Record Retentions Policy

National Teacher Accreditation (NTA)

1. INTRODUCTION

1.1. The main aim of this policy is to enable NTA 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.

1.2. NTA 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.

1.3. 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.

1.4. 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.

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

1.6. 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 Director 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

 

DOCUMENT CATEGORY

 

RETENTION PERIOD

 

REASON

Corporate/Constitutional    
Company Articles of Association, Rules/bylaws

 

 

Trustee/director minutes of meetings and written resolutions

 

 

Members’ meetings
Minutes/resolutions

 

 

Documents of clear historical/archival significance

 

Contracts and agreements

 

 

Contracts executed as deeds

 

IP records and legal files re provision of service

 


Permanent 

At least 10 years

 

 

 

 

At least 10 years

 

 

 

Permanent

 

 

 

Length of contract plus 6 years

 

Length of contract plus 12 years

 

Life of provision or IP plus 6 years

Companies Act 2006

Charities Act 2011

 

Companies Act 2006

Charities Act 2011

CIO (General) Regulations 2012

 

Companies Act 2006

Charities Act 2011

CIO (General) Regulations 2012

 

Data Protection regulation

 

 

Limitation Act 1980

 

 

Limitation Act 1980

 

 

Limitation Act 1980

 

Insurance    
Employer’s Liability Insurance

 

 

Policies

 

Claims correspondence

40 years

 

 

 

3 years after lapse

 

3 years after settlement

 

Employers’ Liability (Compulsory Insurance Regulation) 1998

 

Commercial

 

Commercial

Health & Safety    
General records

 

Accident book/records and reports

 

 

3 years minimum

 

3 years after last entry or end of investigation

 

Limitation Act 1970

 

Reporting of Injuries Diseases and Dangerous Occurrences Regulations 1995

Charity Property    
Leases

 

 

Building records, plans, consents and certification and warranties etc

 

 

12 years after lease has lapsed

 

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

 

 

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)

 

Tax and accounting records

 

Information relevant for VAT purposes

 

Banking records/receipts book/sales ledger

 

Deed of covenant/Gift Aid declarations and correspondence re donations

 

 

 

Minimum 6 years

Recommended: permanent record

 

6 years from end of relevant tax year

Minimum 6 years from end of relevant period

 

6 years from transaction

 

6 years after last payment or 12 years if payments are outstanding or dispute over deed

6 years after completion of estate administration

Companies Act 2006; Charities Act 2011; CIO (General) Regulations 2012

 

Finance Act 1998;  Taxes Management Act 1970

 

Finance Act 1998 and HMRC Notice 700/21

 

Companies Act 2006; Charities Act 2011

 

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

 

Maternity pay

 

 

Sick pay

 

 

National Minimum wage records

 

Foreign national ID documents

 

 

HR files and training records

 

 

Records re working time

 

 

 

 

Job applications (CVs and related materials re unsuccessful applicants)

 

 

Pre-employment/volunteer vetting

 

Disclosure & Barring Service checks

 

 

6 years from end of current year

 

 

3 years after the end of the tax year

 

3 years after the end of the tax year

 

3 years after the end of the tax year

 

Minimum 2 years from end of employment

 

 

Maximum 6 years from end of employment

 

 

2 years

 

 

 

 

Recommended: 6-12 months from your notification of outcome of application

 

 

6 months

 

Record only satisfactory/unsatisfactory result and delete other information

 

Taxes Management Act 1970 /IT (PAYE) Regulations

 

Statutory Maternity Pay Regulations

 

Statutory Sick Pay (General) Regulations

 

National Minimum Wage Act

 

Immigration (Restrictions on Employment) Order 2007

 

Limitation Act 1970 and Data Protection regulation

 

Working Time Regulations 1998 as amended

 

 

ICO Employment Practices Code (Recruitment & Selection) Disability Discrimination Act 1995 & Race Relations Act 1976

ICO Employment Practice Code

 

ICO Employment Practice Code

Activity/Sector    
Member organisation information

 

 

 

 

 

 

 

Non-member organisation

 

 

 

 

 

 

 

Photographs

 

 

Details of attendees at events

 

Emails

Reviewed annually and deleted if organisation does not renew membership and have not asked for their information to be retained. Consent renewed every 3 years.

 

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

 

Deleted or renewed every 5 years

 

Deleted after 3 years

 

 

Deleted after 3 years or permanent if of historical/archival interest. Carry out review re longer if necessary.

 

 
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 Director 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 Director.
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 Director and reasons given.

May 2018 – updated September 2018