RECORD RETENTION RULES

Transcription

1 1. RECORD RETENTION RULES A particular record may exist in several formats such as paper and electronic for example. At the point of retention / storage consideration should be given to storing a record in a single format such as electronic and deleting the duplicated information. When records are stored for long periods due consideration needs to be given to protect and preserve the record against accidental loss, deterioration and obsolescence The guidance refers to all information, regardless of the medium in which it is stored 2. Benefits of a Retention and Disposal Schedule 2.1 There are a number of benefits which arise from the use of a retention schedule: (a) (b) (c) Allows the management of Information to be consistent and compliant. The Force can be confident about destroying information at the appropriate time. Information which is subject to Freedom of Information and Data Protection legislation will be available when required. (d) The Force is not maintaining and storing information unnecessarily. (e) Enables the Force to identify records that can be stored off-site / in a records repository. 3 Disposal 3.1 Disposal means deleting or destroying a record to the extent that it cannot be retrieved. 4. Management of Police Information (MoPI) 4.1 In addition to Legislative requirements the Force has to pay due regard to MoPI, this retention and disposal schedule has where necessary made reference to MoPI / Groups 1-4. See Appendix B for a copy of the current Review Schedule from the APP (Authorised Professional Practise site under Information Management. 1

2 4.2 MoPI & IS 5. Glossary MoPI Guidance will be applied to IS data on a case by case basis, typically in relation to Subject Access requests. Outside this a longer retention period has been applied to address the risks associated with the planned automated disposal of IS data. ACPO Association of Chief Police Officers ARV Armed Response Vehicle CAFCASS Children and Family Court Advisory and Support Services CLA Civil Litigation Act (official title is Limitation Act 1980) CPIA Criminal Procedures and Investigations Act 1996 CPS Crown Prosecution Service DBS Disclosure and Barring Service DP / DPA Data Protection Act 1998 FPN Fixed Penalty Notices HMIC Her Majesty s Inspectorate of Constabularies HMG Her Majesty s Government HO Home Office ICO Information Commissioners Office OJEU Official Journal of the European Union IPCC Independent Police Complaints Commission MAPPA Multi Agency Public Protection Arrangements MoPI Management of Police Information NFA No Further Action NIM National Intelligence Model PACE Police and Criminal Evidence Act 1984 PND Police National Database POCA Proceeds of Crime Act 2002 RIPA Regulation of Investigatory Powers Act 2000 RTA Road Traffic Act 1988 TNA The National Archives VDRS Vehicle Defect Rectification Scheme 2

3 6. Records Retention Tables 6.1 Tables below set out the retention and disposal timescales for the following areas: Property Detecting Preventing Prosecution Crime & Case Files Organisation Programmes & Projects Finance People Information and Assets & Products 3

4 PROPERTY 4

5 Information Activity Description / Retention Rationale Scope Notes Comments / Task Example of Record Disposal of Property Auctions records of sales Current year + 6 Financial regulations; Limitation Act Lost and Found Property Auction records 6 years + EoFY Handed in weapons (not used in crime) Lost and Found Property - non prohibited items, includes cash Dispose of ASAP if no reason to retain. Force Policy 28 days Force policy No legislation covers Found Property. These Items should be crosscheck against Found property / crime exhibits and stolen property Seized Property (Crime Exhibits) Seized Property (Crime Exhibits) Seized Property (Crime Exhibits) Seized Property (Crime exhibits) Sudden death Lost and Found Property - Prohibited items, includes drugs and firearms Records of Seized property - crimed - e.g. crime exhibit cards, labels etc. Records of Seized property - non-crimed Seized property - crime exhibits Seized property - non crimed Sudden death property seized from location of deceased 28 days Force policy Not covered by any legislation Prohibited items are items that cannot be returned to members of the public e.g. drugs, knives, weapons 6 years for volume crime / as per CPIA for serious category crime CPIA Current year + 6 Financial regulations; Limitation Act Case dependent Police Property Act; CPIA; Powers of Criminal Courts Act; PoCA; Tissues Act Minimum of 6 months Powers of Criminal Courts Act s143 Until authorised for disposal by coroner s Office If storage is an issue, see Police Property Act 1997 s86e; see also Powers of Criminal Courts Act s143; PACE 1984 s22 provides alternative solutions for storage / investigation if there is a risk to personnel Will also need to pay due regards to health and safety issues, environmental concerns when storing and retaining Proceeds may be payable to force under Police Property Act Fund May be needed for inquest 5

