Record Retention Policy

Retention Policy 2018

Stoke Primary School

Stoke Primary School

Record Retention Policy

Agreed - May 2018

Basic File Description

Data Protection Issues

Statutory Provisions

Retention Period

Action at the end of administrative life of the record

1. Child Protection

1.1 Child Protection Files

Yes

Education Act 2002, s175, related guidance “Safeguarding Children in Education” September 2004.

DOB + 25 years

SECURE DISPOSAL

1.2 Allegation of a child protection nature against a member of staff, including where the allegation is unfounded.

Yes

“Keeping Children Safe in Education: Statutory Guidance for Schools and Colleges March 2015”; Working together to safeguard children. A guide to inter-agency working to safeguard and promote the welfare of children March 2015.

Until the person’s normal retirement age, or 10 years from the date of the allegation whichever is the longer.
Details of allegations that are found to be malicious should be removed from personnel records.

SECURE DISPOSAL- MUST BE SHREDDED

Basic File Description

Data Protection Issues

Statutory Provisions

Retention Period

Action at the end of administrative life of the record

1. Governors and Governing Body

1. 1 Minutes

If dealing with confidential issues

SECURE DISPOSAL[1]

• Principal’s Set

Permanent

If the school is unable to store these then they should be offered to a secure archive service.

• Inspection minutes

Date of meeting + 3 years

SECURE DISPOSAL

2.2 Agendas

If dealing with confidential issues

One copy to be retained with master set of minutes. All other copies to be disposed of.

SECURE DISPOSAL

2.3 Reports

If containing confidential information about staff

Date of report + minimum 6 years or if minutes refer directly to individual reports then kept in existence with referenced report.

SECURE DISPOSAL or retain with signed set of minutes

2.4 Annual Parents meeting documents

Potential

S33 Education Act 2002

Date of meeting + minimum 6 years

SECURE DISPOSAL

2.5 Instruments of Government

No

Permanent

Retain while school remains open or archived with a secure archiving company.

2.6 Trusts and Endowments

No

Permanent

Retain in school whilst operationally required or archived with a secure archiving company.

2.7 Action Plans

No

Date of action plan + 3 years

SECURE DISPOSAL

2.8 Policy Documents

No

Retain in school whilst policy is operational (this includes if the expired policy is part of a past decision making process)

SECURE DISPOSAL

2.9 Records relating to complaints dealt with by Governing body.

Yes

Limitation Act 1980

Date of resolution of complaint + 6 years then review in case of contentious disputes.

SECURE DISPOSAL

2.10 Annual Reports required by the Department for Education

No

Education (Governors’ Annual Reports) (England)(Amendment)Regulations 2002.SI 2002 No 1171

Date of report + 10 years

SECURE DISPOSAL

2.11 Proposals for schools to become or be established as Specialist Status schools

No

Date proposal accepted or declined +3 years

SECURE DISPOSAL

Basic File Description

Data Protection Issues

Statutory Provisions

Retention Period

Action at the end of administrative life of the record

1. Head Teacher and Senior Management Team

3.1 Log Books maintained by Head Teacher

Yes if reference to individuals

Date of last entry in the book + minimum 6 years then review

SECURE DISPOSAL

3.2 Minutes of the Senior Management Team and other internal administrative bodies

Yes if reference to individuals

Date of meeting + 3 years then review

SECURE DISPOSAL

3.3 Reports made by the Head Teacher or the Management Team

Yes if reference to individuals

Date of report + minimum 6 years then review

SECURE DISPOSAL

3.4 4 Records created by head teachers, deputy head teachers, heads of year and other members of staff with administrative responsibilities

Yes if reference to individuals

Closure of file + 6 years

SECURE DISPOSAL

3.5 Correspondence created by head teachers, deputy head teachers, heads of year and other members of staff with administrative responsibilities

Yes if reference to individuals

Date of correspondence + 3 years then review

SECURE DISPOSAL

3.6 Professional development plans

Yes

Life of the plan + 6 years

SECURE DISPOSAL

3.7 School development plans

No

Life of the plan + 3 years

SECURE DISPOSAL

Basic File Description

Data Protection Issues

Statutory Provisions

Retention Period

Action at the end of administrative life of the record

1. Admissions Process

4.1 All records relating to the creation and implementation of the School Admissions Policy

No

School Admission Code
Statutory Guidance for admission authorities, governing bodies, school adjudicators and admission appeals panels December 2014

