.1 DCYP terms of reference F/T
2.5 General formal correspondence 3 Years
2.6 Asset register including after asset is disposed of 2 years
2.7 Land Register F/T
2.8 Audit investigations/monitoring reports (external) 6 years
3. Human Resources
3.1 Policies and procedures related to the recruitment and employment of staff/vol F/T
3.2 Pay documents 6 years
3.3 Performance management F/T
4. Financial Records
4.1 Estimates records including revised and supplementary 2 years
4.2 Calculations and costings for annual budgets 2 years
4.3 Expenditure scrutinises 2 years
4.4 Records relating to dealings with Funders 5 years
4.5 Financial statements prepared for AGM 1 year
4.6 Financial statements prepared for Committee 3 Month
4.7 Funding authorities grants 5 years (after grant is Spent)
4.8 Audit investigations (external) 2 years
4.9 Financial records relating to Capital works projects 5 years (after action/project is completed)
5. General Records
5.1Records relating to matters of:
6. Bank Account Details – Cheques and Associated Records
6.1 Cheque book/butts for all accounts 4 years
6.2 Cancelled cheques 1 year
6.4 Paid/presented cheques 1 year
6.6 Stoppage of cheque payment notices 1 year
6.8 Cheque registers 1 year
6.9 Bank deposit books / slips / butts 1 year
6.11 Register of cheques received 1 year
6.12 Bank statements (if yearend received) 1 year
6.13 Petty Cash paid and receipts 1 year
7 Salaries and Related Records
7.1 Employee pay histories 6 years
8 Other Accountable Financial Records
8.1 Equipment registers/records F/T
9 Contract Records
9.1 Test and statutory certificates 1 years (destroy after expiry or superseded)
9.2 Fire certificates 1 years (destroy after expiry or superseded)
9.3 Statutory authorities’ correspondence F/T
9.4 Any other records relating to buildings not otherwise referred F/T
10 Complaint Records
10.1 Case enquiries and correspondence 2 years
10.2 Register of complaints 2 years
11. Employee Records
11.1 Particulars of employment, including contract of employment F/T
11.2 Current Address details F/T
11.3 Previous employment supporting papers F/T
11.4 Qualifications F/T
11.5 Annual/assessment reports F/T
11.6 Training history F/T
11.7 Travel and subsistence – claims and authorisation F/T
11.9 Bank details F/T
F/T = Full term.