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 1.01: 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 1.02: Closing down financial ledgers
Disposition: 6+
Examples: None given
Rationale: Business requirement
Location: EDRM, shared drives, finance management systems
FIN 1.03: 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 1.04: 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 1.05: 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 1.06: 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 1.07: Managing and administering re-charges
Disposition: 6+
Examples: none given
Rationale: Business requirement
Location: EDRM, shared drives, finance management systems
FIN 1.08: 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 2.01: 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 2.02: Activities involved in the payment for goods and services by the authority. Includes expenses claims and honorariums.
Disposition: 6+
Example(s):
- Credit notes
- 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 2.03: Recording car mileage on leased vehicles
Disposition: 6+
Example(s):
Rationale: Business requirement
Location: EDRM, shared drives, finance management systems
FIN 2.04: Managing the authority's bank statements
Disposition: ACTION+15
Example(s):
Rationale: Business requirement
Location: EDRM, shared drives, finance management systems
Taxation
FIN 3.01: 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 3.02: 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 4.01: 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 4.02: Accounting and reporting
Disposition: 6+
Example(s):
Location: EDRM, shared drives, finance management systems
Pensions
FIN 5.01: 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 5.02: 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 5.03: Number not used
Formerly: The process of managing pension increases
FIN 5.04: 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 5.05: 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 5.06: number not uses
Formerly managing pension schemes of other organisations
FIN 5.07: 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 5.08: Management of current scheme members
Disposition: Retain while current, then see FIN 5.01
Example:
- Active pension scheme member files
Rationale: Business requirement
Location: Pension administration system (Altair)
FIN 5.09: Management of survivor pension payments
Disposition: Retain while current, then see FIN 5.01
Example:
- Files relating to survivors in receipt of pension payments
Rationale: Business requirement
Location: Pension administration system (Altair)
FIN 5.10: The management of Year-End and contribution returns and monthly submissions supplied by local government bodies
Disposition: ACTION+25
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 5.11: 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
FIN 5.12 Management of Pension Fund investments
Disposition: CASE+6 (closure point: full divestment)
Example: Files relating to the pension fund's investments portfolio
Rationale: Business requirement
Location: Fund files
Insuring against risk
FIN 6.01: Number not used
FIN 6.02: Number not used
FIN 6.03: 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 6.04: 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 6.05: 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 6.08: Number not used
FIN 6.09: 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 7.01: 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 7.02: Number not used
FIN 7.03: 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 7.04: Managing a subsidence insurance claim
Disposition: ACTION+50
Example(s):
- Subsidence insurance claim files
Rationale: Business Requirement
FIN 7.05: 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 7.06: 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 7.07: Number not used
FIN 7.08: 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 7.09: The summary management of claims and triangulation details
Disposition: ACTION+75
Example(s):
- Summaries / triangulation
Rationale: Business requirement
Administering risk management and insurance
FIN 8.01: 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 8.02: 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 8.03: Number not used
FIN 8.04: Maintaining pension fund insurance registers
Disposition: ACTION+15
Example(s):
- Records of insured pension fund properties
Rationale: Business requirement
FIN 8.05: 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 8.06: 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 8.07: 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 8.08: 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 8.09: 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
FIN 8.10: Insurance procurement processes
Disposition: ACTION+15
Example(s):
- Insurer survey reports and correspondence
- Broker / loss adjuster tender documents, appendices, award correspondence
Rationale: Business Requirement
Location: EDRM, shared drives, finance management systems
Operational risk management
FIN 9.01: Insurance loss control surveying
Disposition: 6+
Example(s):
- Insurer survey reports
- School’s Annual Security Risk Assessment questionnaire
Rationale: Business Requirement
Location: EDRM, shared drives, finance management systems
FIN 9.02: 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: Planning and review of audit activity
AUD 1.01: Planning and review of audit activity
Disposition: 6+
Example(s):
- Audit Points Forward schedule
- Project brief
- Audit Assignment Plan and staff briefing notes
- Audit Recharges and performance stats
- Audit planning
- IDEA / Business Warehouse Data extracts (to be retained until next audit review)
Rationale: Business need
Location: Electronic file structure, audit servers
Audit: Summary management of audit activity
AUD 2.01: Notes of meetings and discussions with Management
Disposition: 6+
Examples: none given
Note: Previous documents scanned to Audit server
Rationale: Business need
Location: Electronic file structure
AUD 2.02: Other summary management records
Disposition: 6+
Example(s):
- Internal Audit memoranda,
- Action Plans and observations
- Correspondence, if relating to routine Audit activities for example arranging the Audit
- Service Plans, Organisation charts, Procedure Notes, Delegation Scheme, Relevant Contracts, Audit System Notes, Audit Flowcharts, External Audit Reports, Member and Management Reports, Publications and Relevant Legislation
- Weekly Audit Plans and Office Diary
- Audit Office Meetings
- Audit Committee reports and working papers
- Audit Manual and procedures
Rationale: Business need
Location: Electronic file structure, audit servers
Audit: Operational management
AUD 3.01: Operational management of audit activity (General)
Disposition: 6+
Example(s):
- Analysis of time charged and reasons for variances
- Working papers including file review and response.
