Introduction
In the course of carrying out its various functions, Power2 creates and holds a wide range of recorded information. Records need to be properly retained to enable Power2 to meet its business needs, legal requirements, to evidence 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 Power2’s business
- the ability of Power2 to defend or instigate legal actions
- Power2’s ability to comply with statutory obligations
- Power2’s reputation
Conversely, the permanent retention of records is undesirable and disposal is necessary to free up storage space, reduce administrative burden and to ensure that Power2 does not unlawfully retain records for longer than necessary (particularly those containing personal data).
This policy supports Power2 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.
Aims and objectives
The aim of this policy is to set out the length of time that Power2’s records should be retained and the processes for disposing of records at the end of the retention period.
Scope
The policy covers the records listed in the schedules to the policy set out at Appendix A (‘the schedules’) irrespective of the media on which they are created or held including:
- paper
- electronic files (including database, Word documents, PowerPoint presentations, spreadsheets, scanned documents, webpages and e-mails)
- photographs, scanned images, CD-ROMs and video tapes
The schedule aims to include all types of records which Power2 creates or holds.
They include:
- minutes of meetings
- participants data
- contracts and invoices
- legal advice
- file notes
- financial accounts
- employee information
- Power2’s publications
Should you become aware of any records missing from the schedule, please notify the Executive Manager so that they may be added at the next opportunity.
The policy applies equally to full time and part time employees on a substantive or fixed term contract and to associate persons who work for Power2 such as others employed under a contract of service.
Directors are responsible for ensuring that this policy is applied within their directorates. Executive Manager has lead responsibility for records management within Power2.
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 only be held by Power2 for a total of 30 years before being transferred to an archives service.
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, unless a specific contract states a different retention period. The recommended minimum retention period derives from either:
- business need as determined by the Senior Management Team
- legislation
- contracts
Disposition
What is disposition?
Directors are responsible for ensuring that the schedules are periodically reviewed (at least annually) to determine whether any retention periods applying to records within their directorates have expired. Once the retention period has expired, the record must be reviewed and a ‘disposition action’ agreed upon.
A ‘disposition action’ is either:
- the destruction of the record
- the retention of the record for a further period within Power2
- the transfer of the record to an archives service.
Each of these options is described further below.
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 the relevant Director (or their delegate) in consultation with relevant stakeholders for example:
- Other senior managers.
- Executive Manager.
- Director of Finance.
- Relevant external bodies.
- Legal adviser.
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, political 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.
Destruction
IMPORTANT!
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 business
- no litigation or investigation is current or pending which affects the record
- there are no current or pending FOIA or DPA access requests which affect the record
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 shredded. All copies including security copies, preservation copies and backup copies should be destroyed at the same time in the same manner.
Destruction of electronic records
All electronic records will need to be either physically destroyed or wiped to the current government standard applying to the type of record concerned. Deletion of the files is not sufficient. For all record types. Destruction will be approved by the Director of Finance or Executive Manager.
Further retention within Power2
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.
Transfer to an archives service
The record may be transferred to an archives service, or another appropriate place of deposit, if it is decided that the record has no further administrative value but should be permanently preserved for historical or research purposes.
Review
This policy will be monitored and reviewed every three years by the Senior Management Team, or earlier if the legislation changes.
Related policies
- Data protection policy.
This policy should be read in conjunction with the following Power2 policies:
The following external guidance documents support this policy:
- Limitation Act 1980.
- ICO guidance.
Approval
This policy has been considered and approved by the Senior Management Team.
Julie Randles
Chief Executive
13 March 2023
