A PDF version of this retention schedule, including full version history, is held in the EDRM Retention Schedules folder.
See an explanation of the 6+ Rule and all other standard disposition codes.
Financial provision management
FIN 01.01: Maintaining financial ledgers
Disposition: ACTION+15
Example(s):
- Revenue Financial Ledgers
- Capital Financial Ledgers
Rationale: Business requirement
Location: EDRM, shared drives, finance management systems
FIN 01.02: Closing down financial ledgers
Disposition: 6+
Examples: None given
Rationale: Business requirement
Location: EDRM, shared drives, finance management systems
FIN 01.03: Managing and administering grant funding and claims administration (excluding ERDF and European grants)
Disposition: TERMS+6
Example(s):
- Expenditure records
- Reports to funding body
Rationale: Business requirement
Location: EDRM, shared drives, finance management systems
FIN 01.04: Managing and administering ERDF grant funding and claims administration
Disposition: CASE+6
Example(s):
- Expenditure records
- Reports to funding body
- 2007-2013 programme: destroy on 31 December 2025
- 2014-2020 programme: destroy on 31 December 2033
Rationale: European Union requirement
FIN 01.05: Managing and administering other European grant funding and claims administration
Disposition: TERMS+12
Example(s):
- Expenditure records
- Reports to funding body
Rationale: Business requirement
Location: EDRM, shared drives, finance management systems
FIN 01.06: Managing budgets, income, and expenditure
Disposition: 6+
Example(s):
- Estimates
- Costings
- Income
- Investments
- Loans
- Funding bids
- Reporting
- Reconciliations
Rationale: Local Government Act 2003
Location: EDRM, shared drives, finance management systems
FIN 01.07: Managing and administering re-charges
Disposition: 6+
Examples: none given
Rationale: Business requirement
Location: EDRM, shared drives, finance management systems
FIN 01.08: The process involved in managing debts owed to the authority
Disposition: CASE+6
Example(s):
- Deposits Ledger
- Debtor Accounts
- Income posting slips and tabulations
Rationale: Business requirement
Location: EDRM, shared drives, finance management systems
Financial transaction management
FIN 02.01: Managing the authority's banking transactions (excluding full statements)
Disposition: 6+
Example(s):
- Bank Reconciliations
- Bank paying in books/slips
- Records of cancelled cheques
- Cheque books and counterfoils (always treat as current if uncashed)
Rationale: Business requirement
Card details written down prior to entry into a financial system should be disposed of after input
Location: EDRM, shared drives, finance management systems
FIN 02.02: Activities involved in the payment for or sale of goods and services by the authority. Includes expenses claims and honorariums.
Disposition: 6+
Example(s):
- Credit notes
- Customer Invoices, credits and refunds
- Creditor invoices
- Delivery notes
- Imprest documentation
- BACS listings
- Cheque list
- Periodic payment records (rents)
- Expense Claims
- Invoices
Rationale: Business requirement
For financial records of the acquisition, leasing, ownership or disposal of property, see Property retention schedule
Location: EDRM, shared drives, finance management systems
FIN 02.03: Recording car mileage on leased vehicles
Disposition: 6+
Example(s):
Rationale: Business requirement
Location: EDRM, shared drives, finance management systems
FIN 02.04: Managing the authority's bank statements
Disposition: ACTION+15
Example(s):
Rationale: Business requirement
Location: EDRM, shared drives, finance management systems
Taxation
FIN 03.01: Administering VAT payments and claims
Disposition: 6+
Examples: None given
Rationale: The Value Added Tax Act 1994 (Sch, 11, para 6)
HMRC internal guidance manual.
Location: EDRM, shared drives, finance management systems
FIN 03.02: Managing and administering the council tax
Disposition: 6+
Examples: None given
Rationale: Business requirement
Location: EDRM, shared drives, finance management systems
Accounts and statements
FIN 04.01: The summary management of corporate accounts
Disposition: Permanent. Offer to Derbyshire Record Office when no longer current
Example(s):
Rationale: Business requirement
Location: EDRM, shared drives, finance management systems
FIN 04.02: Accounting and reporting
Disposition: 6+
Example(s):
Location: EDRM, shared drives, finance management systems
Pensions
FIN 05.01: Documents relating to cases of no further liability (NFL)
Disposition: DOB+100, ACTION+15
Examples:
- cessation of linked pension or survivor pension
- transfers out
- compounded pensions (for example trivial communications)
- death grant
- refunds
Rationale: Business requirement: an obligation to respond to enquiries from solicitors, executors, scheme members and central government. Records must meet both criteria before disposal, i.e. the member's birth must be 100 years ago and the NFL date must be 15 years ago.
