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on Document Retention and Records Management
www.southlakeland.gov.uk
August 2011
Corporate Policy
To detail the Council’s commitment to records management, advisingon the policy and procedures to be adopted regarding documentretention and disposals.
Contents
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1. Introduction 2
2. Scope & Purpose 2
3. The Retention/Disposal Protocol 3
4. Roles and Responsibilities 3
5. Disposal 4
6. Data Protection Legislation – obligation to
dispose of certain data 4
7. Standard Operating Procedure (SOP) 4
8. Format of Records 5
9. Reviewing the Schedule 5
Appendix 1
Key Disposal/Retention Considerations
Appendix 2
Records Management Society Retention
Schedules
Appendix 3
Record and Document Disposal Register
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1. Introduction
1.1 South Lakeland District Council
recognises that its records are an important
public asset, and are a key resource to effective
operation and to accountability. Like any asset,
they require careful management and this policy
sets out the Council’s responsibilities and
activities in regard to the management/retention
of its records.
1.2 In the course of carrying out its various
functions and activities, the Council collects
information from individuals and external
organisations and generates a wide range of
data/information which is recorded. These
records can take many different forms e.g.
• Letters received from third parties
• Copy letters which have been sent out
• File attendance notes
• Invoices
• Completed application forms
• Plans/drawings
• Financial records
• Registers
• Contracts/deeds
• E-mail communications (and any
attachments)
• Photographs
• Tape Recordings
1.3 Many of the above can be retained as
‘hard’ paper copies or in electronic form.
1.4 Retention of specific documents may be
necessary to:
• Fulfil statutory or other regulatory
requirements.
• Evidence events/agreements in the case of
dispute.
• Meet operational needs.
• Ensure the preservation of documents of
historic or other value.
1.5 The untimely destruction of documents
could cause the Council:
• Difficulty in defending litigious claims.
• Operational Problems.
• Embarrassment.
• Failure to comply with the freedom of
Information or Data Protection Acts.
1.6 Conversely, the permanent retention of all
documents is undesirable, and appropriate
disposal is to be encouraged for the following
reasons:
• There is a shortage of new storage space.
• Disposal of existing documents can free up
space for more productive activities.
• Indefinite retention of personal data may be
unlawful.
• Reduction of fire risk (in the case of paper
records).
• There is evidence that the de-cluttering of
office accommodation can be
psychologically beneficial for many workers.
1.7 The effective management of records in
all formats depends as much on their efficient
disposal as well as their long-term preservation.
Records disposal policies are essential for
effective records management. As a local
authority we must be consistent in the way we
handle and dispose of our information. These
guidelines will assist the Council in meeting local
needs whilst providing a consistent approach to
record keeping across Government.
2. Scope & Purpose
2.1 The purpose of this policy is to provide a
corporate policy framework to govern
management decisions on whether a particular
document (or set of documents) should either be:
• Retained – and if so in what format, and for
what period of time; or
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• Disposed of – and if so when and by what
method.
Additionally, this policy seeks to clarify the roles
and responsibilities of Assistant Directors (or
designated officer) in the decision making
process.
2.2 This policy is not concerned with the
disposal/retention of unused materials (e.g.
stocks of paper, unused forms, duplicated
documents).
3. The Retention/Disposal Protocol
3.1 Any decision whether to retain or dispose
of a document should be taken in accordance
with the retention/disposal protocol. This protocol
consists of:
• The key disposal/retention considerations
criteria checklist, set out in Appendix 1.
Essentially no document should be
disposed of unless all these have been
considered in relation to the document.
• The retention Schedules (taken from the
Record Management Society) contained in
Appendix 2. These provide guidance on
recommended and mandatory minimum
retention periods for specific classes of
documents/records.
3.2 Where a retention period has expired in
relation to a particular document a review should
always be carried out before a final decision is
made to dispose of the document. Such reviews
need not necessarily be detailed or time
consuming. Where the Assistant Director (or
designated officer) is familiar with the contents of
the document or where the contents are
straightforward and easily apparent then such
exercises may only take a few minutes.
