Retention Policy

This policy covers all data that we hold or have control over. This includes physical data such as hard copy documents, contracts, notebooks, letters and invoices. It also includes electronic data such as emails, electronic documents, audio and video recordings. It applies to both personal data and non-personal data. In this policy we refer to this information and these records collectively as "data".  

This policy covers data that is held by third parties on our behalf, for example, cloud storage providers or offsite records storage. It also covers data that belongs to us but is held by Company Personnel on personal devices in accordance with our Bring Your Own Device policy.  

This policy explains the differences between our formal or official records, disposable information, confidential information belonging to others, personal data and non-personal data. It also gives guidance on how we classify our data. 

This policy must be adhered to by all employees, workers, agency contractors or temporary staff, and office holders.  Failure to do so may result in disciplinary action or termination of contractual arrangements.   

Through this policy, and our data retention practices, we aim to meet the following commitments: 

• We comply with legal and regulatory requirements to retain data. 
• We comply with our data protection obligations, in particular to keep personal data no longer than is necessary for the purposes for which it is processed (storage limitation principle). The periods in this document are a minimum period after which data is reviewed. It may be retained for longer if there remains a lawful basis that necessitates further processing.  
• We handle, store and dispose of data responsibly and securely. 
• We create and retain data where we need this to operate our business effectively, but we do not create or retain data without good business reason. 
• We allocate appropriate resources, roles and responsibilities to data retention. 
• We regularly remind employees of their data retention responsibilities. 
• We regularly monitor and audit compliance with this policy and update this policy when required. 

4.1 Finance

All finance records will be retained for a minimum of 7 years to comply with HMRC requirements. These will generally be electronic records. However, where any paper records are kept these are retained securely in the office for a maximum of 1 year and then archived for a further 6 years. Thereafter, records are destroyed.

4.2 Human Resources

All data and records relating to employees, leavers, and candidates are stored electronically. 

All recruitment application records for unsuccessful candidates are destroyed one year after the date of application (regardless of role, or application process).

Unless otherwise stated, the following employee documents are destroyed 1 year from the end of the financial year to which they relate:

• GP Fit Notes (sickness certificates), letters and other detailed records, including counselling records (unless related to H & S legislation or litigation). This does not apply to basic records held on Cascade, which are removed automatically by the system 2 years from the employee’s date of absence. 
• Other references provided by PSA – e.g. tenancy and mortgage applications.
• Detailed grievance records will be destroyed 2 years from date that the grievance was made irrespective of whether the grievance was upheld or not. Unless otherwise stated, exit interview records are destroyed 2 years from the date on which they were made.

Unless otherwise stated, the following employee data are destroyed 6 years from the end of the financial year to which they relate (in the case of leaver files, from the financial year of the termination date):

• Redundancy calculations and records;
• Settlement agreements;
• Leavers files and all data held on the HR system (including appraisals, training records and qualifications, original job application data, formal disciplinary records and expired warnings, basic
• sickness data, file notes, summary formal grievance data, and working time records); and
• All payroll information processed, including maternity and statutory sick pay calculations and parental leave records.

Unless otherwise stated, the following Code Adjudication Panel (‘CAP’) (previously known as the Code Compliance Panel (‘CCP’)), the Independent Complaints Assessor, Board Members, and Consumer Panel Members data are destroyed 6 years from the end of the financial year in which their term came to an end:

Leaver files and all data held on the HR system including (appointment letters, terms of appointment, right to work documentation, application data)

4.3 Legal

Electronic final versions of Tribunal minutes (including Tribunal, review Tribunal, Oral Hearing decisions) are retained permanently. Drafts may be destroyed after 12 months.

4.3.1 Supplier Contracts

All supplier contracts are saved electronically. These documents are retained for a period of 6 years following termination of the contract. Hard copies of contracts, if applicable, are also retained for a period of 6 years following termination of the contract but may be archived after three months (and destroyed 6 years after termination of the contract).

4.3.2 Deeds

All deeds are saved electronically. These documents are retained for a period of 12 years following termination of the deed. Hard copies of deeds are also retained for a period of 12 years following termination of the deed but may be archived after three months (and destroyed 12 years after termination of the deed).

4.3.3 Hard Copies of Tribunal Case Bundles

Hard copies of Tribunal case bundles (including seriousness and sanctions bundles and documentation relating to Oral Hearing or court proceedings (including case bundles) are archived 2 months after conclusion of the case (i.e. where there is no further appeal pending). These documents are archived for a period of 2 years and then destroyed.
Electronic copies are retained for 5 years following conclusion of the case and then destroyed.