6 DETECTING 6

7 Information Activity Description / Retention Rationale Scope Notes Comments / Task Example of Record Abnormal loads 6 months after transport. Force Policy Air Operations / Support Unit - Videos Surveillance, etc. Operations 31 days or review as per nominal file if evidential ARV Mobilisation 25 years Force Policy Calls for Police Assistance / Call Management Records CCTV CCTV Closed Circuit Television Tapes. Video tapes produced by any CCTV system used by a force e.g. custody Closed Circuit Television Tapes. Video tapes not owned by a force but needed for evidential purposes 7 years CLA 31 days or if the whole tape is evidential retain as per MoPI /CPIA. (minimum period is 6 years) As per CPIA CPIA Command & Control Logs Command & Control Logs 7 years CLA CPIA Force Policy /Civil Litigation / CPIA Custody Records (non NPICCS) Custody Medical Records Medical Records of custody detainees 6 years MoPI 6 years Civil Litigation (Limitation Act 1980) Please refer to footnote ** DNA Indefinitely Current ACPO guidance Please refer to footnote *** Dog Bites 6 years unless injury to child then age years CLA Dogs - Dangerous Fingerprint and Palm Prints Arrested / Dangerous Dogs/Worrying livestock investigation records/complaints 6 years N/A Force Policy Indefinitely Current ACPO guidance Please refer to footnote *** 7

8 Information Activity / Task Attendees Description / Example of Record Fingerprint Evidence Files 6 Years (Review) min CPIA / CLA / MoPI / RIPA Fingerprint Files - Serving Officers and staff Fingerprints - Elimination Prints Elimination prints (victims, witnesses) Retention Rationale Scope Notes Comments Duration of service + 6 months Force Policy / HO Regulations Detected Volume Crime: 6 years Detected Serious Crime: as per CPIA Undetected Volume Crime: 6 years Undetected Serious Specified Offence: 100 years Footprints (Exhibits) Undetected Volume Crime: destroy after 12 months if unused. Undetected Serious Crime: retain for 50 years. Footprints Print scans Undetected Volume Crime: destroy after 3 months Footprints Custody Print Scans Retain for 12 months. PACE If used for elimination purposes in court additional retention may need to be evaluated. ID Parades Video, Pictures, records audit trails 6 years for volume crime / as per CPIA for serious category crime Intelligence Only removed when the record is weeded or if proven to be inaccurate it must be either corrected or removed. Major Incidents Multi agency investigation e.g. Rail crash, public enquiry Review when finalised / Case by Case: typically 25 years and archive where there is historic interest. MoPI / RIPA / NIM Consider public / historical interest test, refer to lead agency. 8

9 Information Activity Description / Retention Rationale Scope Notes Comments / Task Example of Record Missing Persons Found 6 years Missing Persons Outstanding Until found or 100 years from report Photographs: Scenes of crimes Photographs taken at scenes of crimes; DVDs, Videos, CDs etc. 6 years for volume crime / as per CPIA for serious category crime or as undetected as appropriate Premises Searched Logs 6 years for volume crime / as per CPIA for serious category crime Road Search Vehicles stopped at road 2 years checks authorisation CPIA / MoPI CPIA / MoPI SOCO/CSI Files Details of examinations 6 years for volume crime / as MoPI / CPIA per CPIA for serious category crime Telecommunication / Requests 6 Years (Review) RIPA Surveillance (RIPA) Telecommunication / Surveillance (RIPA) Technical Support Units (TSU Files) Results Retain Case / Crime / Intel MoPI / RIPA Requests for Technical Support 6 Years RIPA, MoPI TSU2 Sheet (loan sheet) 1 year Force Policy Unused material Material not provided to CPS for prosecution 6 years for volume crime / as MoPI / CPIA per CPIA for serious category crime Retain Master for 20 years MoPI Groups 1-4 Video Interviews (Child / vulnerable adult) Wildlife files 6 years Force Policy ** Please note s.39 of the Firearms Amendment Act 1997 states that any crime, process or custody records held locally relating to a Nominal holding a current firearm/shotgun license must be retained. This means that the firearm/shotgun license re-sets the clear period and the nominal record must be retained for the length of the certification period. 9

10 *** To be reviewed in line with Protection of Freedoms Act once commenced. PREVENTING 10

11 Information Activity Description / Retention Rationale Scope Notes Comments / Task Example of Record Chief Constable's Log Overnight summary sheet 1 year Force Policy Explosive Certificate 6 years Explosives Act / Regulations Firearm Licensing License Application Form 6 years Refused Revoked Dealers Licences Certificates, Licences Inc. - Temp and visitors Cancelled cert Rifle Club 6 years Retain until subject has reached 100 years of age. Review every 10 years Until superseded, surrendered or until death Firearms Act 1968, MoPI ACPO, Firearms Act 1968 Until surrender plus 6 years ACPO, Firearms Act 1968 Seized and Confiscated Treat as policy / procedure. 25 years then review and dispose/archive Firearms Operational issues and returns 6 years Force Policy Firearms - Police Presented or Discharged - Police Use Form Foreign Nationals Documentation of Foreign nationals Permanently 6 years Immigration Act Licensed and Supervised Trades Gaming licences, peddlers certificates, betting shop files 3 years Force Policy, Licence objections Liquor Licensing 3 years N/A Force Policy, Licence objections Non-Molestation Order Paperwork from Court regarding applied order Dispose of once expired 11

