This study, A Review of Police Records Retention Policies for Internal Security Files is the third in a series of White Papers on issues related to public safety. While the primary method of research for the Memphis Shelby Crime Commission (also referred to as the Crime Commission) is best practice investigations, admittedly not all topics lend themselves to this format. The purpose of the White Paper is to cover special issues, policies and concerns not specifically addressed by the Crime Commission's Best Practice Studies.

At the request of the Director of the Memphis Police Department, the Memphis Shelby Crime Commission agreed on February 4, 1999 to review the records retention policies for internal security files of other police departments around the country. Specifically, the primary purpose of the review was to determine how long other police departments retained internal security case files. As with previous white papers, the Memphis Police Department's practices were not reviewed.

The staff of the Crime Commission selected 18 cities to review: the Memphis 2005 peer cities,¹ the nine cities with populations above 500,000 that reduced crime the most during the 1990s,² and two additional cities in Tennessee, Knoxville and Chattanooga. After professional consultations with its research team, the Crime Commission decided to employ a telephone survey methodology to determine the policies of the selected comparison cities.³ Telephone surveys are a standard and growing form of criminological inquiry.⁴ They are commonly deployed because of their timeliness and cost-effectiveness in the data gathering process. All interviews for this report were conducted from the offices of the Memphis Shelby Crime Commission by the same researcher over a three-week period in February and early March 1999.

As with any type of survey research, the quality of the information received is dependent on the knowledge and accuracy of the informant. While all those interviewed felt comfortable answering questions regarding their respective department's policies, all such answers cannot necessarily be taken as official departmental policy. The survey results are therefore best interpreted as indicating perceived departmental policies and practices regarding how internal security records are retained and/or destroyed. Perception surveys should reveal what practitioners believe official policy to be, as well as how such policies are actuated under daily conditions.

Tennessee law defines a "public record" as follows:

Section 10-7-401 of the Tennessee Code Annotated authorizes the creation of a "County Public Records Commission" which pursuant to 10-7-404 of the TCA has "the right to authorize the destruction of any and all public records as defined in [section] 10-7-403,⁷ which are required by law to be retained, when such records have been photocopied, photostated, filmed, microfilmed, or preserved by microphotographic process…provided, that no record required by law to be permanently retained shall be destroyed without a majority vote off the commission." However, TCA 10-7-403 also provides that "[T]he requirement to photocopy, photostat, film, microfilm, or preserve by microphotographic process prior to destruction in accordance with this section shall not be required of "temporary records" and/or "working papers" as defined in [sections] 10-7-301 and 10-7-403." "No record of any municipal corporation required by law to be kept shall be ordered destroyed by the county records commission except with the concurrence of the governing body of the municipality."⁸

Public records as applied to municipalities are defined in TCA 10-7-403(4) as:

The rationale for requiring copying of public records prior to destruction may be found in TCA 10-7-410 which provides that

However, TCA 10-7-406 (c) provides that "[A]ny public record defined as "temporary record" and/or "working papers" as defined in [sections] 10-7-301 and 10-7-403 may be destroyed in accordance with the rules and regulations adopted by the commission without retaining the originals of such records." Prior to the destruction of any documents, except those defined as "temporary records" or "working papers," and after authorization has been given by the county public records commission, "ninety (90) days’ notice shall be given to the state librarian and archivist, whereupon the state archivist or the archivist’s representative shall examine the records approved for disposal and shall take into the archivist’s possession, for preservation in the state library and archives, any records the archivist believes to be of value for permanent preservation."

For purposes of discussion in subsequent sections, the term "records retention" is used to describe the process by which an agency determines the ultimate disposition of records. A records retention schedule serves as the administrative and/or legal authorization for the disposition of public records. A glossary of terms is located in the appendix.

This report focuses exclusively on the retention of case files for internal investigations of police officers and staff. These files are presumed to contain the complaints, correspondence, investigatory reports, interviews, hearing summaries and testimony, and related documents. Case files are distinct from summary reports, which generally include a listing of all investigations of officer misconduct and the results of such investigations.¹²

The results of the survey appear in the two figures below. Of the eighteen cities queried, fifteen responded. All the police departments reported having records retention policies for internal security files. Thirteen of the fifteen policies were written, with a fourteenth (Atlanta) presently in draft form. Only one of the police departments (San Francisco) negotiated their records retention policies with the local police union. Similarly, San Francisco was the only city which had a mechanism allowing for the removal of some investigations based on criteria such as a written request from the officer and a period of good conduct. The cities were evenly divided on the issue of records retention for electronic files. However, paper records were the predominant method of storing case files.

The records retention programs described by the fifteen cities divide into two general categories: those that treat all complaints the same, and those that employ a tiered system. Of the eleven cities that treated complaints the same, seven reported that they retain the files generated from these complaints permanently, irrespective of the allegation or its disposition. These seven cities were Birmingham, Charlotte, Chattanooga, Dallas, Knoxville, El Paso,¹³ and Houston. Dallas started retaining internal security records permanently approximately ten years ago; El Paso has permanently retained records since 1974. The four other cities in this category varied their length of retention, from five years (Indianapolis), to seven years (San Francisco), to ten years (Nashville), to five years in the office plus fifteen years in archives (Atlanta). The four remaining cities employed a tiered system. Two cities, Los Angeles and San Diego, employed a two-tiered system. The Los Angeles Police Department system is based upon whether the allegations were sustained or not sustained, while the San Diego Police Department system was based on whether the allegation was serious or minor.

The final two cities, Austin and San Antonio, appear to have the most complex approach to the retention of internal security records. The Austin Police Department operates a three-system based on the severity of infraction, but also uses discretion based on the frequency of sustained allegations. For example, the internal security files for a level one or minor allegation are routinely kept for five years. However, if during the routine review of conduct there is a record of the officer being disciplined more than once during the past year, the records are kept longer than five years. For a level two or sustained formal disciplinary action, the case files are kept for fifteen years. For a level three or action which could result in termination, the case files are kept permanently. Similarly, case files involving a shooting death or injury are kept permanently.

