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Data Retention Policy v1.0 of 89

Data Retention Policy

Policy Reference No: DBS 113

Date of Implementation: 6 December 2013

Policy Owner: Security & Facilities

Policy Author:

Version: 1.0

Review Date: December 2014



1.0 Policy Statement 4

2.0 Scope 4

3.0 Principles 5

4.0 What it means in Practice? 6

5.0 Links 6

6.0 Appendix A 6

6.1 Customer Relationship Management System (CRM)- 6

6.2 Applicant Personal Data 8

6.3 Investigation Team STOP Files – Applicant Personal Data 10

6.4 Update Service Registered Applicant Personal Data 11

6.5 Credit Card Payment Details for the UPDATE SERVICE 12

6.6 Registered Body Data 13

7.0 Corporate File Plan (CFP) 15

8.0 Disclosure Business Functions 16

8.1 Accommodation / Health and Safety/RISK 16

8.1.1 Business (Disclosure) Transition and Assurance Team - Transition

Team 17

8.1.2 Business (Disclosure) Transition and Assurance Team - Assurance and

Procedures Team (APT) 18

8.1.3 Disclosure Assurance/Assurance Analysis 21

8.1.4 CEO Secretariat 22

8.1.5 Commercial 23

8.1.6 Combined Investigations Unit 26

8.1.7 Customer Services 28

8.1.8 Data Protection and Records Management 36

8.1.9 Equality and Diversity Team - HR 38

8.1.10 Financial Accounts 40

8.1.11 HR 42

8.1.12 Operations 47

8.1.13 Police Finance 58

8.1.14 Police Performance Team 59

8.1.15 Policy, Information Governance & External Governance 60

8.1.16 Performance 63

8.1.17 Programme 64

8.1.18 Registered Body Account Management 69



8.1.19 Registered Body Training Communications 71

8.1.20 Security 72

8.1.21 Standards and Compliance Unit 74

8.1.22 Communications 76

9.0 Operational Barring 80

9.2 Initial Review Trigger Process 80

9.3 Subsequent Review Trigger Process 81

9.4 Clear Period Trigger Review Process 81

9.5 Statutory/Prescribed Trigger Process 82

9.6 Update Trigger Process 82

9.7 Report of Death Trigger 82

9.8 Disposal of Information 82

10.0 Barring Operational Data 83

10.1.1 SVGA 2006 (Barred List Prescribed Information) Regulations 2008/16

85

11.0 Appendix B - Abbreviations 87



1.0 Policy Statement

1.1 The DBS is responsible for creating, maintaining and implementing retention criteria for its own records. 1.2 This document sets out the Disclosure and Barring Service (DBS) Policy on the disposal and retention of records. It applies to all records, both in paper and electronic form.

2.0 Scope

2.1 The document is in three parts. The first section relates to Applicant Disclosure Records held in the Customer Relationship Management System (CRM), the second section relates to information stored within the Corporate File Plan (CFP) on POISE broken down by Directorate/Business unit for ease of use, and the third relates to Operational Barring data held in both electronic and paper form. 2.2 This document is intended for use by DBS staff when applying retention or disposal criteria to their records. However the physical deletion of the records stored within the CFP will need to be undertaken by the Units Records Advisor. It is a living document and will be updated to reflect changes in working practice when required. 2.3 Further information on general government record appraisal, selection and disposal can be found in the Lord Chancellor‟s Code of Practice on the Management of Records under Section 46 of the Freedom of Information Act (FOI) 2000. The Code sets out that under FOI the disposal of records is undertaken in accordance with clearly established policies. 2.4 The CFP section of the Policy shows the periods when particular types of DBS records should be reviewed to determine if there is an ongoing business need, if the record should be retained, destroyed or permanently preserved. Please Note: Staffing information held within each Business Unit should be retained in accordance with the HR section of the Policy. 2.5 Individual HR records for staff i.e. Sickness Absence Management (SAM) Performance etc should be held on the staff management file in accordance with Human Resources Policy. 2.6 Any queries relating to this Policy in the first instance should be directed to the Data Protection Officer or the Records Management Team.



3.0 Principles

3.1 One of the main aims of successful record management is to be able to find, quickly and readily, any information requested. The introduction of the FOI Act in January 2005 reinforced the need to know what we hold and be able to locate it promptly. 3.2 In order to support this objective this document describes the types of documents that are used by the DBS by

-Directorate/Business Unit -what the business purpose is and

-when they should be destroyed. 3.3 The DBS will review information regularly to ensure that it is:

Necessary – the information must hold some value for the DBS to carry out its functions.

Proportionate – in order to justify the retention of the information, it must be proportionate to retain the information against the impact on individuals Human Rights, specifically in Human Rights Act Article 6 – Right to a Fair Trial and Article 8 – Right to Respect for Private and Family Life

Adequate – in order to justify the retention of information, it must be as complete as possible

Relevant – information must be fit for the purpose for which it is held

Accurate and up to date – all record details must be accurate, records must be updated with any new information

Of Historical value - it may also be necessary to retain information of particular legal or historical significance. This relates to past-periods data, used usually as a basis for forecasting the future data or trends. From a DBS perspective papers relating to the setting up of CRB/ISA and subsequently DBS would fall into this category.

3.4 Factors which may impact on the retention of information are:

The Age of Information – As time progresses information can become increasingly inaccurate

The Reliability of Information – May be questioned/unreliable where the information is unproven

The Reliability of the Source of Information – Sources of information may prove to be unreliable or false allegations may be made

Social Change – Changes in social acceptability of actions by individuals

Legislative Change – Changes in legislation can influence or be influenced by social change, bringing into question the continued retention of information.



4.0 What it means in Practice?

4.1 The relevant owners of the documentation are responsible for its review in line with this Policy this also includes documents held in paper form. When the retention target is reached the information will need to be reviewed to confirm that the information is to be destroyed. This is because there is no further business, statutory or historical reason to keep them or select them for re-review at a later date either because business need is ongoing or because of potential historical value. 4.2 Any documents that are stored within the electronic records folders that need to be deleted will need to be highlighted to the relevant Unit‟s Record Advisor for deletion to take place. 4.3 Barring case workers will apply the Policy as appropriate to Barring casework referring to Operational Policy for standing instructions. The Data Retention Champions will also oversee the process.

5.0 Links

CFP User Guide F:\_CFP\6-Res & Perf\13-Unit Specific Functions\550-DBS\04-Info Mgmt\004-CFP Mgt\02-Records\CFPUserGuide[1].docx RA User Guide F:\_CFP\6-Res & Perf\13-Unit Specific Functions\550-DBS\04-Info Mgmt\004-CFP Mgt\02-Records\RAGuideCFP[1].docx

6.0 Appendix A

6.1 Customer Relationship Management System (CRM)-

CRM is the core system used for storing and processing Disclosure applications as well as maintaining relationships between Registered Bodies and applicants.

The data processed within CRM and supporting team databases are considered as a single logical entity and can be categorised broadly into four groups of data;

-Applicants or applications

-Registered Bodies

-Intelligence, notes and white mail relating to a disclosure application

../../../../../../../../../../../../04-Info%20Mgmt/004-CFP%20Mgt/02-Records/CFPUserGuide%5b1%5d.docx

../../../../../../../../../../../../04-Info%20Mgmt/004-CFP%20Mgt/02-Records/CFPUserGuide%5b1%5d.docx

../../../../../../../../../../../../04-Info%20Mgmt/004-CFP%20Mgt/02-Records/RAGuideCFP%5b1%5d.docx

../../../../../../../../../../../../04-Info%20Mgmt/004-CFP%20Mgt/02-Records/RAGuideCFP%5b1%5d.docx



-Related data of external bodies such as Local Police Forces

The criteria for the various categories of data with their retention periods which have been identified are displayed in table form.

The data items and retention periods identified for CRM data are stated only within the scope of DBS Disclosure.



6.2 Applicant Personal Data

Data Category Retention Period Notes

Data Applicant personal data record. Criteria All disclosure applications, this includes completed Disclosures in addition to those that are only partially completed if withdrawn or processing is stopped for any other reason. Content The purged data will include all nominal (personal) data which can positively identify an applicant. This includes the data taken from the original application form, notes, disclosure details, service requests and any related inbound or outbound white mail. It will also include the image of the original individual application form plus the image of the disclosure certificate.

CLEAR DISCLOSURES Delete after 7 years from the date of issue of the disclosure certificate, or from a cancellation or withdrawal of the disclosure application. DISCLOSURES CONTAINING SOME FORM OF INFORMATION Delete after 15 years from the date of issue of the disclosure certificate, or from a cancellation or withdrawal of the disclosure application

Anonymised data should be retained for current MI purposes and can be held for as long as operational requirements dictate and for future MI reporting. This anonymised data will be categories such as age profiles, regions, type of employer, etc and will not identify individual applicants.

Manual Certificates

The Manual Certificate process is a contingency process which is used when a system based certificate is not possible. Information is retained in hard copies for certificates issued up to 2011 and records are kept electronically for all subsequent manual certificates on CRM in Q Drive in accordance with timeframes set for system based certificates.



Telephone Recordings – 4 years from the date the call was made.

All telephone calls are recorded with the exception of telephone lines deemed unsuitable for recording i.e. TUS, Security.



6.3 Investigation Team STOP Files – Applicant Personal Data

STOP files are a repository for storing cases DBS previously investigated where the DBS Investigating Officer has deemed it necessary to retain their nominal information together with the documents used to support the DBS Application in order to monitor the individual if they reapply and commit the same offence. The data can either be individuals who have been forwarded for Police investigation or have been issued with a Warning Letter reiterating the offence that has been committed and to advise that any repeated attempts to circumnavigate the system may result in Police action.

Data category Retention period Notes

Data Applicant personal data record. Criteria This is an exceptional case where the applicant appears on the INVESTIGATIONS TEAM STOP files Content A subset of the personal data including full name date of birth, passport numbers, nationality, driving licence number National Insurance number, reason why they are in STOP file. Additionally, some files consist of Registered Body, employer, position applied for and all relevant notes and supporting intelligence.

Delete after 15 years from the time the applicant has been placed on the STOP file.

This will comply with fraud requests and will aid as evidence in potential prosecutions



6.4 Update Service Registered Applicant Personal Data


Data Applicant personal data record currently registered under the Update Service. Criteria Currently registered Content Includes all personal and audit data relating to the registrant.

Retain all data for the lifetime of the current registration.

Anonymised data should be available for current MI reporting purposes. This anonymised data will be categories such as age profiles, regions, type of employer, etc and will not identify individual applicants.

Data Applicant personal data record no longer registered under THE UPDATE SERVICE Criteria All DBS applicants who cancel subscription to the service, withdraw or whose subscriptions are cancelled or invalidated. Content The purged data will include all nominal (personal) data which can positively identify an applicant. This includes the data taken from the original registration form, notes, certificate details, service requests and any related inbound or outbound white mail. It will also include the image of the original individual application form.

CLEAR Certificates Delete after 7 years from the time their subscription is cancelled, withdrawn or invalidated. CERTIFICATES CONTAINING SOME FORM OF INFORMATION Delete after 15 years from the time their subscription is cancelled, withdrawn or invalidated.

