Records Retention Policy

CST, CST Commercial Ltd & NTA

1. INTRODUCTION

1.1. CST, the Holding Company has two Subsidiary Companies – CST Commercial Ltd and the National Teacher Accreditation (NTA formerly NIPT) – which are also covered under this Policy and will be referred to collectively throughout this policy as CST.

1.2. The main aim of this policy is to enable CST to manage our records effectively and in compliance with data protection and other regulation. As an organisation we collect, hold, store and create significant amounts of data and information and this policy provides a framework of retention and disposal of categories of information and documents.

1.3. CST is committed to the principles of data protection including the principle that information is only to be retained for as long as necessary for the purpose concerned.

1.4. The table below sets out the main categories of information that we hold, the length of time that we intend to hold them, and the reason for this.

1.5. For information, the Appendix sets out the legal requirements for certain categories of document. Where we have decided to keep information longer than the statutory requirement, this has been explained in the table at Section 2.

1.6. Section 3 of this policy sets out the destruction procedure for documents at the end of their retention period. The Executive Officer shall be responsible for ensuring that this is carried out appropriately, and any questions regarding this policy should be referred to them.

1.7. If a document or information is reaching the end of its stated retention period, but you are of the view that it should be kept longer, please refer to the Executive Officer who will make a decision as to whether it should be kept, for how long, and note the new time limit and reasons for extension.

2. DOCUMENT RETENTION PERIOD

Company Articles of Association, Rules/bylaws

DOCUMENT
CATEGORY
RETENTION PERIOD REASON
Corporate/Constitutional
Company Articles of Association, Rules/bylaws Permanent Companies Act 2006
Charities Act 2011
Trustee/director minutes of meetings and written resolutions At least 10 years Companies Act 2006
Charities Act 2011
CIO (General) Regulations 2012
Members’ meetings Minutes/resolutions At least 10 years Companies Act 2006
Charities Act 2011
CIO (General) Regulations 2012
Documents of clear historical/archival significance Permanent Data Protection regulation
Contracts and agreements Length of contract plus 6 years Limitation Act 1980
Contracts executed as deeds Length of contract plus 12 years Limitation Act 1980
IP records and legal files re provision of service Life of provision or IP plus 6 years Limitation Act 1980
Insurance
Employer’s Liability Insurance 40 years Employers’ Liability (Compulsory Insurance Regulation) 1998
Policies 3 years after lapse Commercial
Claims correspondence 3 years after settlement Commercial
Health & Safety
General records 3 years minimum Limitation Act 1970
Accident book/records and reports 3 years after last entry or end of investigation Reporting of Injuries Diseases and Dangerous Occurrences Regulations 1995
Charity Property
Leases 12 years after lease has lapsed Limitation Act 1980
Building records, plans, consents and certification and warranties etc 6 years after disposal or permanent if of historical/archival interest. Carry out review re longer retention e.g. if possible actions against contractors Limitation Act 1980
Pension Records
Records about employees and workers
Records re the Scheme
Records re active members and opt in/opt out
Trust Deed/Rules and HMRC approvals
Trustees’ Minutes and annual accounts
For all categories see:
Detailed guidance for employers: April 2017
www.The pensionsregulator.gov.uk
Tax and Finance
Annual accounts and review (including transferred records on amalgamation) Minimum 6 years
Recommended: permanent record
Companies Act 2006; Charities Act 2011; CIO (General) Regulations 2012
Tax and accounting records 6 years from end of relevant tax year Finance Act 1998; Taxes Management Act 1970
Information relevant for VAT purposes Minimum 6 years from end of relevant period Finance Act 1998 and HMRC Notice 700/21
Banking records/receipts book/sales ledger 6 years from transaction Companies Act 2006; Charities Act 2011
Deed of covenant/Gift Aid declarations and correspondence re donations 6 years after last payment or 12 years if payments are outstanding or dispute over deed
6 years after completion of estate administration
As part of tax records
Employees/Administration See generally ICO Employment Practices Code
Payroll/Employee/Income Tax and NI records: P45; P6; PIID; P60 etc 6 years from end of current year Taxes Management Act 1970 /IT (PAYE) Regulations
Maternity pay 3 years after the end of the tax year Statutory Maternity Pay Regulations
Sick pay 3 years after the end of the tax year Statutory Sick Pay (General) Regulations
National Minimum wage records 3 years after the end of the tax year National Minimum Wage Act
Foreign national ID documents Minimum 2 years from end of employment Immigration (Restrictions on Employment) Order 2007
HR files and training records Maximum 6 years from end of employment Limitation Act 1970 and Data Protection regulation
Records re working time 2 years Working Time Regulations 1998 as amended
Job applications (CVs and related materials re unsuccessful applicants) Recommended: 6-12 months from your notification of outcome of application ICO Employment Practices Code (Recruitment & Selection) Disability Discrimination Act 1995 & Race Relations Act 1976
ICO Employment Practice Code
Pre-employment/volunteer vetting 6 months ICO Employment Practice Code
Disclosure & Barring Service checks Record only satisfactory/unsatisfactory result and delete other information
Activity/Sector
Member organisation information Reviewed annually and deleted if organisation does not renew membership and have not asked for their information to be retained.
NQT related records will be held on NQT Manager for a period of 6 years.
Non-member organisation Reviewed every 3 years and deleted if organisation have not asked for their information to be retained.

Reviewed annually and deleted if organisation does not renew membership and have not asked for their information to be retained.
NQT related records will be held on NQT Manager for a period of 6 years.

Reviewed every 3 years and deleted if organisation have not asked for their information to be retained.

3. DELETION OF DOCUMENTS

3.1. When a document is at the end of its retention period, it should be dealt with in accordance with this policy.

Confidential waste

3.2. This should be shredded.

3.3. Anything that contains personal information should be treated as confidential.

3.4. Where deleting electronically, please refer to the Executive Officer to ensure that this is carried out effectively.

Other documentation

3.5. Other documentation can be deleted or placed in recycling bins where appropriate.

Automatic deletion

3.6. Certain information will be automatically archived by the computer systems, details of which are set out below. Should you want to retrieve any information, or prevent this happening in a particular circumstance, please contact the Executive Officer.

Individual responsibility

3.7. Much of the retention and deletion of documents will be automatic, but when faced with a decision about an individual document, you should ask yourself the following:

3.7.1. Has the information come to the end of its useful life?

3.7.2. Is there a legal requirement to keep this information or document for a set period? (Refer to the Appendix for more information)

3.7.3. Would the information be likely to be needed in the case of any legal proceedings? (Is the information contentious, does it relate to an incident that could potentially give rise to proceedings?)

3.7.4. Would the document be useful for the organisation as a precedent, learning document, or for performance management processes?

3.7.5. Is the document of historic or statistical significance?

3.8. If the decision is made to keep the document, this should be referred to the Executive Officer and reasons given.