The San Antonio Police Department uses a multi-tiered system that is based on the severity of the infraction and its disposition. Files on line complaints of a minor nature¹⁸ are kept for two years. Exonerated cases of a more serious nature are kept for three years. Files of more serious cases in which the allegation was sustained and the disposition included counseling or some other form of outside assistance are kept for five years. Files for sustained cases that resulted in a written reprimand or suspension are maintained for fifteen years. Records of instances where either the officer or the arrestee is injured are kept permanently.

Six cities reported having a schedule of penalties: Charlotte, Indianapolis, Houston, Knoxville, Los Angeles and San Francisco. Nashville and Dallas both reported having schedules in the past prior to moving toward a more case-based approach to discipline. Austin was the only city that kept a log of all destroyed records. Those cities that did not keep records permanently and did not keep a log simply followed their retention schedule and purged records whenever appropriate.

In addition to the data collected from the fifteen surveyed cities, the staff of the Crime Commission reviewed data available from other localities for comparative purposes. For unsubstantiated case files (i.e. those cases proved to have no substance) the State of Utah authorizes a retention period of two years.²⁴ Substantiated case files are kept for three years for minor infractions and five years for serious offenses. Summary reports are permanently retained. Utah's entire municipal records retention schedule is included for review in the appendix.

The State of Oregon recommends that internal investigation case files be kept for three years.²⁵ The State of New York recommends that the background materials and supporting documentation of internal investigations be kept for six years.²⁶ Similarly, the State of Maine authorizes a seven-year retention period for investigative records,²⁷ while the State of Michigan recommends a minimum retention period of ten years for both citizen complaints and internal investigations. The report and recommendation resulting from the investigations for New York and Maine are kept permanently.

Without an approved records schedule, the retention and disposal of internal security files can pose problems for a municipal government. Consequently, the cities surveyed as well as independent research have identified a number of compelling reasons for developing an effective records retention program. First, experts attest that a properly designed and implemented records retention program helps to achieve compliance with relevant laws and to protect an organization during litigation, government investigation or audit. Such a program allows managers to correctly determine how long to keep records for legal and other purposes. It ensures that users have the records needed to perform their assignments. It can also ensure that records are destroyed or otherwise prepared for long term retention when they are no longer needed.

Management and staff at both public and private organizations readily perceive most implemented compliance programs as ensuring that the organization honors its statutory or regulatory obligations. However, records retention programs are frequently taken less seriously than other departmental policies and are often applied inconsistently, if they are followed at all. The explanation for this is innocent enough: many employees regard records retention policies as just a means of saving space. Thus the focus on records retention commonly occurs when drawers in the file room become full, or because a department moves to another location; until then, the problem can remain largely ignored.

All public records have four fundamental values that may influence their retention: administrative, legal, fiscal, and research.

Administrative Value: Records have administrative value as long as they provide information needed for current or future work. Generally, eighty percent of the references made to a record occur within one year from the date it is created. The administrative value of many records is exhausted within two years. However, some records provide information about an agency’s origin, organization, policies and functions that have long term administrative value.

Legal Value: Records have legal value as long as they provide enforceable documentation of the agency’s rights and obligations. Ordinances, resolutions, official court documents such as ordinances and resolutions, and contracts and agreements are examples of records of primary legal value. Some records have permanent legal value. The legal value of other records, such as contracts and agreements is limited by the time they remain in effect plus the statute of limitations on the agency’s liability for the terms and conditions that they document. Thus, the standard retention period for contracts and agreements is termination plus six years. Statute of limitations issues are discussed at some length in the proceeding section.

Fiscal Value: Records have fiscal value as long as they provide information needed to track agency finances and document its financial transactions. Examples of records with primary fiscal value include budgets, allotments, ledgers, periodic accounting reports, vouchers, and warrants. Fiscal records that also have legal or official value, such as primary copies of budgets, ledgers, and vouchers have a longer retention value than fiscal records with administrative value, such as periodic accounting reports.

Research/Historical/Archival Value: Some records have long-term research value because they provide significant documentation concerning the development of the agency’s mission, policies, programs, and the area(s) it serves through time. Once the agency’s administrative, legal, and fiscal needs for such records have exhausted, they should be transferred to a designated archival agency for long-term preservation and public research use.

Clearly, the primary justification for retaining internal security case files is their administrative and legal value. However, how these values translate into a records retention schedule varies from jurisdiction to jurisdiction, as evidenced by the survey and other source material. The Commission for the Accreditation of Law Enforcement Agencies (CALEA) requires that all accredited law enforcement agencies have a policy for the maintenance of internal records. CALEA does not prescribe a retention period for internal security records, primarily because the wide variation among states in the statutory requirements for records retention inhibits the formation of a national policy. The Crime Commission staff also consulted the Association of Records Managers and Administrators (ARMA), the Police Executive Research Forum (PERF), and the International Association of Chiefs of Police. None of the organizations consulted prescribed a standard period of time for the retention of internal security records.

As was previously stated, seven or 46.7% of the departments surveyed believe it is best to keep all internal affairs case files permanently. According to records management literature by Skupsky and others, this conventional wisdom has been recommended by defense attorneys for years, but has been superseded recently by a new philosophy that organizations should destroy records as soon as they legally and practically can.²⁸ This pragmatic approach can save space, time, and reduce an organization's legal liability.

Current research also suggests that problems can arise both when records are destroyed too soon and when they are kept too long. Records destroyed prior to the loss of one or more of the retention values mentioned above could negatively impact litigation, government investigations, and audits of a particular police department. Ironically perhaps, records kept longer than necessary can have a similar effect. As a result, current literature encourages complete and accurate legal research and the consistent, accurate assignment of retention periods.