Anonymised data should be retained for current MI purposes and can be held for as long as operational requirements dictate and for future MI reporting. This anonymised data will be categories such as age profiles, regions, type of employer, etc and will not identify individual applicants.



6.5 Credit Card Payment Details for the UPDATE SERVICE


Credit Card Details Non Automatic renewal -18 months Automatic Renewals- -18 months after they‟ve expired.

Card details are encrypted and stored securely for refund purposes. Card details will be encrypted and stored securely until they are automatically deleted.



6.6 Registered Body Data


Data All data relating to Registered Bodies, but excluding personal details of the signatories. Criteria To include Registered Bodies that are currently or no longer registered. It will include those completed Disclosures in addition to those partially completed if withdrawn or processing is stopped for any other reason. Content This would include the organisation name, address, etc.

Retain all data for the lifetime of the current registration and there after for as long as operation requirements dictate.

Data Personal records relating to Registered Bodies, such as those on lead and counter signatories. Criteria To include members of all Registered Bodies who are currently or no longer registered. It will include those completed Disclosures in addition to those only partially completed if withdrawn or processing is stopped for any other reason. Content This relates to personal

Retain all data for the lifetime of the current registration including the image of the original DBS application form. CLEAR CERTIFICATES Delete after 7 years after the signatory or registered body have ceased. DISCLOSURES CONTAINING SOME

Personal records of counter signatories should be kept for as long as operational reasons allow, especially in the context of signatories who have been cancelled and their re-application must be monitored.



details of lead signatories and counter signatories.

FORM OF INFORMATION Delete after 15 years after the signatory or registered body have ceased.



7.0 Corporate File Plan (CFP)

The Corporate File Plan (CFP) is the Home Office structure for filing both electronic and paper documents and records. The CFP only holds information up to and including RESTRICTED. The CFP is organised around the work we do, rather than who we are. This means it is organised by „functions‟ and „activities‟, rather than by Directorates and Units. The CFP differentiates between documents and records and these can be

shared with others, including those outside of your Unit/Section, helping us all

to work more efficiently and effectively. For example it can help reduce

duplication of documents, which can happen if we don‟t know a piece of

information already exists.

Folder Definitions

Documents: Information that is work in progress should be stored in the documents folder i.e. a report you are working on or a spreadsheet you are updating. This information when complete should subsequently be transferred to the records folder. Records: Information should be stored in the records folder when it is a finalised document. On transfer to the records folder no further amendments can be made unless a further version is saved. The application of retention periods set down within this Policy applies to both electronic and paper records. All information held needs to be reviewed and action documented periodically in line with this document and information deleted as appropriate.

Each business area within the DBS retains the responsibility for ensuring that documents are correctly filed within electronic folders or paper in files. The data listed on the following retention schedules is data stored

within the CFP.



8.0 Disclosure Business Functions

8.1 Accommodation / Health and Safety/RISK

Records Advisor:

Document Type Retention Period

Accident Book - Paper copies- HSE requirement

3 years from date of last entry

Accommodation Forum - Actions, plans, minutes,

5 years delete

BCP Plans - Plans relating to procedures/contacts in the

event of an emergency

Until Superseded

DSE Assessments - Paper copies, Record of DSE assessments

3 years delete

Equality Impact assessments and PES - Drafts, review sheets, , consultation reports

5 years delete

E-requisitions, FM requests and Work Orders - Copies of e-reqs, operating agreement, update sheet, statistics,

7 years delete

Facilities, Property and Sustainability - Property, building management, facilities and

utilities data,

5 years delete

First Aid and Fire warden - Lists, training details, E-mails

5 years delete

Health and Safety Committee & Subgroup - Minutes, action plans, updates, E-mails

3 years delete

Health and safety Policy and Procedures - Drafts, review sheets,

5 years delete

Reportable injuries, diseases and dangerous occurrences -Paper copies- HSE requirement

3 years delete

Risk Registers- Corporate/Health &Safety - Registers detailing risks identified, mitigating

actions and RAG status

Until Superseded



8.1.1 Business (Disclosure) Transition and Assurance Team - Transition Team

Records Advisor:


Budget Records 6 years from end of financial year

E-mails relating to Projects retained for audit trail to confirm decision making

5 years delete

Expenses Records including spreadsheets. 6 years from end of financial year

IT Requests - All IT request forms.

1 year after completion

Meetings Minutes - All meeting minutes & agendas from

project meetings to individual team

meetings.

5 years delete

Processes - Business processes

2 years delete

Project Documents - VBS, LISC, CRR, Convergence, THE

UPDATE SERVICE, AMS –

Documentation & Plans

5 years after implementation

Reports - Project/Business

10 years delete

Risks & Issues - Business Integrity

2 years after closure

Stats - To include adhoc statistics relating to

on going projects, Data quality and

team related.

5 years delete

Travel/Finance records - Requisition records, including travel

bookings/hotel bookings RTP and

associated spreadsheets.

6 years from end of financial year



8.1.2 Business (Disclosure) Transition and Assurance Team - Assurance and Procedures Team (APT)

Records Advisor:


Blank Templates of global e-mail, procedures, bulletins - Used regularly to format, review &

publish procedures

Until superseded

Comments & responses to procedure reviews – spreadsheets - Provides audit trail of process

changes, decisions

6 years delete

Completed AF10 Change Request Forms (document library) - Provides audit trail of process

changes, decisions made

6 years delete

Current Operational Procedures and Bulletins - Current staff instructions Until superseded

Database Management , request forms, drafts, errors logs - Audit trail of requests for new Access

databases, errors

2 years delete

E-mail Correspondence relating to processes / projects received & sent - Provides audit trail of process

changes, decisions

10 years delete

re CFP setup/retention sent & rec‟d - To track CFP changes requested in

case of issues 1 year after request completed

relating to risks, audits & security - Log of actions taken, decisions made 6 years delete

to/from Capita PSO - Audit trail of decisions made on

document review process When superseded

Letter Templates – sent to RBs / applicants - Used as reference material for

procedures

10 years delete

Meeting agendas and minutes - Audit trail of decisions made 2 years delete

Organisation Design, Service Delivery, job Until Superseded



definitions, org charts, functions & process flows - Sets out Service Delivery in 2009

Previous procedure worksheets/database - Provides audit trail of process

changes, decisions 10 years delete

Previous versions of Operational Procedures & bulletins (document library) - Provides audit trail of process changes

- for FOI requests / general info

Delete 10 years after superseded

Previous versions of Database - Provides audit trail of document

reviews & where docs are stored

6 years delete

Previous Visio process maps of DBS application processes, projects - Provides audit trail of process changes

6 years delete

- Project related E-mails 10 years delete

Project release schedules 2010-11 - Audit trail of project go-live dates 2 years delete

Project Review comments & Author‟s responses (Excel) - Provides audit trail of process

changes, decisions

10 years delete

Project Review documents e.g. THE UPDATE SERVICE, VBS, New projects etc (Word docs) - Provides audit trail of process

changes, decisions

10 years delete

Screenshots of CRM, databases used by other teams - Used regularly – copy & pasted into

new/updated procedure docs

Until superseded

Service Delivery Audit log – spreadsheets - Log of actions taken, decisions made 6 years delete

Service Delivery Risk log – spreadsheets - To manage risk – log actions taken,

decisions made 6 years delete

Staff training – and information 6 years delete

Team calendar (Excel) current & previous years

2 years delete



- To log leave

Templates - E-mail templates used when sending

documents for review When superseded

Visio process maps – of DBS application processes, new projects - Used regularly as reference material

for procedures & project reviews

Until superseded



8.1.3 Disclosure Assurance/Assurance Analysis

Records Advisor:


E-mails -Project Quality -Staff Related -Team Related

5 years delete

Guides - Management Checking Guidance/frameworks

2 Years after new version

Meetings Minutes - All meeting minutes & agendas from

project meetings to individual team

meetings.

2 years delete

Processes -Procedures -Checking Guidance

- Frameworks

2 years delete

Project Documents/Work Orders - VBS, Crosschecks, low score work orders

and project work.

2 years after implementation

Reports - Quality/Business

6 years delete

Stats - Quality/Individual/Projects

2 years delete

Templates - Pro forma‟s etc

1 Year after new version



8.1.4 CEO Secretariat

Records Advisor:


Briefing documents - Briefing notes - Visits - Meeting agendas - Programme‟s

2 years delete

Correspondence files - Covering a variety of folders relating to major projects

Review after 5 years

Hospitality Register 10 years delete

Minutes of meetings and agenda - Circulated

papers/reports/presentations

containing recorded minutes of

meetings and topics for

discussion for the following

meetings:

Board

Senior Management Team

Audit & Risk Committee

Remuneration

Quality & Standards

Finance & Planning

Equality & Diversity

Health & Safety

JCNC

15 years then consider for Permanent preservation

Sensitive correspondence folders - Covering a variety of

documents of a sensitive nature

and with user access limits

- Expenses

- Personnel letters for staff

- PDR‟S

- Valedictory letters

Review after 7 years with a view to destroy any non critical documents



8.1.5 Commercial

Records Advisor:


Accommodation Capita - Audit trail of accommodation provision under

Capita contract

6 years from end of PPP Agreement

Budget - Audit trail for Commercial Team budget

6 years delete

Contractual Documents Capita - Contractual documents in support of the PPP

Agreement


Supplier Relationship Management Capita – Meetings - Audit trail of commercial discussions


Supplier Relationship Management Capita – Scoring - Audit trail of CAF scoring process


Supplier Relationship Management Capita – Reports (Service Delivery Reports, Service Credit Calculations, Service Management Reports, Senior Management Reports, SDB Reports, Partnership Reports)

- Reports on contract operation


Supplier Relationship Management Capita – Board - Audit trail of decisions made by Capita Supplier

Relationship Management Board


Supplier Relationship Management Capita – Awards - Audit trail of applications for supplier awards


Supplier Relationship Management Capita – Governance

- Audit trail of governance structure


Supplier Relationship Management Capita – Management Information

- Management Information relating to the

delivery of the Disclosure Service


Supplier Relationship Management Capita – Contract Issues

- Audit trail of decisions made


Supplier Relationship Management Capita – Obligations

- Log of actions taken and decisions made on

contractual obligations




Supplier Relationship Management Capita – Sub Contractors

- Audit trail of decisions made on Capita sub-

contractors


Supplier Relationship Management Capita – Commercials

- Audit trail of decisions relating to commercial

issues


Supplier Relationship Management Capita – Promotion of Agreement

- Audit trail of activities undertaken to promote

awareness of the PPP Agreement


Schedules Capita - The PPP Agreement


Police - Audit trail of commercial activity relating to

police force engagement with DBS


Spend - Audit trail of spend with suppliers

6 years from end of contract

Legal Advice - Audit trail of legal advice received


Projects Capita - Audit trail of process changes and decisions

made


Domestic Matters - Staffing information

6 years delete

Business Plan - Commercial Team contribution to DBS

Business Plan

6 years delete

Audit & Risks - Audit trail of actions taken and decisions made

6 years delete

Projects Other - Audit trail of process changes and decisions

made


All Staff Messages - Staff instructions

6 years delete

Savings - Audit trail of value for money savings


Guidance & Procedures - Staff Instructions

6 years delete



Control Records - Logs to assist in management of commercial

team activity

6 years delete

PCoE - Audit trail of interaction with PCoE

6 years delete

DBS Contracts - Contract documentations and audit trail of

decisions made




8.1.6 Combined Investigations Unit

Records Advisor:


Archive Databases (cases) - Provides information for future

investigations and audit trail 10 years delete

Archive Databases (DPA) - Provides information for future investigations and audit trail 10 years delete

Archive Databases (Possible Illegal Immigrants) - Provides information for future investigations and audit trail 10 years delete

Contact Lists - Contact details of OGD for current

investigations Until superseded

Correspondence employers, RB's, applicants - provides information for

investigation decisions and audit

trail 6 years delete

Correspondence Other Gov Depts - UKBA, DVLA, General Registry Office, HMRC, NCA, LPF - Legal documents for prosecutions and audit trail 10 years delete

Correspondence letters and responses - provides information for investigation decisions and future reference Audit trail 6 years delete

Current procedures - current staff instructions

until superseded

Electronic records of discussions, minutes agenda‟s, TOR, forums - Management Information and audit

trail 2 years delete

Intel reports - provides information for

investigation decisions and

prosecutions 10 years delete

Live Databases (cases) - work in progress

until completed, then added to Archives



Paper records of supporting documentation and signed statements to be used as evidence - For police referrals and

prosecutions Until referred to police and/or prosecuted

Stats spreadsheets - Management Information, Risk

Assessment and QA 2 years delete

Word template letters - current procedures until superseded



8.1.7 Customer Services

8.1.7.1 Correspondence

Records Advisor: POISE:


Aged Application script

- Script to be used by Customer Service staff when contacting customers as part of the Aged Application process to establish if the DBS check is still required

When superseded

Barring Complaints 5 years

Barring Complaints Register 5 years

Complaint & Enquiry Category Codes

- List of Complaint & Enquiry category codes and definitions used to record customer issues for MIS purposes

When superseded

Complaint Correspondence Checklist

- Checklist provided to staff to follow to ensure that correspondence meets expected quality standards

When superseded

Complaint Database documentation

- Documentation and comment sheets relating to the management requirements for establishing and maintaining a Customer Service database to record correspondence details for MIS purposes

When superseded

Complaint Escalation Leaflet

- Leaflet explaining what customers can do if they remain dissatisfied with how their complaint has been handled

When superseded

Complaint Handling Representative list and referral form

- List of designated staff throughout the business that act as Complaint Handling Representatives and a referral form for Customer Service staff to raise issues with them

When superseded

Correspondence Handling processes and best practice guidance

- Guidance for staff on identifying different types of correspondence (MP, Ministerial, Treat Official etc) and how to handle them

When superseded



Correspondence Procedure PES

- Equality statement and action plan showing the level of consideration given to protected groups in developing the Customer Service Correspondence Procedure

When superseded

Correspondence QA Guide

- Checklist to be followed by Team Leaders when undertaking QA of correspondence

When superseded

Correspondence statistics for 2005 to 2010 - Monthly breakdown of volumes of

correspondence received, completed and PSS

between 2005 and 2010

5 years delete

Correspondence Trend Analysis reports 2006 to 2008 - Report of monthly volume and trend analysis of

correspondence received between 2006 and 2008

5 years delete

Customer Service Complaint letters - Copies of replies to customer complaints

5 years delete

Customer Service Complaint Referral Form - Form used by Call Centre Team Leaders to record customer details when complaint details taken by them over the telephone

When superseded

Customer Service Ex-Gratia referral form

- Form to be completed by Customer Service staff when referring a case to HEO‟s to consider awarding a redress payment to customer

When superseded

Customer Service letterhead

- Letterhead containing Customer Service details to be used when drafting correspondence

When superseded

Customer Service letters from 2008 to 2011

- Copies of letters issued by Customer Service between 2008 and 2011 in response to customer correspondence

5 years delete

Customer Service letters from 2012

- Copies of letters issued by Customer Service in 2012 in response to customer correspondence

5 years delete

Customer Service staff training matrix

- Spreadsheet showing the training schedule and training completed by Customer Service staff

6 years delete



DBS Complaint and Resolution Model - Corporate documents providing a definition of

what a complaint is and details of the complaint

escalation process

When superseded

FAQ Database

- FAQ Database for reference by staff to find answers to common questions

When superseded

Ineligible Application Process (IAP) templates and letters

- Standard templates and letters to send to customers in order to obtain further information on eligibility of positions under the IAP procedure

When superseded

Letterhead, Briefing Notes and Cover sheets for Director of Service Delivery (DoSD) and CEO responses

- Letterheads containing DoSD and CEO details to be used when drafting correspondence on their behalf. Briefing Note & Cover sheet templates to be used to provide background info to DoSD and CEO on cases for their signature

When superseded

Public Answered E-mail folder

- Public Outlook folder into which all E-mails answered by Customer Service staff are moved to after being sent to customers

12 months delete

Standard drafts and approved lines to take about frequently raised customer complaints - Library of approved responses for staff to refer to

when handling common customer complaints

When superseded

Standard responses and approved lines to take about frequently raised customer enquiries

- Library of approved responses for staff to refer to when handling common customer enquiries.

When superseded



8.1.7.2 Registration

Records Advisor:

Document Type Retention

Hard Copies- CRM

CSig Acceptance Documents - Registration Documentation

Hardcopies retained for 6 months unless appeal is ongoing.

CSig Rejection Documents - Registration Documentation


Pre Registration- - PRQs and associated documents retained in case contacted by RB


Registration Cancellation Programme (RCP) 2007 – 2012 - Progress files for all organisations captured within the

RCP.


All Electronic - CRM

Counter Signatory Removal Exercise - Database and templates / letters for alluding the c/sig cancellation exercise.

2 years

Mergers - Progress files for all organisations undergoing mergers

2 years

RCP Spreadsheets 2007 – 2012 - Organisations captured – via MIS spreadsheet – in the RCP. Identifies orgs that have appealed / not appealed against deregistration.

Retain for 2 years from each phase start?

Registration Statistics 2009 – 2012 - Stat records (spreadsheets) for all daily incoming registration work.

2 years

Umbrella Body Stats 2008 – 2010 - All letters, spreadsheets, stats and progress files for existing and potential UB‟s.

2 years

All Electronic POISE-CFP

CAF Outstanding Folder - Statistical Data

2 years

CAF Outstanding Folder - Sig suitability

5 years

CAF Outstanding Folder - Return c/sig

2 years

CAF Outstanding Folder - PRQ allocate

2 years

Monthly RAF‟s / CAF‟S - Statistical Data on docs received.

5 years

Weekly Counters Folder - Statistical Data

2 years

Weekly Masters Folder - Statistical Data

2 years



8.1.7.3 Customer Services Support Team

Records Advisor:


Excel

Disputes stats:

Met referrals

Disputes MIS

DQD Comparisons

2 years delete 2 years delete 2 years delete 2 years delete

Excel Accommodation plans - Accommodation plans for the move to 1st West

2 years delete

Excel CFP folder request spreadsheet - To track what CFP folders have been requested

2 years delete

Excel Spreadsheet C/S Budget Data,

Budget details for staffing costs, exps, training etc

XL Budget Variance C/S Dated 30th Nov 12

- Budget Variance – same data as above

6 years after end of financial year 2 years delete

Excel Spreadsheets C/S MIS - KPI sheet weekly & monthly

-Disputes MIS -Call Stats -Reprints Data

5 years delete 2 years delete 2 years delete 2 years delete

Excel Training Matrix - Details of all training C/S staff have undertaken

& future events required

6 years delete

FAQ access data base - For customer correspondence to find FAQ

When superseded

Various documents regarding IAP process, W59 process, Quality Assurance, Work Allocation

- Created whilst establishing the new processes within C/S

When superseded

Word documents And Powerpoint presentation

- Training documents for creating desk aids - Training Feedback Sheets

When superseded

Work Order - Submitted for changes to IVR messages in C/S

2 years delete

XL 1st thing report - Figures relating to no: E-mails in C/S inbox and

sub folders – completed daily

2 years delete

XL Monthly Correspondence Analysis - Categorised figures for the no: of enquiries and

complaints received each month

5 years delete



XL Service Delivery Board Paper - MIS data re: enquiries

2 years delete



8.1.7.4 Contact Team and Disputes

Records Advisor: POISE:


Flexi update log - Staff flexi details

2 years delete

FOI Call Data - Stat sheet recording the total number of calls to

Disputes team each day during 2010 and for FOI requests

5 Years delete

QA Template - Sheet for recording QA checks for staff

When superseded

Stats Sheets - Multiple Stats sheets for monitoring Disputes

Work. Includes;

Sixty Day Spreadsheet

Awaiting Post Dispute Application

Call Log

Call Monitoring

Disputes Accuracy Report

Disputes Stats

Met 60 days

Customer Services All Call Data Spreadsheets from 2011 through to 2012

Disputes Monthly stats - Revised Times

2 years delete

CRM:


Data Pro Offices - Address sheet for all Data Protection Offices

in the UK

When Superseded

Stats and records for Data Source Disputes and Data Quality Disputes

- Database monitoring incoming Disputes Work.

Includes;

Data Quality New Database - New Disputes Database

5 years delete



8.1.7.5 Sensitive Applications Team

Records Advisor:


- Enquiries regarding the confidential

checking service

2 years delete

- Replies to enquiries

2 years delete

Sensitive Applications Database - Holds applicants details who have requested the use of the confidential checking service

Contents -2 years delete Database – when superseded

Template letters - Template letters for the use of the sensitive application team

When superseded



8.1.8 Data Protection and Records Management

Records Advisor:

Document Type Purpose Retention Period

Audit Records Information relating to The National Archives Information Management Assessment & Information Commissioners Office Audit

6 years delete

Data Protection Compliance Review Documentation

- Final Compliance

Reports

Proformas completed for internal reviews

2 years delete 3 years delete

Data Protection Correspondence

General Correspondence from applicants regarding Data Protection issues and DBS responses.

