Record Retention and Disposition Schedule

LEGAL AID AGENCY

RECORD RETENTION AND DISPOSITION SCHEDULE

Government Departments, Agencies, and all other public sector bodies, are instructed to retain any and all documents; correspondence; notes; e-mails and all other information – however held – which contain or may contain content pertaining directly or indirectly to the sexual abuse of children or to child protection and care. For the purposes of this instruction, the word “children” relates to any person under the age of 18.

Description / TNA Series / Disposal
Finance Records / Retention Period
Commencement of Retention Period
Final Disposition Action
Bank Deposits
Bank deposit books/slips / 7 Years
Last entry in book
Destroy
Bank Reconciliations
Reconciliation files/sheets
Paid cheque lists
Unpaid cheque lists / 7 Years
Date of issue
Destroy
Bank Statements
Bank Statements
Bank Certificate of Balance / 7 Years
Date of statement
Destroy
Cheques & Associated Records
Cheque book/butts
Cancelled Cheques
Cheque Registers / 7 Years
Date of last entry
Destroy
Expenditure
Petty Cash Records
Purchase Orders/Invoices / 7 Years
Date of last entry
Destroy
Petty Cash Records – Local
Regional Purchase Orders/Invoices / 7 Years
Date of issue
Destroy
Ledger Records
Ledger Records / 7 Years
Date of last entry
Destroy
Other Records
Asset Registers
Depreciation Registers
Financial Reports
Summary Management of Accounts / 7 Years
Date of last entry
Destroy
Statement of Accounts
Reconciliation Summaries of Account / 2 Years
Date of issue
Destroy
Annual Budget / 6 Years
Date of issue
Destroy
Tendering
Unsuccessful Tender Documents / 1 Year
Date of rejection
Destroy
Successful Tender Documents
Invitations to Tender / 6 Years
Expiry of contract
Archive
Expressions of Interest / 6 Years
Expiry of contract
Destroy / Archive
Signed Contracts & Amendments
Maintenance Agreements / 6 Years
Expiry of contract
Destroy
Approved Suppliers Lists
Approved Supplier List / Review annually and update
Date of issue
Destroy
Corporate Information
Corporate / Strategic Plan
Corporate Business Plan / 10 Years
Destroy
Voice data / 3 Years
Date of last use
Destroy
Corporate Risk Register
Assurance Framework
Interim Assurance Framework / Permanent
Archive
Management Actions Register / 3 Years, plus current
Date of opening
Destroy
Regional Business Plan / 7 Years
Date created
Destroy
Corporate Strategic Planning Policies & Outcomes / 7 Years
Date created
Archive / Destroy
Corporate Research Documentation / 3 Years
Date created
Archive / Destroy
Executive Team Papers / 6 Years
Date created
Archive / Destroy
Annual Report / 10 Years
Date of issue
Destroy
Framework Document / 6 Years after being superseded
Destroy
Honours Register / 5 Years
Date of last entry
Archive / Destroy
Submissions to Ministry of Justice / 3 Years
Date of submission
Destroy
Policy Briefings / 3 Years
Date of meeting
Destroy
Committees
Papers / 6 Years
Date of issue
Archive / Destroy
Audit Committee Papers
Finance Committee Papers (including F&GP)
Human Resources Committee Papers
Multi Party Action Committee Papers / 6 Years
Date of issue
Destroy
Governance
Contract Review Body
Select Committees / 6 Years
Date of issue
Destroy
Parliamentary Questions / 2 Years
Date of response
Destroy
Code of Conduct / Until superseded
Destroy
Non-Executive Director briefings / 3 Years
Date of meeting
Destroy
Litigation Records Against LAA / 6 Years
Closure of proceedings
Destroy
Business Continuity
Business Continuity Plans / Until superseded - reviewed every 3 months
Date of issue
Destroy
Security
Security incident investigations / 3 Years
Date incident closed
Destroy
Security Guidance / Until superseded
Destroy
Quarterly Returns
Annual Returns / 2 Years, plus current
Date of return
Destroy
Security Training and Education / Until superseded
Destroy
Physical Security Audits / 3 Years
Date of issue
Destroy
Security Enquiries and Advice / 2 Years
Date of issue
Destroy
Information Assurance Working Group Papers / 3 Years
Date of meeting
Destroy
Security Policies / Until superseded
Destroy
Security Bulletins and Communications / 2 Years
Date of issue
Archive
Business Functions Records
Supplier Management Files
Signed Contract
Schedules & Amendments / 6 Years
Termination of contract
Destroy
Contract Notices / 3 Years
End of contract notice
Destroy
Audit Results
Audit Reports / Until next audit finalised
Completion of audit
Destroy
Corrective Action & correspondence / 3 Years
Termination of contract
Destroy
Financial Decisions
Financial Reports
Crime Reporting Documents (CRM6 & CRM7)
Civil Reporting Documents (CMSF & CMRF) / 6 Years
Termination of contract
Destroy
Unsuccessful Applications for Contracts / 1 Year
Date of refusal
Destroy
Contracting Correspondence / 6 Years
Termination of contract
Destroy
Communications
Minutes of Meetings / 2 Years
Issue of document
Archive / Destroy
Internal Newsletter / 2 Years
Issue of document
Destroy
External Newsletter / 2 Years
Issue of document
Destroy
Internal Publications / Until superseded
Issue of document
Archive / Destroy
External Publications / Until superseded