Life of the Policy + 3 years then review

SECURE DISPOSAL

4.2 Admissions -if the admission is successful

Yes

School Admission Code
Limitation Act

Date of admission + 1 year and added to pupil file

SECURE DISPOSAL

4.3 Admissions - if the appeal is unsuccessful

Yes

School Admission Code
Statutory Guidance for admission authorities, governing bodies, school adjudicators and admission appeals panels December 2014

Resolution of case + 1 year

SECURE DISPOSAL

4.4 Registry of admissions

Yes

School attendance: School attendance guidance for maintained schools, academies, independent schools and local authorities November 2016.

Preserved for 3 years after entry

Schools must notify the local authority when a pupil’s name is to be deleted from the admission register under regulation 8 of the Education (Pupil Registration) (England) Regulations 2006
SECURE DISPOSAL

4.5 Admissions - Secondary Schools -Casual

Yes

End of student relationship + 1 year

SECURE DISPOSAL

4.6 Proofs of address supplied by parents as part of the admissions process

Yes

Current year + 1 year

SECURE DISPOSAL

4.7 Supplementary Information form including additional information such as religion, medical conditions etc.

Yes

End of student relationship + 1 year

SECURE DISPOSAL

Basic File Description

Data Protection Issues

Statutory Provisions

Retention Period

Action at the end of administrative life of the record

1. Pupils

5.1 Admission Registers

Yes

Current year of last entry + 6 years

SECURE ARCHIVE UNTIL Date of Destruction

5.2 Attendance registers

Yes

School attendance: Departmental advice for maintained schools, academies, independent schools and local authorities 2016.

Date of Register + 3 years

SECURE DISPOSAL [If these records are retained electronically any backup copies should be destroyed at the same time]

5.3 Pupil’s Educational Record

Yes

Education (Pupil Information) (England) Regulations 2005 SI 2005 No. 1437

SECURE DISPOSAL

5.3a. PRIMARY

Retain whilst the child remains at the school

This file should follow the pupil when he/she leaves the primary school:

· To another primary school
· To a secondary school

· To a pupil referral unit
· If the pupil dies whilst at primary school the file should be returned to the Local Authority and be retained for statutory retention.
If the pupil decides to transfer to an independent school, home schooling or leaves the country, the file should be returned to the Local Authority.

5.3b. SECONDARY

Limitation Act 1980 (Section 2)

DOB of the pupil + 25 years

SECURE DISPOSAL

5.5 Special Educational Needs Files, review and Individual Education plans

Yes

DOB of the pupil + 25 years then review

Review whether these are held by the Local Authority and if both require this data. SECURE DISPOSAL

5.6 Correspondence Relating to Authorised Absence and Issues

No

Date of absence + 2 years

SECURE DISPOSAL

5.7 Examination results

5.7a. Public

No

This information should be added to pupil file

All uncollected certificates to be returned to examining body

5.7b. Internal

Yes

This information should be added to pupil file

If these records are retained on the pupil file or in their National Record of Achievement they need only be kept for as long as operationally necessary. SECURE DISPOSAL

5.8 Child Protection Information held on pupil file

Yes

“Keeping children safe in education Statutory guidance for schools and colleges March 2015.” “Working together to safeguard children. A guide to inter-agency working to safeguard and promote the welfare of children.”

If any records relating to child protection issues are placed on the pupil file, it should be in a sealed envelope and then retained for the same period of time as the pupil file.

SECURE DISPOSAL- these records must be shredded

5.9 Child Protection Information held on separate files

Yes

“Keeping children safe in education Statutory guidance for schools and colleges March 2015.” “Working together to safeguard children. A guide to inter-agency working to safeguard and promote the welfare of children.”

End of relationship with pupil + 1 year on the understanding that the principal copy of this information will remain with Local Authority social services.

SECURE DISPOSAL- these records must be shredded

5.10 Any other records created in the course of contact with pupils

Yes/No

Termination of student relationship + 6 years

Review at the end of 6 years and either allocate a record retention policy or SECURE DISPOSAL.

