G5 RECORDS MANAGEMENT POLICY
Next Review:
March 2018
Responsible:
The Principal
For approval by Governors’ Finance and Personnel Committee March 2016
For approval by Full Governing Body
N/A
1
General
The academy recognises that the efficient management of its records is necessary to
comply
with its legal and regulatory obligations and to contribute to the effective
overall management of the academy.
2
Scope of the policy
2.1
2.2
2.3
3
Responsibilities
3.1
3.2
3.3
4
This policy applies to all records created, received or maintained by staff of
the academy in the course of carrying out its functions.
Records are defined as all those documents which facilitate the business
carried out by the academy and which are thereafter retained (for a set period)
to provide evidence of its transactions or activities. These records may be
created, received or maintained in hard copy or electronically.
A small percentage of the academy’s records will be selected for permanent
preservation as part of its archives and for historical research.
The academy has a corporate responsibility to maintain its records in
accordance with current legislation and guidelines issued by the Records
Management Society of Great Britain.
The person responsible for records management in the academy will give
guidance for good records management practice and will promote compliance
with this policy so that information will be retrieved easily, appropriately and in
a timely manner.
Individual employees must ensure that records for which they are responsible
are accurate and that they are maintained and disposed of in accordance with
the academy’s records management guidelines.
Relationship with existing policies
This policy has been drawn up within the context of P26 Freedom of Information
Policy and with other legislation and regulation, including Data Protection, audit and
equal opportunities.
5
Records management guidelines
Where records are identified for destruction, they will be disposed of in an appropriate
way, usually by shredding and/or disposal to a waste paper disposal merchant.
Page 1 of 11
In accordance with the Freedom of Information Act 2000, the academy will retain a
list of records which have been destroyed and who authorised their destruction, in a
database format. Where records are identified for permanent preservation, the
records will be archived.
The retention schedule (which is a procedural document) refers to all information
regardless of the media in which they are stored (Annexe A for information)
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Annexe A
Retention Schedule
Basic file description
Data
protection
issues
Retention period
Action at end of life of the record
Child Protection files.
Yes
DOB + 25 years
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Allegation of a CP nature against a
member of staff.
Yes
Until person’s normal retirement age,
or 10 years from the date of the
allegation, whichever is longer.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Governors’ Minutes (signed copies).
No
Permanent
Governors’ Reports.
No
Date of report + 6 years
Retain in academy for 6 years from date
of meeting, then transfer to archives.
Transfer to archives.
Governors’ Instrument of Governance.
No
Permanent
Retain in academy whilst academy is
open.
Trusts & Endowments.
No
Permanent
Action plans.
No
Date of action plan + 3 years
Retain in academy whilst operationally
required, then transfer to archives.
Destroy.
Policy documents.
No
Expiry of policy
Complaints.
Yes
Date of resolution of complaint + 6
years
6.1 Child Protection
6.2 Governors
Retain in academy whilst operational,
then transfer to archives.
Retain in academy for first 6 years, review
for further retention in the case of
contentious disputes, destroy routine
complaints.
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6.3 Management
Log books (which record what happens in
the academy).
Minutes of SLT and other internal
administrative bodies.
Reports made by Principal or SLT.
Yes
Date of last entry in book + 6 years
Yes
Date of meeting + 5 years
Yes
Date of report + 3 years
Basic file description
Data
protection
issues
Yes
Retention period
Retain in academy for 6 years, then
transfer to archives.
Retain in academy for 5 years from
meeting, then transfer to archives.
Retain in academy for 3 years from
meeting, then transfer to archives.
Action at end of life of the record
Closure of file + 6 years
Destroy.
No
Date of correspondence + 3 years
Destroy.
Yes
Closure of plan + 6 years
Shred/dispose as confidential waste to a
waste paper disposal merchant.
No
Closure of plan + 6 years
Review and archive if necessary.
Admission registers.
Yes
Date of last entry in the file + 6 years
Attendance registers.
Yes
Date of register + 3 years
Student files.
Yes
DOB of the student + 25 years
Retain in the academy for 6 years from
date of last entry then transfer to
archives.
Destroy. If records are retained
electronically, any backup copies should
be destroyed at the same time.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Student SEN files.
Yes
Closure of file + 35 years
Records created by Principal, SLT and
other members of staff with administrative
responsibilities.
Correspondence created by Principal, SLT
and other members of staff with
administrative responsibilities.
Professional development plans.
Academy Improvement Plans.
6.4 Students
Destroy unless legal action is pending.
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Statement maintained under The
Education Act 1996, Section 324, including
proposed statement or amended
statement.
General SEN files.
Yes
DOB + 30 years
Destroy unless legal action is pending.
Yes
DOB of the student + 25 years
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Advice and information to parents
regarding educational needs.
Letters authorising absence.
Yes
Closure of the file + 12 Years
Destroy unless legal action is pending.
No
Date of absence + 2 years
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Examination results: Public
No
Year of examination + 6 years
Basic file description
Data
protection
issues
Yes
Retention period
Destroy. Any certificates left unclaimed
are returned to the examination board.
Action at end of life of the record
Current year + 5 years
Destroy.
Yes/No
Current year + 3 years
Review at the end of 3 years and either
allocate a further retention period or
destroy.
Curriculum development.
No
Current year + 6 years
Destroy.
Curriculum returns.
No
Current year + 3 years
Destroy.
Syllabus, Schemes of Work, Timetable,
Class record books, Mark Books, Record
of homework set, students’ work.