12 Information Activity Description / / Task Example of Record Ops Planning Notifiable Events Planning - Operation Orders, notifications for Royals, VIPs; Sponsored events, races, fetes, cycle races, rallies; Large public events horse racing, bonfires, parades, football matches Includes supporting / developmental documentation & notices for events Stop and Search Forms and electronic data (non- NPICCS) Taser - Police Presented or Discharged - Police use Form Retention Rationale Scope Notes Comments 3 years Public Interest. Force operational need planning for future events 1 year Force Policy 1 year Consider Public interest. Taser - Police Taser Wires, Probes and Paper aphids Traffic Orders Speed Limit Orders; Width/Weight Restriction Orders; Waiting Restriction Orders 6 Years Civil Litigation (Limitation Act 1980), IPCC and Discipline Cases Originals held by local authorities: no requirement to retain beyond operational utility. Force Policy A Taser contains a chip that records when it was fired and for how long but does not provide evidence of distance fired. Warning Notices - Harassment Harassment Forms 6 years MoPI 2 and 3 12

13 PROSECUTION 13

14 Information Activity / Task ANPR ASBO Description / Retention Rationale Scope Notes Comments Example of Record Reads 2 Years National Retention Hits All Anti Social Behaviour Records 2 Years 6 years (treat as volume crime) Bodycam / Non Evidential 31 days Headcam/Webcam Crime 6 years for volume crime / as per CPIA for serious category Breath Testing NFA 6 Years Charge 6 Years MoPI / CPIA Cautions/Convictions/ Reprimands Non custody related cautions i.e. Street Retain paperwork for 12 months Caution Custody related cautions Retain paperwork for 12 months Counterfeit Currency Counterfeit Currency forms 6 years or CPIA (whichever is higher) Only 1 to be given in 12 Months Group 3 Force Policy Deaths Sudden death forms, Non suspicious 1 Years If the death becomes suspicious it is assumed that a case file will be created Direction to Leave forms (Section 27) Section 27 Direction to Leave / Dispersal Notice Retain form for 3 months unless necessary for evidential purposes. Force Policy / CPIA Fixed Penalty Tickets Please refer to Appendix A Table of Retention Periods. Interview Tapes Master Copy 6 years for Volume Crime / Serious Category as per CPIA Working Copy One Month following finalisation CPIA / MoPI CPIA / Force Policy 14

15 Information Activity / Task Litigation against the Force Description / Retention Rationale Scope Notes Comments Example of Record Corporate / Legal Services Including claims for 6 years (or if crime Civil Litigation (Limitation Act 1980) compensation. Solicitors' related apply MoPI/CPIA) documents, statements, letters etc. All records including advice, reports, evidence, etc. in relation to Employers Liability Claims, Litigation against the force, CICA claims PER Form Prisoner Escort Record 6 months Pocket Notebooks/CID Diaries Warrants Officers notebooks and diaries Records Outstanding 10 years from last entry MoPI/Force policy Until withdrawn / executed 15

16 CRIME AND CASE FILES 16

17 Information Activity / Task Description / Example of Record Retention Rationale Scope Notes Comments Crime File (non- NPICCS) Volume Crime 6 years. MoPI Guidance Incident report, crime report, case file etc. Crime File (non- NPICCS) Serious Category Offence Collisions Road Traffic Collisions - Non Fatal, Non-Serious and Damage only As per CPIA. Individual cases may be retained longer subject to justification 6 years unless injury to child then age years MoPI Guidance Incident report, crime report, case file etc. If undetected follow MoPI guidance / Force Policy CLA /RTA 1988 Includes minor injury and damage only Collisions Fatal and Serious As per CPIA RTA / CLA / CPIA / MoPI Review as per Nominal / injured party MoPI Gp1 - e.g. Causing death by dangerous driving. MoPI Gp2 - e.g. Causing danger to road users, MoPI Gp3 - fatalities or accidents where non-violent crimes involved, Others Collisions (POLAACs) Traffic Road Traffic Collisions - 3rd Party/injury to officer Minor Traffic offences - No injuries, collision books 6 years unless injury to child then age years 3 years from Dealt with date Traffic Minor motoring offences e.g. Defective tyre, lights etc. 1 year NFA, 3 years from dealt with date if court. Traffic Section 59 Form 1 year from date of issue RTA

