DATA RETENTION, STORAGE & DISPOSAL POLICY

Transcription

1 THE COUNCIL OF THE INNS OF COURT The Bar Tribunals & Adjudication Service DATA RETENTION, STORAGE & DISPOSAL POLICY Date of implementation: November 2013 Date of last review: April 2015 Date of next review: April 2016

2 CONTENTS 1. INTRODUCTION Page 3 2. SCOPE OF THIS POLICY Page 3 3. RETENTION PERIOD Page 3 4. STORAGE Page 5 5. DESTRUCTION Page 5 6. COMPLAINTS Page 5 7. REVIEW Page 5 2

3 1. Introduction 1.1. The Bar Tribunals and Adjudication Service ( BTAS ) is responsible for recruiting; appointing, administering and adjudicating Disciplinary Tribunals, including Tribunals which consider the most serious allegations of professional misconduct against barristers In addition to Disciplinary Tribunals, BTAS has similar responsibilities for Fitness to Practise hearings and Interim Suspension Panels for barristers BTAS also administers and supports the Inns Conduct Committee (ICC), a committee responsible for adjudicating on any misconduct issues arising from applications for admission to an Inn of Court or misconduct matters relating to student members of an Inn. 2. Scope of this policy 2.1. This policy outlines the periods of retention for case files and other files stored by BTAS. BTAS is committed to the safe storage of the information it holds, once a retention period has been reached BTAS will ensure all files are securely destroyed Guidance on how to access information held by and how we transmit and store information relating to hearings are contained within BTAS s Disclosure Policy and Information Security Policy. 3. Retention period 3.1. Retention periods will vary depending on the type of information held. Personal information held for any purpose should not be held longer than necessary for that purpose BTAS will retain case files; Relating to hearings which resulted in dismissal of the case for a period no longer than 3 years after the matter has been concluded and the period pending appeal has expired Relating to hearings which resulted in a sentence below a one year suspension (all other sentences) for a period no longer than 6 years after the matter has been concluded and the period pending appeal has expired Relating to hearings which resulted in a suspension of over one year for a period no longer than 10 years after the matter has been concluded and the period pending appeal has expired Relating to hearings which resulted in disbarment/expulsion indefinitely Unsuccessful applications for posts with BTAS will be held for no longer than a period of 1 year (this is a period longer than the period of limitation in which a claim may be brought). All information held for successful applicants including panel 3

4 members, staff and contactors will be held for a period no longer than 1 year after the subject s last contact with BTAS unless this is can be justified because the information:- a. needs to be retained because the information is relevant to on-going legal action. b. is required to be kept longer by virtue of statute. c. needs to be archived for historical purposes All monitoring information will be held for no longer than is necessary The table below outlines the different retention periods for different categories of information: Information Type Personnel/panel member information, including applications, interview notes, correspondence, contracts, performance reviews, appraisal information and all other information related to personnel. All information relating to unsuccessful applications. resulted in dismissal. resulted in a sentence up to a one year suspension (all other sentences). resulted in a sentence over a one year suspension. resulted in disbarment/expulsion. Formal requests, complaints, subject access requests and other queries. Policies, rules, procedures, guidance and project information. Research, key performance information, minutes, reviews, statistical and financial information. Monitoring information Retention Period 1 year after the subject s last contact with BTAS, although BTAS may archive names of personnel/panel members and their corresponding terms of office for historical purposes. No longer than 1 year. No longer than 3 years after the conclusion of the matter and the expiry of the period No longer than 6 years after the conclusion of the matter and the expiry of the period No longer than 10 years after the conclusion of the matter and the expiry of the period Indefinitely No longer than 1 year from the date of the last contact. Indefinitely. Indefinitely. No longer than is necessary for its purpose. 4

5 4. Storage 4.1. All hard copy information will be stored in secure cabinets in the BTAS offices. When hard copy information is not in use the information will be stored in the BTAS fire proof and water tight vault in secure cabinets All electronic information will be securely stored on individual staff password protected computers. Electronic files will be copied and stored on BTAS s secure server and on the remote 24-hour rolling back-up server All information held will be regularly audited by the Registrar. 5. Destruction 5.1. At the end of the specified retention period all hard copy information will be securely destroyed by a BTAS contracted secure shredding service At the end of the specified retention period all electronic files will be deleted from individual computers and the BTAS secure servers Deletion of electronic files is a two stage process files are firstly removed to the recycling bin, and then deleted from the recycle bin. Files can still technically be retrieved until it has been overwritten BTAS operates a 24 hour rolling back up system and therefore deleted files can be retrieved using specialist software up to 23 hours after the hour of deletion Staff will continually audit and monitor the information (as directed by the Registrar) held by BTAS and will securely destroy information when appropriate Information stored on the BTAS website will be deleted as appropriate when information becomes out of date. 6. Complaints 6.1. Complaints about this policy or its operation will be dealt with in accordance with the BTAS Complaints Policy. 7. Review 7.1. This policy will be monitored and reviewed annually. 5