5.11 Student work

Yes

Return to student at end of academic year. If not possible, retain for current academic year + 1 year.

SECURE DISPOSAL

5.12 Dyslexia Screening

Yes

Primary – DOB + 25 years
Secondary - Termination of relationship with student + 6 years

SECURE DISPOSAL

Basic File Description

Data Protection Issues

Statutory Provisions

Retention Period

Action at the end of administrative life of the record

1. Extra-curricular activities

6.1 Parental permission slips for school trips - where there has been no major incident

Yes

Conclusion of the trip

Although the consent forms could be retained for DOB + 25 years, the requirement for them is low. Possible to archive.

6.2 Parental permission slips for school trips - where there has been a major incident

Yes

Limitation Act 1980

DOB of the pupil involved in the incident + 25 years

The permission slips for all pupils on the trip need to be retained to show that the rules had been followed for all pupils

SECURE DISPOSAL

6.3 Records created by schools to obtain approval to run an Educational Visit outside the Classroom - Primary Schools

No

Outdoor Education Advisers’ Panel National Guidance website hhtp://oeapng.info specifically section 3 – “Legal Framework and Employer Systems” and Section4 “Good Practice”.

Date of visit + 14 years

SECURE DISPOSAL

6.4 Records created by schools to obtain approval to run an Educational Visit outside the Classroom - Secondary Schools

No

Outdoor Education Advisers’ Panel National Guidance website hhtp://oeapng.info specifically section 3 – “Legal Framework and Employer Systems” and Section4 “Good Practice”.

Date of visit + 10 years

SECURE DISPOSAL

6.5 Walking Bus registers

Yes

Date of register + 3 years This takes into account the fact that if there is an incident requiring an accident report the register will be submitted with the accident report and kept for the period of time required for accident reporting

SECURE DISPOSAL
[Electronic back-ups to be destroyed at the same time]

Basic File Description

Data Protection Issues

Statutory Provisions

Retention Period

Action at the end of administrative life of the record

1. Special Educational Needs

7.1 SEN files, reviews and individual educational plans

Yes

Limitation Act 1980

DOB + 25 years (maintained in student file)
 

Review
Note: Some Local Authorities will keep SEN files for a longer period of time in case of a claim. Business risk analysis.

7.2 Statement maintained under The Education Act 1996 – Section 234

Yes

Education Act 1996
Special Educational Needs and Disability Act 2001 Section1

DOB + 25 years (maintained in student file)

SECURE DISPOSAL

7.3 Advice and information to parents regarding educational needs

Yes

Special Educational Needs and Disability Act 2001 Section 2

DOB of pupil + 25 years (maintained in student file)

SECURE DISPOSAL unless subject to a legal hold

7.4 Accessibility Strategy

Yes

Special Educational Needs and Disability Act 2001 Section 14

DOB of pupil + 25 years (maintained in student file)

SECURE DISPOSAL unless subject to a legal hold

Basic File Description

Data Protection Issues

Statutory Provisions

Retention Period

Action at the end of administrative life of the record

1. Curriculum

8.1 School Development Plan

No

Current year + 6 years

SECURE DISPOSAL

8.2 Curriculum returns

No

Current year + 3 years

SECURE DISPOSAL

8.3 Schemes of work

No

Current year + 1 year

It may be appropriate to review these records at the end of each year and allocate a new retention period or SECURE DISPOSAL

8.4 Timetable

No

Current year + 1 year

It may be appropriate to review these records at the end of each year and allocate a new retention period or SECURE DISPOSAL

8.5 Class record books

No

Current year + 1 year

It may be appropriate to review these records at the end of each year and allocate a new retention period or SECURE DISPOSAL

8.6 Mark Books

No

Current year + 1 year

It may be appropriate to review these records at the end of each year and allocate a new retention period or SECURE DISPOSAL

8.7 Record of homework set

No

Current year + 1 year

It may be appropriate to review these records at the end of each year and allocate a new retention period or SECURE DISPOSAL

8.8 Pupils’ work

No

Current year + 1 year
OR
return to student at the end of the academic year where possible.

SECURE DISPOSAL

8.9 Examination results

SATS records -

Yes

SATS Should be recorded on the pupil’s educational file and will therefore be retained until the pupil reaches the age of 25 years.
The school may wish to keep a composite record of the whole year SATs results.