2 years delete

Data Protection E-mail correspondence

E-mails sent internally and externally regarding Data Protection issues stored in public folder

6 months delete

Data Sharing Agreements

Template for Data Sharing Agreements

Until superseded

ICO Correspondence Requests for Information regarding specific cases

2 years delete

Information Asset Owner Network

- Information Asset

Register

- E-mails

- Submitted IAR

Change Forms

- Annual Assurance

Statement

- Agenda and

Minutes taken

from the Quarterly

SIRO meeting

Lists all the Information Assets across the business E-mail correspondence from IAOS regarding IA0s business

Living Document 6 months delete Retained for life of asset 3 years delete 3 years delete



- Information Asset

Register Archive

5 years delete

Training Materials - Powerpoint

Presentations

- Information

Booklets

Material relating to IAO and RA training

Until superseded

Various IA Network Communications

- Newsletters

12 months delete



8.1.9 Equality and Diversity Team - HR

Records Advisor:


Communications

Circulars 2 years after issue

Team Brief articles 2 years after issue

All staff messages 2 years after issue

OTR 2 years after issue

Connectt 2 years after issue

Corres 2 years after issue

Diversity Strategy Returns

2007

2008

2009

2010

2011

5 year review

Diversity & Values Event

Docs

Recs

5 year review

EDV Sub - Group

ToR 5 year review

Action Plans 3 years after date of last meeting

Agendas 3 years after date of last meeting

Minutes 3 years after date of last meeting

Papers 3 years after date of last meeting

Actions 3 years after date of last meeting

Scheme 2007 - 2010 5 year review

Action Plan 5 year review

Progress Reports 5 year review

Employment Monitoring Report

2007-2008 5 year review

2008 - 2009 5 year review



ToR 5 year review


Minutes 3 years after date of last meeting

Papers 3 years after date of last meeting

Actions 3 years after date of last meeting

Equality Questionnaires

2008

2009

2010

2011

3 Years after issue



Local Stakeholder Forum

ToR 5 year review


Review Docs 3 years after date of last meeting

Review Comments 3 years after date of last meeting

Action Plans 3 years after date of last meeting

SSNs Member Survey Results

2009

2010

2011

2012

3 Years after issue

SSNS

agender 5 year review

HODS 5 year review

HOW 5 year review

Hindu Connection 5 year review

Spectrum 5 year review

The Network 5 year review

Christian Network 5 year review

Sikh Association 5 year review

Islamic Network 5 year review



8.1.10 Financial Accounts

Records Advisor:


Accounts Paper copies in storage – Marsham Street / electronic copies on CFP

7 Years Delete

Asset/Equipment Registers/Records 7 Years Delete

Audit Files Paper copies in storage – Marsham Street / electronic copies on CFP

7 Years Delete

Audit Sheets – Ledger Postings 7 Years Delete

Audit Trails 7 Years Delete

Bank Deposit Books, Slips and Butts 7 Years Delete

Bank Reconciliation Files/Sheets 7 Years Delete

Bank Statements/Periodic Reconciliations 7 Years Delete

Capita Invoices

Journals

Credit Control

Accruals

Capita Costs

Accommodation Costs

Paper copies in storage – Marsham Street / electronic copies on CFP

7 Years Delete

Cheques 7 years delete

Copies of invoice/debit notes rendered on debtors (invoices paid/unpaid, registers of invoices, debtors ledgers, etc)

7 years delete

Copies of Invoices and source documents 7 years delete

Credit Notes 7 years delete

Ex-gratia Paper copies in storage – Marsham Street / electronic copies on CFP

7 Years delete

Job Centre+ (CRB vouchers) Paper copies in storage – Marsham Street / electronic copies on CFP

7 years delete

Journals – Prime Records for the Raising of Charges

Current + 6 Years

Journals (details of financial movements) Paper copies in storage – Marsham Street / electronic copies on CFP

7 Years delete

Periodic Financial Statements Prepared for Management

7 Years delete

Records Relating to the Calculation of Annual Depreciation

7 Years delete

Requisition Records 7 Years delete




Secondees Paper copies in storage – Marsham Street / electronic copies on CFP

7 Years delete

Staff Debtors (including – season tickets, Imprests) 7 Years delete

Statements/Summaries Prepared for Inclusion in Quarterly/Annual Reports

7 Years delete

Sun Accounting (copies of invoices and SUN details) Paper copies in storage – Marsham Street / electronic copies on CFP

7 Years delete

Travel & Expenses Government Procurement Cards Invoices Travel & Subsistence Paper copies in storage – Marsham Street/ electronic copies on CFP

7 Years delete

Year End Balances, Reconciliations and Variations to Support Ledger Balances and Published Accounts

7 Years delete



8.1.11 HR

Records Advisor:


Actuarial Valuation Reports Permanently

Advances for:

Authorisation for deputising,

substitution allowance, overtime

and travel time claims

Bicycles

Car parking

Christmas/holidays

Housing

Season tickets

6 years after employment has ended

Annual leave records 2 years

Annual/assessment reports for the last five years delete of service

Until age 72 or 5 years after last action, whichever is the later.

Annual/assessments reports 5 years (keep last 5 years delete – see above)

Application Forms And Interview Notes (For Unsuccessful Candidates)

6 Months. (Because of the time limits in the various Discrimination Acts, for example The Disability Discrimination Act 1995, minimum retention periods for records relating to advertising of vacancies and job applications should be at least 6 months. Successful job applicants documents will be transferred to the personnel file in any event.)

Assessments Under Health And Safety Regulations And Records Of Consultations With Safety Representatives

Permanently

Bank details – current 6 years after employment has ended

Bonus nominations 6 years after employment has ended

Building society references 6 months

Case conference forms - Linked to Enquiries register –

a summary of face to face

discussions on complex

cases

3 years

Completed sick absence record showing dates and causes of sick leave.

Until age 72 or 5 years after last action, whichever is the later




Copies of salary/wages/payearoll sheets

2 years

Current address details 6 years after employment has ended

Death benefit nomination/revocation forms


Death certificates Return original to provider, retain copy until age 72

Decree Absolutes Return original to provider, retain copy until age 72

of advice - Linked to Enquiries Register trail

3 years

Employee pay history records NOTE: the last 3 years delete records must be kept for leavers, in either the personnel or the finance records system, for the calculation of pension entitlement

6 years

Enquiries Register - Provides a record of advice

required by line managers

and a brief summary of

advice given

3 years

Health declaration Until age 72 or 5 years after last action, whichever is the later

Health referrals including

Correspondence with medical

advisor to PCSPS

Medical reports

Papers relating to any injury on

duty


HM41s - Referral made to OHS

3 years or on leaving whatever is sooner

Housing advance

6 years after repayment

Inland Revenue Approvals Permanently

Job applications – internal 1 year

Marriage certificate/documentation relating to civil registration

Return original to provider, retain copy until age 72

Medical reports of those exposed to a substance hazardous including:

Asbestos

Compressed air

Lead

Radiation

40 years after last record 40 years from date of last entry 40 years from date at which entry was made 50 years from date of last entry

Medical/self certificates – unrelated Four years delete




to industrial injury

Money Purchase Details 6 Years after transfer or value taken

Other maternity pay documentation 18 months

Overpayment documentation 6 years after repayment or write-off

Papers on deputising, substitution allowance, overtime/travel claims

6 years after employment has ended

Parental Leave 5 Years From Birth/Adoption of the child or 18 Years if the child receives a disability allowance

Payroll input forms 6 years after employment has ended

Pension estimates and awards Record of:

Added years delete

Additional voluntary contributions

All other papers relating to

pensionability not listed above

Amount and date of any

Contributions Equivalent

Premium paid

Amount and destination of any

transfer value paid

Amount of any refund to PCSPS

Full name and DoB

NI Number

Papers relating to disciplinary

action resulting in changes to

terms, conditions of service,

salary, performance pay or

allowances

Pensionable pay at leaving

Reason for leaving and new

employer‟s name

Reckonable service for pension

purposes and actual service

where this is different with

reasons for the difference

Resignation, termination and/or

retirement letters


Pension Scheme Investment Policies

12 Years from the ending of any benefit payable under the Policy

Pensioners' Records 12 Years after benefit ceases

Personal payearoll history including:

Allowances

Maternity leave





No pay

Other taxable allowances

Overtime pay

Pay enhancements

Payment for untaken leave

Performance pay

Record of pay

Reduced pay

Personnel Files And Training Records (Including Disciplinary Records And Working Time Records)

6 Years after employment ceases

Previous service supporting papers Destroy after records noted as appropriated

Promotion, temporary promotion and/or substitution documentation (including assessors‟ notes and board markings).

Destroy 90 days after summary noted and individual informed (unless ongoing appeal).

Qualifications/references 6 years

Recruitment, appointment and /or promotion board selection papers

1 year

Redundancy Details, Calculations Of Payments, Refunds, Notification To The Secretary Of State

Current + 6 Years from the date of Redundancy

Salary ledger cards/records 6 years

Salary rates register Until superseded

Security personnel files 5 years after leaving (if normal retirement age) or 10 years delete after leaving if before normal retirement age.

Senior Executives' Records (That Is, Those On A Senior Management Team Or Their Equivalents)

Permanently For Historical Purposes

Statutory maternity pay documents 6 years after employment has ended

Statutory Sick Pay (SSP) forms 6 years

Time Cards 2 Years After Audit

Trade Union Agreements 10 Years After Ceasing To Be Effective

Training history 6 years

Transfer documents Destroy after summary noted and actioned

Trust Deeds And Rules Permanently

Trustees' Minute Books Permanently

Unpaid leave periods Until age 72 or 5 years after last action, whichever is the later

Variation of hours – calculation formula for individual

Destroy after use

VER spreadsheet 3 years




- Showing details of VER

schemes run by DBS and

uptake

Vetting Security Clearance confirmations from DSU

7 years after clearance ends (clearance will lapse with immediate effect if staff leave the organisation)

Vetting Security Clearance forms completed by staff

Destroy as soon as confirmation of vetting clearance has been received from DSU

Voucher Records (Requests/Issues/Returns/Claims for Payment)

7 Years

Welfare papers

Minimum of 6 years after last action

Working time directive opt out forms 3 years after the opt-out has been rescinded or has ceased apply

Works Council Minutes Permanently

Written particulars of employment

Contracts of employment

Changes to terms and conditions

Job history

Record of location overseas

Record of previous service dates

Until age 100 or 5 years after last action, whichever is the later.



8.1.12 Operations

Records Advisor:


Word Docs- Minutes and Agendas - Audit trail of meetings and action points

2 Years delete

re have your say replies - Audit trail 18 months delete

Agendas, minutes, actions and relevant board papers/reports - Provide outcome of meetings & record of actions. Record of items discussed and relevant documentation

3 years delete

ACM CRM Request Form 2008 Agency Training Request Form V0.4 Cunard Room Booking Request Form Visitor Notification Form

- Template to request accesses

When superseded

Approved Welcome Pack March 09 - Procedure to use when new members of staff join

the production area When superseded

Awareness Session Evaluation - evaluation surveys

2 years delete

AF10 Log - Records AF10s submitted to SDUAT 2 years delete

BSI Reports - External Audit Results

3 years delete

CAPA Review Information Word Documents Excel Spreadsheets Templates E-mail Correspondence

- To record activity undertaken in relation to the

Production Corrective and Preventive Action

(CAPA) Procedure V1.0

18 months delete

CAPA Information documents Word Documents Excel Spreadsheets Templates E-mail Correspondence Folder to record evidence of ongoing activity in relation to the investigation of concerns opened under the Production CAPA procedure

18 months delete

CAPA information Word Documents Excel Spreadsheets Templates

Until superseded by an updated version



E-mail Correspondence - Supporting information in respect of a review of

the CAPA Process and supporting information in

respect of V2.0 published 16/01/12

CAPA Info Word Documents Excel Spreadsheets Templates E-mail Correspondence To record activity undertaken in relation to the Production

Corrective and Preventive Action (CAPA) Procedure V2.0

18 months delete

CAPA Advocate action log Minutes for PNC Matching Improvement Event Provide Audit of meetings and action points

2 years delete

CAPA schedule 10 01 12 The Update Service Dealing with difficult situations Delegates requesting interviewee development courses Dyslexic Presentation Delegate Lists Information assurance presentation DBS BARRING Training Sessions Mop up for Info assurance presentation PIE update sessions SAM Learning sets schedule Stress Awareness training for Managers CAPA Overviews 16th January 2012 Copy of DHB Workshop Delegate schedule

- Provides evidence for attendance at

awareness/workshops/training sessions and

presentations

3 years delete

Conflict Evaluation Database DBS BARRING Evaluation Database PNC Evaluation Database WMT Evaluation Database

- Regularly used to provide evidence and reports of

staff competencies

When superseded

Controlled Activity - E-mails containing spreadsheets holding applicant

information and decisions on how to proceed with

the notification.

