Creating a retention schedule 10 July 2014 local.gov.uk/lginformplus

Why are records created? To record a business transaction To enable payments To manage a project To record service offered to a client To fulfil statutory obligations To enable the decision making process local.gov.uk/lginformplus

Records are created as part of the business process. To create a retention schedule you must first understand the business processes in the organisation. local.gov.uk/lginformplus

Understanding the business process Familiarise yourself with the organisational structure using structure charts Familiarise yourself with what the organisation does using business plans local.gov.uk/lginformplus

Using the service lists Use the service lists to give you an idea about what you might expect your authority to do. local.gov.uk/lginformplus

There are some things which are generic to all authorities Corporate Assets 1662 Corporate Records Management 1305 Finance Financial Planning 969 Corporate Communications 1640 Corporate Policies and Procedures 1664 Corporate Project Management 1628 Facilities – Accessible buildings 952 Corporate Health and Safety 1624 local.gov.uk/lginformplus

There are some things which are specific to different authorities County Council Adoption 160 Petroleum Storage Licence 810 Library Facilities 437 School Attendance and Truancy 35 Unitary Authorities District Councils London Boroughs Swimming pools 1674 Residential Planning Applications 485 Housing allocation system 89 Council Tax Exemptions 60 local.gov.uk/lginformplus

Use the Powers and Duties List Using the powers and duties list can give you an idea about the statutory framework for the authority local.gov.uk/lginformplus

Information Audits An information audit is the best way to find out what record series the authority is creating At the end of the information audit you will usually have a list of record series. local.gov.uk/lginformplus

Information Audits Information audits can be done using a questionnaire or Using face to face interviews local.gov.uk/lginformplus

Information Audits Make sure that you understand what you need to get from the information audit before you start You will get a better questionnaire if you know what you need to ask local.gov.uk/lginformplus

Outcomes At the end of the process you will have a list of record series which either have been allocated retention periods or need retention periods allocating to them local.gov.uk/lginformplus

Country Parks Team – Information Audit Country Parks: Risk Assessments relating to the work undertaken in Country Parks Country Parks: Qualifications: Levels 1 and 2 Forest School Qualifications; ABC Awards Country Parks: The process of acquisition and disposal of vehicles through lease or purchase – e.g. contracts/leases, quotes. Approvals etc Country Parks: The process of managing allocation & maintenance of vehicles – e.g. lists of who was driving the vehicles and when, maintenance etc Country Parks: Service logs and vehicle logs Country Parks: GPS tracking data relating to the vehicles Country Parks: Accident Reporting Country Parks: Financial records Country Parks: Financial records created as part of the Interreg projects using European Funding Country Parks: Stock Control reports created by Country Parks staff using the Electronic Point of Sale system (EPOS) Country Parks: Records relating to the cashiering process including bank statements, receipts, remittance advice Country Parks: Financial records relating to the management of the shops and car park income including till rolls, cash register and Streamline audit rolls and bank paying in books/slips Country Parks: Records relating to the Safe Food, Better Business programme Country Parks: Records relating to the testing of equipment such as fire extinguishers and PAT testing Country Parks: Records relating to food hygiene training Country Parks: Records relating to first aid training Country Parks: All documents relating to the induction, hire and use of the Tramper Scooter at Shorne Country Park Country Parks: CCTV Footage local.gov.uk/lginformplus

Collect information about local practice Remember that the practitioners are generally the expert in their field Make sure that you have taken a note of local practice to check against LG Inform Plus local.gov.uk/lginformplus