18 ORGANISATION, PROGRAMMES AND PROJECTS 18

19 Information Activity / Task Air Operations / Support Unit - Flight Records Description / Example of Record Flight records; helicopter records Retention Rationale Scope Notes Comments 6 years Annual Reports Chief Constable's Permanently Historical/Public interest Audits System and internal security audits Campaigns Ceremonial, official openings, dedications Committee - SMT & SPM Campaigns - plans, briefs final documents Force ceremonials, openings, events etc. Agendas, conferences minutes, Audio recording of (all Force) Meetings (minutes) 2 Years End of campaign +1 year Look at further retention for historic purpose Permanently Historical/Public interest 6 Years All senior management & senior partnership meetings Dispose of once minutes have been transcribed to hardcopy and accepted as accurate by members at subsequent meeting Committees - Police Authority / PCC Contingency Planning Planning and Policy matters; meetings Continuous Improvement Reviews Corporate Permanently Main Committee agendas and minutes Performance indicators & all associated spreadsheets and statistics relating to their production. Best Value Reviews Until Superseded or Revoked 2 Years Force Policy, Health & Safety Executive, Civil Litigation Force Policy, Historical Corporate 19

20 Information Activity / Task Contracts Description / Example of Record Pre-Tender Documentation i.e. adverts and notices, expressions of interest, references, shortlist Retention Rationale Scope Notes Comments 3 years after award OJEU regulations Contracts Pre-Tender Documentation i.e. evaluation reports (PQQ s) 7 years OJEU regulations Contracts Contract Documents i.e. original tender, signed acceptance plus any variations to contract, performance notices, records of complaints, termination notices, extensions to contract 7 years after termination of contract OJEU regulations Correspondence - General Correspondence - Internal Correspondence from members of the public or Organisations Correspondence between stations, departments, staff etc. 2 Years from final communication on topic (6 years if there is possibility of civil litigation) If connected to a criminal case, HR or project retain in line with other paperwork, all other retain for 12 months Force Policy 20

21 Information Activity / Task Crime Statistics Description / Example of Record Various; see also Crimsec, Scorecards, Breath test Statistical returns - depersonalised information provided to Home Office on a regular basis. Retention Rationale Scope Notes Comments Key official stats retain permanently; all other stats retain for 2 years CrimSec Reports Evaluation Questionnaires HMIC Inspection & Audit Reports All annual, monthly and quarterly returns - either paper based or electronic HMIC annual statistical returns. 2 Years Training courses 2 years Inspection Reports; Thematic Inspection Reports; HMIC Audit reports 1 Year after actions completed HMIC owned Insurance Documents Policy Fidelity Guarantee, Liability and Aviation, Motor, Personal Accident and travel, Professional Indemnity, Property and Engineering 10 years; superseded + 10 years Force Policy Insurance Documents Policy Museum and Force Archives Employers' Liability Insurance Certificates Documents, photographs, artefacts 40 years Employers' Liability (Compulsory Insurance) Regs 1998 Permanently 21

22 Information Activity / Task Policy - Force Policy & Procedure Description / Example of Record Policy documents relating to the introduction of new legislation, and its documents/information interpretation and the formation of policy regarding major incident planning Policy documents/information relating to the formation of policy Retention Rationale Scope Notes Comments 25 years then review / archive Retention of final policy / procedure itself, not supporting developmental paperwork 1 year after subsequent revision Press Releases Press Office Press Releases 6 Years consider historical archive Press Releases Unused Draft Contingency Press 6 months Press Releases Releases Projects Reports, Plans, Briefings etc. 5 Years following completion of project & consider final report of major projects for permanent retention (in local archives office) Publications - Printed Re-organisation Printed Publications; force newspapers; annual reports etc. Amalgamations, boundary issues, establishment, inspection reports 6 Years consider historical archive 25 Years & consider historical Retention of policy / procedure itself, not supporting developmental paperwork Surveys Training Course content - Non Operational Training Course content - Operational Public surveys, research reports 2 Years Look at further retention for historic purpose 6 years 10 years Retain all versions whilst training course in existence + 10 years. Look at public interest / historic value 22

23 FINANCE 23

24 Information Activity Description / Retention Rationale Scope Notes Comments / Task Example of Record Accounts Receivable accounts 6 years +EoFY Auditors Accounts Final accounts tabulations Permanently Auditors Accounts Assets Audits Banking Records Statements of accounts rendered and payable; accounts outstanding and outstanding orders Assets/equipment registers/records Finance - internal and external Cheque book/stubs for all accounts; Dishonoured cheques; Stoppage of cheque payment notices; Record of cheques opened books; Cheque registers 6 years +EoFY When last item in register has been disposed of + 6yrs Force Policy, Auditors 6 years +EoFY Force Policy, Auditors 6 years +EoFY Force Policy, Auditors, Disputes, Claims, Financial Services Act 1986, Companies Acts 1985 and 1989 Banking Records Fresh cheques; record of cheques paid/presented 6 years +EoFY Force Policy, Auditors, Disputes, Claims, Financial Services Act 1986, Companies Acts 1985 and

