Records Retention Schedule

Introduction

The Records Retention Schedule provides a framework for managing the Gambling Commission’s records, ensuring that they are retained for the appropriate periods of time. Utilising the Retention Schedule enables the Commission to comply with relevant legislation, to ensure that information remains available for as long as it is needed, and to safeguard records which are suitable for permanent preservation in the National Archives as records of enduring public interest or historical value.

The Schedule is arranged by function, which means that it is arranged according to the activity the records relate to rather than the team that carries out the activity.

The functions are as follows:

• Communications
• Compliance, Enforcement and Intelligence
• Consumers and Stakeholders
• Corporate Administration
• Facilities
• Finance
• Governance
• Information Management
• IT
• Legal
• Licensing
• National Lottery
• People Management
• Policy
• Project Management
• Research and Data

The Retention Schedule describes:

• the type of record
• the function each type of record sits under
• the retention period for each type of record, which specifies the length of time each record in this category needs to be kept
• the trigger, which describes the event or point in time that marks the start of the retention period
• the reason or relevant legislation which dictates the length of the retention period
• the action that should be taken at the end of the retention period (destroy, review or transfer to the National Archives).

Actions to take at the end of the retention period

There are 4 potential actions to be taken at the end of the retention period. These are:

• destroy
• review
• transfer to the National Archives
• add to personnel file.

Where the action at the end of the retention period is to destroy, the records must be securely destroyed and deleted as soon as possible once the retention period has ended.

Where the action is to review, the records must be reviewed by the relevant Information Asset Owner (IAO) in consultation with the Records Manager. Records can be retained for longer than the original retention period if there is a compelling reason to do so, for example if there is ongoing litigation or if the records are suitable for permanent preservation through transfer to the National Archives. If records are retained beyond the original retention period for reasons other than transfer to the National Archives, the retention period will be extended for a set period of time. At the end of the extended retention period, the records must be reviewed again.

Where the action is to transfer to the National Archives, the record must be kept safe from potential alteration until it is transferred to the National Archives.

Where the action is to add to personnel file, the record must be saved on the relevant employee’s personnel file held by People Services as soon as the retention period has expired. Any records held locally by team or recruiting managers must be sent to People Services to be added to the central file, and any additional copies must be deleted, including destroying any paper copies securely in confidential waste bins.

The following pages detail the record retention schedules for each function.

Communications function

Communications function records retention schedule

Communications function records retention schedule

Type of record	Retention period	Trigger	Reason and/or relevant legislation	Action at end of retention period
Newsletters and blogs for website	6 years	Date published	Business need; National Archives retention guidance	Review
Accessibility and/or dietary requirements of event attendees	6 months	Date of event	Business need	Destroy
Contact details of event attendees	2 years	Date of event	Business need	Destroy
Event photos - internal and external events	5 years	Date of event	Business need	Review
Executive and Commissioner profile photos	12 months	End of tenure	Business need	Destroy
Photographs of staff (not including event photos)	3 years	Date photo taken	Business need	Destroy
Press engagement	10 years	End of use	National Archives retention guidance	Review
Public statements	6 years	Date published	Limitation Act 1980; Public Records Act 1958	Transfer to National Archives
Select committee reports	6 years	Date of hearing	Business need	Review
Internal staff communications	3 years	Date of communication	Business need	Review
Recordings of internal staff events and briefings	12 months	Date of event	Business need	Review

Compliance, Enforcement and Intelligence function

Compliance, Enforcement and Intelligence function records retention schedule

Compliance, Enforcement and Intelligence function records retention schedule

Type of record	Retention period	Trigger	Reason and/or relevant legislation	Action at end of retention period
Correspondence and advice given to co-regulators and local authorities	6 years	Date of correspondence	Limitation Act 1980	Review
Case work and supporting evidence	6 years	Closure of case	Limitation Act 1980	Review
Meeting recordings	12 months	Closure of case	Business need	Destroy