These may be passed on to HE or FE.

SECURE DISPOSAL

8.10 Examination Papers

Yes

Examination papers should be kept until any further appeal/validation process is complete.

SECURE DISPOSAL

PSEUDONYMISATION

8.11 PAN Reports

Yes

Current year + 6 years

SECURE DISPOSAL

8.12 Value added and contextual Data

Yes

Current year + 6 years

SECURE DISPOSAL

8.13 Self Evaluation forms

Yes

Current year + 6 years

SECURE DISPOSAL

Basic File Description

Data Protection Issues

Statutory Provisions

Retention Period

Action at the end of administrative life of the record

1. Recruitment

9.1 All records leading up to the appointment of a new Head Teacher

Yes

Date of Appointment + 6 years

SECURE DISPOSAL

9.2 All records leading up to the new appointment of a new member of staff- unsuccessful candidate

Yes

Date of appointment of successful candidate + 6 months

SECURE DISPOSAL

9.3 All records leading up to the new appointment of a new member of staff- successful candidate

Yes

All relevant information to be added to staff personal file and all other info retained for 6 months

SECURE DISPOSAL

9.4 Interview notes and recruitment records

Yes

Date of interview + 6 months

SECURE DISPOSAL

9.5 Pre-employment vetting information - DBS checks

Potential

DBS Update service Employer Guide June 2014: Keeping children safe in education July 2015 (Dept. Education s73, 74).

The school does NOT have to keep DBS certificates. If the schools does, do not keep for more than 6 months.

SECURE DISPOSAL

9.6 Pre-employment vetting information – Evidence proving the right to work in the UK.

Yes

An employer’s guide to right to work checks [Home Office August 2017]

Store on staff personal file for duration of their employment + 2 years

SECURE DISPOSAL

9.7 Proof of identity collected as part of the ‘portable’ enhanced DBS disclosure.

Yes

Where possible these should be checked and a note kept of what was seen and checked. If it is felt necessary to keep copy documentation then this should be placed on the member of staff’s personal file.

SECURE DISPOSAL

9.8 Timesheets, sick pay

Yes

Current year + 6 years

SECURE DISPOSAL

9.9 Staff Personal files

Yes

Limitation Act 1980 (section 2)

Date of termination + 6 years

SECURE DISPOSAL

9.10 Disciplinary proceedings:

Where the warning relates to child protection issues see 1.2. If the disciplinary proceedings relate to a child protection matter please contact your safeguarding children officer for further advice.

9.10a oral warning

Yes

Date of warning + 6 months

SECURE DISPOSAL

9.10b written warning level 1

Yes

Date of warning + 6 months

SECURE DISPOSAL

9.10c written warning level 2

Yes

Date of warning + 12months

SECURE DISPOSAL

9.10d final warning

Yes

Date of warning + 18 months

SECURE DISPOSAL

9.10e case not found

Yes

If incident is child protection related see 1.2 otherwise dispose of at conclusion of the case.

SECURE DISPOSAL

9.11 Records relating to accident/injury at work

Yes

Date of incident + 12 years In the case of serious accidents a further retention period will need to be applied

SECURE DISPOSAL

9.12 Annual appraisal/assessment records

Yes

Current year + 5 years

SECURE DISPOSAL

Basic File Description

Data Protection Issues

Statutory Provisions

Retention Period

Action at the end of administrative life of the record

1. Health and Safety

10.1 Health and Safety Policy Statement

No

Life of Policy + 3 years

SECURE DISPOSAL

10.2 Accessibility Plans

No

Equality Act 2010

Current year + 6 years

SECURE DISPOSAL

10.3 Accident reporting:

Yes

Social Security (Claims and Payments) Regulations 1979 Regulation 25. Social Security Administration Act 1992 Section 8. Limitation Act 1980

JSP 375 Pt.2 Vol 1 (V1.0 Jan 16) Government Guidance

Retain copy of Health and Safety Policy published at the time of the accident with this file.