3.3 In the event that a decision is taken to
dispose of a particular document or set of
documents, then consideration should be given
to the method of disposal (paragraph 5 below).
4. Roles & Responsibilities
Assistant Directors (or designated
officers)
4.1 Assistant Directors may delegate the
operational aspects of this function to one or
more senior officers within the Department.
However in doing so they should ensure that
such Officer is fully conversant with the Policy
and is also familiar with the operational
requirements of the Department in relation to
document retention/disposal.
4.2 Responsibility for determining (in
accordance with the Retention/Disposal protocol
mentioned above) whether to retain or dispose of
specific documents rests with the individual
Assistant Director (or designated officer), in
respect of those documents that properly fall
within the remit or control of his/her Department.
The rationale for this is that it is reasonable to
both assume and expect that each Assistant
Director (or designated officer) should be broadly
conversant with the types of documents received,
generated and stored by his/her Department.
Because of the clear benefits resulting from the
disposal of unnecessary documentation,
Assistant Directors (or designated officers) are
expected to be proactive in carrying out or
instigating audits of existing documentation that
may be suitable for disposal.
Role of the Legal Department and the
Research & Intelligence Unit
4.3 The Legal Department can advise on
whether minimum retention periods are
prescribed by law, and whether retention is
necessary to protect the Council’s position where
the likelihood of a claim has been identified by
the relevant Assistant Director (or designated
officer).
The Legal Department staff cannot be expected
to possess the operational or background
knowledge required to assess whether a
particular document may be required by the
Department concerned for operational need. This
is the responsibility of the relevant Assistant
Director or his/her designated Officers.
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4.4 The Research & Intelligence Unit are
available to provide Assistant Directors (or
designated officers) with advice on effective
records management practices.
5. Disposal
5.1 A Record and Document Disposal
Register (Appendix 3) of destroyed records will
be maintained. Enough detail will be recorded to
identify which records have been destroyed. It is
not sufficient to indicate that a quantity of records
have been destroyed on a certain date. Enough
details should be retained to identify which
records have been destroyed.
5.2 Disposal can be achieved by a range of
processes:
• Confidential waste.
• Physical destruction on site (paper records
– shredding).
• Deletion – where computer files are
concerned.
• Migration of documents to an external body.
5.3 Assistant Directors (or designated
officers) should take into account the following
considerations when selecting any method of
disposal:
• Under no circumstances should paper
documents containing personal data or
confidential information be simply binned or
deposited in refuse tips. To do so could
result in the unauthorised disclosure of
such information to third parties, and render
the Council liable to prosecution or other
enforcement action under the Data
Protection Act. Such documents should be
destroyed on site (e.g. by shredding) or
placed in the specially marked “Confidential
Waste” refuse bins.
• Deletion – the Information Commissioner
has advised that if steps are taken to make
data virtually impossible to retrieve, then
this will be regarded as equivalent to
deletion.
• Migration of documents to a third party
(other than for destruction of recycling) is
unlikely to be an option in most cases.
However, this method of disposal will be
relevant where documents or records are of
historic interest and/or have intrinsic value.
The third party here could well be the Public
Records Office (PRO). “Migration” can, of
course, include the sale of documents to a
third party.
• Recycling – wherever practicable disposal
should further recycling, in-line with the
Council’s commitment to sustainable
development and promoting an alternative
waste disposal strategy.
6. Data Protection Act 1998
6.1 Assistant Directors (or designated
officers) need to be aware that under the Data
Protection Act personal data processed for any
purpose must not be kept for any longer than is
necessary for that purpose. In other words,
retaining documents or records that contain
personal data beyond the length of time
necessary for the purpose for which that data
was obtained is unlawful.
The Data Protection Legislation contains no
interpretive provisions on this provision. It is a
matter for reasonable judgement and common
sense as to how long personal data should be
retained.
Clearly, in many instances the retention of
personal data will be necessary and thus justified
for a very long period of time. In general,
provided there is adherence to this policy few
problems should arise.