Consumers and Stakeholders function

Consumers and Stakeholders function records retention schedule

Consumers and Stakeholders function records retention schedule

Type of record	Retention period	Trigger	Reason and/or relevant legislation	Action at end of retention period
Consumer chronologies and contact summaries	6 years	Closure of case	Limitation Act 1980	Review
Consumer contact information	3 years	End of use	Business need	Destroy
Customer satisfaction feedback	3 years	Date received	Business need	Destroy
Enquiries and responses	6 years	Date received	Limitation Act 1980	Destroy
Partnership working documents	6 years	End of use	Limitation Act 1980	Review
Recordings of telephone calls for quality assurance and training	12 months	Date of recording	Business need	Destroy
Expert group member details, emergency contact details and wellbeing check-in notes	6 years	End of tenure	Limitation Act 1980	Destroy
Expert groups clinical practice oversight	6 years	End of calendar year	Limitation Act 1980	Destroy
Expert groups code of conduct and policies	6 years	When superseded	Limitation Act 1980	Destroy
Stakeholder engagement	6 years	End of reporting year	Business needs	Review
Consultations, surveys and responses	20 years	Date published	Public Records Act 1958	Transfer to National Archives

Corporate Administration function

Corporate Administration function records retention schedule

Corporate Administration function records retention schedule

Type of record	Retention period	Trigger	Reason and/or relevant legislation	Action at end of retention period
Briefing and debrief documents (including expert groups)	3 years	End of use	Business need	Review
Business continuity plans and related documentation	3 years	When superseded	Business need	Review
Business Planning process documents	6 years	End of use	Business need	Destroy
Corporate plans, policies, processes, strategies and guidance	6 years	When superseded	Limitation Act 1980	Review
Corporate templates, internal frameworks, toolkits and "how to" documents	3 years	When superseded	Business need	Destroy
Data and related reports (including lottery data)	15 years	Date of report	National Archives retention guidance	Destroy
Decision logs, action logs, and forward looks	6 years	End of reporting year	Limitation Act 1980	Destroy
Departmental staff management	3 years	End of calendar year	Business need	Destroy
External audits and reports	6 years	Date received	Limitation Act 1980	Review
External reporting (including statutory and mandatory reporting)	6 years	End of reporting year	Business need	Destroy
Internal audits and reports	6 years	Date received	Business need	Review
Internal informal meeting notes	3 years	Date of meeting	Business need	Destroy
Internal reporting, monitoring, quality assurance and reviews	3 years	End of reporting year	Business need	Destroy
Meeting minutes, papers and agenda	6 years	Date of meeting	Limitation Act 1980	Review
Meeting scheduling and related correspondence	3 years	Date of meeting	Business need	Destroy
Official correspondence	3 years	Date of correspondence	Business need	Review
Published advice	6 years	Date published	Limitation Act 1980; Public Records Act 1958	Transfer to National Archives
Risk management records	6 years	When superseded	Limitation Act 1980	Destroy
Departmental and/or team administration	3 years	End of use	Business need	Destroy
Training material	6 years	When superseded	Limitation Act 1980	Destroy

Facilities function

Facilities function records retention schedule

Facilities function records retention schedule

Type of record	Retention period	Trigger	Reason and/or relevant legislation	Action at end of retention period
Accident reports	3 years	Date of incident or last date in book	The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (RIDDOR) (SI 1995/3163) as amended; Limitation Act 1980	Destroy
Building compliance register and information for contractors	6 years	When superseded	Health and Safety at Work Act 1974; Limitation Act 1980	Review
CCTV recordings	21 days	Date of recording	Business need	Destroy
Chain of custody for physical incoming post	12 months	End of calendar year	Business need	Destroy
Confidential waste bin log	6 years	End of financial year	Limitation Act 1980	Destroy
Display Screen Equipment (DSE) assessments	6 years	Date of assessment	Limitation Act 1980	Destroy
First aid slips	6 years	Date of incident	Limitation Act 1980	Destroy
Key log	6 years	End of calendar year	Limitation Act 1980	Destroy
Near miss reports	6 years	Date of report	Limitation Act 1980	Destroy
Staff information for ID cards	12 months	End of employment	Business need	Destroy
Staff locker allocation log	12 months	When superseded	Business need	Destroy
Staff photos for ID cards	Immediate	End of employment	Business need	Destroy
Staff rota - first aiders and fire marshals	12 months	End of calendar year	Business need	Destroy
Staff vehicle information	12 months	End of use	Business need	Destroy
Starters and leavers information	3 years	End of reporting year	Business need	Destroy
Stock control lists	6 years	End of financial year	Limitation Act 1980	Destroy
Tracking details for tracked items of physical sent post	12 months	End of financial year	Business need	Destroy
Visitor details	6 years	End of calendar year	Limitation Act 1980	Destroy