Inconsistent enforcement of document retention programs may serve as an open invitation for a litigation adversary to argue that evidence was selectively destroyed to prevent damaging material from coming to light. It may appear suspicious when only some documents have been discarded, but others remain, and an agency inquiry that should have been routine can quickly escalate if inconsistent enforcement of document retention programs creates the impression, however mistaken, that files have been selectively purged.

State records schedules are often created to provide minimum periods for the retention of listed records. However, local situations may exist which require retention beyond the periods listed. In these situations, a local department may approve a retention period longer than the time limits contained in the state archives general schedule.

After establishing records management policies and procedures for internal security files, many departments designate a supervisor or senior clerical person to implement the program. All personnel responsible for creating and maintaining internal security files should be provided orientation and training on the departmental records retention program. In accordance with most of the cities surveyed, the internal affairs records retention schedule should be stated in writing, and adequate steps should be taken to ensure distribution to all appropriate personnel. The designated supervisor should then develop a regular, preferably annual, records disposition process to identify and dispose of all records that have reached the end of the retention period specified on the approved schedule. According to records management literature, the guidelines for what gets retained and what gets discarded should be as precise as possible. They should include not only detailed descriptions of the types of documents to save or destroy, but also how to determine when documents are out of date or are otherwise no longer needed.

The survey data also suggest that where possible, an internal affairs department should consider developing a non-current records storage center away from the agency's active office area. Because the active reference life of most records series varies from one to two years, older, less active records can be shifted to cost-efficient, accessible non-current records storage centers for the remainder of their required retention periods. To facilitate this process, the retention period for each records series can be divided into current and non-current phases. For example, if internal security case files have an approved retention period of five years, the current phase could be designated as two years and the non-current phase as three years. Thus case files would be stored in the active office area for two years before being shifted to a non-current storage center for three years.

The survey results indicated that roughly half the departments do not treat computerized records the same as written records. Internal security records in electronic format also need to be scheduled and managed to ensure that access to those records is maintained for the duration of the established retention period. The retention period is based on the informational content of the records, not the format in which the records are stored. From a legal standpoint, electronic copies of messages are no different from paper copies. If documents are too old to be retained, copies on disk or backup tape should be destroyed as well. Conversely, if paper copies must be retained to comply with litigation obligations, then the computerized versions should also be retained. In addition, the survey results showed that only one police department kept a log of all destroyed records. Records retention professionals recommend maintaining a log of what was destroyed, when, and by whom. A log helps to establish the internal controls essential to a successful records retention program.

Not only is it sometimes important to maintain a central historical record of superseded case files, but if there is a litigation or investigation pending or even reasonably foreseeable, all potentially relevant material must be preserved. The preservation of such files may be required to reconstruct events, to rebut false claims made against a department, or to prove a department's version of the facts. If documents are discarded that are relevant to an ongoing or anticipated legal proceeding, there is a danger of severe sanctions, including contempt of court, monetary penalties, and in some instances, criminal prosecution for tampering with evidence or obstruction of justice. To underscore this point, a federal district court in a recent case imposed a $1 million fine against the defendant company for a failing to take sufficient steps to halt routine document destruction once litigation had been filed. The penalty was assessed even though the court concluded that the company had made some efforts to comply with its retention and disclosure obligations and was not intentionally trying to hide evidence.²⁹

There is no federal statute of limitations with respect to civil rights actions³⁰ arising under 42 U.S.C. 1983.³¹ Section 1988, however, provides that whenever the other civil rights statutes are "deficient in the provisions necessary to furnish suitable remedies" the law of the state in which the federal court sits shall govern. This has been interpreted to require federal courts to look to analogous actions at state law to find the appropriate statute of limitations for an action under section 1983.³²

The problem of determining the appropriate analogous action at state law had seriously divided lower federal courts. The fundamental point of disagreement was whether civil rights claims should be characterized in terms of specific facts generating a particular suit (requiring different limitation periods under state law), or whether a more general characterization was appropriate irrespective of the facts involved (resulting in a single limitations period for all section 1983 actions.

In Wilson v. Garcia,³³ the United States Supreme Court resolved this conflict and ruled that section 1983 claims are most closely analogous to state tort actions "for recovery of damages for personal injuries." Stressing the need for uniformity and certainty, the Court rejected approaches which sought to identify the most factually similar state court suit or which relied on limitation periods for claims for liability based on statute. Moreover, in reaching its decision, the Court emphasized the federal interests protected by section 1983. They specifically noted that federal law rather than state law governs the characterization of the nature of the right involved, and therefore of the applicable state limitations period. The Court rejected the conclusion of the New Mexico Supreme Court that the most analogous statute was the one provided by the state tort claims act.³⁴ Thus, under Garcia, if a state has a statute of limitations for tort actions for personal injuries, that limitations period will control for all section 1983 actions, including claims based on a denial of property or contractual rights. If the state has no specific limitations statute applicable to personal injuries, the residuary statute of limitations of the state will apply.

In Owens v. Okure,³⁵ the Court clarified the Garcia rule for states that have more than one statute of limitations applicable to personal injury claims. In these jurisdictions, the general or residual personal injury statute will control rather than the statute of limitations for the specific intentional tort underlying the suit. Where only one intentional tort limitations statute exists, that statute is applicable.

Tennessee has adopted a specific statute imposing an outer limit or ceiling upon the existing statute of limitations for personal injuries.³⁶ Section 28-3-104 of the Tennessee Code Annotated sets out

1. Actions for libel, for injuries to the person, false imprisonment, malicious prosecution, breach of marriage promise;
2. Actions and suits against attorneys or licensed public accountants or certified public accountants for malpractice, whether the actions are grounded or based in contract or tort;
3. Civil actions for compensatory or punitive damages, or both, brought the federal civil rights statutes; and
4. Actions for statutory penalties.