Location: Pension administration system (Altair)
FIN 05.02: Management of current preserved scheme members
Disposition: Retain while current, then see FIN 5.01
Example:
- Preserved (deferred) scheme member files
Rationale: Business requirement
FIN 05.03: Number not used
Formerly: The process of managing pension increases
FIN 05.04: Pension case management reporting
Disposition: ACTION+15
Example(s):
- Pension increase reports
- Statistical data
- Scheme valuation data
- Annual allowance reports
- Income report
- Year-end reports produced internally
- All other reports
Rationale: Business requirement
Location: Fund files
FIN 05.05: Managing local government pensions through significant local government reorganisation
Disposition: Permanent. Offer to Derbyshire Record Office when no longer current
Examples:
- Agreements - records of pensions recharged to Derby City Council following 1997 reorganisation
Rationale: Business requirement
Location: Fund files and pension administration system (Altair)
FIN 05.06: number not used
Formerly managing pension schemes of other organisations
FIN 05.07: Managing copies of members' Additional Voluntary Contributions (AVC) statements
Disposition: ACTION+25
Examples: Statements from AVC providers
Rationale: Business requirement. AVC benefits are made with pension payments and may be subject to enquiries years after payments have been made.
FIN 05.08: Management of current scheme members
Disposition: Retain while current, then see FIN 05.01
Example:
- Active pension scheme member files
Rationale: Business requirement
Location: Pension administration system (Altair)
FIN 05.09: Management of survivor pension payments
Disposition: Retain while current, then see FIN 05.01
Example:
- Files relating to survivors in receipt of pension payments
Rationale: Business requirement
Location: Pension administration system (Altair)
FIN 05.10: The management of Year-End and contribution returns and monthly submissions supplied by local government bodies
Disposition: Retain while current, then see FIN 05.01
Examples: Year-end returns, monthly contribution returns and monthly data files from fund employers.
Rationale: Business requirement. Enquiries relating to scheme membership may require reference to data submitted and contribution payments made by the relevant employer.
Location: Fund files and pension administration system (Altair).
FIN 05.11: The appraisal of pension fund assets and liabilities
Disposition: Permanent. Offer to Derbyshire Record Office when no longer current.
Example:
- Pension fund annual reports and actuarial reports
Rationale: Business requirement
Location: Fund files
Insuring against risk
FIN 06.03: Evidence of liability insurance status, where there is enduring potential for an injury claim
Disposition: ACTION+100
Example(s):
- All Liability Insurance policies, schedules, certificates (including motor vehicle insurance)
- 'To Whom' letters
- Insurance contracts
- Schedule of insurers and limits
Rationale: Business requirement
Employers Liability (Compulsory Insurance) Act 1969
Employers Liability (Compulsory Insurance Regulations 1998)
Location: EDRM, shared drives, finance management systems
FIN 06.04: Evidence of liability insurance status in relation to property
Disposition: TERMS+6
Example(s):
- Property policies
- Balance of risk policy and summary of cover
Rationale: Business requirement
Location: Pension administration system (UPM)
FIN 06.05: Number not used
FIN 6.06: Number not used
FIN 6.07: Evidence of liability insurance status, where there is low potential for an injury claim
Disposition: TERMS+6
Examples:
- School Balance Of Risk policies / schedules
- Accident policies / schedules
- Travel policies / schedules
Schedule of DCC members insured/traveling
Schedule of officers insured/travelling
Rationale: Business requirement
Location: EDRM, shared drives, finance management systems
FIN 06.08: Number not used
FIN 06.09: Evidence of insurance status in relation to policies with a Claims-Made basis
Disposition: TERMS+6
Examples:
- Policies and schedules for Fidelity Insurance
- Medical Malpractice
- Professional Indemnity
- Officials Indemnity
- Cyber Liability
Rationale: Business requirement, Limitation Act 1980
Location: EDRM, shared drives, finance management systems
Insurance claims administration
FIN 07.01: Routine administration of insurance claims (excluding cases relating to minors)
Disposition: CASE+6 (closure point: settlement/repudiation)
Example(s): Insurance claim files relating to:
- Public Liability Insurance
- Property damage
- Employers liability
- Motor liability