Assistant Directors (or designated officers) and
their staff need to be conscious of the fact that in
some contexts it can be relatively easy to fall foul
of the Data Protection Act regarding the retention
of personal data.
7. Standard Operating Practice (Sop)
7.1 There are some records that do not need
to be kept at all; Standard Operating Procedure
defines types of records which staff may routinely
destroy in the normal course of business.
However, the retention and disposal schedule
Corporate Policy on Document Retention and Document Management
must still contain reference and instructions
referring to them.
7.2 SOP usually applies to information that is
duplicated, unimportant or only short-term
facilitative value. Unimportant records or
information include:
• Compliment slips
• Catalogues and trade journals
• Telephone message slips
• Non-acceptance of invitations
• Requests for stock information such as
maps, plans or advertising material
• Out-of-date distribution lists
• Duplicate copies (see para: 7.3)
7.3 Duplicated and superseded material such
as stationary, manuals, drafts, forms, address
books and reference copies of annual reports
may be destroyed as being unimportant.
7.4 Electronic copies of documents where a
hard copy has been printed and filed are included
as unimportant.
7.5 This does not apply to records or
information that could be used as evidence (para
4.3 refers). If you are in doubt about what
information might be required then consult the
Legal Department.
8. Format of Records
8.1 Record retention policies were primarily
created to define retention periods for paper
records. However, as more of the Council’s
business is performed electronically there is a
need to define the retention periods of electronic
records. These record retention guidelines are
relevant to records which are electronic, paper or
records which have been transferred to another
format such as microfiche.
9. Reviewing The Schedule
9.1 These guidelines prescribe minimum and
permanent retention periods. The guidance will
be reviewed at regular intervals (at least every
three years). The Local Government
Classification Scheme is the source of the data
used in the retention/disposal policy.
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1. Democratic Process
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2. Management and Administration
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3. Housing
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4. Legal
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5. Human Resources
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6. Financial Management
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7. Property and Land Management
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8. General Public Services
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9. Planning and Land Use
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10. Infrastructure and Transport
Appendix 1
Key Disposal/RetentionConsiderations
Introduction
No document should be earmarked for disposal
unless due regard has first been given to (i) the
five Key Disposal/Retention considerations
detailed in this Appendix, and (ii) to the Retention
Schedules contained in Appendix 2.
Key Consideration 1
Has the document been appraised?
1. As a first step, the nature/contents of any
document being considered for disposal should
be ascertained. No document(s) should be
earmarked or designated for disposal unless this
has been done. Insofar as existing documents
are concerned it follows that the above can only
be achieved by the carrying out of physical
inspection and appraisal. The process may only
take a few minutes – perhaps even seconds.
Nonetheless it can be a skilled task – depending
on the complexity of the document(s) concerned
– and should only be undertaken by officers who
possess the sufficient operational knowledge to
enable them to identify the document concerned
and its function within both the individual
Department and corporate frameworks. Any
decision to the effect that future documents of a
specified description be disposed of on expiry of
a specified retention period should be an
informed one i.e. taken with a full appreciation
and understanding of the nature and function of
such documents.
2. The above is largely commonsense, and
hardly needs to be stated. However, if appraisal
is inadvertently overlooked or carried out
negligently, or by an employee who lacks the
necessary background operational knowledge,
the Council runs the very real risk of important
documents being destroyed in error.
Key Consideration 2
Is retention required to fulfil statutory or
other regulatory requirements?
There is, in fact, very little specific legislation that
stipulates mandatory retention periods for
documents in Local Government.
The pieces of legislation which do, either directly
or indirectly, impose minimum retention periods
are as follows:
Tax Legislation: Minimum retention period for
certain financial records are imposed by statutes
such as the VAT Act 1994, and the Taxes
Management Act 1970. These retention periods
are identified in the retention schedules.
Statutory Register: Various Local Government
statutes require to be kept of certain events,
notifications, or transactions. It is implicit with
such legislative requirement that these records
be maintained on a permanent basis, unless the
legislation concerned stipulates otherwise.