- Summaries of points arising where appropriate
- Follow up of previous Audit recommendations
Rationale: Business need
Location: Electronic file structure
AUD 3.02: Operational management of audit activity (if frequency of Audit is 36 months or more)
Disposition: ACTION+15
Example(s):
- Analysis of time charged and reasons for variances
- Working papers including file review and response.
- Summaries of points arising where appropriate
- Follow up of previous Audit recommendations
Rationale: Business need
Location: Electronic file structure
Audit: Special investigations
AUD 4.01: Conducting special investigations
Disposition: 6+
Example(s):
- Working papers
- Action plans
Rationale: Business need
Location: Electronic file structure
AUD 4.02: Reporting special investigations
Disposition: ACTION+15
Example(s):
Rationale: Business need. Forensic case management files may be deleted 12 months from case closure.
Location: Electronic file structure
Audit: Anti-fraud compliance
AUD 5.01: National Fraud Initiative (NFI) reporting
Retention: 6+
Example(s): Reports on NFI results
Rationale: Business need
Location: Electronic file structure
Audit: Forensic case management
AUD 6.01: Digital investigations case management
Retention: D<1 (destroy 12 months from audit report or conclusion of criminal/disciplinary case)
Example(s):
Rationale: Business need
Location: Portable data storage device
Procurement: Tendering
PROC 1.01: 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 1.02: 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 1.03: 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 1.04: Tender evaluation (ordinary contracts)
Disposition: TERMS+6
Example(s):
Rationale: The Limitation Act 1980 s.5
PROC 1.05: Tender evaluation (contracts under Seal)
Disposition: TERMS+12
Example(s):
Rationale: The Limitation Act 1980 s.8(02)
PROC 1.06: Successful tender documents (ordinary contracts)
Disposition: TERMS+6
Example(s):
- Tender / quotation returns
Rationale: The Limitation Act 1980 s.5
PROC 1.07: Successful tender documents (contracts under Seal)
Disposition: TERMS+12
Example(s):
- Tender / quotation returns
Rationale: The Limitation Act 1980 s.8(02)
PROC 1.08: Unsuccessful tender documents
Disposition: 6+
Example(s):
- Tender / quotation Returns
Rationale: The Limitation Act 1980
Procurement: Contract files
PROC 2.01: Post tender negotiations
Disposition: TERMS+6
Example(s):
- Clarification of contract
- Post tender negotiation minutes
Rationale: The Limitation Act 1980
PROC 2.02: Awarding of contract (ordinary contracts)
Disposition: TERMS+6
Example(s):
Rationale: The Limitation Act 1980 s.5
PROC 2.03: Awarding of contract (contracts under Seal)
Disposition: TERMS+12
Example(s):
Rationale: The Limitation Act 1980 s.8(02)
PROC 2.04: Contract management
Disposition: TERMS+6
Example(s):
- Service Level Agreements
- Compliance records
- Performance reports
Rationale: The Limitation Act 1980
PROC 2.05: 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 2.06: 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)