Canterbury Christ Church University
Retention and Disposal of Records containing Personal Data
1
It is essential for departments to have in place clearly defined arrangements for appraisal
of records, and there are clearly defined and documented policies and procedures for
disposing of records, either by destruction or by transfer to an archive.
2
It is important to close records as soon as they have ceased to be of active use, other than
for reference purposes. An indication of the closure of a file of paper records or electronic
records should appear on the record itself in an appropriate form.
Central Departments
3
Central departments have the primary responsibly for the maintenance of records
containing personal data. This list is not exhaustive, but provides guidance as to best
practice.
Type of Record
Suggested
Retention Period
Reason for Length of Period
Personnel files including
6 years from the end
training records and notes of of employment
disciplinary and grievance
hearings
References and potential litigation
(Limitation Act 1980 Section 2)
Application forms/interview At least 6 months
notes
from the date of the
interviews
Time limits on litigation
Because of the time limits in the various
discrimination Acts, for example the
Disability Discrimination Act 1995,
minimum retention periods for records
relating to advertising of vacancies and
job applications should be at least 6
months. Successful job applicants’
documents will be transferred to the
personnel file.
Facts relating to
redundancies where less
than 20 redundancies
6 years from the date Time limits on litigation (Limitation Act
of redundancy
1980 Section 2)
Facts relating to
redundancies where 20 or
more redundancies
12 years from the
date of the
redundancies
Income Tax and NI Returns, At least 3 years after
including correspondence
the end of the
with tax office
financial year to
which the records
related
Time limits on litigation
Income Tax (Employments) Regulations
1993
(SI 1993/744) as amended, for example
by The Income Tax (Employments)
(Amendment No. 6) Regulations 1996
(SI 1996/2631)
Retention and Disposal of Records containing Personal Data
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Statutory Maternity Pay
records and calculations
At least 3 years after
the end of the
financial year to
which the records
related
Statutory Maternity Pay (General)
Regulations 1986 Section 26
Statutory Sick Pay records
and calculations
At least 3 years after
the end of the
financial year to
which the records
related
Statutory Sick Pay (General)
Regulations 1982 Section 13
Wages and salary records
6 years
Taxes Management Act 1970 Section
12B(2)
Accident books, and records 3 years after the date Social Security (Claims and Payments)
and reports of accidents
of the last entry
Regulations 1979 Section 24; Reporting
of Injuries, Diseases and Dangerous
Occurrences Regulations (RIDDOR)
1995 Section 7(3)
Health Records (Employee
Health Surveillance)
During employment
Management of Health and Safety at
Work Regulations 1999 Regulation 6
(Approved Code of Practice paragraph
43)
Health Records where
reason for termination of
employment is connected
with health, including stress
related illness
3 years
Limitation period for personal injury
claims (Limitation Act 1980 Section
11(4))
Medical records kept by
reason of the Control of
Substances Hazardous to
Health Regulations 2002
40 years
Control of Substances Hazardous to
Health Regulations 2002 Section
10(5)(a)
Records relating to children
(i.e. those under 18 years of
age)
At least until the
child reaches 24
Limitation Act 1980
Ionising Radiation Records
Until the person
reaches 75 years of
age, but at least 50
years after last entry
The Ionising Radiation Regulations
1999 Regulation 21(3)(a)
Retention and Disposal of Records containing Personal Data
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Student records,
including academic
achievements and
conduct
6 years from the date that
the student leaves the
institution, in case of
litigation for negligence
Limitation period for negligence
(Limitation Act 1980 Section 2)
10 years for personal and
academic references
Permits institution to provide references
for a reasonable length of time
Certain personal data may
be held in perpetuity
While personal and academic references
may become ‘stale’, some data e.g.
transcripts of student marks may be
required throughout the student’s future
career.
Upon the death of the data subject, data
ceases to be personal data.
Academic Departments
4
When a student leaves the University, including completions and withdrawals, the
departmental should close the student file, and indicate on the file that it is closed. During
the next six years, student files must be a systematically and thoroughly weeded. All
information of no further use needs removing and destroying by secure means.
Departments should retain the weeded student files for no more than ten years after the
completion of studies.
5
Since the Registry maintains a permanent record of all student files, following the
weeding of the central files, departments may elect to destroy student files in their
entirety after the six-year period.
6
Alternatively, the department might arrange with the Academic Registrar to integrate
weeded files with those of Registry. This might take place at any period after the
completion of studies, provided the files are weeded beforehand.
Disposal
7
The confidential destruction of records is a crucial element of good records management
practice. It is a requirement of the Data Protection Act 1998 that all information relating
to identifiable, living individuals is disposed of in an appropriately secure manner.
8
Material that belongs to any of the following categories needs treating as confidential:
o
o
o
o
Records containing personal information (for example UCAS forms, pay roll and
pensions records, completed questionnaires, staff files, research grant applications)
Records of a commercially sensitive nature (for example contracts, tenders,
purchasing and maintenance records, legal documents)
Records concerning intellectual property rights (for example unpublished research
data, draft papers and manuscripts).
Material not classified as confidential may be disposed of in whichever way is most
convenient.
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February 2009
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9
It is the responsible for the department concerned to ensure confidential waste is disposed
of securely. The department must arrange for the shredding of confidential waste before
disposal.
10 Where there is a large quantity of confidential material requiring destruction, this may
require commissioning a confidential waste contractor to remove the waste. The
department concerned will be responsible for any costs that arise from the disposal of
confidential waste.
Robert Melville
Assistant University Secretary
19 February 2009
Retention and Disposal of Records containing Personal Data
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