The Audit Commission Act 1998: This provides
auditors with a right of access to every document
relating to the Council that appears necessary for
the purpose of carrying out the auditor’s function
under the Act.
The Local Government Act 1972, S225: Any
document deposited with “the proper officer” of
the Council in accordance with Statute should be
retained permanently. (This is analogous to the
position re Registers, above).
Part VA of the Local Government Act: This
governs public access to certain documents
relating to Council and Committee meetings.
Certain documents that form part of the public
part of the agenda are required to be available
for inspection by members of the public.
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Key Consideration 3
Is retention required to evidence events
in the case of dispute?
On occasions, the Council becomes involved in
disputes with third parties. Such disputes, if not
satisfactorily resolved, can result in the
dissatisfied party bringing legal proceedings
against the Council, usually (but not always) with
a view to obtaining monetary compensation.
Conversely, the Council may wish to institute
legal proceedings against an individual or
organisation e.g. to recover an unpaid debt, or in
respect of faulty workmanship. Where a dispute
arises, or litigation has been commenced it is
important that the Council has access to all
correspondence and other documentation that is
relevant to the matter. Without such, there is the
danger that the Council’s position will be
compromised, and the very real possibility that
an unmeritorious claim might succeed, or that the
Council may be unable to assert legal
entitlements.
The Limitations Act 1980 specifies time limits for
commencing litigation. The starting point
therefore, is that the retention period is the length
of time that has to elapse before a claim is
barred. The main time limits that are directly
relevant to local government are as follows:
• Claims founded on simple contract or tort
(other than personal injury claims) cannot
be brought after the expiration of 6 years
from the date on which the cause of action
occurred.
• Compensation claims for personal injury
are barred on expiry of 3 years from the
date on which
(i) the cause of action occurred (this will
usually be the date when the incident
causing the injury occurred; or
(ii) the date when the injured person first
had knowledge of the injury, its cause and
the identity of the person responsible (some
injuries are latent and do not manifest
themselves for some period of time).
• Claims that are based on provisions
contained in documents that are ‘under
seal’ are barred after the expiration of 12
years from the date on which the cause of
the action occurred.
Limitations Act 1980 S.14A and S.14B: “Latent
damage claims”: S.14A provides a special time
limit for negligence actions (excluding personal
injuries) where facts relevant to the cause of
action were not known to the claimant at the date
of the negligence.
The six-year retention period and risk
assessment: As stated above the majority of
potential legal claims are statute barred on the
expiry of 6 years. For this reason many
organisations consider it prudent to retain
files/records for a period of 6 years from the date
when the subject matter was completed.
It is important, though, to keep in mind that in the
course of the Council’s everyday business large
masses of document action are generated that
serve no purpose after relatively short periods of
time. Many documents will relate to complete
matters where, realistically, the risk of
subsequent litigation or other dispute is minimal,
if not non-existent. Long-term retention of such
documents is counter productive. Assistant
Directors (or designated officers) should be
prepared to carry out a risk analysis, with a view
to disposal of such documents within a shorter
period of than the 6 year time frame.
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Key Consideration 4
Is retention required to meet the
operational needs of the department?
In some cases retention may be desirable
(whether permanent or otherwise) even though
no minimum retention period applies. Assistant
Directors (or designated officers) should be open
to the danger of discarding documents or records
that might be useful for future reference purposes
(e.g. training), as precedence, or for performance
management (performance indicators,
benchmarking and comparison exercises). A
professional judgement needs to be made as to
the usefulness of a particular document.
Key Documents
The Audit Commission recognises that key
records may merit permanent preservation,
notwithstanding nothing is prescribed. These are
covered in the Retention Schedules.
Key Consideration 5
Is retention required because the
document or record is of historical
interest or intrinsic value?
In most cases this consideration will not be
applicable. However, it is certainly possible that
some documents currently in Council storage
may be of historic interest and/or even have
some monetary value.
Illustration
A Local Authority may have in its possession
records of damage to property caused by air
raids during WWII. These records may well be of
interest to museums, local history societies, and
the County Records office.
