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Retention Policy

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The Recruitment Group

Retention Policy

February 2021 v1.0

 

1             Introduction

1.1              This policy sets out how long employment/recruitment-related information will normally be held by us and when that information will be confidentially destroyed.

2             Responsibility

2.1              Our Compliance department responsible for implementing and monitoring compliance with this policy.

2.2              They will undertake an annual review of this policy to verify that it is in effective operation.

3             Our process

3.1              Information (hard copy and electronic) will be retained for the period specified in our Records Retention Schedule.

3.2              All information must be reviewed before destruction to determine whether there are special factors that mean destruction should be delayed, such as potential litigation, complaints or grievances.

3.3             Hard copy and electronically-held documents and information must be deleted at the end of the retention period, unless there is a requirement to delay deletion (as per paragraph 3.2)

3.4             Hard copy documents and information must be disposed of by placing into confidential shredding receptacle.

Records Retention Schedule

This Record Retention Schedule sets out the time periods that different types of records must be retained for business and legal purposes.

The retention periods are based on business needs and legal requirements and should be read in accordance with The Recruitment Group’s data protection policy. If you maintain any types of records that are not listed in this schedule and it is not clear what retention period should apply, please contact or compliance department for guidance.

Any deviance from the retention periods in this schedule must be approved in advance by a Director of the business

The first section of this policy will address employment records, the second section will address work-seeker records.

 

1             Internal employee/applicants for internal roles

Record

Retention Period

Storage Format

Lawful basis and reference

Rejected job applicant records, including:

·        Contact details

·        CV/Applications

·        References

·        Test results

·        Interview notes

12 months after applicant is notified of rejection. The application forms should give applicants the opportunity to object to their details being retained

Paper or electronic

Legitimate business interest

·        To ensure that you do not accept multiple applications from the same rejected candidate

·        To consider alternative roles for the candidate

·        To demonstrate fair and non-discriminatory recruitment process

·        Kept in line with the Equality Act 2010 (s.123)

Application records of successful candidates, including:

·        CV/Applications

·        References

·        Training certificates

·        Correspondence concerning employment

·        Test result

·        Interview notes

Up to the end of 6 years after employment ceases

Paper or electronic

Legitimate business interest

·        To protect the business against any legal claims for breach of contract

o    Kept in line with the Limitation Act 1980 (s.5)

·        To demonstrate compliance with a fair and non-discriminatory recruitment process

Employment contracts including:

·        Training records

·        Written particulars of employment

·        Changes to terms and conditions

Up to the end of six years after employment ceases

if document executed as a deed- this should be 13 years after employment ceases- s.8 Limitation Act 1980

Paper or electronic

Legitimate business interest

·        To protect the business against any legal claims for breach of contract

o    Kept in line with the Limitation Act 1980 (s.5)

·        Confirmation of rights and obligations owed and due by employee- employer

Employee performance and conduct records:

·        Probationary reviews

·        Review and appraisal notes

·        Promotions/demotions

Up to seven years after employment ceases

Paper or electronic

Legitimate business interest

·        To protect the business against any legal claims for breach of contract

o    Kept in line with the Limitation Act 1980 (s.5)

·        Confirmation of rights and obligations owed and due by employee- employer

Other employment records

·        Redundancy records

·        Annual leave records

·        Parental leave records

·        Sickness records

·        Return to work meetings

Up to the end of six years after employment ceases

 

Paper or electronic

Legitimate business interest

·        To protect the business against any legal claims for breach of contract

o    Kept in line with the Limitation Act 1980 (s.5)

·        Confirmation of rights and obligations owed and due by employee- employer

Directors’ service contracts and any variations

Up to the end of six years after employment ceases

if document executed as a deed- this should be 13 years after employment ceases- s.8 Limitation Act 1980]

Paper or electronic

Legitimate business interest

·        To protect the business against any legal claims for breach of contract

·        Confirmation of rights and obligations owed and due by employee- employer

Legal obligation

·        Retained for one year from the date of termination or expiry

·        Kept in line with Companies Act 2006 (s.228)

Copies of identification documents/right to work

Kept for two years from date of termination of employment

Paper or electronic

Legal obligation

·        Kept in line with the Immigration (Restrictions on Employment) Order (Art 6(1)(b))

Records relating to/demonstrating compliance with Working Time Regulations 1998:

·        Registration of work and rest periods

·        Working time opt-out forms

Kept for two years from the date on which the record was made

Paper or electronic

Legal obligation

·        Kept in line with the Working Time Regulations 1998 (Regulation 9)

Criminal records information

·        Information forms

·        DBS check forms

·        DBS certificates

6 months from end of last employment date

Paper or electronic

Legitimate business interest

·        To demonstrate that safeguarding processes were followed

 

