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1. Background

1.1 Retention and Disposal is the process which determines for how long we retain information.[Author ID1: at Wed Jul 27 15:29:00 2005 ] It applies to all original information in Ofsted, whether registered or not.

1.2 Retention and disposal policies are strongly encouraged by both the Data Protection and Freedom of Information Acts. Data protection requires that any personal information (such as EY applications, evidence about pupils and HR) “processed for any purpose shall not be kept for longer than is necessary for that purpose”. We can only keep personal information for as long as it was originally required.

The Freedom of Information Act approaches this issue from a more practical perspective. It recognizes that it is easier to locate important information when it is stored and sorted in an efficient way. This is best achieved by regularly removing other out-of-date or unnecessary material.

Ofsted's overall position in relation to the information it stores is that “we retain only what information we need, for as long as it is needed”.

2. Determining Retention Periods

There are three primary factors we consider when determining for how long different types of information should be kept. These are:

Any statutory/regulatory requirements regarding retention
Ofsted's business need
Wider historical/public interest; and
Whether the information is `original' or is a `copy'

Statutory/regulatory requirements

2.2 Statutory and regulatory requirements, governing the length of time we hold information, are normally applied so that key decisions can be audited. Such requirements usually cover: financial material, HR changes to terms and conditions (for the purposes of determining pensions), contractual information, buildings records and Health & Safety logs.

Ofsted's business need

2.3 Ofsted's core business of inspection evidence gathering is not covered by any statutory or regulatory provision relating to the length of retention. Any retention periods that we decide in this area should therefore be solely on the basis of our own business needs and wider statutory responsibilities. For Ofsted this has been defined as the length of time needed to produce a report, plus any specified appeal period. In the majority of cases the retention period for inspection evidence is therefore: “destroy 3 months after publication of report”.

2.4 Business need is therefore solely determined by our use, or intended use, of the information created. A large proportion of the information generated outside of inspection is classified as “Common Administration”. From analysis it is clear that this material is useful, but often only for a short period of time. It will comprise of the work undertaken to plan activities (such as inspection programs), organize conferences and will also cover the majority of administrative tasks undertaken every day. The blanket retention policy for all of this material is “destroy within one year”. It is applied because all of this information has no discernable need after one year. In practice this policy means that most information within this category can be safely disposed of well before a year has elapsed, as its use is only required for a short period following creation.

Review

2.5 Length of retention is slightly harder to determine when types of information have varying or unpredictable “needs”. For example policy and framework documents will remain in force until they are superseded. When this occurs retention cannot usually be predicted in advance. This requires us to apply a different type of retention rule: “review”.

2.6 Review means that the owners/creators of information should reassess its usefulness at defined periods. There will be two outcomes to a review: either immediate disposal or a further period of retention, which would end either with automatic disposal or a second review. As well as policy documents, review will normally cover information produced when dealing with all types of complaints.

Historical interest

2.7 Some Ofsted information will be permanently preserved because it carries genuine longstanding interest to others outside of the organisation. In such circumstances we are under an obligation to ensure it is retained in the public interest. For Ofsted this applies to all reports about educational institutions and policy, whether published or not. It also may include some internal management and policy papers.

2.8 Decisions about what categories of information require permanent preservation can only be made by the Records Management team in consultation with the National Archives.

3. Copy Information

3.1 Before applying the disposal schedules to the information we store, it is essential to determine whether it is original or copied information.

3.2 The vast majority (95%) of paper information held by Ofsted is a copy printed from files Ofsted have stored electronically or received from external sources. Most information received from external sources can/should be rendered into an electronic file through scanning.

[Author ID1: at Wed Jul 27 15:29:00 2005 ]

Registered Files represent Ofsted's official record and can assume the role of “original” information, in some cases superseding the electronic version. All other paper documents however will remain copies.

Copied information is not subject to retention rules and must be destroyed once it has served the purpose it was created for. This will usually mean disposal once it has been read. Retention should therefore only apply to the original document, whether it is in paper or electronic form, not to any subsequently created copies.

4. The Disposal Schedule

4.1 The disposal schedule is designed to specify the retention period for all registered files and other unregistered `original' information held by Ofsted. It will primarily be used when:

Your division is creating new registered files (it will allow you to calculate to the date of eventual destruction off-site)
You are disposing of locally held, but unregistered information

4.2 The design of the disposal schedule is intended to group many categories of information together. This is in order to simplify the instructions and provide a more flexible basis for future decisions. The previous regime contained 16 documents and proved confusing to users. This model contains broad, easily applicable categories - and should apply to all Ofsted information.

4.3 Additions can and will be made to the schedule if new types of information are created by Ofsted. These will normally be new statutory/regulatory requirements or information which clearly falls outside of the current timescales documented.

5. The Retention/Disposal Process

For Registered files, all divisions will be consulted on an annual basis to agree the file destructions for the following year. There will usually be the chance for staff to hold back from disposal any files that need further retention if reasons are provided. Disposal, when it is conducted off-site, can be a slow process and this requires us to establish in advance what files need to be destroyed. [Author ID1: at Wed Jul 27 15:29:00 2005 ]

5.2 Disposal of unregistered material is a matter for the creating division. It is recommended that internal processes are established to ensure regular reviews of documents and files are conducted. Any sensitive or personal information should either be shredded or placed in the appropriate waste-sack.

Retention and Disposal

of Information