2 years delete

INVESTIGATIONS TEAM Org Chart - Identify staffing compliment & structure for area When superseded

Customer Services Org Chart - Identify staffing compliment & structure for area When superseded

DBS BARRING Quality Report 2 years delete



- Monthly Internal Communication

DBS BARRING Monthly Critical Errors - Records data to enable above report to be

completed 2 years delete

E-mails from DBS BARRING - Contains DBS BARRING decisions for possible list

matches. 2 years delete

fire marshal and first aiders update 13.09.2011 - Provides audit trail for certificate validation When superseded

Guidance for accessing evaluation database Obtaining Live Access or Live Training Access for an Agent

- Regularly used guidance for accessing data bases

for evaluation/accesses

When superseded

Individual evidence within SEO / HEO / EO folders – Word and Excel

- Allows staff to record and save evidence in their

folder

1 year delete

Letters - Record of what has been sent externally

(RBs/HO/LPF) by G7/G6 & SCS 2 years delete

Live PNC Plan - Record for all Live access terminals

When superseded

MAC – SEO / HEO / EO - Excel spreadsheet used as a Management

Assurance tool Until superseded

MAC Compliance - Details audit results

18 months delete

Monthly budget returns/staffing figures - Record of in month expenditure and staffing levels

broken down by cost centre 3 years delete

Name Plates medium - Template for badges for training events/meetings When superseded

Operations opportunities - Provide evidence of opportunities circulated to

staff 2 years delete

Operations training 2011 - Record of all training courses 2 years delete

PNC V5 Flowchart Inventory TSQ V.3 control and Audit

3 years delete



V.7 Flowcharts and audit control V5 control and audit tracker

- Provides audit trail for version controlled

documents

Production Conflict Cert Production DBS Barring Matching Cert Production PNC Matching Certificate Production Unsure Cert Work Management Cert

- Template used to issue to staff on completion of

training

When superseded

Production Expenditure for Training 2011 to 2012 - Provide evidence for expenditure of training

requirements 3 years delete

Presentations prepared by G6 given to staff or senior managers

- Record of information provided and can be

referred to for reference

3 years delete

Production Floor Plan - To identify structure & IT within Production area When superseded

Template - To organise leave allocation for Production area

over Jubilee holiday 12 months

Production Ops Org Chart - Identify staffing compliment & structure for area

contains budget information 5 years delete

Quality Report Template + previous months issue - Monthly Internal Communication

18 months delete

Quality Support Tasks - Lists daily tasks performed by team

n/a

Reward & Recognition spreadsheet - HoF to monitor R&R awards and reconciliation of

prev awards when completing new nomination

forms

2 years delete

SET UP – Contains Excel / Word Documents including Policy / Procedures / Evidence

- Act as a hyperlink to the Management Assurance

tool – enable staff to view policies – and record

evidence

Until superseded

Special Equipment log - BF system to monitor special equipment requests

and Progress 2 years delete



Skills Skills database Skills sheet for staff no longer in production

- Spreadsheet providing all staff working

patterns/skills and areas of work

When superseded

TLO List 1 - Used for reference of TLO across the business When superseded

Training Schedule. - Provide evidence of training and training

requirements When superseded

VER applications and business cases - Audit purpose if asked by HR/HO/CEO

3 years delete

Weekly/Monthly Conflict Productivity Report - Details of agents productivity for Conflicts e.g. phone calls made

2years delete

QMS Audit

- 1- Audit Docs. BSI Action Plans - Corrective action plan for BSI

3 years delete

Corrective Action Tracking Log - Recording mechanism for non conformities raised via Production Internal Audits

3 years delete

DBS Form 01 - Audit Programme record

3 years delete

DBS Form 02 - Audit Log – performed audits

3 years delete

ISO 9001- folder - Presentations for Induction

When Superseded

Questions for Top Management - Guide for auditing When Superseded

Some Typical audit questions - Guide for auditing When Superseded

Top Management Audit questions - Guide for auditing When Superseded

Top Management questions - Guide for auditing When Superseded

Copies of Audit Results (2) Jan-March

3 years delete

(3) Apr-Jun 3 years delete

(4) Jul-Sep 3 years delete

(5) Oct-Dec 3 years delete

(01) Mastercopies

- Current Template forms When superseded



Balance Scorecard (excel) - Productivity report sent to Head of Unit

2 years delete

CPT missing daily exceptions (rolling excel document) - Monitor correct usage of CPT

2 years delete

CPT New Code Request (word) - Template document for managers to request new CPT codes

Until superseded

CPT Productivity Codes (excel) - Explanation of when to use the CPT codes

Until superseded

Current Customer Pots (rolling excel document) - Monitor active and inactive customer pots for MIS

2 years delete

Daily Allocation Stats rolling document - Monitor work flow, allocations and targets

3 years delete

Line Managers Rpt Analysis (rolling excel document) - Monitor correct usage of CPT

2 years delete

Production Output Targets (excel) - Work targets created for Production

2 years delete

Daily Activity Record (excel) Template - Template activity sheet used by staff to record daily activities for input by line managers

Until superseded

Timetable Template (rolling excel document) - Used to structure the WMT work

3 months delete

WMT QA (excel) - Document used to record QA results

2 years delete

WMT Quality (excel) - QA stats for WMT to show if quality targets are met

3 years delete

Work Allocation feedback sheet (word) - Template document to feed back errors on CPT

Until superseded

Work Returned to Pot (rolling excel document) - Monitor work flow returned to holding pots

2 years delete

WMT Reports (excel) - Audit trail of reports received by WMT

2 years delete

CPT Issue logs (excel) - Record known issues, resolutions and completion dates

5 years delete

Fingerprint results CFP file - Fingerprint results

18 months

Excel and Word documents relating to DWH - Processes and evidence of changes to DWH

2 years delete

Excel and Word documents relating to responses to SDUAT documents - Evidence of comments to procedural documents

2 years delete

Excel, Word and Access Databases relating to RFI‟s - Contains electronic copies of RFIs submitted to Capita, plus database to assist with establishing outstanding RFIs plus SLAs. Required to establish what has been requested previously

5 years delete review

Excel and Word documents relating to SDR validation - Evidence of validation tasks relating to contractual

SDR 3 years delete



Excel and Access database relating to Ad-hoc tasks that the MIS team undertake and deliver

- Evidence of ad-hoc tasks performed by

team/individuals. Used to establish whether

specific tasks have been delivered previously and

for PDR purposes

Ongoing database and not archived, all RFIs are logged on here

Excel and Word documents relating to Vital Signs reports - Templates and KPI spreadsheets relating to Vital

Sign submissions 3 years delete

Excel documents relating to LPF SLA achievements - 10,14,18,25 & 60 day LPF SLA achievement

documents 3 years delete

Excel documents relating to POVA First Enhanced applications

- Details POVA first receipt volumes and service

standard achievements. Used to answer general

MI/FOI requests

3 years delete

Excel spreadsheets detailing aged applications by pot since from notification begin date. Weekly spreadsheet.

- Provides a weekly summary of applications by age

by notification begin date

2 years delete

Excel spreadsheet detailing aged applications by pot since receipt. Weekly spreadsheet

- Provides a weekly summary of applications by age

since receipt

2 years delete

Aged Cases by week Excel spreadsheet - Provides a summary of the aged application

analysis. Contains multiple weeks, can be filtered

by week

2 years delete

Aged Statuses by week Excel spreadsheet - As above, but by status 2 years delete

Aged Cases reporting suite. This contains links to the previous 4 items

- Contains all of the information from the previous 4

items

2 years delete

Association for Real change & Demand - Excel spreadsheet

- Contains demand and volunteer forecast for 2012

and provides the Communications Training team

with data for training events

2 years delete

Daily Ins and Outs Excel spreadsheet - Provides Finance with rolling mailroom and SPSL

2 years delete



volumes

Daily LPF charts – Excel spreadsheet - Provides the business with MI relating to LPF

WIP/performance 2 years delete

Daily MIS – Excel spreadsheets. Daily, weekly and monthly

- Provides the business with MI relating to receipt,

notification WIP and SPLS volumes on a daily,

weekly and monthly basis

2 years delete

Disclosure content by summary by month – Excel spreadsheet

- Provides the business with volumes of applicants

matched to PNC, LPF, Lists etc

Rolling spreadsheet. Goes back to 2002/3, we do not archive/delete as we use this to answer FOI requests so it is more efficient if the info is readily available

Excel – E-bulk documents - Provides the business with volumes of E-bulk

applications by type/RB etc

Rolling spreadsheets – no retention – see above

Excel – Issues Log - Historical log of issues with DWH and the

resolution notes

5 years delete review

Excel – MIS request template - Template for MIS requests

No retention – template only

Word document – Ops retention Policy documentation Living doc, no retention

Excel – POVA first weekly - Rolling POVA (DBS BARRING Adult First)

volumes for Finance 2 years delete

Excel – PSS dashboards & daily breakdown‟s - Provides the business with PSS/KPI achievements

and daily breakdown

Rolling spreadsheet. Goes back to 2002/3, we do not archive/delete as we use this to answer FOI requests so it is more efficient if the info is readily available

Excel – RB Account Management & Analysis data - Provides the business with receipts data by

RB/sector etc and provides the RB account

managers with a tool that enables them to run their

3 years review



own reports relating to RB performance etc

Excel – shadow forecast act v forecast - Provides the business with actual receipt volumes

in relation to forecast volumes by RB 3 years delete

Sendable Demand Report - Amended version of Demand Report 5 years delete

Demand Report - Master copy of monthly intake data 5 years delete

Demand Forum Report - Monthly Demand Forecast Report delivered to

Demand Forum 5 years delete

DFE - Monthly intake for education section to DfES 5 years delete

Sector Analysis - Detailed analysis of Sector data produced for

Demand 5 years delete

5year FCAST Jul 09- Mar 15 v0.2 LATEST - DBS Demand Forecasting tool

5 years delete

Receipts - Daily record of intake for agency

5 years delete

Budget Year April 12-March 13 Demand Forecast - New FY Volume Forecast for Budget 5 year delete

Daily Volumes - Inform SMT of intake & year on year fluctuations 3 years delete

Demand Forecast Weekly & Daily Split 5 years delete

Demand Requirement Jul - Dec 2011-12 - Paper to ET explaining split of service bought from