Where it is suspected that the document falls
within this description, appropriate enquires
should always be made before taking any further
action. The Research & Intelligence Unit should
be contacted for advice and guidance in the first
instance.
Even if the document is of historical or monetary
value, disposal rather than retention by the
Council, may well be the appropriate option – but
in the form of transfer to, say, the County
Records office; or even sale to an external body
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Appendix 2
Document Retention Schedules
Introduction
The following schedules provideguidance on the retention periodsapplicable to a wide range of Councildocuments.
Documents/records relating to Personnel matters
warrant careful attention insofar as retention
periods are concerned. There is the need, when
considering appropriate retention periods, to be
aware of the fact that the Council may need
recourse to certain documents/records in the
event of a claim being made against it under
employment protection or anti-discrimination
legislation. Many employment documents or
records will contain “personal data” and
“sensitive personal data” as defined by the Data
Protection Act 1984. The fifth data protection
principle (personal data processed for long
purpose or purposes shall not be kept for longer
than is necessary for that purpose or those
purposes) is therefore relevant. Thus, in some
instances, the Council will be under a legal duty
to destroy employment records, the Information
Commissioner has stated, however, that in
considering an employer’s compliance with the
principle he/she will have regard to the need for
the employer or from Inland Revenue as well as
for its own use. The Information Commissioner
has published a draft code of practice (“ICE of P”)
on the use of personal data in
employer/employee relationships that provides
guidance on retention periods for certain
categories of employment records. Where
applicable, these are referred to in the schedule.
Documents in the custody or care of the Legal
Department warrant special consideration, as
they may have legal significance. In addition to
the document retention considerations set out in
the main body of the policy it should be noted that
the Head of the Legal Department, as Solicitor to
the Council, is governed by guidelines issued by
the Law Society of England and Wales under the
guise of its Professional Conduct Rules. The Law
Society at the outset stresses that it is unable to
specify particular periods of years for which
individual old files should be retained. Solicitors
should exercise their own judgement in this
respect, having regard to such factors as the
subject matter of the contents and their own
circumstances, including availability of storage
space and the costs thereof. Subject to that, The
Law Society considers it may well be advisable to
retain all files for a minimum period of 6 years
from when the subject matter was wholly
completed. At the end of the 6 year period,
solicitors should review the files again according
to the nature of the particular transactions to
which they refer, and the likelihood of any claims
arising there from within the appropriate limitation
period. After taking these matters into account
and before deciding that certain old files can be
destroyed, solicitors should consider whether
there are any documents that ought to
nevertheless be preserved for their archival or
historic value. If there is any possibility of this it is
suggested that contact should be made with the
County Archivist in order to arrange for an
inspection.
The Law Society guidelines are, of course, in line
with the key Disposal/Retention considerations
set out in this Policy. This schedule seeks among
other things to identify documents/files that can
be safely disposed of before expiry of the six year
‘rule of thumb’.
Retention/disposal decisions in respect of
‘residual documentation/records’ (i.e. those which
are not specifically covered by the preceding
schedules) should be considered against the
guidelines in this Schedule. Indeed, it is likely that
the majority of documentation will fall within this
‘residual’ category. It cannot be over emphasised
that in determining the retention period
appropriate for documents regard must be had to
the Key Disposal/Retention Considerations set
out in Appendix 1. Assistant Directors (or
designated officers) should be prepared, where
necessary, to carry out a risk analysis i.e. assess
(i) the value (or possible value) of a particular
document/class of document; (ii) the likelihood
that recourse may be needed to it in the future
(Key Disposal/Retention Consideration No. 4 is
relevant here); and (iii) the consequences to the
Council/Department if that document is not
available because it has been destroyed. Clearly,
there will be the temptation to adopt a policy of
retaining every single document or Record for at
least 6 years. Undoubtedly, this will be the safest
option; but it is also unduly cautious and
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generally to be discouraged. As the Audit
Commission has remarked, in the everyday
course of public sector business large masses of
documentation are generated which serve no
purpose after short periods of time.