Therefore, application of the Garcia rule to federal civil rights actions arising in Tennessee imposes a one year statute of limitation on federal civil rights claims. Thus, in Merriweather v. City of Memphis,³⁷ the court of appeals determined that in a civil rights action against the city arising from a police shooting, the statute of limitations began to run on the date plaintiff’s decedent was shot and expired on the same calendar date a year later. However, caution must be observed in determining when the limitations period begins to run.

For example, the limitations period for actions wrongful investigation, prosecution, conviction, incarceration, and reprosection under federal civil rights laws did not begin until plaintiffs’ convictions were vacated and their prosecutions terminated, not when their convictions were overturned on appeal following their first trials.³⁸

Moreover, it is important to remember that state statutes and rules govern the question of when a statute of limitations has been tolled in a section 1983 action.³⁹ In Tomanio,⁴⁰ the Court held that application of the state tolling provisions was not only not inconsistent with section 1983 but was required by section 1988. The respondent’s section 1983 claim was barred by state law, under which the statute of limitations for the section 1983 claim had not been tolled during the pendency of state court proceedings. The Court reasoned that because a section 1983 plaintiff is not required to exhaust state proceedings before filing suit in federal court, it is not inconsistent to refuse to toll the statute during such state proceedings. A different result was reached, however, where a state law tolled the statute for a criminal defendant to file suit based on the incident leading to his prosecution until the criminal case was concluded. In Harding v. Galceran,⁴¹ the court held that such a tolling provision furthers the purposes of section 1983 and would be valid. Subsequently, in Hardin v. Straub,⁴² the Supreme Court held that a federal court applying a state statute of limitations to an inmate’s federal civil rights action should give effect to the state’s provision tolling the limitations period for prisoners.

The statute of limitations for a claim for malicious prosecution does not begin to run until the underlying criminal case is disposed of favorably to the plaintiff, since that is an element of the cause of action. In Robinson v. Maruffi,⁴³ police officers conspired to obtain perjured testimony to convict plaintiff of murder. The court held that the statute did not begin to run until plaintiff’s acquittal at his second trial, because the conspiracy to bring about malicious prosecution continued until that time.⁴⁴ On the other hand, in Rose v. Bartle,⁴⁵ the court determined that a claim for false arrest and abuse of process would run from the date of arrest, or at the latest when the plaintiff should know of the illegality.

It is also important to bear in mind that federal law incorporates the equitable doctrine that fraud or concealment of material facts related to wrongdoing tolls the running of a statute until a plaintiff discovers or with due diligence could have discovered the basis for the law suit.⁴⁶ Whether this federal equitable rule survives the Supreme Court’s decisions requiring that federal courts follow state law tolling provisions was questioned, but not decided, in Torres Ramirez v. Bermudez Garcia.⁴⁷

Clearly, questions arising with respect to statutes of limitations must be approached carefully. As such, the design of policies regarding retention of documents that may bear upon litigation can only take place within the context of a careful and diligent review of applicable state and federal law.

In the information age, very few organizations, whether governmental or non-governmental, can afford to save all of their records. As the size of an organization increases, there is a strong likelihood that both external complaints and internal investigations will also increase, and the cost of storage onsite or offsite will increase correspondingly. The question of what to save and what to destroy then becomes paramount.

A retention policy for internal security files does make sense, especially if it is placed within the context of a comprehensive records retention strategy. No department can be expected to retain every piece of paper that it ever generates or receives. The key is to have well defined criteria for what to keep and what to discard, and to enforce these criteria objectively and uniformly. Once a records retention policy has been established, it is also very important to routinely audit compliance.

While there are many advantages to implementing a model records retention program, one that may be particularly enticing to police administrators is the costs that can be saved or avoided. These include the cost of file space released for reuse, the cost of floor space converted or released, and the cost of staff time saved by effective records filing, storage, and disposition.

A model process for creating a retention and disposal schedule is outlined in the appendix. While internal security files have been the exclusive focus of this report, this process can be applied to any recorded information, such a payrolls, accident reports, or budget hearing and review files.

Records that are referred to more than once per month per file drawer. Active records should be maintained in the office.

Records documenting the operation, management, and administration of an office; usually distinguished from program records that relate to the office's primary function.

The usefulness of a specific records series for the administration of current business.

1.The non-current records of an organization or institution preserved because of their permanent, continuing value.

2.The agency responsible for selecting, preserving, and making available archival materials.

3.The building where such materials are located.

The files of several offices of organizational units physically and/or functionally centralized and supervised in one location.

Marking a file code on the document to be filed.

A machine-readable medium used to reproduce records for rapid retrieval.

Any format of information that is an addressed, written communication to or from an agency or its employees.

The termination of files at regular intervals to permit their transfer, retirement, or disposal in complete blocks. Under this process, a file is terminated regularly at the end of a specified period of time or event, and a new file of the same records series is established.

Files that are created, used, maintained and controlled in or near the office of record.

Any manner or method of changing the custody, location, or physical state of records. Includes transfer, microfilming, duplication or destruction.

Records created and/or stored by electronic means, usually on computer systems.

Records essential to:

The resumption and/or continuation of operations; the re-creation of the legal and financial status of the agency; or the fulfillment of obligations to local, state, and federal governments and outside interests.

A listing of all records series held at each file station, including retention periods, file codes, methods of filing, and disposition instructions.

The usefulness of a specific records series for the documentation of an agency's financial transactions and obligations.

The usefulness of a specific records series for historical research. Typically, 1% to 5% of an agency's total records have historical value.

Records with a reference rate of less than one search per file drawer per month. Such records may be transferred to a records center, or may be destroyed as provided by a records retention schedule approved by the appropriate agency.