Value added reports.
No
Current year + 1 year
Destroy.
Yes
Current year + 6 years
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Examination results: Internal
Any other records created in the course of
contact with students.
6.5 Curriculum
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6.6 Personnel
Timesheets, sick pay.
Yes
Current year + 6 years
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Staff personal files.
Yes
Termination + 7 years
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Interview notes & recruitment records.
Yes
Date of interview + 6 months
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Pre-employment vetting information,
including unsuccessful CRB checks).
No
Date of check + 6 months
Shred/dispose as confidential waste to a
waste paper disposal merchant
Disciplinary proceedings for all matters
except those relating to child protection
issues.
Yes
Shred/dispose as confidential waste to a
waste paper disposal merchant. If this is
placed on a personnel file, it must be
weeded from the file.
Basic file description
Data
protection
issues
Yes
Oral and Level 1 written warning:
Date of warning + 6 months
Level 2 written warning: Date of
warning + 12 months.
Final warning: Date of warning + 18
months.
Retention period
Date of incident + 12 years
Review at end of the period. In the case
of serious accident, a further retention
period will need to be applied.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Records relating to accident or injury at
work.
Annual appraisal/assessment records.
No
Current year + 5 years
Maternity pay records.
Yes
Current year + 3 years
Records held under Retirement Benefits
Schemes.
Yes
Last payment + 6 years
Case not found – destroy immediately.
Action at end of life of the record
Shred/dispose as confidential waste to a
waste paper disposal merchant.
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6.7 Health and Safety
Accessibility Plans.
Current year + 6 years
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Adults: last entry in the Accident
Book + 3 years.
Children: DOB + 25 years
Current year + 10 years
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Current year + 20 years
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Policy statements.
Date of expiry + 1 year
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Risk Assessments.
Date assessment superseded + 3
years
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Process of monitoring of areas where
employees and persons are likely to have
come into contact with asbestos.
Fire precautions Log Books.
Last action + 40 years
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Current year + 6 years
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Action at end of life of the record
Accident reporting.
Yes
COSHH.
Incident reports.
Basic file description
Yes
Data
protection
issues
Retention period
Review, then shred/dispose as
confidential waste to a waste paper
disposal merchant.
6.8 Administrative
Employer’s Liability certificate.
Permanent whilst academy is open.
Retain for 40 years after academy has
closed.
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Inventories of furniture and equipment.
Disposal of last item + 6 years, or
date superseded + 6 years.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
General files.
Current year + 5 years
School Prospectus.
Current year + 3 years
Review, then shred/dispose as
confidential waste to a waste paper
disposal merchant.
Transfer to archives.
Circulars (staff/parents/students.
Current year + 1 year
Destroy.
Newsletters etc.
Current year + 1 year
Transfer to archives.
Visitors book.
Current year + 2 years
Review and destroy.
Parents’ Association records.
Current year + 6 years
Transfer to archives.
Annual accounts.
Current year + 6 years
Offer to archives.
Loans and grants.
Review and transfer to archives.
Copy orders.
Date of last payment on loan + 12
years.
Under seal: Contract completion + 12
years.
Under signature: Contract completion
+ 6 years.
Monitoring records: Current year + 2
years.
Current year + 2 years
Budget reports, budget monitoring etc.
Current year + 3 years
Shred/dispose as confidential waste to a
waste paper disposal merchant.
6.9 Finance
Contracts.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Page 8 of 11
Basic file description
Retention period
Action at end of life of the record
Invoices, receipts and other records
covered by the Financial Regulations.
Annual budget and background papers.
Current year + 6 years
Order books and requisitions.
Current year + 6 years
Delivery documentation.
Current year + 6 years
Debtors records.
Current year + 6 years
School Fund cheque books.
Current year + 3 years
School Fund paying in books, ledgers,
invoices, receipts, Bank statements, school
journey records.
Student grant applications.
Current year + 6 years
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Free school meals registers.
Current year + 6 years
Applications for free school meals, travel,
uniforms etc.
Petty cash books.
Whilst child at school
6.10
Data
protection
issues
Current year + 6 years
Current year + 3 years
Current year + 6 years
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Property
Title deeds.
Permanent
Plans.
Permanent
Maintenance and contractors.
Current year + 6 years
These deeds should follow the property.
Offer to archives.
Retain until superseded then archive.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
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Leases.
Expiry of lease + 6 years
Lettings.
Current year + 3 years
Basic file description
Data
protection
issues
Retention period
Burglary, theft and vandalism report forms.
Current year + 6 years
Maintenance log books.
Last entry + 10 years
Contractors reports.
Current year + 6 years
6.11
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Action at end of life of the record
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Local Authority
Attendance returns.
Current year + 1 year
Shred/dispose as confidential waste to a
waste paper disposal merchant.
HMI reports.
No need to retain.
Transfer to archives.
OFSTED reports.
Review and transfer to archives.
DfE Returns.
Replace former report with any new
inspection report.
Current year + 6 years
Circulars from DfE.
Whilst operationally required.
6.12
6.13
Department for Education
Connexions
Service level agreements.
Until superseded
Work experience agreements.
DOB of child + 18 years
6.14
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Destroy or transfer to archives.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
Shred/dispose as confidential waste to a
waste paper disposal merchant.
School meals
Page 10 of 11
School meals summary sheets.
Current year + 3 years
Shred/dispose as confidential waste to a
waste paper disposal merchant.
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