Where paper records are concerned Assistant
Directors (or designated officers) should also
endeavour to avoid duplicity of record keeping,
wherever it is practicable to do so. It may
sometimes be the case that two or more
Departments have the same documents/records
in their possession. Provided that one
Department has a full set in safe storage there
may well be the case that there is no need for the
other Department(s) to retain a set. Inter-
Department communication and cooperation in
the context of document retention is to be
encouraged.
The Disposal/RetentionGuidelines – Content
1. Democratic Process
Elections
1.1 Preparations
1.2 Voting
1.3 Results
Council and Committee Meetings
1.4 Process of preparing business for Council
consideration
1.5 Minute taking
Partnership, Agency and External
Meetings
1.6 Process of preparing business for agency
consideration
1.7 Process of preparing business for External
Committees consideration
Honours and Submissions
1.8 Process of preparing of honours submission
Political Parties Papers
1.9 Process of undertaking representation ofthe local authority
2. Management andAdministration
Corporate Planning and Administration
2.1 Corporate planning and reporting activitiesof Local Authorities
2.2 Process of preparing business for strategicconsideration
2.3 Process of preparing business for crossdepartmental consideration
2.4 Process of preparing business for BusinessUnit consideration
Statutory Returns
2.5 Process of preparing information to bepassed on to Central Government as part ofstatutory requirements
Policy, Procedures, Strategy and
Structure
2.6 Activities that develop policies, proceduresstrategies and structures
2.7 Process of monitoring and reviewingstrategic plans
Public Consultation
2.8 Process of consulting the public and staff inthe development of significant policies
2.9 Process of consulting the public and staff inthe development of minor policies
Information Management
2.10 Activity whereby standards, authorities,restraints and verifications are introduced andmaintained to manage information properly
2.11 Management of collection of recordstransferred to the archives
2.12 Process that records the disposal of
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records
Enquiries and Complaints
2.13 Management in summary form of enquiries
and complaints directed to Council
2.14 Management of enquiries, submissions
and complaints which result in significant
changes to policy and procedures
2.15 Management of detailed responses on
Council actions, policy or procedures
2.16 Management of routine responses on
Council actions, policy or procedures
Quality and Performance Management
2.17 Process of monitoring or reviewing the
quality, efficiency or performance of a Local
Authority service or unit
2.18 Process of assessing quality, efficiency or
performance of a Local Authority service or unit
Public Relations
2.19 Process of designing setting information
for publication
2.20 Published work of the Local Authority
Media relations
2.21 Process of interaction with the media
2.22 Media publications concerning Local
Authorities
Marketing
2.23 Process of developing and promotion of
Local Authorities campaigns and events
Civic and Royal Events
2.24 Recording of ceremonial events and civic
occasions
2.25 Process of organising a ceremonial event
or civic occasion
3. Housing
Housing Provisions
3.1 Registration of individuals housing
applications
3.2 Process for applying for council housing
(unsuccessful applications)
3.3 Process for managing the tenancy of an
individual tenant
3.4 Information on type of housing stock
required
4. Legal
Litigation
4.1 Process of managing, undertaking or
defending for or against litigation
Advice
4.2 Process of providing legal advice on a point
of law
Agreements
4.3 Process of agreeing terms between
organisations
Conveyance
4.4 Process of changing ownership of land or
property
Contracts and Tendering Pre Contract
Advice
4.5 Process of calling for expressions of interest
Specification and Contract Development
4.6 Process involved in the development and
specification of a contract
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Tender Issuing and Return
4.7 Process involved in the issuing and return
of a tender
Evaluation of Tender
4.8 Summary tender evaluation criteria
4.9 Successful tender documents
4.10 Unsuccessful tender documents
Post Tender Negotiation
4.11 Process in negotiation of a contract after a
preferred tender is selected
Awarding of Contract
4.12 Process of awarding of contract
Contract Management
4.13 Contract operation and monitoring
4.14 Management and amendment of contract
Tenancy Agreement
4.15 Process of awarding tenancies in welfare
housing
5. Human Resources
Personnel Administration