- Motor vehicle own damage
- School balance of risk
- Own property damage
- Travel
- Fidelity guarantee
- Cyber liability
- Medical malpractice
- Professional indemnity
- Officials indemnity
Rationale: Limitation Act 1980
FIN 07.02: Number not used
FIN 07.03: Managing an insurance claims relating to minors
Disposition: DOB+25
Example(s):
- Liability injury insurance claim files
- Personal accident insurance claim files
- School journey insurance claim files
- Medical malpractice insurance claims
Rationale: Limitation Act 1980
FIN 07.04: Managing a subsidence insurance claim
Disposition: ACTION+50
Example(s):
- Subsidence insurance claim files
Rationale: Business Requirement
FIN 07.05: The management of information in relation to a potential future claim by an individual, in relation to industrial disease
Disposition: DOB+100
Example(s):
- Incident reports
- Background information
Rationale: Business Requirement
CIPFA Guidance
FIN 07.06: Managing an industrial disease insurance claim
Disposition: CASE+6 (closure point: settlement/repudiation)
Example(s):
- Employers and public liability insurance claim files relating to industrial diseases
Rationale: Business Requirement, CIPFA Guidance
FIN 07.07: Number not used
FIN 07.08: The maintaining of historical claims data
Disposition: Permanent. Offer to Derbyshire Record Office when system is scheduled for decommission
Example(s):
- Insurance claims database records
- Long Span apportionments tables
- Insurer handled claim records
- Bordereaux
- Reconciliations
- Bank statements from imprest account
Rationale: Business requirement
FIN 07.09: The summary management of claims and triangulation details
Disposition: ACTION+75
Example(s):
- Summaries / triangulation
Rationale: Business requirement
Administering risk management and insurance
FIN 08.01: The registration of insurance underwriting information
Disposition: ACTION+15
Examples:
- Renewal documents
- Tender documents
- Renewal and tender correspondence
- Insurance Premium Register
- Insured buildings and contents inventory
- Motor vehicles inventory
- Records of insurer cover clarification
Rationale: Business requirement
Location: EDRM, shared drives, finance management systems
FIN 08.02: The financial control of retained risks
Disposition: ACTION+50
Example(s):
- Actuarial Fund Review Report
- Supporting information used to produce Actuarial Fund Review Report
- Funding analysis
- Reconciliation, Liab sum
- Accounts
- Ledger Balancing
- Year End
- Recharges
- Budgets
- MMI Scheme of Arrangement
- Bordereaux
Location: EDRM, shared drives, finance management systems
Rationale: Business requirement
FIN 08.03: Number not used
FIN 08.04: Maintaining pension fund insurance registers
Disposition: ACTION+15
Example(s):
- Records of insured pension fund properties
Rationale: Business requirement
FIN 08.05: Agreeing scope of insurance cover for individual cases
Disposition: DOB+25
Example(s):
- Approval Medical Procedures correspondence
- Waiver of rights of recovery correspondence
Rationale: Limitation Act 1980
Location: EDRM, shared drives, finance management systems
FIN 08.06: Agreeing scope of medical malpractice insurance cover for medical procedures
Disposition: DOB+25
Example(s):
- Correspondence
- Endorsements
Rationale: Limitation Act 1980
Location: EDRM, shared drives, finance management systems
FIN 08.07: Agreeing scope of insurance cover for partnerships / seconded employees / directors of boards
Disposition: DOB+25
Example(s):
- Correspondence
- Endorsements
Rationale: Limitation Act 1980
Location: EDRM, shared drives, finance management systems
FIN 08.08: Routine administration of risk management and insurance
Disposition: 6+
Example(s):
- Correspondence re recovery salary paid to employees involved in road traffic accidents (non DCC liability)
- Recoding and charging for Court of Protection properties
- Engineering inspections: additions, deletions, correspondence
- Short term vehicle hire insurance / recharging (Vehicle details, 4th EU returns)
Rationale: Business Requirement
Location: EDRM, shared drives, finance management systems
FIN 08.09: Administration of risk management and insurance on behalf of external bodies
Disposition: ACTION+75
Example(s):
- Tenders
- Renewals
- Policy documents
- Certificates
- Schedules
- Correspondence
Rationale: Business Requirement
Location: EDRM, shared drives, finance management systems
Operational risk management
FIN 09.01: Insurance loss control surveying
Disposition: 6+
Example(s):
- Insurer survey reports
- School’s Annual Security Risk Assessment questionnaire