A descriptive list of each records series in an office or file station, including such data as title, inclusive dates, quantity, arrangement, relationships to other series, and description of significant subject content. 2. A survey of records conducted prior to disposition or the development of a records retention schedule.

The usefulness of specific records series for documentation of an agency's legally enforceable rights and obligations.

1.A high-resolution photographic film used to record reduced-size images from original records.

2.The act of recording micro-photographs on film.

A guide card used to indicate that records have been taken from the file. The out-card should identify the specific item/file, date, and name of the person temporarily holding the record.

Records which have sufficient legal, fiscal, and/or historical value, to be retained indefinitely.

Groups of documents that pertain to a particular action, event, person, or place. May consist of correspondence, form records, memoranda, or a combination of such records.

Records containing information of a confidential or highly sensitive nature, requiring destruction by shredding, to eliminate the possibility of illegal or undesirable disclosure.

Electronic record storage systems that allow for research or "reading" access but protect the record from additional entries or alterations.

Papers (reports, correspondence, legal documents, etc.), photographs, magnetic tape, microfilm, sound recordings, maps, drawings, or other documents, regardless of physical form or characteristics, and including all copies thereof, either organized or received by an institution.

A low-cost facility for the organized and controlled storage, maintenance, retrieval, and disposition of inactive or non-current records.

The management function concerned with the efficient, systematic control of records from their creation to their ultimate disposition.

The individual responsible for an agency's records management procedures, including retention scheduling, files organization, records storage, and destruction.

A listing and schedule of records series by office, indicating for each series the full records series title, function/purpose, location of official copy, retention period in the office and/or records center, and whether or not the series is to be microfilmed, destroyed, and/or transferred to the Archives for permanent retention.

A group of records, performing a specific function, which is used as a unit, filed as a unit and may be transferred or destroyed as a unit. A records series may consist of a single type of form or a number of different types of records which are filed together to document a specific function.

Publications, books, periodicals, catalogs, bulletins, reports, maps, theses, tapes, films, photographs, and other materials that are needed as informational resources but are not part of the main body of files.

Removal of individual papers or folders from a group of records, usually to permit disposal of parts of the file, and retention or transfer of the rest. Also known as purging or weeding.

These files document traffic accidents investigated by the police department. The report usually includes complete information on all cars and drivers involved in the accident, accident location, damage, accident causes, date and time, accident diagram, description, and weather conditions. The original report is sent to the State Department of Public Safety if damage exceeds $1,000, or injury or death occurs (UCA 41-6-35 (1997)), and is maintained for seven years.

RETENTION

Retain for 3 years and then destroy.

PRIMARY CLASSIFICATION Exempt: UCA 41-6-42 (1997).

(Approved 12/89)

These are forms used to report arrests made by the police department. They usually include complete information and description of person arrested, date, arrest time, arrest location, charges, description of offense, witnesses, victims, suspects, and name of officer(s) making arrest. Sometimes report is a multi-part form, with a copy sent to the county jail.

RETENTION

Retain for 5 years if not part of case file, and then destroy.

PRIMARY CLASSIFICATION Private.

SECONDARY CLASSIFICATION Public: Initial Contact Report (UCA 63-2-301(2)(g) (1997)).

(Approved 08/96)

These are records relating to the required licensing of all bicycles sold. All cycle dealers are required "to license or arrange to have licensed at time of purchase" all cycles and "to keep records on all cycles sold and to furnish, within thirty days of sale; their respective city or county police department with the name and address of retailer; year and make of cycle; a general description of cycle; frame number; name and address of purchaser" (UCA 11-21-1 (1997)). Bicycle registration may be handled by either the fire or police department.

RETENTION

Retain for 3 years and then destroy.

PRIMARY CLASSIFICATION Public.

SECONDARY CLASSIFICATION Private.

(Approved 12/89)

These are reports of crimes and other cases investigated by the police department. They contain all information as to the "who, what, where, why and how" of reported incidents. They are used for departmental information, follow-up investigation, and statistics. The Supplemental Continuation Reports are used to provide additional information concerning a police investigation. The reports are usually filed by case number and are frequently part of the case file. They are also called Incident Reports or Offense Reports.

RETENTION

Retain for 5 years if not part of case file and then destroy.

PRIMARY CLASSIFICATION Protected.

(Approved 12/89)

These are records of individuals who have been chemically tested for suspicion of or arrested for driving under the influence of alcohol or drugs. They usually include the chemical analysis reports which show subject, date, case number, time test taken, testing officer, instrument serial number, and test results (UCA 41-6-44.3 (1997)). Usually these tests are part of the case file/ accident report and are filed by the case number. A copy is frequently attached to the arrestee's criminal history file.

RETENTION

Retain for 3 years if not part of case file and then destroy.

PRIMARY CLASSIFICATION Private.

(Approved 12/89)

These records document civil papers processed and served by the police department. They generally include names of plaintiff(s) and defendant(s), fees paid, addresses, and type of civil paper served (subpoena, warrant, etc). The entries are filed numerically by case number and indexed by name. Sometimes a card system is used to record the service of civil papers and is called a civil docket card. Two copies are created with one filed by defendant's name and the other by docket number. The records are traditionally known as the civil day book.

RETENTION

Retain for 3 years and then destroy.

PRIMARY CLASSIFICATION Public.

(Approved 12/97)

This is a call for citizens to appear in court for criminal offenses. After summons are served the original is returned to the court. A log is sometimes kept indicating when summons was served (date and time), name of person served, and reason for being served.

RETENTION

Retain for 2 years if not part of case file and then destroy.

PRIMARY CLASSIFICATION Public.

(Approved 08/96)

These files were created to anticipate, prevent, or monitor possible criminal activity. They include crime patterns, analyses of particular crimes, crime reports, information on potential problems and forecasts.

RETENTION

Retain for 2 years or until administrative need ends and then destroy.