5.1 Summary management systems that allow
the monitoring and management of employees
in summary form
5.2 Process of administering employees to
ensure that entitlements and obligations are in
accordance with agreed employment
requirements
5.3 All other records
Employee and Industrial Relations
5.4 Identification and development of significant
directions concerning industrial matters
5.5 Liaison processes of minor and routine
industrial matters
5.6 Processing of investigations where proved;
Disciplinary, Grievance, Dignity at work issues
5.7 Process of investigations where unfounded;
Disciplinary, Grievance, Dignity at work issues
Equal Employment Opportunities
5.8 Process of investigation and reporting on
specific cases to ensure that entitlements and
obligations are in accordance with agreed
policies
Occupational Health
5.9 Process of checking and ensuring the
health of staff
Recruitment
5.10 Selection of an individual for an
established position
Staff Monitoring
5.11 Performance
5.12 Process of monitoring staff leave and
attendance
Staff Retention
5.13 Financial reward
5.14 Other Strategy
Termination
5.15 Process of termination of staff
Training and Development
5.16 Routine staff training processes
5.17 Training (occupational health and safety
training)
5.18 Training – proof of completion
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Appointment of Statutory Officer
5.19 Summary management systems that allow
the monitoring and management of statutory
officers in summary form
5.20 Process of administering employees to
ensure that entitlements and obligations are in
accordance with agreed employment
requirements
5.21 Process of selection of an individual for a
statutory position
6. Financial Management
Accounts and Audit
6.1 Process that consolidates financial
transactions on an annual basis for corporate
reporting purposes
6.2 Process that supports and consolidates
financial transactions on a periodic basis
Financial Transaction Management
6.3 Management of the approvals process for
purchase, inc. investigations
6.4 Identification of the receipt, expenditure and
write offs of public moneys
6.5 Process involving the provision and support
for individuals using public transportation
6.6 Processes that balance and reconcile
financial accounts
6.7 Taxation Records
6.8 Processes involved in collection of National
Insurance Numbers
Payroll
6.9(1) Accountable processes relating to
payment of employees
6.9(2) Non-accountable processes relating to
payment of employees
Financial Provisions
6.10 Process of finalising Local Authorities’
annual budget
6.11 Process of developing Local Authorities’
annual budget
6.12 Process of reporting which examines the
budget in relation to actual revenue and
expenditure
6.13 Activity of borrowing money to enable local
authority to perform its functions and exercise
its powers
6.14 Summary management of loans
Housing
6.16 Mortgages
6.17 Right to Buy
6.18 Rent Payments
6.19 Home Improvement Grants
6.20 Records of sites/buildings which may be
developed for affordable housing
6.21 Homeless application records
6.22 Banding of domestic properties for the
purpose of calculating tax bas and levying
Council Tax
Non Domestic Rating List
6.23 Valuation of non domestic hereditaments
for purpose of levying non domestic rates
Council Tax and Non Domestic Rates
6.24 Activity of corresponding with Council Tax
payers
Benefits
6.25 Administration assessment and payment
of housing benefits and Council Tax
Summary Assets Management
6.26 Summary management reporting on
overall assets of Local Authorities
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Asset Monitoring and Maintenance
6.27 Management systems that allow
monitoring and management of assets in
summary form
6.28 Process of reporting and reviewing asset
status
6.29 Process of maintaining assets
6.30 Process of maintaining plant and
equipment
Asset Acquisition and Disposal
6.31 Management of the acquisition and
disposal process for assets
7. Property and LandManagement
Property and Land Management
7.1 Reports to management on overall property
of the Local Authority
Property Acquisition and Disposal
7.2 Management of the acquisition process for
real property
7.3 Management of the disposal process for
real property
Property Development and Renovation
7.4 Management of buildings and estates of
“special interest”
7.5 Management of all other buildings and
estates
7.6 Action process involved in development and
renovation of property
Leasing and Occupancy
7.7 Process of managing leased properties
7.8 Process of managing the occupancy of
property
Housing Provisions
7.9 Process of managing local authority welfare
housing estates
Systems Management
7.10 Internal process to develop or extend
capabilities of a system used to support