Capita & Powerpoint presentation 3 years delete

Demand Log - Log of ongoing changes affecting the Demand

Forecast & intake 5 years delete

Final ToR Dem Audit doc - Audit report ToR relating to Demand planning &

how it can be improved from audit perspective 2 years delete

Financial Forecast Apr11-Mar12 - Demand Forecast for Financial Year 11-12 used to

identify resources for Production 1 year delete

DBS BARRING ANALYSIS - Data for specific DBS BARRING intake

1 year delete

Monthly Sectors - SMT Report

1 year delete



Monthly Tracking Data - Data for Sector monitoring

1 year delete

Olympic Eligibility - Data for Demand relating to Olympic recruitment

2 years delete

Procedures - Guidance on how to perform Demand Forecast tasks

5 years delete

Production Actuals - Historic data relating to actual intake received by Agency

3 years delete

Rolling Forecast 12.13 - Forecasting intake information for future FY

2 years delete

Rolling Forecast Master - Forecasting intake data for Agency both historical & future

5 years delete

Sector Stats -5 year historical sector data to assist Demand Forecasting

3 years delete

Sector Totals -5 year historical sector data to assist Demand Forecasting

3 years delete

Standard Data Apr-Aug 11 - Data for calculating Standards rate for Demand

2 years delete

Trend report - Ongoing intake fluctuation data

when superseded

Volunteers -5 year historical data for ongoing development of Volunteer forecast tool

2 years delete

Weekly Sectors - Report of weekly activity across Sectors for SMT

Weekly

Workforce Planning Amendments - Historical data of changes to data & ratio‟s to deliver benchmarks/meet staffing needs

2 years delete

YTD Sectors Analysis - Report of ongoing annual activity across Sectors for SMT

2 years delete

Forecast Volumes -demand forecast as agreed by the demand forum

5 years delete

Demand Related papers and supporting annexes -papers created for SMT and above on demand topics

5 years delete

Demand forecast changes -rolling document detailing all historical and current forecast changes

5 years delete

Update service forecasting tool -Update service demand forecast and assumed impacts on Disclosure demand

5 years delete

Balanced Scorecard Demand - Report for SMT 5 years delete

Staffing Models -Staffing requirements required to meet demand

5 years delete



Annual Budgets -Operations Annual Budgets requirements

3 years delete



8.1.13 Police Finance

Records Advisor:


Adelphi -These folders contain every individual Police Force, their payment details, including templates to enable easier paying of journals to the forces, because each force's actual bank details and project codes are listed

6 years

Fingerprint Information - Folders and spreadsheets relevant only to

Fingerprints

6 years

Other Police Financial Documents - Various spreadsheets not related to above

6 years

Police Finance Accounts - These folders are in depth financial breakdowns

of Police Finance, including budgets

6 years

Police Finance E-mails - E-mails from Police Liaison Managers with

attachments from all 51 police forces, which are

saved into individual folders for each force

6 years

Police Finance Procedures - Detailing procedures of Police Finance rolls,

including dealing with MBRs, ISAs and

Fingerprint claims

6 years

Police Finance Reports - A monthly Police Financial report compiled at the

end of each month that is circulated to senior

managers

6 years

Police Finance Spreadsheets - Various spreadsheets detailing all MBR, ISA &

Fingerprint returns received and listing the date

of each return, amount claimed and date paid

6 years



8.1.14 Police Performance Team

Records Advisor:


Budget Documents

Documents relating to agreeing the force budgets and monthly budget returns

7 years after creation date

Contact Details

Contact details for forces

When superseded

E-bulk

Documents relating to e-bulk issues and new E-RB‟s


E-mail

Force Correspondence

Review 7 years after creation date

Employee Records

Line Manager information on staff. Whereabouts


Escalations

Escalation request Forms


Forecasts

Force volume forecasts


Guidance

Guidance sent to Forces


Meeting minutes

Meeting minutes for internal and external meetings with and about forces


No Trace in Error

Forms declaring No Trace Errors


Operational Procedure

Staff Instructions

When Superseded

PLX

Documents relating to the PLX project


SLA

Documents sent to force showing budgets and volumes relating to their SLA


Stats

Detailing Police Force performance figures


System Support Requests

Force CRM user requests


Travel

Travel requests and logs


Visit Reports

Reports relating to PPM visits to forces




8.1.15 Policy, Information Governance & External Governance

Records Advisors:

Document Type Retention

Business Advice

Electronic or paper records on legislative changes

Training presentations for staff

2 years. Review by Policy Advisor before destruction.

Business Impact Assessments 7 years

Business Document Reviews

Comments submitted for consideration on new/amended procedures & project paperwork.

6 months (retained by SDUAT for 10 years)

Consultations

Records of stakeholder engagement when considering introducing new regulations or products

5 years, then assess for transfer to The National Archives

Contributions and discussions around legislation

Electronic or paper records relating to the preparation of Bills

Electronic or paper records relating to Policy Instructions

Electronic or paper records relating to development of legislation

15 years, then assess for transfer to The National Archives.

Correspondence by letter or E-mail

CEO/Ministerial/MP/Treat Official responses

HO contributions

PQ responses

Spreadsheet tracking records

2 years

Corporate Publications

Annual Report and Accounts

Business Plan

Code of Practice

5 years from publication or last update unless still currently in use. Review by Head of Policy before destruction.

Court Orders

Correspondence by letter or E-mail

Spreadsheet tracking record

6 months 2 years

Electronic and/or paper records as an audit of discussions or meetings on issues relating to DBS/DBS services

10 years. Review by Head of Policy before destruction. May warrant longer retention or transfer to The National Archives for contractual reasons.

Freedom of Information request records

Electronic or paper audit trails

Responses

2 years



Governance Paperwork

Papers and briefings provided to the Board and Senior Management Team

2 years after submission. Review by Head of Policy before destruction

Judicial Review cases

Electronic and/or paper records of all interactions

Financial records for all costs incurred and payments made

5 years from the last interaction. 7 years from last interaction. Review by Head of Policy before destruction.

Legal Advice

Electronic or paper records of advice from HO legal advisors (pre Dec 2012) and DBS legal advisors regarding legislation

15 years, then assess for transfer to The National Archives.

Legal Costs

Electronic or paper records of costs incurred when dealing with Courts matters

7 years

Meetings (Authentication Forum, Welsh Language Board etc)

Agendas & Minutes

Terms of reference

10 years if the group is still active and a business need exists. 2 years after the last interaction if the group is discontinued. Review by the Chair before destruction.

Ministerial submissions 10 years. Review by Head of Policy before destruction.

Operational Policies 5 years after superseded. Review by Head of Policy before destruction.

Policy Enquiries

Internal E-mails

External responses

Database records

Performance statistics

3 months 2 years 5 years. Review by Policy Advisor before destruction 2 years

Project paperwork

Electronic and/or paper audit of comments and discussions relating to new Projects

10 years after completion of project 5 years if the project rejected or deferred

Regulatory Impact Assessments

Records of impact assessments when considering introducing new regulations or products

5 years, then assess for transfer to The National Archives

Risk Management records

Team Risk Register

Closed risks

3 years from the last interaction.

Stakeholder guidance

Advice provided to and received from stakeholders

Correspondence

10 years. Review by Head of Policy before destruction. 2 years.



Presentations

Contact records

2 years after most recent review. 2 years after last interaction

Subject Access request records

Application forms

Paper and/or electronic audit trails

Responses

Spreadsheet tracking records

6 months 6 months 6 months 2 years

Team records

Attendance calendars

Workforce Planning

Budget records

Team meeting paperwork

Procedures

Training records

2 years



8.1.16 Performance

Records Advisor:


Audit Plans/Reports/Management Responses (Internal and External) Internal (HO) Audit reports on teams i.e. Information Assurance/Performance Management carried out. This includes management responses to recommendations made by audit and any action/plans in place.

10 years

Feedback Questionnaires Complaint feedback – satisfaction survey sent to all complainants - responses

10 years

Investigations/Precedents 10 years

Performance Monitoring Reports – Monthly organisation Balanced scorecard/performance Reports, also includes other directorate performance reports i.e. Operations Barring.

10 years

Register of Comments – relates to feedback received, not classed as a complaint, date classification any response, timescales, any actions

5 years

Register of Complements – Log and details of compliments received, classification etc

5 years

Service Plans – Directorate service plans for each financial year, including quarterly monitoring reports

10 years

Statistics Reports – performance/MI reports ie stats for annual report, enquiries, research, projects

10 years



8.1.17 Programme

Records Advisor:

Programme & Project Team

Document Type/Product Disposal Times

Benefits Profile and Benefits Realisation Plan

Used to set up the measurement

processes and capture the „before‟

measurements as far as possible.

10 years delete following closing date of project

Business Analyst Documentation

High level business processes

Business Use Cases

Desk instructions

Requirements documents

All docs – current + 6years

Business Case

Documents the justification for the

undertaking of a project based on

the estimated cost of development

and implementation against the

risks and the anticipated business

benefits and savings to be gained.

10 years delete following closing date of project

Change Management Database

Stores important information

relating to requests for change

and work orders.

6 years delete following last action on database

Cost Response

Provides cost details for work to

be carried out by suppliers.

6 years delete following completion of the work

Detail Design Document

Provides detailed design for IT

solutions.

6 years delete following completion of the work

End Project Report

Project Manager‟s report to the

Project Board on how well the

project has performed against its

Project Initiation Document (PID).

15 years - Assess for permanent preservation



End Stage Report

Provides a summary of progress

to date, the overall project

situation and sufficient information

to ask for a Project Board decision

on what to do next with the

project.

5 years following completion of project

ET Paper

Report submitted to Executive

Team providing information and

recommendations.

15 years - Assess for permanent preservation

Feasibility Study Report

Produced following the

investigation into the feasibility of

undertaking a particular project,

including costs/benefits analysis

and basic impact assessment.

10 years after issue

IB Papers/Minute

Documents arising from the

Investment Board process.

6 years following completion of project- Assess records for transfer to TNA

Impact Assessment

Assesses the impact of any

change on various elements, e.g.

regulatory, equality and diversity,

business processes.


IT Analyst Documentation

Approach documents

Interface documents


IT Infrastructure Documentation

Various documentation


Meeting papers including minutes, actions, agendas

Delivery Board

Project Mgt Board

Quality review meetings

All docs – current + 6 years

Migration Documentation

Various documentation


Monthly Progress Report

To provide the Project Board (and

possibly other stakeholders) with a

summary of the project status.




MOU Documentation

Approach

Drafts

Final versions

Signed off versions


Plans

Programme

Team

Testing

Training


PMO Documents

Issues log

Lessons learned log

PMO Process documents (risk,

configuration management,

change control etc)

Product manifesto

Lessons Learned Log – 10 years All other docs-current + 6years

Post Implementation Review

Report arising from one or more

reviews held after project closure

to determine if the expected

benefits have been obtained.


Product Description

Description of a product‟s

purpose, composition, derivation

and quality criteria.


Programme Board Minutes

Minutes taken from Programme

Board meetings.

6 years following closure of Programme.

Programme Board Report

To provide the Programme Board

(and possibly other stakeholders)

with a summary of the status of

the project portfolio.


Programme Risk and Issue Log

Contains all information about the

risks and issues, to be managed

at Programme level, including their

analysis, countermeasures and

status.

