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Annex D - Data Retention Schedule (Administrative Files)
Updated 21 July 2021
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| Data Retention Schedule (Administrative Files) – NOT Operator licence files | Not set | Not set | Not set | Not set | Not set |
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| The following data retention schedule indicates how long a file should be retained after the file has been created. | Not set | Not set | Not set | Not set | Not set |
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| 1 This does not preclude lifecycle cleansing which will be included in the data retention implementation policy following agreement to this MOU. | Not set | Not set | Not set | Not set | Not set |
| 2 Where an indefinite disqualification has been determined then the files associated with that legal entity or individual must be held indefinitely, until the death of the affected person or an assessment by a TC that re-emergence is unlikely. | Not set | Not set | Not set | Not set | Not set |
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| Function | Subcategory | Description | Primary Record Retention Period following file creation (see notes 1 and 2 for exceptions) | Update, Archive or Destroy | Justification |
| Delegations | Register | Register of all OTC Delegations sorted by area | Until superseded as per justification | Archive then Destroy | Previous 2 versions to be retained to provide assurance correct and track changes. |
| Not set | Copy instrument | Copy delegations instrument. Original document is issued to staff with copy retained electronically | Until superseded | Destroy | Current version only to be retained as a subordinate of the delegations register. |
| Traffic Commissioner - Private Office | Correspondence | Any correspondence received by and issued by a traffic commissioner regarding any matter not specific to a licence | 5 years | Destroy | n/a |
| Not set | MP Correspondence | Usually linked to a licensing or compliance file | 5 years | Destroy | To provide transparency and knowledge of engagement. |
| Not set | Parliamentary Questions | Correspondence relating to Parliamentary Questions | 3 years | Destroy | Not set |
| Operator Licence Fee Reform | Not set | TC commentary on consultation | 3 years | Destroy | Consultation is DVSA’s activity and therefore they hold core documents. This only relates to TC activity |
| Complaints | Complaints | Not set | 3 years | Destroy | Not set |
| Data Sharing | MoUs | Not set | 3 years | Destroy | Not set |
| Not set | Partner Access Agreements | Not set | 3 years | Destroy | Not set |
| Financial | Scheme Accounts | Not set | 2 years | Destroy | Primary documents held by DVSA. TCs retaining for 2 years as processor of that data only |
| Not set | Not set | Not set | Not set | Not set | Not set |
| Not set | Budgets | Not set | 2 years | Destroy | Primary documents held by DVSA. TCs retaining for 2 years as processor of that data only |
| Strategy | Strategic objectives | Final published documents | 5 years | Destroy | Held for the purposes of reviewing progress against objectives |
| Governance | Risk Registers | Historic register | 5 years | Destroy | Destroyed after 5 years as all risks should have been addressed and /updated on a quarterly basis so more up to date registers available |
| Assurance | Audit reports | Includes any internal or external audit of systems and processes | 3 years | Destroy | Not set |
| Traffic Commissioners’ Publication Scheme | Traffic Commissioner's annual report | Traffic Commissioner's statutory annual report to the Secretary of State. Does not include personal data | NOT A RECORD - THIS IS PUBLIC INFORMATION | Archive | Not a record but to be retained indefinitely to provide historical log. |
| Not set | Statistics | Includes only those statistics which are published in the traffic commissioners' annual report | 5 years or until no longer relevant | Destroy | To identify trends in regulation and compliance. |
| Not set | A & D | Legal obligation to provide access. Timeframe not specified within legislation | Indefinite | Indefinite retention of electronic copy | Indefinite due to obligation under statute to make available. GV(LoO) Regs 1995 requires this to be made available. The GV Regs are able to be satisfied by the National Archives of Gov.uk availability. As availability is at the OTC or any place TC may determine. |
| Not set | Not set | Not set | THIS IS NOT A RECORD IT IS PUBLIC INFORMATION | Not set | Not set |