• Adults

Date of incident + 6 years

SECURE DISPOSAL

• Children

DOB + 25 years

SECURE DISPOSAL

10.4 Control Of Substances Hazardous to Health OSHH

No

Control of substances Hazardous to Health Regulations 2002. SI 2002 No 2677 Regulation 11; Records kept under the 1994 and 1999 Regulations to be kept as if the 2002 regulations had not been made. Regulation 18(2).

Current year + 40 years

SECURE DISPOSAL

10.5 Risk Assessments

No

Life of risk assessment + 3 years

SECURE DISPOSAL

10.6 Process of monitoring of areas where employees and persons are likely to have become in contact with asbestos.

No

Control of Asbestos at work Regulations 2012 SI 1012 No 632 Regulation 19.

Last action + 40 years

SECURE DISPOSAL

10.7 Process of monitoring of areas where employees and persons are likely to have come in contact with radiation

No

Last action + 50 years

SECURE DISPOSAL

10.8 Fire Precautions log books

No

Current year + 6 years

SECURE DISPOSAL

10.9 CCTV footage

Yes

Automatically destroyed after 30 days unless investigation. End of investigation + review.

SECURE DISPOSAL

Basic File Description

Data Protection Issues

Statutory Provisions

Retention Period

Action at the end of administrative life of the record

1. Administrative

11.1 General Files series

No

Current year + 5 years then review

SECURE DISPOSAL

11.2 Records relating to the creation and publication of the school brochure or prospectus

No

Current year + 3 years

STANDARD DISPOSAL

11.3 Records of circulars to staff parents or pupils

No

Current year + 1 year

STANDARD DISPOSAL

11.4 Newsletters and items with short operational use

No

Current year + 1 year

STANDARD DISPOSAL

11.5 Visitors Books and Signing in sheets

Yes

Current year + 6 years then review

SECURE DISPOSAL

11.6 PTA/Old Pupils Associations

Current year + 6 years then review

Review to see whether a further retention period is required

Basic File Description

Data Protection Issues

Statutory Provisions

Retention Period

Action at the end of administrative life of the record

1. Asset management and Insurance

12.1 Employer's Liability certificate

No

School Closure + 40 years

SECURE DISPOSAL

12.2 Inventories of equipment and furniture

No

Current year + 6 years

SECURE DISPOSAL

12.3 Burglary, theft and vandalism report forms

No

Current year + 6 years

SECURE DISPOSAL

Basic File Description

Data Protection Issues

Statutory Provisions

Retention Period

Action at the end of administrative life of the record

1. Finance

13.1 Annual Accounts

No

Financial Regulations

Current year + 6 years

STANDARD DISPOSAL

13.2 Loans and grants

Yes

Financial Regulations

Date of last payment on loan + 12 years then review

Review to see whether further retention is necessary

13.3 Contracts

No

13.3a under seal

No

Limitation Act 1980

Last payment+ 12 years

SECURE DISPOSAL

13.3b under signature

No

Limitation Act 1980

Last payment + 6 years

SECURE DISPOSAL

13.3c monitoring records

Current year + 2 years

SECURE DISPOSAL

13.4 Copy orders

No

Current year + 2 years

SECURE DISPOSAL

13.5 Budget reports, budget monitoring, budget statements etc.

No

Life of budget + 3 years

SECURE DISPOSAL

13.6 Invoice, receipts, other records covered by the Financial Regulations

No

Current financial year + 6 years

SECURE DISPOSAL

13.7 Annual Budget and background papers

No

Current financial year + 6 years

SECURE DISPOSAL

13.8 Order books and requisitions

No

Current financial year + 6 years

SECURE DISPOSAL

13.9 Delivery Documentation

No

Current financial year + 6 years

SECURE DISPOSAL

13.10 Debtors’ Records, Collection and Banking monies

No

Limitation Act 1980

Current financial year + 6 years

SECURE DISPOSAL

13.11 School Fund-Cheque books

No

Current year + 3 years

SECURE DISPOSAL

13.12 School Fund-Paying in book

No

Current year + 6 years then review

SECURE DISPOSAL

13.13 School Fund - Ledger

No

Current year + 6 years then review

SECURE DISPOSAL

13.14 School Fund - Invoices

No

Current year + 6 years then review

SECURE DISPOSAL

13.15 School Fund - Receipts

No

Current year + 6 years