Finance function

Finance function records retention schedule

Finance function records retention schedule

Type of record	Retention period	Trigger	Reason and/or relevant legislation	Action at end of retention period
Annual report and accounts	6 years	Date published	Public Records Act 1958	Transfer to National Archives
Agreed Commission budget	6 years	End of financial year	HMRC compliance handbook; Public Records Act 1958	Transfer to National Archives
Internal departmental budget records	6 years	End of financial year	HMRC compliance handbook	Destroy
Business cases	6 years	End of financial year	Business need	Destroy
Income and expenditure records	6 years	End of financial year	HMRC compliance handbook	Destroy
Payroll records	6 years	End of financial year	Taxes Management Act 1970	Destroy
Procurement records	6 years	End of financial year	HMRC compliance handbook	Destroy
Contracts not under seal	6 years	End of contract	Limitation Act 1980	Destroy
Contracts under seal	12 years	End of contract	Limitation Act 1980	Destroy
Supplier information	6 years	End of use	Limitation Act 1980	Destroy

Governance function

Governance function records retention schedule

Governance function records retention schedule

Type of record	Retention period	Trigger	Reason and/or relevant legislation	Action at end of retention period
Board Effectiveness Review (including report, questionnaires, action plan)	6 years	End of use	Limitation Act 1980	Review
Chair's Appraisal and Objectives	6 years	End of tenure	Business need	Destroy
Commissioner information and terms of appointment	6 years	End of tenure	Limitation Act 1980	Destroy
Complaints against the Commission and responses	6 years	Last action	Limitation Act 1980	Destroy
Complaints register and register of contact warnings and restrictions	6 years	End of reporting year	Limitation Act 1980	Destroy
Corporate Governance Framework	6 years	When superseded	Limitation Act 1980	Review
Decision papers	6 years	Date of meeting	Limitation Act 1980	Review
Decisions outside of meetings, for example via email	6 years	Date of decision	Limitation Act 1980	Destroy
Declarations of Interest	6 years	End of employment or tenure	Limitation Act 1980	Destroy
Gifts and hospitality register	6 years	End of calendar year	Limitation Act 1980	Destroy
Policy exception forms	6 years	Completion of form	Limitation Act 1980	Destroy
Regulatory panel decision notices	6 years	Date of decision	Limitation Act 1980; Public Records Act 1958	Transfer to National Archives
Regulatory panel papers	6 years	Date of decision	Limitation Act 1980	Destroy
Social responsibility funds - applications for the LCCP ret list, papers and outcome letters	6 years	Date of outcome	Limitation Act 1980	Destroy
Social responsibility funds - overview of proposals, recommendations and decisions	6 years	Date of outcome	Limitation Act 1980	Review
Terms of reference	6 years	When superseded	Limitation Act 1980	Review

Information Management function

Information Management function records retention schedule

Information Management function records retention schedule

Type of record	Retention period	Trigger	Reason and/or relevant legislation	Action at end of retention period
Data protection impact assessments (DPIA)	6 years	Date completed	Limitation Act 1980	Destroy
Information Asset Register	6 years	When superseded	Limitation Act 1980	Destroy
Information audits and/or health checks	6 years	Date completed	Limitation Act 1980	Destroy
Information request appeals for Freedom of Information (FOI) or Subject Access Requests (SAR)	3 years	Conclusion of appeal	Business need	Destroy
Information requests, responses and information gathered (including FOI and SAR requests log)	3 years	Last action	Business need	Destroy
Information security breaches - reports, investigations, outcomes	6 years	Closure of case	Limitation Act 1980	Destroy
Information sharing agreements	6 years	Expiration of agreement	Limitation Act 1980	Destroy
Legitimate Interest Assessments	6 years	Date completed	Limitation Act 1980	Destroy
Memoranda of Understanding (MOUs)	6 years	Expiration of agreement	Limitation Act 1980	Destroy
Privacy notices	6 years	When superseded	Limitation Act 1980	Destroy
Record of processing activity (ROPA)	6 years	When superseded	Limitation Act 1980	Destroy
Records relating to the transfer of records to the National Archives including catalogue lists, transfer sheets	6 years	Date of transfer	National Archives retention guidance	Review
Retention schedule previous versions	6 years	When superseded	Limitation Act 1980	Destroy