25 Information Activity Description / / Task Example of Record Banking Records Bank deposit books/slips/stubs; Bank deposit summary sheets; Summaries of daily banking; Cheque schedules; Register of cheques lodged for collection Retention Rationale Scope Notes Comments 6 years +EoFY Force Policy, Auditors, Disputes, Claims, Financial Services Act 1986, Companies Acts 1985 and 1989 Banking Records Reconciliation files/sheets; Daily list of paid cheques; Unpaid cheque records 6 years +EoFY Force Policy, Auditors, Disputes, Claims, Financial Services Act 1986, Companies Acts 1985 and 1989 Banking Records Bank statements, periodic reconciliation's Bank certificates of balance 6 years +EoFY Force Policy, Auditors, Disputes, Claims, Financial Services Act 1986, Companies Acts 1985 and 1989 Banking Records Electronic records, audit trails Dispose in line with paper records unless stated Force Policy, Auditors, Disputes, Claims, Financial Services Act 1986, Companies Acts 1985 and 1989 Budgets Control year-end tabulations; End of year summaries; quarterly summaries. 6 years +EoFY Budgets Chartered Institute of Public Accountancy, estimates and actuals 6 years +EoFY Auditors 25

26 Information Activity / Task Cash Books/Sheets Description / Example of Record Expenditure sheets; Cash books/sheets; Monies book Retention Rationale Scope Notes Comments 6 years +EoFY Force Policy, Auditors, Disputes, Claims Central Requisitions Stores Purchase orders 6 years +EoFY Force Policy, Auditors, Disputes, Claims Creditors Creditors history records, lists and reports Debtors Debtors records and invoices, debit notes, invoices paid or unpaid etc. 6 years +EoFY 6 years +EoFY Duty Records Record of hours worked 6 years +EoFY Employment Cost Cost of employment 6 years +EoFY Expenditure Records Expenditure Records Creditors' history records; lists/reports Statements of accounts outstanding; outstanding orders; statements of accounts - rendered payable 6 years +EoFY VAT implications 6 years +EoFY Force Policy Expenses Mileage/travel and subsistence - claims and authorisation; Credit Card statements and receipts Financial Working Closing Papers; estimates Papers working papers (including spreadsheets); grants working papers (or until completion of audit) Income Generation Income generation, sponsorship 6 years +EoFY Taxes Management Act years +EoFY Force Policy, Auditors 6 years +EoFY 26

27 Information Activity / Task Invoices Description / Example of Record Paid invoices (except utility invoices) Retention Rationale Scope Notes Comments 6 years +EoFY VAT implications Invoices Utility invoices 6 years +EoFY Force Policy Ledger Records Ledger Records Ledger Records General and subsidiary ledgers produced for the purposes of preparing certified financial statements or published information; Creditors' legers Audit sheets - ledger postings Journals - prime records for the raising of charges 6 years +EoFY Force Policy 6 years +EoFY Force Policy 6 years +EoFY Force Policy Overtime Forms Overtime forms 6 years +EoFY Force Policy Payroll Payroll records/personal record cards Payroll External Payroll records/personal record cards 6 years +EoFY Force Policy 6 years +EoFY Force Policy Payroll Pay ledger 6 years +EoFY Force Policy Payroll - external Government forms etc. Required for tax. 6 years +EoFY Payroll - internal Not required for tax 6 years +EoFY Pension files Police pension files (including Widows) Petty Cash Petty cash records/books/sheets; Petty cash receipts Postage Postage expenditure records / franking machine records Until age 100 TNA 6 years +EoFY VAT implications 6 years +EoFY Force Policy 27

28 Information Activity / Task Property - sub-letting of PCC buildings Description / Retention Rationale Scope Notes Comments Example of Record Leases End or expiry of contract + 1 NOTE: retention can also year dependent upon how contract is executed Precept Notification Precept charges 6 years +EoFY Purchase Orders - Official Certified copies of official orders Revenue Revenue Estimates, summaries 6 years +EoFY Force Policy 6 years +EoFY Force Policy Revenue Outturn Revenue outturn 6 years +EoFY Force Policy Travel and Subsistence Claims 6 years +EoFY Force Policy Value Added Tax (VAT) Quarterly VAT tabulations 6 years +EoFY VAT implications Time sheets Time sheet registers 6 years +EoFY Force Policy 28

29 PEOPLE 29

30 Information Activity / Task Description / Example of Record Retention Rationale Scope Notes Comments Accidents at work Accident report forms Accident books 6 yrs Civil Litigation (Limitation Act 1980), Health & Safety Executive Accidents at work Employers Liability Claims 6 yrs Civil Litigation (Limitation Act 1980), Health & Safety Executive Accidents at work Reportable injuries, diseases and dangerous occurrence 6 yrs Civil Litigation (Limitation Act 1980), Health & Safety Executive Annual Leave Records 2 years Discipline Records Misconduct and complaints against police / staff 6 years Note: deletion of information here is not the same as a spent warning Employment Tribunals Records and files 6 years from conclusion of case After conclusion Firearms Certificates Grievances Training Firearms Certificates Training Equal opportunities, sexual / racial harassment until age 100 in line with personnel file 2 years After resolution Not to be confused with discipline Internal Grievance process Health & Safety - Audits Audits, safety inspections 5 years Health & Safety Records Accident Report Forms: Forms F2508 (accidents and dangerous occurrences): Form F2058A (diseases) 3 years from date of event (or 6 years after claim) 30