| Not set | N & P | Legal obligation to provide access. Timeframe not specified within legislation | Indefinite | Indefinite retention of electronic copy | Indefinite due to obligation to make available under statute. SI 1629/1986 REQUIRES that TC SHALL make available on request. This means that National Archives and Gov.uk is NOT an option. The PSV legislation lags behind GV legislation considerably on this. |
| Not set | Not set | Not set | THIS IS NOT A RECORD IT IS PUBLIC INFORMATION | Not set | Not set |
| Consultations | Internal | As per Administrative Policy Guidance 1: Stakeholder Engagement and Consultation | 10 years | Archive, Destroy | To inform regulatory and policy decision making. |
| Not set | External | As per Administrative Policy Guidance 1: Stakeholder Engagement and Consultation. Published on gov.uk | 10 years | Archive | To inform regulatory and policy decision making. |
| Not set | Sponsoring Department | Relates to DfT | 10 years | Archive, Destroy | To inform regulatory and policy decision making. |
| Not set | Support Agency | Relates to DVSA | 10 years | Archive, Destroy | To inform regulatory and policy decision making. |
| Not set | Responses | Includes responses to any consultation | 10 years | Archive, Destroy | To inform regulatory and policy decision making. |
| Press Office | Press Releases | Communicates traffic commissioner decision to the media | 10 years | Destroy | Maintained as per traffic commissioner decisions on licence record. |
| Not set | Statements | Response to a media enquiry | 10 years | Destroy | TCs may want to review earlier statements to ensure consistency |
| Not set | Traffic Commissioner Briefing | Briefing on an industry item or media engagement | 5 years | Destroy | May be relevant within 5 year period, after which becomes redundant. |
| Not set | Operational Notes | Factual record of traffic commissioner decision | 5 years | Destroy | May be relevant within 5 year period, after which becomes redundant. |
| Policy | Statutory Documents | Senior Traffic Commissioner's statutory guidance and directions. Published on gov.uk | 5 years | Update, Archive and Destroy | Current and previous version or not less than 5 years if regular review to provide transparency and understanding. |
| Not set | Administrative Policy Documents | Senior Traffic Commissioner's Administrative Guidance. Published on gov.uk | 6 years | Update, Archive and Destroy | Current and previous version or not less than 5 years if regular review to provide transparency and understanding. |
| Bus Complaints - BOAM | Not set | Complaints regarding local bus services. Often cover more than one complaint type. Procedures detailed within OTC Procedures Manual | 5 years except where attached to a licence record and then as licence record retention | Destroy | May be required for TC consideration. |
| OTC Administration | Not set | Includes licensing operations (LOPS) minutes and other minuted meetings including stakeholder and trade association meetings | 5 years | Destroy | Provides assurance and transparency of decision making. |
| Information Access | Not set | Information access requests handled by TCFOI | 5 years | Destroy | To support any subsequent information access activity. |
| Backup Server | Not set | Includes traffic commissioner and OTC staff emails. | 2 years | Destroy | Only required to hold data which is relevant and up to date. E-mail data must therefore be cleansed to remove unnecessary data. |
| Traffic Commissioner Business Administration | Not set | Includes the minutes of traffic commissioner group meetings and subsequent documentation. | 3 years | Archive or Destroy | All actions will have been implemented within 3 years or are redundant. |
| Stakeholder Engagement | Not set | Meeting minutes and correspondence | 3 years | Destroy | Stakeholder engagement topics will have been superseded after 3 years and actions completed. |
| Traffic Commissioner / Deputy Traffic Commissioner appraisals and conduct | Not set | Appraisal of traffic commissioners including deputies as covered by Traffic Commissioner's Appraisal Scheme 2011. Conduct as covered by Administrative policy 3: guidance on Traffic Commissioners' Conduct | 3 years | Destroy | Retained for 3 years for the purposes of continued evaluation and then destroyed or 12 months in respect of conduct. |
| Traffic Commissioner/ Deputy Traffic Commissioner Travel and Subsistence | Not set | Relates to traffic commissioners and deputy traffic commissioners. | 7 years | Destroy | Maintained for tax reasons. |
| Hospitality | Not set | All TCs keep a register of hospitality in an agreed format. Rules contained within STC Administrative Policy Guidance 3: Guidance on Traffic Commissioners' Conduct | 3 years | Destroy | There is a statutory requirement for this data to be retained. |
| Reimbursement of TC professional fees | Not set | Relates to traffic commissioners | 7 years | Destroy | Maintained to support financial accounts. |