activities of Local Authority
7.11 Process to implement a system used to
support activities of Local Authority
7.12 Process to support and administer a
system used to support activities of Local
Authority
Transport Management
7.13 Process of acquisition and disposal of
vehicles through lease or purchase
7.14 Process of managing allocation and
maintenance of vehicles
7.15 Process of recording vehicle usage
7.16 Process of recording driver usage
Insurance
7.17 Summary management of insurance
arrangements
7.18 Process of insuring Local authority
officers, property, vehicles and equipment
7.19 Process of renewing insurance policies
Claims Management
7.20 Process that records insurance claims
against the Local Authority or officers
8. General Public Services
Inspections and Assessments
8.1(1) Process of inspecting equipment to
ensure it is safe
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8.1(2) Documentation regarding inspections
made on establishments concerning food
hygiene standards
8.2 Processing the geo-technical assessments
of a quarry
8.3 Process of carrying out monitoring to
ensure it is safe
8.4 Process of monitoring of areas in regards to
contact with asbestos
8.5 Process of monitoring of areas in regards to
contact with radiation
8.6 Process to ensure safe systems of work
8.7 Process to assess the level of risk
8.8 Processes that permit work
8.9 Process that records injuries to adults
Enforcement, Certification and
Prosecution
8.10 Summary management systems for
monitoring and management of registration,
certification and licence registration
requirements
8.11 Administration of applications,
registrations, certification and licences
8.12 Process involved in licensing sites for the
holding of toxic or hazardous substances
Notification
8.13 Process of issuing notices to citizens with
respect to particular responsibilities
Investigation, Inspection and Monitoring
8.14 Process of investigation, monitoring or
inspection laws in the responsibility of the Local
Authority
Prosecution
8.15 Process of prosecution or sanction of an
individual or organisation
By-Laws
8.16 Process of making local laws
8.17 Process of administering and enforcing by-
laws
Cemeteries and Crematoria
8.18 Summary management systems that
record location and occupancy of deceased
individuals
8.19 Process of regulation of burials and
cremations
Waste Management
8.20 Process of arranging collection or
transportation of household waste
8.21 Process of arranging or transportation of
controlled waste
9. Planning and Land Use
Planning Scheme Development and
Amendment
9.1 Activity of developing a vision and strategic
directions regarding existing and future land
use
9.2 Activity of consultation to gain approval for
the Structure Plan and Local Plans
9.3 Activity of recording information on historical
buildings, monuments and ecology at a specific
site
9.4 Activity of establishing planning scheme
controls and providing for them to be amended
9.5 Process of receiving, considering and
responding to submissions and objections to
planning schemes and amendments
9.6 Process of controlling development of areas
through application for planning permission
9.7 Process of maintaining countryside and
developing open spaces
9.8 Tree Preservation Orders
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Planning Scheme Regulation
9.9 Summary management of planning scheme
regulation
9.10 Process of regulating planned use of land
or buildings
9.11 Process of approving building applications
in relation to listed or other significant buildings
9.12 Process of approving building applications
for all other buildings
9.13 Process of inspecting building work for
purpose of insuring compliance
9.14 Process of enforcing building or land
regulations
Planning and Development
9.15 Activity of recording location of highways,
bridle paths and rights of way
9.16 Activity of establishing planning scheme
controls and providing for them to be amended
and modified
9.17 Process of receiving, considering and
responding to submissions and objections to
planning schemes and amendments
9.18 Process of enforcing infrastructure and
transport regulations
10. Infrasructure and Transport
Traffic Management
10.1 Activity of planning and programming
continued flow, diversion or reduction of traffic
Design and Construction
10.2 Activity of planning, designing,
programming and constructing roads, streets,
bridges and tunnels
Infrastructure Management and
Maintenance
10.3 Activity of providing municipal services in
relation to infrastructure within the Local
Authority
Road Maintenance
10.4 Activity of maintaining and repairing roads,
streets, bridges, bridle paths, rights of way and
tunnels
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