Records that should be kept by an academy or trust

Academies and trusts should follow good practice and retain records about:

• pupils – a pupil record is defined in section 12 of the key stage 2 assessment and reporting arrangements
• staff
• buildings
• finance
• governance
• the history of the school or academy (if applicable, including the ‘school history’ prior to the conversion to an academy) – examples can be found in The National Archives’ research guide on schools

All records should be retained in line with regulations and retention guidelines. Details can be found in the Academy Trust Handbook and Data protection in schools – record keeping and management.

Records belonging to an academy or trust that is closing

When an academy closes, records should be retained by the academy or trust, or transferred to the local authority archive service. Records should be retained while they are still actively required for legal or regulatory purposes, until the retention period is reached.

Governance and ‘school history’ records should be offered to the local authority’s archive service for permanent preservation. The ‘school history’ records are items that need to be permanently preserved at an archive – for example, those where there is community interest, such as whole-school photos.

Records that need to be kept for a limited time should be offered to the local authority where the academy was based and include:

• records of pupils who haven’t transferred to another school
• records of staff who do not continue their employment with the trust
• records for the building (including regarding asbestos and chemicals)
• governance records for the academy’s local governing body
• financial records related to the academy or trust

For an academy-only closure where the trust remains operational

Pupil records

For pupils that are transferring to a new educational setting, academies should follow the statutory guidance on keeping and maintaining records and transfer the records to the new school or academy. If pupils transfer to a college or sixth-form, the pupil records must be retained by the academy.

Pupil records that are not following the pupil to a new educational setting should be transferred to the relevant local authority for that area, where the records will remain accessible. This can include when the pupil has reached the end of compulsory education.

Safeguarding and special educational needs and disabilities (SEND) records

Safeguarding information should be shared with a new school or college in line with Keeping children safe in education (KCSIE) 2021 paragraphs 105 to 113.

Transition arrangements for pupils with SEND should be managed in line with paragraphs 6.42 and 6.57 of the SEND code of practice.

Staff, building, financial and governance records

Staff and building records are to be retained by the local authority of the area in which the trust head office is located. If staff are transferring to a new educational setting, the Information Commissioner’s Office (ICO) guidance on disclosure of employee information under transfer of undertakings (TUPE) should be followed.

The records of staff from the academy who are continuing their employment with the trust would be retained by the trust.

Governance and ‘school history’ records should be offered to the local authority’s archive service for permanent preservation.

All records should be retained in line with regulations and retention guidelines. Details can be found in the Academy Trust Handbook and Data protection in schools – record keeping and management.

For trust closures or transfers with academies in one local authority only

Pupil records

For pupils who are transferring to a new educational setting, academies should follow the statutory guidance on keeping and maintaining records and transfer the records to the new school or academy. If pupils transfer to a college or sixth-form, the pupil records must be retained by the academy.

Pupil records that are not following the pupil to a new educational setting should be transferred to the relevant local authority for that area where the records will remain accessible. This can include when a pupil has reached the end of compulsory education.

Safeguarding and SEND records

Safeguarding information should be shared with a new school or college in line with Keeping children safe in education (KCSIE) 2021 paragraphs 105 to 113.

Transition arrangements for pupils with SEND should be managed in line with paragraphs 6.42 and 6.57 of the SEND code of practice.

Staff, building and governance records

Staff and building records are to be retained by the local authority of the area in which the trust head office is located. If staff are transferring to a new educational setting, the ICO guidance on disclosure of employee information under TUPE should be followed.

The records of staff from the academy who are continuing their employment with the trust should be retained by the trust.

Governance and ‘school history’ records should be offered to the local authority’s archive service or local record office for permanent preservation.

Finance records

Finance records should be retained by the trust as per His Majesty’s Revenue and Custome (HMRC) and Companies House retention periods.

The Department for Education (DfE) and the Education and Skills Funding Agency (ESFA) are entitled to request and receive financial information to enable the final accounting of how the trust spent the public money it received. Details can be found in the Academy Trust Handbook.

For trust closures or transfers with academies in more than one local authority

Pupil records

For pupils that are transferring to a new educational setting, academies should follow the statutory guidance on keeping and maintaining records and transfer the records to the new school or academy. If pupils transfer to a college or sixth-form, the pupil records must be retained by the academy.

Pupil records that are not following the pupil to a new educational setting should be transferred to the relevant local authority for that area where the records will remain accessible. This can include when a pupil has reached the end of compulsory education.

Safeguarding and SEND records

Safeguarding information should be shared with a new school or college in line with Keeping children safe in education (KCSIE) 2021 paragraphs 105 to 113.

Transition arrangements for pupils with SEND should be managed in line with paragraphs 6.42 and 6.57 of the SEND code of practice.

Staff, building, financial and governance records

Staff and building records are to be retained by the local authority of the area in which the trust head office is located. If staff are transferring to a new educational setting, the ICO guidance on disclosure of employee information under TUPE should be followed.

The records of staff from the academy who are continuing their employment with the trust should be retained by the trust.

Governance and ‘school history’ records should be offered to the local authority’s archive service or local record office for permanent preservation.

If the trust’s head office is not based in the same local authority, the academy’s local authority should be approached and offered the governance records.

Trust-level governance records and records representing the trust as a business should be retained by the local authority where the trust’s head office is based.

Finance records

Finance records should be retained by the trust as per HMRC and Companies House retention periods.

DfE and ESFA are entitled to request and receive financial information to enable the final accounting of how the trust spent the public money it received. Details can be found in the Academy Trust Handbook.

If the local authority takes responsibility for any records, the academy or trust should inform their DfE contact.

How to access information transferred to local authority

Pupil records

Under data protection legislation and education regulations, those with parental responsibility have the right to view a pupil’s education record. Details can be found in the ICO guidance on accessing pupils’ information.

Staff records

Under data protection legislation, staff and former staff have the right to view their personal data. Information about how staff and former staff can request to view their data can be found in the ICO guidance or the local authority’s privacy notice. If staff are transferring to a new educational setting, the ICO guidance on disclosure of employee information under TUPE should be followed.

To identify which local authority the academy or trust belongs go, search for the academy on Get Information about Schools, select ‘Location’ and the local authority’s name is given in ‘District’.

How to dispose of records

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

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

• paper records should be shredded using a cross-cutting shredder or shredded by an external company
• CDs, DVDs, floppy disks, SD cards and other storage media should be destroyed to particles no larger than 6 mm
• audio and video tapes and fax rolls should be dismantled and shredded
• hard disks should be dismantled and should be destroyed to particles no larger than 6mm

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

What to do if you think personal data has not been processed correctly

The ICO website provides advice and guidance about how personal data should be handled and what to do if you think it has not been processed correctly.

Further information

If a trust or academy is in doubt about the most suitable archive for its records, they can consult The National Archives or contact us using the Customer Help Portal.