4.3.4 Legal advice and support provided to the PSA

4.3.7 Documents relating to whistleblowing complaints

Where external whistleblowing complaints are used as part of a PSA Code investigation, the complaint is retained for the same length of time as the rest of the case papers and destroyed 3 or 5 years after the Tribunal hearing depending on the level of seriousness of the case. Should the matter not proceed to a Tribunal, the whistleblowing complaint, along with all other case papers, is destroyed 3 years following the decision to take no further action.

4.3.8 Complaints about the PSA

Documents relating to complaints made about the PSA which are dealt with through its complaints procedure are destroyed after 5 years, following conclusion of the matter, whether after stage 1 (manager response), stage 2 (CEO review) or stage 3 (determination by the Independent Complaints Assessor) of the procedure. 

Copies of any documents containing information which are, or are likely to be, the subject of litigation in the courts are not destroyed. These documents are retained for three years following conclusion of any such litigation.

4.4 Company Secretariat

The Company Secretary must ensure that company information involving personal data is processed in compliance with the UK General Data Protection Regulation, Data Protection Act 2018 and any other applicable legal requirements.

The following records are kept permanently:

• Certificates of Incorporation;
• A copy of the Memorandum and Articles of Association;
• Register of Members;
• Register of Directors;
• Register of Secretaries (if appropriate);
• Register of Charges (if appropriate);
• Minutes of Board and AGM Meetings;
• A copy of the director’s report and accounts for each year; and
• Patents, Copyrights, Trademarks and Company Licences. 

• Virtually all information is retained electronically, and a backup of electronic files is maintained.
• Annual returns and accounts filing, appointments and resignations are retained with Companies House and hard copies are maintained by the Company Secretary permanently. 
• Resolutions, Minutes of AGMs, Board and Committee meetings are maintained electronically and approved hard copies retained permanently.
• The Register of Members’ Interests is saved electronically, and hard copies are retained by the Company Secretary.

Other documents handled by the Secretariat or the FOI Officer

Any FOI requests are stored and managed electronically and destroyed 1 year after the PSA responds to the FOI request.

4.5 Supervision, Engagement and Enforcement

Records relating to supervision, engagement and enforcement activity are retained electronically on CRM. For enforcement activities, any hard and electronic copies of case papers relating to adjudications which are rated very serious by a Tribunal are retained for 5 years from the closure of the case. Copies of case papers which are rated serious and below are retained for 3 years from the closure of the case. 

Electronic copies of supervision, or enforcement or engagement, activity that is not progressed because no further action is taken are retained for 3 years from the decision not to progress the case/matter.

Electronic copies of Code supervision, engagement or enforcement -related projects/papers (e.g. sanctions guide review papers) and intelligence are retained indefinitely.

Hard copies of other records/paperwork which are unrelated to formal investigations, Code supervision, engagement or enforcement projects or intelligence are saved electronically (if not already done) and then destroyed. The electronic copies are retained for 3 years (unless a longer period is deemed necessary by management or leadership).

Copies of any documents containing information which are, or are likely to be, the subject of litigation in the courts are not destroyed. These documents are retained for three years following conclusion of the litigation or kept in line with the retention periods above, whichever is the longer (hard copies may be archived after 3 months following conclusion of litigation).

4.6 Technology & Intelligence

4.6.1 Regulatory Intelligence

The following archiving time limits apply to all regulatory intelligence related documents, including complaints to either the CEO or the Chairman, as well as letters from MPs on behalf of their constituents (regarding complaints about quality of service or premium rate services), as well as compensation claims.

Intelligence records are retained electronically on CRM. Such records are retained for 3 years from the date of allocation to the Supervision, Engagement & Enforcement team, or closure of the case/matter. Electronic intelligence that does not progress to be used as part of supervision, engagement or enforcement activity may be disposed after 3 years from the date of recording on CRM. There is no requirement to keep hard copies of complaints.

Electronic copies of other intelligence records/projects/data are retained for 2 years (or any other period as management or leadership may from time to time determine as being necessary).

Copies of any intelligence records which form, or are likely to form, part of the subject matter of litigation in the courts are not destroyed. These are intelligence records (including complaints) that are deemed likely to go to a Tribunal and beyond and will have been passed to the Supervision or Engagement & Enforcement team. These records are retained for three years following conclusion of the litigation or kept in line with the retention periods above, whichever is the longer.

4.7 Technology and business systems

All supplier contracts are saved electronically. These documents are retained for a period of 6 years following conclusion of the contract. Hard copies of contracts are retained for a period of 6 years following conclusion of the contract but may be archived after three months (and destroyed 6 years after conclusion of the contract).

4.8 Policy

4.8.1 General

The following documents are retained indefinitely:

• All Code (draft and final) iterations and consultation documents;
• All Code guidance documents and consultations; and
• All prior permission consultations and policy statements.