Issue of document
Archive / Destroy
Media Briefings
Transcripts of Media Interviews
Press Releases
Media Enquiries & Replies / 5 Years
Issue of document
Destroy
Press Cuttings / 1 Year
Issue of document
Destroy
Information Compliance
Record Management Guidance / Until superseded
Destroy
Records of files stored off-site / Permanent - reviewed annually and updated
Archive
Records confirming Disposal of Records / Permanent
Archive
Corporate Retention Schedule / Permanent - reviewed and updated annually
Archive
Acquisition Criteria
List of records transferred to TNA / Permanent
Archive
Data Protection Act 1998 Requests - Regional / 1 Year
Date of request
Destroy
Data Protection Act 1998 Requests - Central / 6 Years
Date of request
Sample to be archived
Freedom of Information Act 2000 - Regional / 1 Year
Date of request
Destroy
Freedom of Information Act 2000 - Centrally / 6 Years
Date of request
Sample to be archived
DPA/FOI Statistics/reports / 3 Years
Date of report
Destroy
ICO Correspondence
ICO Reports / 6 Years
Date of correspondence
Destroy
Training Contract Grants Scheme
Expressions of Interest / 6 Years
Expiry of agreement
Destroy / Archive
Successful Applications / 6 Years
Expiry of agreement
Archive
Unsuccessful Applications / 1 Year
Date of rejection
Destroy
Three-way Agreement (Signed contract) and related documents
Student/trainee details and university course details
Invoices / 6 Years
Expiry of agreement
Destroy
CDS
Duty Solicitor Rotas / 3 Year
Date of issue
Destroy
Duty Solicitor applications (CRM12) / 3 Year
Date of application
Destroy
Court Duty Correspondence / 1 Year
Date of issue
Destroy
Customer Services
Complaints
Representations / 1 Year after final response
Date of response
Destroy
Quality Control / 2 Years
Date of quality control
Destroy
Digital Live Call Recordings / 6 Months
Date of recording
Destroy
Case Files
Civil Applications - Refused / 3 Months
Date of refusal
Destroy
Civil Applications - Refused on Appeal / 6 Months
Date of appeal decision
Destroy
Appeal Agenda papers / 2 years if heard by the Special Controls Review Panel (SCRP) or Committee, otherwise 1 year
From the date of decision
Destroy
Civil Applications – Funding granted / Kept with Civil Case File for retention period as listed below
Retention periods set out below for Civil Case outcomes
Destroy
Civil Case Files - Statutory Charge / 3 Years
Date statutory charge satisfied
Destroy
Civil Case Files - Costs Order / 3 Years
Date of resolution
Destroy
Civil Case Files - Land Charge / 3 Years
Date charge satisfied
Destroy
Civil Case Files - No Charge
Cases closed prior to 1st April 2013 with no outstanding financial issues
Anything closed on or after 1st April 2013 / Retain until end of financial year + 4 months
3 Years
Payment of final bill or discharge – whichever is the latest
Destroy
Central Customer Services Team
Case Files / 1 Year
Date of closure
Destroy / Archive
Miscellaneous Files / 1 Year
Date of closure
Destroy
TTRO
Representations / 3 Months
Date of receipt
Destroy
Cross Border Applications / 1 Year
Date of final decision
Destroy / Archive
HPP / 6 Years
Date of closure
Destroy / Archive
Weekly Statistics
Compensation Files / 1 Year
Date of production
Destroy
Ombudsman Statistics / 2 Years
Date of production
Destroy
Recovery Services
Accepted Offers / Permanent
Date of acceptance
Destroy
Debts Written off >10K / 18 Months
Date of write off
Destroy
Debts Written off <10K / 3 Years
Date of write off
Destroy
Debit Notes / 6 Years
Date debt cleared
Destroy
Recovery of Defence/Cost Orders / 18 Months
Date of last payment
Destroy
QED
Equality Scheme
Disability Equality Scheme
Gender Equality Scheme / 6 years/superseded
Date of issue
Destroy
Equality & Diversity Annual Report
Diversity Strategy Board Papers / 3 Years
Date of production
Destroy
Diversity Progress Monitoring Forms
Client Diversity Group Papers
Diversity Monitoring Sub-Group Reports / 3 Years
Date of production
Destroy
BAME Staff Workshop Papers
ASPIRE Programme & related papers / Permanent
Special Investigations Unit/
Special Cases Unit
Investigation into Clients Means / 6 Years (plus 3 years if recovery action is taken)
Date of the conclusion of the investigation
Destroy
Investigation into Suppliers & Supporting Papers / 6 Years (plus 3 years if there is a conviction)
Date of the conclusion of the investigation plus three years from the date of conviction
Destroy
Public Defender Service Records
Record Name / Retention Period
Commencement of Retention Period
Final Disposition Action
PDS
Business Planning / 10 Years
Date of plan
Destroy
[Case Files[12]] / 6 Years
Date of closure
Destroy / Transfer to TNA
[Crown Court Cases[13]] / 6 Years, plus 3 Years from expiration of sentence
Date of closure / Expiration of sentence
Destroy
[Cases for murder or where a life sentence is given[14]] / Permanent
Archive
General Administration Files / 3 Years
Date of closure
Destroy
General Correspondence / 2 Years
Date of correspondence
Destroy
PDS Annual report / 6 Years
Date of report
Destroy
Reference materials / Until superseded
Date of issue
Destroy