6 years following closure of Programme.

Project Board Minutes

Minutes taken from Project Board

meetings.




Project Brief

To provide a full and firm

foundation for the initiation of the

project


Project Initiation Document (PID)

To define the project, to form the

basis for its management and the

assessment of overall success


Project Mandate

The information is used to trigger

project initiation


Project Plan

Provides a statement of how and

when a project‟s objectives are to

be achieved, by showing the major

products, activities and resources

required on the project.


Project Reference Materials

Any non-specific information that

has been utilised in the

management of the project


Project Risk and Issue Log

Contains all information about the

project‟s risks and issues,

including their analysis,

countermeasures and status.


Requests for Change

A means of proposing a

modification to the current

specification of a product.


Requirements Document

Provides business requirements to

be applied in the design and

development of IT solutions


Risk Potential Assessment (RPA)

A standard set of high-level criteria

for assessing the risk potential of a

proposed programme/project in a

strategic context.


Stakeholder Management

All documentation relating to the

management of parties with an

interest in the execution and

outcome of a project.




System and User Acceptance Testing

All documentation relating to the

testing of IT solutions


Work Order

The means for submitting a formal

request for work to be undertaken

by a supplier




8.1.18 Registered Body Account Management

Records Advisor:


Budget Records 6 years delete after the end of the financial year

Compliance - Excluding normal

correspondence – to include

where a case has been made to

take sanctions against the RB

2 years delete

Consultation records - Consultation with stakeholders

including documentation,

reviews, FAQ‟s

3 years delete

E-bulk Digital Certificates 4 years delete

Expenses Records 6 years delete after the end of the financial year

Final Audit Records - All audit reports and

recommendations

6 Years delete

Guidance and info sent to RB‟s - To include - E-Bulk standard

docs, template letters/E-mails,

BAG, Deed, CoCo, SCD, IAA

2 years after being superseded

IT Requests - All IT Requests forms, notes of

logged records

1 year after completion

Meeting Minutes - All meeting minutes, including

individual team and Relationship

management meetings -

excluding RB Visit Reports

2 years delete

Procedural docs - Operational procedural

documentation


Project Documents - E-bulk Project documentation.

DQ and Compliance documents

5 years review

RB Correspondence - General correspondence to RB‟s

2 years delete



not including reports

Registered Bodies (RB) Visit Reports - Minute details of reports and

actions

3 years delete

Stats - To include - Ad hoc statistics

sent to top 50 RB‟s, Demand

planning, Data Quality (DQ),

Returned Forms Reports, E-Bulk

Stats

2 years delete

Training 5 years delete

Travel/Finance records - Requisition records, including

travel bookings requests

6 years delete after the end of the financial year



8.1.19 Registered Body Training Communications

Records Advisor:


Briefing packs for the Update Events - Information sent to the delegates

7 years delete

Confirmation E-mails - Sent to delegates advising of place booked and the venue details

Until the date has passed

Corporate guidance - To answer queries raised at the events

Until superseded

Countersignatory Error Rates - To monitor the success of the training events

Until superseded

Countersignatory lists - To ensure all the signatories are attending the events

Until superseded

Departmental guidance - To answer queries raised at the events and update training material

Until superseded

E-mail templates - To use to answer questions received by delegates

Until superseded

Event Registers - To keep track of those who have attended the events

Until after the event

Monthly budget sheets - Keeping track of spending

1 year

Monthly stat sheets - Break down of all costs incurred on a monthly basis

1 year

RB Contact details - To request training venues

Until superseded

Registers of the Update Service Events - To identify who attended the events

7 years delete

RTP - RTP for trains/hotel/car since 2010

6 years delete

Training Interest sheet - For staff to input their training interests

Until superseded

Training Material/Presentations - Used to train signatories

Until superseded

Training Schedule - To plan the training teams availability

Until date has passed

Travel confirmations - Location of the trainers

Until date has passed

Update Service feedback - Analysis of the success of the event

7 years delete

Venue details - Location of a venue for trainers and delegates

Until after the event



8.1.20 Security

Records Advisor:


Access assurance checks -Audit Purpose

3 months

Audit Reports & Recommendations 6 years delete

Capita Documents - E-mails - reports -service reviews

6 years from end of PPP

CD Request form -Records requests of information burnt to CD

1 year

Compliance check documents -Provides evidence when compiling breach reports

3 months

Contract re-let 6 years

Dual Access reports -To monitor access to the CRM system

1 year

E-mail monitoring reports /evidence -Audit Purpose

1 year

HR leavers reports -Ensures that staff records are maintained accurately

1 year

Pass Application -To monitor staff access to the building

1 year

Pen Test (ITHC) Results Lifetime of the system

RISK -Agency -Capita

Until superseded 6 years from end of PPP

Risk Management Accreditation Document Set (RMADS)

1 year past secure disposal of system

Security Correspondence

4 years

Security Incident folder -Provides information relating to incidents

7 years

Security Incident Investigations 7 years

Security Incident Log 7 years

Security Procedures Until superseded

Security Working Group 4 years




- Agenda

- Minutes

- RISK

Staff Departure forms -Ensures that staff records are maintained accurately

1 year

TCS 6 years from end of PPP

Team meeting minutes 12 months

Temp pass report -To record information taken from the CRM system

3 months



8.1.21 Standards and Compliance Unit

Records Advisors:


Compliance Visits documentation -Compliance Reports for individual LPF visits - Details of Findings and corrective action -Compliance Findings for all forces -Compliance Cases selected for each individual LPF visit -Compliance Letters informing the LPF of the upcoming visit

4 years delete

Support Visits documentation -Support Visit Reports - Details of Minutes/Findings and any necessary corrective action if applicable

4 years delete

Audit Trail Documents -Library of each LPF's current searching methods

2 years delete

Guidance and information sent to LPF Forces -Best Practice documents -Judicial Review transcript -E-mails – Enquiries -E-mails - Circulars

4 year after being superseded 2 years delete 4 years delete 4 year after being superseded

QAF Documents -Method Products and Guidance


Travel / Finance records -Budget Records

6 years after the financial year

SLA Documents -Service Level Agreements Reports -Service Level Agreements Calculation Figures

3 years from expiry 3 years from expiry

Visit Schedule -SCU Team's compliance regime schedule

1 year after the end of the current visit schedule

Projects -Recommendation 6c Pilot Results

2 year maximum after the



end of the project

Templates -SCU Compliance Template letters

1 year after being superseded

Procedures -SCU Team Procedures

1 year after being superseded



8.1.22 Communications

Records Advisor:


Languages - PDFs containing the guide to complete the

application form in different languages: Arabic Bengali Chinese Gujarati Hindi Punjabi

Urdu

2 years after withdrawal

Analytics - Website user stats

3 years delete

Bus Publn - Business publications such as the financial budgets

for customer services, KPI stats, annual reports and other publications

10 years delete

Business Link - To store documents relevant to the Business Link

site

3 years delete

Circulars - To store circulars, circular and global index and

templates

2 years after issue

Conferences - This is to store all relevant information from past

conferences, staff briefings and contacts for future events.

3 years delete

Consltn - Consultative group responsibilities

2 years delete

Contacts - Useful contacts regarding the intranet

Until superseded

Contracts - DBS TV, Research, Website

2 years REVIEW post contract termination

Convergence - Project documents, Risks, Board Meetings, Online

Forms and Testing documents.

3 years delete

Corp ID - Guidelines, images, logo and branded goods documents.


CSSC info 2 years delete



- Update Service information

Customer Correspondence - Customer Services

3 years delete

DBS Blog - Vince Gaskell Blog Documents

2 years delete

DBS TV - Information regarding DBS TV

2 years delete

DBS Values - DBS values information

2 years from when superseded

Direct Gov - To store documents relevant to Direct gov

3 years delete

FAQs - This folder contains previous FAQ documents

2 years from when superseded

Finance - Contains budget spreadsheet from 2005

7 years delete

FURLS - Friendly URL guidance


Guidance To store website guidance for different sectors of the website


HO - To store documents relevant to the Home Office site

3 years delete

Horizon - Set up of Horizon / Intranet

3 years delete

Instrs - Contains instructions for team members on how to

perform various roles on the Comms team.

When superseded

Intranet - Documents relating to Horizon / CRM Intranet

3 years delete

Investors in People - Information on Investors in People

2 years delete

Literature - Contains various „how to‟ guides in various formats

eg Easy Read, large print.

2 years post withdrawal

Mgt Round Up Papers - SMT Papers

2 years delete

Mtg - This stores all meeting documents such as minutes

and delegate information for a wide range of meetings in customer services

2 years delete

Org Charts - Store organisation charts for all DBS departments.


Org Dev - DBS Org Development information

2 years delete



Perf - Web server performance documents

3 years delete

Posters - Store all posters regarding Communications

2 years after issue

Press & Media - To store press lines, press enquiries, media briefs,

briefings and press cuttings relating to the DBS. - FAQs

3 years delete 3 years delete

Projs - ISA / VBS Specific projects

2 years delete

Redweb - Hosting costs for DBS Domains

7 years delete

Ref Material - Work Orders

7 years delete

Research - Research Programmes

10 years delete

RTPs - This folder contains previous and current request for

purchase forms that have been processed since 2010

6 years delete

Single Domain - Correspondence and content documents

2 years delete

Speaking Engagements - Presentation of speaking engagement

3 years delete

Staff Suggestion Scheme - Letters, database and guidance regarding the staff

suggestion scheme.

3 years delete

Subms - Parliamentary submissions

2 years delete

Team Brief - Team brief articles and versions from 2006

2 years after issue

Teams - Record of all teams that might have an input to the

intranet

10 years delete

Templates - This stores all templates for documents used by

Communications, such as circulars, globals, letters, presentations and logos.

When superseded

UB - Umbrella body guidance


Updates - To store correspondence regarding website updates

2 years delete

Visits - Store all guidance for visits and VIP tours including

photographs and biographies

2 years delete



Web Comms - Communication information and charges to the

website etc

2 years delete

Website Domain Names

- To store correspondence regarding domain names

2 years from domain name expiry

Welsh - To store guidance and relevant Welsh documents


Welsh - Translations and Policy documents


Work Orders - LN, Memos and Work Orders

7 years delete



9.0 Operational Barring

9.1 Operational Barring hold Barring information both in paper form within case files and electronically on a system called „uCRM‟.

9.1.1 At present the following Data Retention Champions from Barring Operations oversee the retention process for Barring casework:

**NAMES REDACTED AND WITHELD UNDER SECTION 40(2)**

9.1.2 There are six trigger points for the retention of operational Barring information whether case files or uCRM records. Trigger points require action by DBS Barring function to ensure that information is retained in accordance with appropriate legislation, particularly the Data Protection Act 1998 and Human Rights Act. 9.1.3 The six types of trigger points are:

Initial Review Trigger;

Subsequent Review Trigger;

Clear Period Review Trigger;

Statutory/Prescribed Trigger;

Update Trigger;

Report of Death Trigger.