31 Information Activity / Task Description / Example of Record Retention Rationale Scope Notes Comments Health & Safety Records Records where exposure may lead to disease many years later 40 years Health & Safety Records - Air Monitoring Health & Safety Records - Asbestos Health & Safety Records - Asbestos Air monitoring - lead 5 years Asbestos Records of those exposed to asbestos Asbestos inspections and building records 40 years (from the date of last record entry). Minimum Period. Removal of asbestos + 5 years or subsequent inspection + 5 years Control of Asbestos Regulations 2012 Control of Asbestos Regulations 2012 Health & Safety Records - Awareness Records Health & Safety Records - Biological Agents Health & Safety Records - Buildings Health and safety awareness records List of employees exposed to group 3 & 4 biological agents 5 years 10 years from last exposure Buildings Lifetime of building ( plus 3 years) Health & Safety Records - Compressed Air Compressed Air 40 years from last exposure Health & Safety Records - Exposure to Lead Health & Safety Records - Exposure to Lead Health & Safety Records - Fire Exposure to Lead 40 years from last exposure Maintenance measures control 5 years from date of entry Fire Certificates 12 years after expiry or until superseded ( Health & Safety Records - Fire Fire precautions and services 10 yrs after issue BS

32 Information Activity / Task Description / Example of Record Retention Rationale Scope Notes Comments Health & Safety Records - Incident Reports Incident Reports See accident reports Health & Safety Records - Inspections Reports Health & Safety Records - Ionising Radiation equipment Health & Safety Records - Ionising Radiations Inspections Reports 5 Years Examination of respiratory protective equipment and passbook Ionising radiations health records 5 years after last use 50 years from date of last entry Health & Safety Records - Medical Reports Health & Safety Records - Portable Appliance Testing Health & Safety Records - Risk Assessments Medical Reports 40 years Records of tests Lifetime of equipment Health & Safety records, including (but not limited to) statutory inspections and tests, should be kept throughout the working life of the equipment. Should be retained indefinitely if there is any measurable risk of a liability Risk Assessments 10 years Injury on Duty Forms 6 years Personal Records - Staff all records 6 years after retirement / leaving/ death in service Personal Records Officers all records Until 100 years of age or death (+ 6 years from death where death occurs in service ) Promotion Board Notes 1 year Recruitment - Police 1 year Officers Recruitment - Police Staff 1 year 32

33 Information Activity / Task Description / Example of Record Retention Rationale Scope Notes Comments References (sent by 6 years force) Sickness Records - Staff 6 years after retirement /leaving /death in service Sickness Records - Officers Training Administration Records Training Evaluation Questionnaires Records relating to admin for training, not training itself Questionnaires completed after training courses 100 years of age or death (+ 6 years from death where death occurs in service ) 2 years Force Policy 2 years Force Policy Training Records - staff Record of training received by the individual 6 years after leaving / Retirement / death in service Training Records - Record of training received 100 years of age or death officers by the individual (+ 6 years from death where death occurs in service ) Vetting Contractor vetting End of contract + 1 year Force Policy Vetting Successful vetting: Personnel vetting, local intelligence checks, references, referees checks, counter terrorist checks etc. Length of employment plus 12 months Force Policy Vetting - refusals Failed vetting 6 years Limitation Act Vetting - Temporary Staff & Contractors Visitors Passes Non Police Personal Vetting End of contract + 1 year Force Policy Record of visitors to police property. 1 year Force Policy Warrant Cards & ID cards destroy on end of service 33

34 INFORMATION 34

35 Information Activity / Task Description / Example of Record Retention Rationale Scope Notes Comments Criminal Injuries Compensation Authority Claims (see also Litigation against the force) Disclosures Subject Access Requests 2 years from disclosure or from completion of any appeal, local or ICO. Then review. Claims by persons injured 6 yrs Civil Litigation (Limitation Act 1980) ACPO DP Manual of Guidance (s5.14), good practice. Data Agreements Processing Contracts, Other Life of contract or end of agreement Disclosure DBS Retain for 10 years from date of request Disclosures s29(3) requests 2 years from date of disclosure DBS Quality Assurance Framework (QAF) / MoPI Group 4 Disclosures S3 Mental Health Act Requests 2 years from date of disclosure Disclosures Social Services, local authority, DP registers and ad hoc 2 years from date of disclosure Disclosures Cafcass checks 2 years from date of disclosure 35