PRIMARY CLASSIFICATION Public.

(Approved 08/96)

These logs document the dissemination of criminal histories and other law enforcement information to other agencies or criminal information systems. They include release date, state identification or FBI number. They are created and maintained pursuant to federal regulations under 28 CFR, Part 20, Subpart C (1992) and state regulations under UCA 53-5-214 (1997).

RETENTION

Retain for 1 year and then destroy.

PRIMARY CLASSIFICATION Public.

(Approved 12/89)

These are complete histories of arrested individuals which provide complete name, alias or nickname, residence, complete physical description, date of arrest, offense committed, and occupation. It may also contain fingerprint cards and mug shots. Since the Bureau of Criminal Identification maintains the record copy of Criminal History Records until individual's death or seventy-five years, an individual agency maintains one at its own discretion.

RETENTION

Retain for 5 years provided no further arrest or until administrative need ends and then destroy.

PRIMARY CLASSIFICATION Exempt: UCA 53-5-214 (1997).

(Approved 08/96)

This is a report of daily activity per work shift per officer. It is used to compile annual reports and for planning and budgeting purposes. It usually includes date, case number, case type, but may also show officer's name, shift, vehicle number, total hours on and off duty, administrative time, and investigative time.

RETENTION

Retain for 2 years and then destroy.

PRIMARY CLASSIFICATION Public.

(Approved 12/89)

This is a log of radio traffic received or transmitted over the various communication systems. This log satisfies Federal Communications Commission (FCC) log requirements and is arranged chronologically by date. In some departments, the daily radio log and daily activity reports have been compiled into one report.

RETENTION

Retain for 1 year and then destroy.

PRIMARY CLASSIFICATION Public.

(Approved 12/89)

This is a daily log maintained on all dispatch activity. It is used for budget and planning purposes and to document activities of the dispatch office. It includes names of personnel working, traffic stops, calls for service generated, time, shift, and a summary of daily events. In some offices, the record is only maintained as a computer file.

RETENTION

Retain for 2 years and then destroy.

PRIMARY CLASSIFICATION Public.

(Approved 12/89)

These are twenty-four hour tape recordings of incoming and outgoing telephone or radio calls made from and to the dispatch office. They are used to document the actions of dispatch personnel and public safety officers. The tapes are rotated on a regular basis and portions of the tapes concerning questionable cases are transferred to cassette tapes.

RETENTION

Retain for 30 days and erase provided questionable actions are transferred to cassette tapes.

PRIMARY CLASSIFICATION Private.

(Approved 08/96)

These reports are a three-part state form used for reporting persons arrested for driving under the influence of alcohol (DUI). The original is sent to the Driver's License Division of the Department of Public Safety within "five days after the date of arrest and service of notice" (UCA 53-3-223 (5) (1997)). The report is filed by case number and by arrestee's name, and sometimes is part of the case file.

RETENTION

Retain for 2 years if not part of case file and then destroy.

PRIMARY CLASSIFICATION Private.

(Approved 11/96)

These records document the use and location of items in evidence. They include tags on property and file card and may also include evidence release authorization cards.

RETENTION

Retain for 5 years and then destroy.

PRIMARY CLASSIFICATION Protected.

(Approved 08/96)

This is a log that shows the chain of possession of all evidence gathered by the police department. The log begins when evidence is gathered and ends when evidence is returned or destroyed. A copy of the log usually becomes part of the case or investigative file.

RETENTION

Retain for 4 years if not part of case file and then destroy.

PRIMARY CLASSIFICATION Protected.

(Approved 12/89)

"A person who has been convicted of any crime except a capital felony, first degree felony or second degree felony .... within this state may petition the convicting court for an expungement and for sealing of his record in that court." If petition is approved, the court "shall enter an order that all records in the petitioner's case in the custody of that court or in the custody of any other court, agency or official be sealed." The petitioner "shall distribute the orders of expungement and sealing to all affected agencies." The sealed file includes the expunged records and court order. The Utah Bureau of Criminal Identification shall "keep, index, and maintain all expunged and sealed records of arrests and convictions" (UCA 77-18-15(1) (1997)).

RETENTION

Retain for 80 years or until confirmed death and then destroy.

PRIMARY CLASSIFICATION Protected: UCA 77-18-15(8) and 63-2-304(9) (1997).

(Approved 08/96)

These case files are created as a result of a felony complaint or investigation by the police department. They are the central case files for felony cases handled by the agency. These files may include the investigative report, fingerprint cards, original arrest report, supplemental reports, copies of warrants, photographs, correspondence, court orders, court dispositions, officers' notes, latent fingerprints, pertinent laboratory tests, copies of booking sheets and arrest reports.

RETENTION

Retain for 5 years after case closed and then destroy.

PRIMARY CLASSIFICATION Protected.

(Approved 08/96)

This is a limited informational report filled out by the police officer. The report contains information on suspicious persons questioned. It includes descriptions of individual and vehicle, time and place of contact, and reason for suspicion.

RETENTION

Retain for 1 year or until administrative need ends and then destroy.

PRIMARY CLASSIFICATION Protected.

(Approved 08/96)

These are cards which verify a subject's identity and which are also used for the identification and apprehension of suspects. The cards contain the subject's fingerprints as well as all necessary information required to identify the individual, including fingerprint classification number, name, address, date of birth, date of arrest, signature of subject, photograph, occupation, and place of employment. A copy is forwarded to the Bureau of Criminal Identification. Since the Bureau of Criminal Identification maintains a complete file of all fingerprints, it is unnecessary for individual agencies to maintain their own file. These cards are usually part of the criminal history files.

RETENTION

Retain until subject's confirmed death, the card is superseded, or administrative need has been met and then destroy.

PRIMARY CLASSIFICATION Protected.