IT function

IT function records retention schedule

IT function records retention schedule

Type of record	Retention period	Trigger	Reason and/or relevant legislation	Action at end of retention period
IT change requests documents	6 years	Date change completed	Limitation Act 1980	Destroy
IT Health checks Report	6 years	End of use	Limitation Act 1980	Destroy
IT support documentation	6 years	End of use	Limitation Act 1980	Destroy
IT user acceptance documents	6 years	Date completed	Limitation Act 1980	Destroy
Register of Assets	6 years	When superseded	Limitation Act 1980	Destroy

Legal function

Legal function records retention schedule

Legal function records retention schedule

Type of record	Retention period	Trigger	Reason and/or relevant legislation	Action at end of retention period
Legal casework, requests, advice and queries	10 years	Closure of case	Limitation Act 1980; Regulatory continuity	Review

Licensing function

Licensing function records retention schedule

Licensing function records retention schedule

Type of record	Retention period	Trigger	Reason and/or relevant legislation	Action at end of retention period
Alternative dispute resolution (ADR) applications and approvals	6 years	Date of resolution	Limitation Act 1980	Review
Details of licences held on public register on website	3 years	End of licence (expiry or revoked)	Business need	Destroy
Licence Conditions and Codes of Practice (LCCP)	6 years	When superseded	Limitation Act 1980; Public Records Act 1958	Transfer to National Archives
Licence applications, variations and continued suitability documentation	6 years	End of licence (expiry or revoked)	Limitation Act 1980	Review
Licences (including Operator Licences and Personal Licences)	6 years	End of licence (expiry or revoked)	Limitation Act 1980; Public Records Act 1958	Transfer to National Archives
Test House approval applications	6 years	Date of approval or rejection	Limitation Act 1980	Review

National Lottery function

National Lottery function records retention schedule

National Lottery function records retention schedule

Type of record	Retention period	Trigger	Reason and/or relevant legislation	Action at end of retention period
Audit and Inquiry records relating to the National Lottery	6 years	Date of final report	Limitation Act 1980; Public Records Act 1958	Transfer to National Archives
Change programme documentation	6 years	Completion of project	Limitation Act 1980	Destroy
Management information reporting	6 years	Date of report	Limitation Act 1980	Destroy
National Lottery compliance and monitoring records	6 years	End of licence (expiry or revoked)	Limitation Act 1980	Destroy
National Lottery information requests and regulatory requests	6 years	Date of request	Limitation Act 1980	Destroy
National Lottery regulation	6 years	End of licence (expiry or revoked)	Limitation Act 1980	Review
National Lottery retailer information	6 years	End of licence (expiry or revoked)	Limitation Act 1980	Review
National Lottery Licence competition administration	6 years	End of licence (expiry or revoked)	Limitation Act 1980; Public Records Act 1958	Transfer to National Archives
National Lottery Licence competition internal papers and transition documents	6 years	End of licence (expiry or revoked)	Limitation Act 1980	Review
National Lottery Licence competition application and applicant information (successful and unsuccessful applicants)	6 years	End of licence (expiry or revoked)	Limitation Act 1980; Public Records Act 1958	Transfer to National Archives
The National Lottery Licence and supporting framework	6 years	End of licence (expiry or revoked)	Limitation Act 1980; Public Records Act 1958	Transfer to National Archives
User access applications for virtual data room	6 years	Award of licence	Limitation Act 1980	Destroy
Vetting of National Lottery employees	6 years	End of licence (expiry or revoked)	Limitation Act 1980	Destroy