9.2 Initial Review Trigger Process

9.2.1 Where statutory or prescribed retention periods do not exist for information, information will be reviewed in accordance with the Initial Review Trigger Process. Therefore, the Initial Review Trigger Process applies only to operational information, particularly case files and electronic records or any other media in which case information may be held. 9.2.2 When all work has ceased on a case file and the final decision has been made whether to bar or not to bar an individual, the Initial Review Trigger Process will be completed. The purpose of the Initial Review Trigger Process is to ensure that all information that is not used in DBS Barring Decision Making Process, and would not be used to demonstrate any patterns of behaviour which would lead to safeguarding concerns for future referrals is removed from the file prior to long-term retention.

9.2.3 Where DBS Barring has NOT barred an individual from working with children or vulnerable adults, all information must be reviewed to identify any safeguarding concerns and retained if necessary and maintained for the periods outlined in Appendix One. Unused information / material may be reviewed and disposed of in accordance with the protective marking of the information



9.3 Subsequent Review Trigger Process

9.3.1 Subsequent Review Triggers apply to operational case files where new substantial safeguarding information has been received which may have an impact on the Barring decision. This will restart the retention review period applied at the Initial Review e.g. If further substantial safeguarding information comes in which may affect the original Barring decision i.e. Review/Appeal

9.4 Clear Period Trigger Review Process

9.4.1 The Clear Period Trigger Review Process will be activated when no activity has taken place on a file for the periods outlined in Appendix One. 9.4.2 For the purposes of retention, a clear period is the length of time since the last activity on a file, e.g. assessing safeguarding information to identify if a bar is required or an appeal or review has been received. Where new information (not safeguarding information) in relation to nominal details about an individual has come to light, e.g. change of name, address, contact details or occupation, the Update Trigger Review Process will be initiated. Update Triggers do not count towards clear periods and the Clear Period Trigger remains unchanged. 9.4.3 Where DBS Barring has barred an individual from working with children and/or vulnerable adults, upon reaching the Clear Period Trigger, the information must be assessed to ensure that it is accurate, relevant and proportionate to retain the information. Used material will be required to be retained where a Barring decision stands to support the evidence of DBS Barring Decision Making and in case of requests for reviews of Barring decisions. 9.4.4 Any unused material held on the electronic system must also be reviewed and justified if further retention is necessary. 9.4.5 Where information has been retained for non-Barring decisions, the decision behind the continued retention of information is in some ways more significant than that of information held for Barring decisions. Where DBS Barring has barred an individual, information used to support the Barring decision is more easily justified as long as the Barring decision continues. However, where DBS Barring has not barred an individual, the continued retention of the information following the clear period is harder to justify if no further information on the individual has come to light. 9.4.6 When carrying out a Clear Period Trigger Review, the reviewer must consider the age of the information and the lack of any further contact for the period outlined in Appendix One. This is of particular significance for unused material for Barring decisions and for all information held for non barred cases



9.5 Statutory/Prescribed Trigger Process

9.5.1 Where a statutory/prescribed retention period exists for information, information will be retained for the period identified in the table 10.0. Information will not be held by DBS Barring for any period longer than that identified unless there is a continued need to hold the information and it may be justified. The Statutory/Prescribed Trigger Process relates to information held in all DBS Barring files.

9.6 Update Trigger Process

9.6.1 Where additional safeguarding information about an individual is received, which may impact on a previous Barring decision, this would not be part of the Update Trigger Process. An appeal or review of an individual‟s file would also not form part of the Update Trigger.

9.7 Report of Death Trigger

9.7.1 Where personal or sensitive personal data is being processed, there is the possibility that DBS Barring may receive a report of death of an individual. Ultimately the only method of establishing identity of an individual is through the use of fingerprint identification. However it is acknowledged that fingerprint identification will only be available in a very small number of cases. Reports of death are more likely to be received through information gathering processes or by reports from a family member. 9.7.2 The Data Protection Act 1998 only relates to “living individuals”. Where a report is received that an individual has died, their personal information (sensitive or otherwise) is no longer subject to the Data Protection Act. While this is the case, certain records such case files hold information about more than one individual. Staff must remember that while the individual of a file may no longer be subject to the Act, information relating to other individuals will still be subject to the legislative requirements. 9.7.3 Although personal data relating to a deceased individual is not governed by the requirements of the Data Protection Act 1998, this information should be treated as if the information were still subject to the Act, especially in terms of confidentiality and security.

9.8 Disposal of Information

9.8.1 The recording of the disposal of information is critical to ensuring an audit trail is maintained. Audit trails may be used to identify if information has been disposed of incorrectly or to validate the non-retention of information subject to Freedom of Information or Subject Access requests 9.8.2 Whenever information is destroyed, a record must be retained of what information has been destroyed, the method of destruction and details of the staff who destroyed and witnessed the disposal of the information



9.8.3 Records of destruction may be held electronically or in paper records. 9.8.4 Where Initial or Clear Period Trigger Reviews have been used to identify information for destruction, the electronic copy of the RACDF held on uCRM should validate the entry on the Disposal Register. 9.8.5 Where information has been disposed of in accordance with a Statutory/Prescribed Period Trigger, a record is retained on the Retention Assessment Criteria Decision Form (RADCF) and as an entry in the destruction register. 9.8.6 Copies of the Destruction Register will be retained by DBS Barring for a period not exceeding 100 years.

10.0 Barring Operational Data




Bar Information - Case Files uCRM Record (see 6.10.3 for mandatory information that must be kept) This category of information possesses the highest possible risk of harm to the public and in compliance with SVGA 2006 Regulations 2008/16.

Retain for life of bar plus 10 years or until the individual has reached 100 years of age (whichever is sooner). Review every 10 years to ensure adequacy and necessity of information.

General Team Information Minutes of meetings contact information

12 months delete

Policies/Procedures- I GAP Delete 10 years after superseded

Non Bar Decisions - Case Files uCRM Record This category of information may be used to indicate patterns of behaviour which are not proven or immediately obvious in the initial referral.

Review after an initial 10 year clear period. If information has been identified as having potential to show pattern for future referrals, retain and review every 10 years. Destroy if review cannot justify the continued retention of the information.

Review / Appeals – DBS Barring Decision Upheld

See Adult & Child Bar Information above

Review / Appeals – DBS Barring Decision Not Upheld

See Non Bar Decisions (Adult & Child) above

Deceased Cases Destroy 7 years after confirmation of Death is received



10.1.1 SVGA 2006 (Barred List Prescribed Information) Regulations 2008/16

Other information DBS must keep in respect of an individual included in a barred list.

The descriptions of information set out in regulations 3 and 4 are prescribed as other information that the DBS must keep in respect of an individual who is included on a barred list.

Regulation 3

The information prescribed by this regulation is the following information related to the identity of the individual and provided to the IBB:

(a) any alternative names and aliases of the individual;

(b) the individual's date and place of birth;

(c) the address of the individual;

(d) all information on any monitoring application submitted by the individual;

(e) the unique identification number accorded to the monitoring application or referral to the IBB in respect of the individual;

(f) the Police National Computer identification number relating to the individual;

(g) the DBS disclosure number relating to the monitoring application or the referral to the IBB in respect of the individual;

(h) the national insurance number of the individual; and

(i) all additional information relating to the identity of the individual.

Regulation 4

The information prescribed by this regulation is the following information related to the DBS's functions:

(a) the date of the individual's inclusion on the barred list;

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(b) all information provided to the DBS which it considers relevant to the decision of whether or not the individual should be barred;

(c) any information provided to the DBS by keepers of relevant registers or supervisory authorities in accordance with sections 41 (Registers: duty to refer) and 45 (Supervisory authorities: duty to refer) of the Safeguarding Vulnerable Groups Act 2006;

(d) relevant police information provided to the DBS but which the DBS must not take account of for the purpose of deciding whether or not the individual should be barred, in accordance with paragraph 19(5) and (6) to Schedule 3 of the Safeguarding Vulnerable Groups Act 2006 (information which the chief officer of a relevant police force thinks that it would not be in the interests of the prevention or detection of crime to disclose to the individual);

(e) the reasons for the DBS's decision to bar the individual, including any findings of fact made by the IBB giving rise to that decision;

(f) any information provided to the DBS, including representations made to it by the individual, which the DBS considers might be relevant to any subsequent appeal or review; and

(g) the outcome of any such appeal or review and any information provided to or held by the DBS following such proceedings, including any findings of fact.

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11.0 Appendix B - Abbreviations

BAG Business Agreement

BCP Business Continuity Plan

BIU Business Integrity Unit

BSI British Standards Institute

BTAT Business Transition Assurance Team

CAF Countersignatory Application Form

CAPA Corrective and Preventative Action

CEO Chief Executives Office

CFP Corporate File plan

CoCo Code of Conduct Agreement

CPT Capacity Planning Tool

CRM Customer Relationship Management System

Csig Counter Signatory

DBS Disclosure and Barring Service

DBS Barring Barring Arm of Disclosure and Barring Service DBS Disclosure Disclosure arm of Disclosure and Barring Service DFE Department for Education & Skills DHB Discrimination Harassment & Bullying DoSD Director of Service Delivery DPA Data Protection Act DQD Data Quality Dispute DSE Display Screen Equipment DVLA Driving Vehicle Licensing Authority DWH Data Warehouse Ebulk Deed Deed

EDV Equality Diversity Values

ET Executive Team

FAQ Frequently Asked Questions

FOI Freedom of Information

FURLS Friendly URL Guidance

HMRC Her Majestys Revenue & Custom

HO Home Office

HODS Home Office Disability Service

HOF Head of Function

HOW Home Office Women

HR Human Resources

IAA Information Assurance Agreement

IAO Information Asset Owner

IAP Ineligible Application Process

IAR Information Asset Register

IB Investment Board

ICO Information Commissioners Office

ISO International Organisation of Standardisation

JCNC Joint Negotiation Consultative Committee



LPF Local Police Force

MAC Management Assurance Calendar

MIS Management Information Systems

MoU Memorandum of Understanding NCA National Crime Agency

OGD Other Government Department

PCoE Procurement Centre of Excellence

PDR Personal Development Review

PES Policy Equality Statements

PID Project Implementation Document

PMO Project Management Office

PNC Police National Computer

POISE Home Office system which contains the DBS Corporate file plan

POVA Protection of Vulnerable Adults

PPP Public Private Partnership

PSS Performance Service Standard

PVM Police Volume Management QAF Quality Assurance Framework

RACDF Retention Assessment Criteria Decision Form

RAF Registration Application Form

RAG Red Amber Green

RAs Records Advisors

RB Registered Body

RCP Registration Cancellation Programme

RDG Race Gender Disability

RFI Request for Improvement

RTP Request to purchase

SCD Supporting Compliance Document

SCS Senior Civil Service

SCU Standards & Compliance Unit

SDAT Strategic Diversity Action Team

SDUAT Service Delivery User Assurance Team

SLA Service level Agreement

SMT Senior Management Team

SOCA Serious Organised Crime Authority

SSN Staff Support Network

SSns Staff Support Networks

TCS Tata Consultancy Services

TLO Training Liaison Officer

TNA The National Archives

ToR Terms of Reference

UB Umbrella Body

uCRM Updated Case Records Management System

UKBA United Kingdom Border Agency

VER Voluntary Early Release

WMT Work management Team



YTD Year to date