(Approved 12/89)

These files contain records for police officers qualifying to carry a firearm. Each officer must qualify twice a year. These files include type of firearms used, date, identification number, police officer's name, pass/fail score, and time span for score.RETENTION

Retain for 2 years after separation or termination of employee and then destroy.

PRIMARY CLASSIFICATION Private.

(Approved 08/96)

These files contain records of firearms that have been disposed of either through sale, trade or destruction. They include the manufacturer's name, serial number, model, caliber, disposal method, disposal date, name of business purchasing firearm, and bid number.

RETENTION

Permanent.

PRIMARY CLASSIFICATION Protected.

(Approved 12/89)

These card files list all firearms in police department's inventory. Cards contain name of manufacturer, serial number, model, caliber, to whom issued, by whom issued and date. Files also show illegal weapons that cannot be resold, and guns not serviceable which are used for training purposes.

RETENTION

Retain for 2 years after disposal of firearms and then destroy.

PRIMARY CLASSIFICATION Protected.

(Approved 12/89)

These case files are created as a result of a homicide complaint or investigation by the police department. They are the central case file for all homicides (and other cases without a statute of limitations) handled by the agency. These files may include the investigative report, fingerprint cards, original arrest report, supplemental reports, copies of warrants, photographs, correspondence, latent fingerprints, court orders, court dispositions, officers' notes, pertinent laboratory tests, copies of booking sheets and arrest reports.

RETENTION

Permanent.

May be transferred to the State Archives with authority to weed.

PRIMARY CLASSIFICATION Protected.

(Approved 08/96)

These reports document motor vehicles impounded by the police department. Vehicles may be impounded for various reasons but usually when property or sales taxes are not paid. The State Tax Commission form includes the impound date, the make and model, year, color, identification number, tag number, and condition of the impounded vehicle; the name and address of owner (if known); reasons for impounding; date and time vehicle impounded; vehicle accessories; description of any visible damage; any necessary remarks; officer's signature; agency name; and case number. A vehicle inventory form may also be maintained which contains essentially the same information. The record copy is sent to the Division of Motor Vehicles and is retained for five years. A copy of the report is usually part of a case file.

RETENTION

Retain for 3 years if not part of case file and then destroy.

PRIMARY CLASSIFICATION Public.

(Approved 08/96)

These are the initial written or recorded reports that are made by police officers describing actions initially taken in response to a complaint or the discovery of an apparent violation of law. The reports may contain "the dates, time, location, and nature of the complaint, the incident, or offense; names of victims; the nature or general scope of the agency's initial actions taken in response to the incident; the general nature of any injuries or estimate of damages sustained in the incident; the name, address, and other identifying information about any person arrested or charged in connection with the incident; or the identity of the public safety personnel (except undercover personnel) or prosecuting attorney involved in responding to the initial incident" (UCA 63-2-103(12)(a). These reports do not include follow-up or investigative reports prepared after this initial report. Please also see Schedule 21, Item #3 "Arrest Reports."

RETENTION

Retain for 5 years if not part of case file and then destroy.

PRIMARY CLASSIFICATION Public: UCA 63-2-301(2)(g) (1997).

SECONDARY CLASSIFICATION Protected: UCA 63-2-301(2)(g) (1997).

UCA 63-2-304(9) (1997).

(Approved 12/97)

This is a statistical report on all internal investigations of the police officers' and office staff. It is used to summarize the activities of the internal affairs section. The report includes a listing of all investigations of officer misconduct and the results of such investigations. This report does not necessarily identify the names of specific officers.

RETENTION

Permanent.

May be transferred to the State Archives, if not part of annual report.

PRIMARY CLASSIFICATION Public.

(Approved 08/96)

These files contain records relating to the internal affairs of the police department. These cases involve investigations of alleged officer misconduct including all records relating to the initiation, investigation, and disposition of each case. These cases were proved to have no substance. Substantiated cases are handled like any other criminal investigation and files become part of investigative case files (misdemeanor, felony, homicide).

RETENTION

Retain for 2 years and then destroy.

PRIMARY CLASSIFICATION Protected.

(Approved 08/96)

This is an alphabetical index of names which contain information on each individual having been interrogated, arrested, or named as a suspect or accomplice in a crime, and the names of victims, complainants and witnesses to police incidents. It includes information on arrested persons (cross referenced by aliases), complainants, witnesses, and victims (providing name, address, date of birth, race, and sex), incident date, incident type, names of persons and businesses in contact with the police departments, notice of content, and report of recorded event.

RETENTION

Retain until obsolete, superseded, or administrative value ends and then destroy.

PRIMARY CLASSIFICATION Private.

(Approved 12/89)

These case files are created as a result of misdemeanor complaints and investigations by the police department. They are the central case files for all cases handled by the agency. These files may include the investigative report, fingerprint cards, original arrest report, supplemental reports, warrant copies, photographs, correspondence, court orders, court dispositions, officers' notes, pertinent laboratory tests, copies of booking sheets and arrest reports. (See also Felony case files and Homicide case files.)

RETENTION

Retain for 3 years after case closed and then destroy.

PRIMARY CLASSIFICATION Protected.

(Approved 08/96)

These files contain photographs and negatives of persons arrested. They are used to aid in the identification and apprehension of suspects in criminal investigations. The photograph is stamped with the case number or a departmental number and date picture was taken. These files may also include driver license photos.

RETENTION

Retain until confirmed death of subject or 75 years and then transfer to Archives with authority to weed.

PRIMARY CLASSIFICATION Public.

(Approved 08/96)

These files contain forms used to enter information on the NCIC system. The three separate forms used are stolen articles report, stolen or missing guns report, and wanted persons or missing juveniles report.

RETENTION

Retain for 1 year if not part of case file and then destroy.

PRIMARY CLASSIFICATION Public.

(Approved 08/96)

These are receipts submitted by pawn shop owners for items pawned. They are used to trace stolen merchandise. They include the pawn shop's name, merchandise type, serial number, and item description.