36 Information Activity / Task Description / Example of Record Retention Rationale Scope Notes Comments Disclosures Notifiable Occupations 6 Months from date of disclosure Disclosures Court Orders Retain for 10 Years from date of request Section 35 Disclosures Freedom of Information 2 years from disclosure or from completion of any appeal, local or ICO. Information Sharing Agreements, Protocols, Memoranda of Understanding Copies of Information sharing protocols & Memoranda of Understanding Until superseded or revoked Identity Access Management Records Records of the supporting evidence and methods used to verify and validate identity 7 years from the end of the business relationship HMG Requirements Minimum Following discussion with the National PND Project Team there is a requirement to retain records validating the identity of individuals in accordance with HMG's Minimum Requirements for the Verification of the Identity of Individuals for the purposes of tscheme accreditation. Note on charging for services, including disclosures Section 18 of the Police Act 1996 allows goods and services to be provided by the police and an appropriate charge can then be made to customers. ACPO produced Guidance on Charging for Police Services in 2005, which is used as the basis for charging external bodies and individuals for policing services. The provision of goods and services under Section 18 applies to the provision of information from police databases, and whilst ACPO guidance does say pricing policy is at the discretion of the individual Force, standard charges are laid down in Appendix 3 For information only. 36

37 ASSETS & PRODUCTS 37

38 Information Activity / Task Description / Example of Record Retention Rationale Scope Notes Comments Alarms Burglary Alarm installations (non-police locations) end of subscription Asset Register List of assets e.g., hardware when superseded Breath Testing Evidential breath procedures; breath machine log etc; calibration /certification of the station Intoximeter machine by a qualified engineer Life of machine + 1 year Breath Testing Local test records for hand held road side breath test machines. Usually done weekly by a clerk. 6 Months CS / PAVA Gas Records Issue / disposal Life of canister + 6 months CS / PAVA Gas Records Discharge 6 years Dogs - Police Dogs Individual Police dogs files (includes bites records / register) Equipment and Supplies Personal protective equipment supplied, maintenance logs etc. Fire Tests Monthly fire tests at Force buildings Service of the dog + 6 years 6 years 7 years Fire Precautions Act 1971 as amended by the Fire Precautions (Workplace) (Amendment) Regulations 1999, SI

39 Information Activity / Task Description / Example of Record Retention Rationale Scope Notes Comments No 1877 Record of Firearms issued and returns Horses Information Technology - Back Up Tapes Photographs: Negatives of photographs produced for the force Police Authority / PCC Buildings and Land - Deeds Police Authority / PCC Buildings and Land - Police Houses / Stations Individual Police horse files (includes incident records / register) 2 Years Force Policy From last entry Service of the Horse + 6 years Back-up tapes Local Force requirements Photographs: Negatives of photographs produced for the force (not crime related) Dispose of when no longer required. Historic negatives to be kept for local archiving. Force Policy / Historical Deeds Until the sale of the property Force Policy Documents/information relating to the ownership of buildings and land property plans and records of work etc. Until the sale of the property Some police house / station documents are of historic interest and will be kept permanently Property - Buildings not owned by Police Authority / PCC Property - sub-letting of police authority / PCC buildings Stock taking Inventories, stock or store records Vehicles (Police) Defects Vehicles defect reporting, registers Leases End or expiry of contract + 6 years Leases End or expiry of contract + 1 year 6 years + EoFY Disposal of vehicle + 3 years Force Policy Force Policy Depends on how contract is executed. 39

40 Information Activity / Task Vehicles (Police) Equipment Specifications Vehicles (Police) Log Book Vehicles (Police) Maintenance Records Vehicles (Police) New Vehicle Check Form Description / Example of Record Vehicle Equipment Specification Sheets Log books; mileage records etc Vehicle history; Maintenance records register; Job cards; Parts records Check list for vehicles prior to being accepted and commissioned into fleet Retention Rationale Scope Notes Comments Disposal date + 3 years Force Policy Disposal of vehicle + 3 years Force Policy Disposal of vehicle +3 or +7 years if vehicle involved in POLAC) Force Policy, Civil Litigation (Limitation Act) 1980 Disposal date + 3 years Force Policy, Civil Litigation (Limitation Act) 1980 Vehicles demonstration on Test log for vehicles trialled by the Force; Appraisal forms 3 years Force Policy Vehicles on Hire Request to Hire etc. 6 years + EoFY Force Policy Waste Management - Special Waste / controlled Consignment notes 3 years Special Waste Regulations 1996, Environment Protection (Duty of Care) Regs

41 APPENDIX A PENTIP: TABLE OF RETENTION PERIODS Notice Type Endorsable FPN Nonendorsable FPN Component Offender Details Personal Details Name Address line 1 Phone/ Driver Number Date of Birth Non-Personal Offender Details Postcode Ethnicity Age Personal Data? Yes No 41 Retention Period (From Date first entered on PentiP) 3.5 years 6 years Registered Keeper Yes 3.5 years Driver Nominations Yes 3.5 years Offence Details Licence Details Payment Details Offender Details Offence Codes Offence Location Offence Date/Time Notice Number Personal Details Driver Name Driver Number Non-Personal Details Licence Type Transaction Details Fine Registration Certificate Payee Details Personal Details Name Address line 1 Phone/ Driver Number VRM Date of Birth Non-Personal Offender Details Postcode Ethnicity Age No Yes No No Yes Yes Yes No 6 years 3.5 years 6 years 6 Financial years 6 Financial years 6 Financial years 3.5 years 6 years Reason Period of Endorsement - To support Operational Decisions in event of further offending Management Information Part of FPN Process Part of FPN Process Management Information Period of Endorsement - To support Operational Decisions in event of further offending Management Information Financial Transaction Financial Transaction Financial Transaction To support Operational Decisions in event of further offending Management Information