The MOJ Departmental Record Officer has drawn up this schedule in consultation with the Legal Aid Agency.

Please retain for future reference.

Departmental Records Officer

Records Management Services

1st Floor,

102 Petty France

London SWIH 9AJ

Originally Issued: July 2013

Amended: January 2017

ANNEX “A”

Records are retained for three reasons:

1. For compliance purposes;

2. For information purposes and;

3. For evidential purposes.

The Record Retention and Disposition Schedule provides generic guidelines in relation to the management of records. Records will need to be assessed on an individual basis before initiating the action specified in the schedule. Please contact your Local Records Officer, or the Corporate Record & Security Advisor if you require clarification or advice.

The schedule applies to all records, regardless of the format in which it is held (i.e. electronic copy saved on a shared drive or manual hard copy). Please note that where a transaction or record has been recorded in a corporate IT system (such as CIS), you may not need to retain any associated paper records concerning the transaction.

Please note that the Record Retention and Disposition Schedule is the primary source for the retention period for the Legal Aid Agency’s records and replaces any retention periods specified within various work practices or manuals.

It is essential that staff handle and store all records in accordance with the protective marking scheme, reflecting the appropriate protective marking on the record. Please remember that this refers to records that have been protectively marked, but also those, which should be, but have not yet been marked.

The Retention and records management processes will be subject to modifications as required or as business needs change. The Corporate Record & Security Advisor will undertake an annual review of the Record Retention and Disposition Schedule to ensure it remains up-to-date.

ANNEX “B”

DEFINITIONS

This section contains definitions of terminology used within the retention schedule:

The National Archives (TNA): The National Archives was formed in April 2003 by the merger of the Public Record Office and the Historical Manuscripts Commission. TNA is the national archive for all records of central government, courts of law and public bodies.

The records produced by the Legal Aid Agency fall within the definition of ‘public records’ and are subject to transfer to TNA. However, it would be unmanageable to transfer every record to TNA. Acquisition criteria therefore exist to select records that document the principal work undertaken by the Legal Aid Agency and are thus worthy of permanent preservation in TNA. LAA Staff in the Records Management Centre in South Tyneside are responsible for the selection of records to be archived by the TNA.

Final Disposition Action: Disposition can encompass:

• Immediate physical destruction

• Retention for a further period within the business unit. If a record is to be retained for longer than the minimum review period, yearly reviews should be conducted to assess the relevance of keeping the record in question beyond the specified period. These justifications will need to be documented.

• Transfer to either the organisational archive or The National Archives.

Permanent: Records that are marked ‘permanent’ within the retention schedule should either be offered to the Corporate Record & Security Advisor for storage in the Corporate Library or archived in the LAA’s Records Management Centre.

Destroy: The following principles apply in relation to the destruction of records:

• Destruction must be authorised by a Local Records Officer.

• Destroyed files must be recorded on your department’s destruct list, including the date of destruction.

• Records must be securely destroyed, files placed into the confidential waste bins. If you shred your documents, the shredding must also go into the confidential waste bins.

• All copies of the record must be destroyed, including electronic copies, backup copies, security copies, copies held elsewhere in the organisation etc.

Archive / Destroy: Records that are normally destroyed can be retained in certain circumstances, for example if the record is considered to be high profile, controversial (i.e. relating to controversial policies/projects) or where the record is considered useful in terms of retaining the corporate memory. Documents should be assessed locally, in the first instance, for importance and if necessary referred to the Corporate Record & Security Advisor, who will determine whether the record in question should be retained within the organisational archive, transferred to The National Archives or destroyed in accordance with the normal retention period.