RETENTION

Retain for 1 year and then destroy.

PRIMARY CLASSIFICATION Public.

(Approved 12/89)

These are audio cassette tapes containing portions of the Dispatch activity recordings concerning questionable cases. Twenty-four hour tape recordings are made of all incoming and outgoing telephone and radio calls received by the office. Portions of tapes concerning questionable cases are transferred to audio cassette tapes.

RETENTION

Retain for 2 years after resolution of case and then destroy.

PRIMARY CLASSIFICATION Public.

(Approved 08/96)

These are a "proper record" of custodial property that are required to be maintained by peace officers in accordance with UCA 77-24-1.5 (1997). These records must include the name of the owner of custodial property (if known) and the case for which it was taken or received.

RETENTION

Retain for 3 years after return or disposal of property and then destroy.

PRIMARY CLASSIFICATION Private.

(Approved 08/96)

These receipts document the return of property in the custody of the police department to property owner in accordance with UCA 77-24-3 (1997). They usually include the date, owner's name and address, description of property being returned, and signatures of owner and authorized police department personnel. "The receipt shall be retained as permanent in the files of the agency involved or the court where the case is finally resolved." (UCA 77-24-3 (1997)).

RETENTION

Permanent.

(UCA 77-24-3 (1997)).

PRIMARY CLASSIFICATION Private.

(Approved 08/96)

These files contain information to be distributed to other law enforcement agencies concerning robberies. The form includes date, time, case number, suspect's vehicle, suspect's description, victim's name, and location, type of weapon used, amount and description of loss, facts of case summary, and investigating officer's name.

RETENTION

Retain for 4 years or until robbery is solved and then destroy.

PRIMARY CLASSIFICATION Public.

(Approved 12/89)

These are files maintained by a department on sex offenders living within its jurisdiction. "All sex offenders shall, for the first five years after termination of sentence, again register within ten days of changing his place of habitation." This registration form is required by the Department of Corrections and consists of a statement signed by the person, giving information on current address, and the fingerprints and photographs of the person. One copy is given to the person, while others are forwarded to the Department of Corrections, which sends one to the local law enforcement agency where the person resides (UCA 77-27-21.5 (1997)).

RETENTION

Retain for 10 years or until person moves from jurisdiction and then destroy.

PRIMARY CLASSIFICATION Exempt: UCA 77-27-21.5(13) (1997).

(Approved 08/96)

These are lists of all recovered stolen property including description of property value, and serial number. This is usually a part of the original incident report.

RETENTION

Retain until lists become obsolete or administrative need ends, or if on state computer system, until expunged from system and then destroy.

PRIMARY CLASSIFICATION Public.

(Approved 12/89)

These documents contain information received from or disseminated to various law enforcement agencies through the teletype system. This information network notifies law enforcement agencies of crimes, lost property, wanted suspects, arrests, missing persons, runaways, etc.

RETENTION

Retain for 1 year or until obsolete, administrative need ends, or until expunged from system, whichever comes first and then destroy.

PRIMARY CLASSIFICATION Protected.

(Approved 12/89)

This is a copy of a citation issued by the police to drivers violating motor vehicle and traffic laws. It usually includes date, time, location of violation, vehicle's license number, violation code, officer's name, and signature of person receiving citation.

RETENTION

Retain for 2 years and then destroy.

PRIMARY CLASSIFICATION Public.

(Approved 12/89)

These files document the disposition of unclaimed property held by the police department. The files contain verified annual reports submitted to the State Treasurer. The reports are required to be filed before May of each year as of the preceding December 31 and to transfer the property identified in the report in accordance with UCA 67-4a-301(1)(a) (1997). The report includes the name of property's owner if known and the last known address, description of property including any identification numbers, and the verification of the person completing form to the report's accuracy.

RETENTION

Retain for 10 years and then destroy.

PRIMARY CLASSIFICATION Public.

(Approved 08/96)

These files contain copies of a monthly statistical report of all offenses known to the police. They are separated into categories of crime (homicide, rape, robbery, assault, burglary, larceny, motor vehicle theft) and are submitted to the Uniform Crime Reporting Division. Supplementary reports detail the value of property stolen and recovered. These reports are used to create the annual published Uniform Crime Report.

RETENTION

Retain until administrative need ends and then destroy.

PRIMARY CLASSIFICATION Exempt: UCA 53-5-206 (1997).

(Approved 12/89)

These are court authorizations for the police to make an arrest. After the warrant is served the original is returned to the court. A log is kept of all warrants served indicating date and time served, name of person served, and purpose. The log is usually arranged chronologically.

RETENTION

Retain for 1 year after warrant is served and then destroy.

PRIMARY CLASSIFICATION Public.

(Approved 12/89)

These are worksheets used to collect all information necessary for use in the processing and serving of warrants by the police department. They usually include addresses, telephone numbers, copies of return showing when warrant was served, any computer searches (e.g., motor vehicle), and investigation notes.

RETENTION

Retain for 3 years and then destroy.

PRIMARY CLASSIFICATION Private.

(Approved 08/96)

These are documents issued by a court directing a person to be taken into custody to answer charge(s) filed. Only active warrants are kept on file. The original is returned to the court with return of service showing when and by whom warrant served.

RETENTION

Retain until warrant served or cancelled and then destroy.

PRIMARY CLASSIFICATION Public: UCA 63-2-301(2)(m) and UCA 63-2-301(2)(n)(1997).

(Approved 08/96)

These are wrecker rotation records. They are used to monitor which wrecker was called out after receiving a dispatch emergency call. They include name of wrecking service, telephone number, address dispatched to, date, time, and identification number of person making call.

RETENTION

Retain for 1 year and then destroy.

PRIMARY CLASSIFICATION Public.

(Approved 12/89)