In exceptional cases, all or part of the file will be retained for a longer period because:

• it is relevant to a more recent complaint from the same complainant – only the Casework Manager can designate an ‘exception’ in such cases

• the remedy has been delayed 

• it is subject to legal action

• the file needs to be retained for an ongoing FOI/DPA/EIR internal appeal or complaint with the Information Commissioner’s office, or

• evidence from BinJs of compliance with significant service improvement recommendations. 

5.1 Retention of cases relevant to a more recent complaint

Where a file which is due for destruction is relevant to a subsequent complaint – usually from the same complainant – and the subsequent complaint is still under scrutiny, all or part of the ECHO documentation may be retained beyond the normal 12-month period. Only papers relevant to the subsequent complaint should be retained. (This may be the whole file.) The file will then be subject to the retention period of the subsequent complaint.

The case owner needs to get approval from their AO/AM for some or all of the previous complaint file to be retained. If permission is granted, they will need to copy the relevant documents and any other items from the older complaint to the newer one, suitably labelled.

Where the copied case is not from the same complainant as the newer complaint, documents must be marked ‘Do Not Disclose’ to ensure material is not released to the wrong PA in response to a subject access request.

5.2 Retention of cases where the remedy has been delayed

Where it is taking a long time to achieve a remedy, the ‘other contact’ screen can be used to delay deletion of documents at 12 months. This is in case the remedy is not achieved and the file has to be reopened.

5.3 Retention of cases subject to legal action

Where there is an application for judicial review, or other legal action, key documents from the file should be retained on ECHO. The PAP/JR application, our formal legal response, and any court orders are held in the Decision Folder on ECHO.

These documents will be kept for five years after the last substantive action and destroyed when all other documents in the Decision Folder are destroyed.

5.4 Retention of cases where there has been an FOI/DPA/EIR request

If there has been an FOI/DPA/EIR request, and the requester has lodged an internal appeal or complained to the Information Commissioner, we need to ensure the file is retained until the ICO have finished dealing with the complaint. (See ‘FOI/DPA/EIR’ requests below.)

5.5 Service improvement data

In some cases we retain service improvement information, especially plans for action, sent by the Council, for longer than 12 months. This is to allow us to monitor the impact of these changes. The data should be stored in the ECHO Decision folder on the case.

5.6 Statutory public inquiries

We may be contacted by a statutory public inquiry under the Inquiries Act 2005 requesting that we retain certain records and data until the outcome of the relevant inquiry citing Rule 9 of Inquiry Rules 2006. We conduct our investigations in private and can only share information we obtain during an investigation in specific circumstances. However, we may agree to retain data and other information to support the work of a statutory public inquiry. The decision to retain this data for an Inquiry will be taken by the Head of Policy and Communications in consultation with the Executive Team. 

5.7 Notifying the complainant and BinJ

We should generally tell the complainant when we need to retain the file material for more than the normal period of 12 months, and give the reason for this and an estimate of how much longer the information will be held. The BinJ should also be informed, and any third parties whose ‘personal data’ is retained as part of the process. The exemption to this is where data is retained for a statutory public inquiry where it would not be proportionate to contact all of those affected. 

It is not necessary to obtain the complainant’s (or other’s) consent to continue to hold the file material but if there are objections, the Director of Investigation or the Director of Intake and Assessment (as appropriate) should consider them. If the ‘data subject’ considers that information is not being held for an appropriate purpose he/she may raise this with the Information Commissioner. The decision to retain the file should be reviewed, at a minimum, annually.