FIN 09.02: The agreement of dispensation from minimum insurance requirements
Disposition: ACTION+50
Example(s):
- Correspondence confirming dispensation
Rationale: Business Requirement
Location: EDRM, shared drives, finance management systems
Audit: Strategic oversight of service delivery
AUD 01.01: Planning and review of audit activity
Disposition: 6+
Example(s):
- Audit Committee reports/papers; Internal Audit Plan and Annual Report (strategic documents separately retained, see Democratic Services retention schedule)
- Audit strategy documents including Quality Assurance & Improvement Programme (QAIP)
- Service budget monitoring, performance information, client feedback
Rationale: Business need
Location: SharePoint site and M365 applications
Audit: Planning and conducting audit activities
AUD 02.01: Notes of meetings and discussions with Management
Disposition: 6+
Examples:
- Audit planning information including terms of reference
- Audit and grant working papers including supporting evidence
- Reports, letters and correspondence relating to audit and grant work
- Audit recommendation tracking
Rationale: Business need
Location: SharePoint site and M365 applications
Audit: Operational management
AUD 03.01: Operational management of audit activity (General)
Disposition: 6+
Example(s):
- Audit manual, policies, procedures and guidance templates
- Plan progress, working schedules, meetings and training resources
Rationale: Business need
Location: SharePoint site and M365 applications
Audit: Investigations and counter-fraud activities
AUD 04.01: Conducting special investigations
Disposition: 6+
Example(s):
- Investigation referrals, working papers and reports
- Counter fraud working papers and reports
- Records relating to Regulation of Investigatory Powers Act 2000 (RIPA) and whistleblowing referrals
- Fraud returns and training resources
Rationale: Business need
Location: SharePoint site and M365 applications
Procurement: Tendering
PROC 01.01: Tender specification and contract development (Ordinary contracts)
Disposition: TERMS+6
Example(s):
- Tender specification. Note: For project files containing drafts leading to a final version these records can be destroyed.
Rationale: The Limitation Act 1980 s.5
PROC 01.02: Tender specification and contract development (Contracts under Seal)
Disposition: TERMS+12
Example(s):
- Tender Specification. Note: For project files containing drafts leading to a final version these records can be destroyed.
Rationale: The Limitation Act 1980 s.8(02)
PROC 01.03: Pre-contract advice
Disposition: TERMS+6
Where a manual paper-based procurement is performed then Opening Notice and Tender Envelope should be destroyed 1 year from start of contract.
Example(s):
Rationale: The Limitation Act 1980.
PROC 01.04: Tender evaluation (ordinary contracts)
Disposition: TERMS+6
Example(s):
Rationale: The Limitation Act 1980 s.5
PROC 01.05: Tender evaluation (contracts under Seal)
Disposition: TERMS+12
Example(s):
Rationale: The Limitation Act 1980 s.8(02)
PROC 01.06: Successful tender documents (ordinary contracts)
Disposition: TERMS+6
Example(s):
- Tender / quotation returns
Rationale: The Limitation Act 1980 s.5
PROC 01.07: Successful tender documents (contracts under Seal)
Disposition: TERMS+12
Example(s):
- Tender / quotation returns
Rationale: The Limitation Act 1980 s.8(02)
PROC 01.08: Unsuccessful tender documents
Disposition: 6+
Example(s):
- Tender / quotation Returns
Rationale: The Limitation Act 1980
Procurement: Contract files
PROC 02.01: Post tender negotiations
Disposition: TERMS+6
Example(s):
- Clarification of contract
- Post tender negotiation minutes
Rationale: The Limitation Act 1980
PROC 02.02: Awarding of contract (ordinary contracts)
Disposition: TERMS+6
Example(s):
Rationale: The Limitation Act 1980 s.5
PROC 02.03: Awarding of contract (contracts under Seal)
Disposition: TERMS+12
Example(s):
Rationale: The Limitation Act 1980 s.8(02)
PROC 02.04: Contract management
Disposition: TERMS+6
Example(s):
- Service Level Agreements
- Compliance records
- Performance reports
Rationale: The Limitation Act 1980
PROC 02.05: Management and amendment of contract (ordinary contracts)
Disposition: TERMS+6
Example(s):
- Minutes and papers of meetings
- Changes to requirements,
- Variation forms
- Extensions of contract
- Payment disputes.
Rationale: The Limitation Act 1980 s.5
PROC 02.06: Management and amendment of contract (contracts under Seal)
Disposition: TERMS+12
Example(s):
- Minutes and papers of meetings
- Changes to requirements
- Variation forms
- Extensions of contract
- Payment disputes.
Rationale: The Limitation Act 1980 s.8(02)