Country Parks Team – Information Audit Country Parks: Risk Assessments relating to the work undertaken in Country Parks Country Parks: Qualifications: Levels 1 and 2 Forest School Qualifications; ABC Awards Country Parks: The process of acquisition and disposal of vehicles through lease or purchase – e.g. contracts/leases, quotes. Approvals etc Country Parks: The process of managing allocation & maintenance of vehicles – e.g. lists of who was driving the vehicles and when, maintenance etc Country Parks: Service logs and vehicle logs Country Parks: GPS tracking data relating to the vehicles Country Parks: Accident Reporting Country Parks: Financial records Country Parks: Financial records created as part of the Interreg projects using European Funding Country Parks: Stock Control reports created by Country Parks staff using the Electronic Point of Sale system (EPOS) Country Parks: Records relating to the cashiering process including bank statements, receipts, remittance advice Country Parks: Financial records relating to the management of the shops and car park income including till rolls, cash register and Streamline audit rolls and bank paying in books/slips Country Parks: Records relating to the Safe Food, Better Business programme Country Parks: Records relating to the testing of equipment such as fire extinguishers and PAT testing Country Parks: Records relating to food hygiene training Country Parks: Records relating to first aid training Country Parks: All documents relating to the induction, hire and use of the Tramper Scooter at Shorne Country Park Country Parks: CCTV Footage local.gov.uk/lginformplus

Using Inform Plus Inform Plus is the starting point. It is intended to be used as a reference tool to inform the data collected during the information audit. local.gov.uk/lginformplus

Country Parks Team – Information Audit Country Parks: Risk Assessments relating to the work undertaken in Country Parks Country Parks: Qualifications: Levels 1 and 2 Forest School Qualifications; ABC Awards Country Parks: The process of acquisition and disposal of vehicles through lease or purchase – e.g. contracts/leases, quotes. Approvals etc Country Parks: The process of managing allocation & maintenance of vehicles – e.g. lists of who was driving the vehicles and when, maintenance etc Country Parks: Service logs and vehicle logs Country Parks: GPS tracking data relating to the vehicles Country Parks: Accident Reporting Country Parks: Financial records Country Parks: Financial records created as part of the Interreg projects using European Funding Country Parks: Stock Control reports created by Country Parks staff using the Electronic Point of Sale system (EPOS) Country Parks: Records relating to the cashiering process including bank statements, receipts, remittance advice Country Parks: Financial records relating to the management of the shops and car park income including till rolls, cash register and Streamline audit rolls and bank paying in books/slips Country Parks: Records relating to the Safe Food, Better Business programme Country Parks: Records relating to the testing of equipment such as fire extinguishers and PAT testing Country Parks: Records relating to food hygiene training Country Parks: Records relating to first aid training Country Parks: All documents relating to the induction, hire and use of the Tramper Scooter at Shorne Country Park Country Parks: CCTV Footage local.gov.uk/lginformplus

Consulting with the originators Consult with the originators of the records especially if you are introducing a retention schedule The creators are the experts in their field and they may know of examples which will inform the allocation of retention periods local.gov.uk/lginformplus

Example: Human Resources Personnel Records Minimum retention period = termination of employment + 6 years The record might hold pensionable information The record might hold information about a child protection allegation The individual might have been subject to disciplinary action The individual might have been made redundant local.gov.uk/lginformplus

Using LG Inform Plus If the originators are unsure about what the retention period should be, LG Inform Plus will give you a position to start negotiations from. N.B. The creator will usually want to keep the records longer than is necessary and you need to come to an agreed outcome. local.gov.uk/lginformplus

Consult with your legal department There may be special reasons why records need to be kept for a longer period of time in your authority. N.B. Remember that your legal team are the experts and if they approve longer or shorter retention periods for your authority that is their prerogative. local.gov.uk/lginformplus

Using LG Inform Plus Usually the legal department will want to understand the legal background to the retention periods you are suggesting. LG Inform Plus provides the information that the legal department will need to do their searches. local.gov.uk/lginformplus

If you don’t have resource to do information audits A basic retention schedule can be created using the service list and the retention information attached to it. local.gov.uk/lginformplus

Identify the service from the service list Search the retention database using the service number or description Put the information into a basic retention schedule local.gov.uk/lginformplus

FunctionRecords Description Reference Number Retention Period Action EducationHome Schooling All records relating to the management of pupils schooled at home ED1Date of birth of the pupil + 25 years SECURE DISPOSAL local.gov.uk/lginformplus

Risk Management This method should only be used when there is no other option. REMEMBER: Just having a retention schedule is not enough. It needs to be fit for purpose, up to date and implemented. local.gov.uk/lginformplus