42 Registered Keeper Yes 3.5 years Driver Nominations Yes 3.5 years Offence Details Payment Details Offence Codes Offence Location Offence Date/Time Notice Number Transaction Details Fine Registration Certificate Payee Details No No Yes Yes 6 years 6 Financial years 6 Financial years 6 Financial years Part of FPN Process Management Information Financial Transaction Financial Transaction Financial Transaction HO/RT1 VDRS Satisfied Partially Satisfied / Unsatisfied Complied With Personal DetailsNameAddress Line 1Phone/ Date of BirthVRMDocument Details Non-Personal Details Postcode Ethnicity Documents Requested Notice Number Personal Details Name Address Line 1 Phone/ Date of Birth VRM Document Details Non-Personal Details Postcode Ethnicity Documents Requested Notice Number Personal Details Name Address Line 1 Phone/ Date of Birth VRM Document Details Non-Personal Details Postcode Ethnicity Documents Requested Notice Number Yes 6 months No offence No Yes Yes 6 years 3.5 years 6 years Part of FPN Process Part of FPN Process Management Information Yes 6 months No offence Yes 6 years Management Information 42

43 PND Cannabis Warnings Partially Complied / Not Complied Offender Details Guardian Details Offence Details Payment Details Personal Details Name Address Line 1 Phone/ Date of Birth VRM Document Details Non-Personal Details Postcode Ethnicity Faults Identified Notice Number Personal DetailsNameAddress Line 1Phone/ Date of Birth Non-Personal Details Postcode Ethnicity Yes Yes Yes Yes 3.5 years 6 years 3.5 years 6 years Satisfied PND Yes 6 months Cancelled PND Yes 6 months Fine Registered Yes 6 years Offence Codes Offence Location Offence Date/Time Notice Number Transaction Details Fine Registration Certificate Payee Details No No Yes 6 years 6 Financial years 6 Financial years 6 Financial years Offender Details All details Yes indefinitely Offence Details All details No indefinitely Yes Part of FPN Process Part of FPN Process To prevent duplicate issue - To support Operational Decisions in event of further offending Management Information Guardian details are no longer required once PND has been satisfied Guardian details are no longer required once PND has been satisfied Financial Transaction Management Information Financial Transaction Financial Transaction Financial Transaction Cannabis Warnings do not have a legislative validity period. Offender should only receive one Cannabis Warning. Management Information 43

44 Appendix B: Review Schedule from the Guidance of The Management of Police Information Second Edition 2010 Note these are the minimum retention periods. Review Group Offence/Record Type Action Rationale Group 1 Certain Public Protection Matters MAPPA offenders managed Serious specified offences - CJA 2003 Potentially dangerous people Retain until subject has reached 100 years of age Review every 10 years to ensure adequacy and necessity This category poses the highest possible risk of harm to the public Group 2 Other Sexual and Violent offences Sexual offences listed in Schedule 3 Sexual Offences Act 2003 Violent offences specified in the Home Office Counting Rules/ National Crime Recording Standard Review after an initial 10- year clear period If subject is deemed to pose a high risk of harm retain and review after a further 10-year clear period National Retention Assessment Criteria Group 3 All Offences Other Non-sexual, non-violent Retain for initial 6-year clear period. Either review and risk assess every 5 years or carry out time-based disposal depending on Constabulary policy Lower risk of harm. Constabularies must balance the risk posed by this group with the burden of reviewing. Group 4 Undetected Crime Serious offences Other offences specified Retain records for 100 years from the date the crime was reported to police 6 years CJA 2003 Limitation Act 44

45 Review Group Offence/Record Type Action Rationale CRB Disclosures Information disclosed under Part 5 of the Police Act 1997 Intelligence Products Target Profiles Missing Persons Resolved Association Diagrams Unresolved Retain for 10 years from date of request Review according to crime type as outlined in categories 1-3 Retain for a minimum of 6 years. Dispose of if this period has been clear and there are no further indicators of risk Retain indefinitely CRB Quality Assurance Framework Limitation 1980 Act Victim/Witness Details Retain for a minimum of 6 years or length of sentence if this is longer Limitation 1980 Act Decisions to dispose of must be made on a case by case basis CPIA 1996 Retain if victim/witness is recorded as the offender/suspect for another offence 45