Guidance

Record keeping and retention information for training providers

Published 13 January 2021

Applies to England

1. Introduction to record keeping

As an ESFA provider, you must hold evidence to assure us that you are using ESFA funding appropriately.

You must also meet UK GDPR and Data Protection Act 2018 requirements in relation to data sharing and data protection, see the Information Commissioners Office (ICO) guide to data protection for details.

When your contract with ESFA ends, you must ensure your learner records are transferred to ESFA if required and all other records are either securely destroyed if they have reached their retention period or retained by you until their destruction date is reached.

2. What is the minimum that should be kept?

As a minimum you should keep a learner file for each learner. It should contain:

• evidence about the learner, e.g. proof of identify
• evidence of eligibility for funding
• evidence of qualifications/course studied and achieved
• European Social Fund (ESF) financial information – as detailed in ESF guidance (if applicable)

See the provider rules for more details of what should be retained in the learner file.

For learner files relating to ESF training provision, you and your subcontractors must follow the retention of documents guidance as detailed in the ESF 2014 to 2020 funding rules.

3. How should files be stored?

It is recommended that learner files should be stored electronically. Electronic data records and documents should be stored in secure off-site cloud-based servers that meet accepted security standards and legal requirements so can be relied upon for audit purposes (including ISO 27001).

However, if records are kept in paper-format they should be stored in individual wallets, one wallet per learner per academic year. All paper records should be stored in secure, lockable, fireproof, non-portable storage containers and access should be strictly controlled and limited to staff that need to access the records.

It is recommended that learner files should be stored in electronic systems or paper wallets that contains the following information:

• learner’s surname, first name
• course studied
• academic year
• ESF contract number (if applicable)
• destruction date (6 years from date study ended, or 31/12/2030 if ESF-funded)

ESF records must be easily identifiable and it is recommended that they are kept separately.

4. Transfer of records

If the learner moves to a new provider or the contract is terminated, you must:

• retain their learner file as per retention periods in section 5. The new provider will gather new evidence for the learner.
• transfer their portfolio so they can continue their course with the new provider.

If the learner file needs to be transferred back to ESFA, the ESFA record transfer agreement should be used.

Paper learner files should be boxed up keeping ESF records in separate boxes. Files should be weeded before boxing, i.e. remove duplicate documents, remove plastic wallets and secure all records in the relevant learner’s wallet.

5. Retention of records

Learner files should be retained securely for 6 years from Financial Year End after end of course or until 31/12/2030 if ESF-funded provision.

This guidance is in addition to the statutory guidance provided by Companies House and HMRC on a company’s record keeping requirements.

The ICO also provides guidance on document retention requirements.

5.1 Record checklist

Type of record	Retention period	Action	Completed
Learner records: • Details of learner • Course studied • Learner eligibility	6 years from Financial Year End after last payment made	Destroy records older than 7 years. List all remaining records with full name, course studied & course dates.
‘Live’ Portfolios (paper and electronic)*	2 years from end of course	Destroy records older than 2 years. List all remaining records with full name, course studied & course dates.
Certificates	N/A - send to learner	Return all certificates to awarding body if not sent to learner.
European Social Fund (ESF)	For the 2007-13 ESF Programme this is expected to be until at least 31 December 2022. For the 2014-20 ESF Programme until at least 31 December 2034.	Destroy records if past destruction date. List all remaining records with full name, course studied and course dates. Note: check the DWP - ESF guidance before destroying any paperwork in case the destruction date has changed.
Corporate records: • HR records • Finance records • Contract records	Retain as per statutory guidance provided by Companies House and HMRC on a company’s record keeping requirements

*Note: these are the Portfolios that relate to current learning and certificates haven’t been claimed

6. Disposal of records

When records have reached their retention period, data will be disposed of securely and confidentially.

All records containing personal information, or sensitive policy information should be made either unreadable or unreconstructable:

• paper records should be shredded using a cross-cutting shredder or shredded by an external company.
• CDs / DVDs / floppy disks should be cut into pieces
• audio / video tapes and fax rolls should be dismantled and shredded
• hard disks should be dismantled and sanded

Do not put records in with the regular waste or a skip.

Note: Where an external contractor is used for shredding records, it is recommended that all records must be shredded on-site in the presence of an employee. The organisation must also be able to prove that the records have been destroyed by the company who should provide a Certificate of Destruction. Staff working for the external provider should have been trained in the handling of confidential documents.