People Management function

People Management function records retention schedule

People Management function records retention schedule

Type of record	Retention period	Trigger	Reason and/or relevant legislation	Action at end of retention period
Absence management - includes sick notes, occupational health referral forms, occupational health reports, fit notes, return to work forms	6 years	End of absence	Statutory Sick Pay (General) Regulations 1982; Statutory Maternity Pay (General) Regulations 1986; Statutory Paternity and Statutory Adoption Pay (Administration) Regulations 2002; Limitation Act 1980	Destroy
People management administrative records (including apprenticeship administration and business proposals)	6 years	End of use	Limitation Act 1980	Destroy
Casework records (including dignity at work, grievance, employee relations and disciplinary casework)	6 years	Closure of case	Limitation Act 1980	Review
Diversity and Inclusion monitoring and statistics	5 years	End of reporting year	Business need	Destroy
Employee personnel files	6 years	End of employment	Limitation Act 1980	Destroy
Employment tribunal records and union personal case records	6 years	Closure of case	Limitation Act 1980	Destroy
Flexible working requests	18 months	Date of approval or rejection	CIPD recommendation	Destroy
Learning and Development communications and correspondence	3 years	Date of communication	Business need	Destroy
Pension queries from pension provider	6 years	Date received	Limitation Act 1980	Destroy
Pensions information (including written particulars of employment, contracts of employment, changes to terms and conditions including changes of hours, records of previous service, locations of overseas service, and consolidated job history record of career and location details)	100 years	Employee date of birth	Pensions	Destroy
Recruitment - unsuccessful applicants (including interview notes)	2 years	Appointment of successful candidate	Equality Act 2010; Civil Service Commission requirements	Destroy
Recruitment administration (including job adverts, interview questions and shortlisting matrix)	2 years	Appointment of successful candidate	Business need	Destroy
Recruitment planning (including business cases, business case approvals, job evaluation forms and related correspondence)	3 years	Appointment of successful candidate	Business need	Destroy
Requests for training	3 years	Date of training	Business need	Destroy
Reward and salary data	6 years	End of financial year	Business need	Destroy
Staff training records	6 years	Date of training	Limitation Act 1980	Destroy
Union personal cases	7 years	Closure of case	PCS requirements; Limitation Act 1980	Destroy
Union representatives information	3 years	When superseded	Business need	Destroy
Working time records including overtime, annual holiday, jury service, time off for dependents, and so on	6 years	End of financial year	The Working Time Regulations 1998 (SI 1998/1833), Employment Rights Act 2025	Destroy

Policy function

Policy function records retention schedule

Policy function records retention schedule

Type of record	Retention period	Trigger	Reason and/or relevant legislation	Action at end of retention period
Policy development and related discussion	6 years	Policy finalised	Limitation Act 1980	Review
Regulatory settlements	6 years	Date published	Limitation Act 1980	Review
Research documents	10 years	End of use	Business need	Review

Project Management function

Project Management function records retention schedule

Project Management function records retention schedule

Type of record	Retention period	Trigger	Reason and/or relevant legislation	Action at end of retention period
Gambling Act Review records	6 years	Completion of project	Limitation Act 1980	Review
Lessons Learnt documents	6 years	Completion of project	Limitation Act 1980	Review
Project management records	6 years	Closure of project	Limitation Act 1980	Destroy

Research and Data function

Research and Data function records retention schedule

Research and Data function records retention schedule

Type of record	Retention period	Trigger	Reason and/or relevant legislation	Action at end of retention period
Academic research papers	10 years	End of use	Business need	Review
Conference papers	6 years	Date of conference	Business need	Review
Conference planner, publication timetables and stakeholder management	3 years	End of use	Business need	Destroy
Consumer videos	3 years	Date of video	Business need	Destroy
Data sets, details of working groups, methodology papers, questionnaires	6 years	End of use	Business need	Review
Qualitative data sets	6 years	Report finalised	Business need	Review
Research and statistics (including written research and end product reports)	20 years	End of use	Public Records Act 1958	Transfer to National Archives
Regular feed of Operator Core Data (ROCD) received from operators	10 years	Date received	Business need	Destroy
Statistics - including Freedom Of Information (FOI) requests, Lottery statistics and Industry statistics	15 years	Date published	Public Records Act 1958; National Archives retention guidance	Transfer to National Archives