SECURE DISPOSAL

13.16 School Fund - Bank statements

No

Current year + 6 years then review

SECURE DISPOSAL

13.17 School Fund-School Journey books

No

Current year + 6 years then review

SECURE DISPOSAL

13.18 Student grant applications

Yes

Current year + 3 years

SECURE DISPOSAL

13.19 Free school meals registers

Yes

Current year + 6 years

SECURE DISPOSAL

13.20 School meals summary sheet

No

Current year + 3 years

SECURE DISPOSAL

13.21 Petty cash books

No

Current year + 6 years

SECURE DISPOSAL

1. Payroll

14.1 Salary cards

Yes

14.2 Maternity pay records

Yes

Statutory Maternity Pay (General) Regulations 1986 (SI 1986/1960), revised 1999 (SI 1999/567)

Current year + 3 years

SECURE DISPOSAL

14.3 Records held under Retirement Benefits Schemes (Information Powers) Regulations 1995

Yes

Current year+ 6 years

SECURE DISPOSAL

Basic File Description

Data Protection Issues

Statutory Provisions

Retention Period

Action at the end of administrative life of the record

1. Property

15.1 Title Deeds of property belonging to the school

No

Permanent- These should follow the property unless the property has been registered at the Land Registry

15.2 Plans of property belonging to the school

No

Permanent

Retain in school whilst operational

15.3 Maintenance and contractor records

No

Current year + 6 years

SECURE DISPOSAL

15.4 Leases of property belonging to the school

No

Expiry of lease + 6 years

SECURE DISPOSAL

15.5 Record relating to the Lettings of school premises

No

Current financial year + 6 years

SECURE DISPOSAL

15.6 Maintenance log books

No

Current year + 6 years

SECURE DISPOSAL

15.7 Contractors’ Reports

No

Current year + 6 years

SECURE DISPOSAL

Basic File Description

Data Protection Issues

Statutory Provisions

Retention Period

Action at the end of administrative life of the record

1. Local Authority

16.1 Secondary transfer sheets (Primary)

Yes

Current year + 2 years

SECURE DISPOSAL

16.2 Attendance returns

Yes

Current year + 1 year

SECURE DISPOSAL

16.3 Circulars from Local Authority

No

Whilst required operationally then review

SECURE DISPOSAL

16.4 Census Returns

No

Operational Use

SECURE DISPOSAL

Basic File Description

Data Protection Issues

Statutory Provisions

Retention Period

Action at the end of administrative life of the record

1. Central Government

17.1 OFSTED reports and papers

No

Life of report then review

SECURE DISPOSAL

17.2 Returns

No

Current year + 6 years

SECURE DISPOSAL

17.3 Circulars from Department for Children, Schools and Families

No

Operational Use

SECURE DISPOSAL

Basic File Description

Data Protection Issues

Statutory Provisions

Retention Period

Action at the end of administrative life of the record

1. External agreements

18.1 Service Level Agreements

Potential

Until superseded

SECURE DISPOSAL

18.2 Data sharing agreements

Potential

Until superseded

SECURE DISPOSAL

18.3 Work experience agreements

Yes

DOB of pupil + 25 years

SECURE DISPOSAL

Basic File Description

Data Protection Issues

Statutory Provisions

Retention Period

Action at the end of administrative life of the record

1. School Meals

19.1 Dinner Register

Yes

Current year + 3 years

SECURE DISPOSAL

19.2 School meals summary sheets

Current year + 3 years

SECURE DISPOSAL

Basic File Description

Data Protection Issues

Statutory Provisions

Retention Period

Action at the end of administrative life of the record

1. Family Liaison Officers and Home School Liaison Assistants

20.1 Day Books

Yes

Current year + 2 years then review

SECURE DISPOSAL

20.2 Reports for outside agencies - where the report has been included on the case file created by the outside agency

Yes

Termination of student relationship

SECURE DISPOSAL

20.3 Referral forms

Yes

While the referral is current

SECURE DISPOSAL

20.4 Contact data sheets

Yes

Current year then review, if contact is no longer active then destroy

SECURE DISPOSAL

20.5 Contact data base entries

Current year then review, if contact is no longer active then destroy

DELETE

20.6 Group Registers

Yes

Current year + 2 years

SECURE DISPOSAL