Gender pay gap reporting information

Kept available for a period of at least three years beginning with the date of publication

Paper or electronic

Legal obligation

·        Kept in line with Equality Act 2010 (Gender Pay Gap Information) Regulations 2017 (Regulation 15)

 

2             Work-seeker records

Record

Retention Period

Storage Format

Lawful basis and reference

Work-seeker records

·        Name/address and if under 22, date of birth

·        Any terms between recruitment business and the work-seeker and any variations

·        Details of the work-seeker’s training, experience, qualifications and any authorisation to undertake particular work

·        Names of hirers to whom the work-seeker is introduced or supplied

·        Details of any resulting engagement and date from which it takes effect

·        Details of any enquiries made under Regulations 19, 20 and 22 about the work-seeker and the position concerned

Kept for one year after you last provided your work-finding service

The maximum this data should be kept for is up to the end of six years from the date of your work-finding services in line with the Limitation Act 1980 but only if a real possibility of legal action being taken by a worker]

Paper or electronic

Legal obligation

·        Kept in line with the Conduct of Employment Agencies and Employment Businesses Regulations 2003 (Reg 29)

Legitimate business interest

·        To protect the business against any legal claims for breach of contract

o    Kept in line with the Limitation Act 1980 (s.5)

·        To keep records to demonstrate that safeguarding processes are adhered to and followed

·        To contact the candidate for any further work-finding services

·        To protect your business against any legal claims

Records relating to/demonstrating compliance with Working Time Regulations 1998:

·        Registration of work and rest periods

·        Working time opt-out forms

Kept for two years from the date on which the record was made

Paper or electronic

Legal obligation

·        Kept in line with the Working Time Regulations 1998 (Reg 9)

Copies of identification documents/right to work

Kept for two years from date of termination of employment

Paper or electronic

Legal obligation

·        Kept in line with the Immigration (Restrictions on Employment) Order (Art 6(1)(b))

Criminal records information

·        Information forms

·        DBS check forms

·        DBS certificates

It would be advisable to consider six months as the maximum time frame (unless safeguarding issues or other similar extenuating circumstances are raised).

Paper or electronic

Legitimate business interest

·        To demonstrate that safeguarding processes were followed

Gender pay gap reporting information

Kept available for a period of at least three years beginning with the date of publication

Paper or electronic

Legal obligation

·        Kept in line with Equality Act 2010 (Gender Pay Gap Information) Regulations 2017 (Regulation 15)

 

 3   Payroll and salary records

Record

Retention Period

Storage Format

Lawful basis and reference

Payroll information

Kept for three years after the end of the tax year to which they relate

Paper or electronic

Legal obligation

·        Kept in line with Income Tax (Pay As You Earn) Regulation 2003 (Regulation 97)

Intermediary reporting information

·        HMRC have produced guidance on the different information required

Kept for three years after the end of the tax year to which they relate

Paper or electronic

Legal obligation

·        Kept in line with Income Tax (Earnings and Pensions Act 2003) (Section 716B) as well as The Income Tax (Pay As You Earn) (Amendment No.2) Regulations 2015

VAT records

·        Keep records of sales and purchases

·        Keep a separate summary of VAT called VAT account

·        Issue correct VAT invoices

Kept for six years or 10 years if using the VAT MOSS service

Paper or electronic

Legal obligation

·        Please see government guidance

Company accounts

 

Kept for six years from the end of the last company financial year they relate to

(there are circumstances that this would need to be kept shorter/ longer for- please see government guidance for more information)

Paper or electronic

Legal obligation

·        Please see government guidance

CIS records

Kept for at least three years after the end of the tax year that they relate to

Paper or electronic

Legal obligation

·        Kept in line with The Income Tax (Construction Industry Scheme) Regulations 2005 (Regulation 51)

National minimum wage records

·        Records demonstrating compliance with national minimum wage requirements including hours worked

Kept for three years beginning with the day upon which the pay reference period immediately following that to which they relate ends

Paper or electronic

Legal obligation

·        Kept in line with National Minimum Wage Regulations 2015 (Regulation 59)

Sickness records

Should not be kept for longer than three years

Paper or electronic

Legitimate business interest

·        To demonstrate that statutory sick pay has been paid/demonstrate why it was not paid in the event that HMRC investigate

Statutory Maternity/paternity and adoption pay

Kept for three years after the end of the tax year in which the period of statutory pay ends

Paper or electronic

Legal obligation

·        Kept in line with Statutory Maternity Pay (General) Regulations 1986 (and other corresponding legislation) (Regulation 26)

Pensions auto-enrolment

Kept for a minimum of six years, some records will need to be kept for a longer period

Paper or electronic

Legal obligation

·        Please consider Pensions Regulator guidance)