Subject access request search, preservation and disclosure decision procedure

Scope and applicability

This procedure applies to schools handling subject access requests where relevant personal information may be held in electronic or paper systems, archives or backups, or where information about another person may require redaction. The search effort, preservation arrangements and retention controls should reflect the school's actual systems and the information that should ordinarily be retained.

1. Establish the information to be considered

Treat the subject access request as relating to the personal information held when the request was received. Record the information sources that may contain relevant information and the search approach that will be used.

Information may change during handling through routine use. Information supplied in response may therefore differ from information held when the request was received, but do not amend or delete requested information where it would not otherwise have been amended or deleted. In particular, do not make an amendment with the intention of preventing disclosure.

2. Preserve information during handling

Identify the information relevant to the request and take care that it is not deliberately altered or deleted. Where information changes or is deleted for an ordinary reason during handling, document the change and its reason so that the information supplied can be understood in context.

The procedure must not be used to retain information indefinitely. Apply defined retention periods to archived and backed-up information.

3. Search information systems

Search the live information systems and records-management arrangements that may hold personal information about the individual. Information-management systems should be designed and maintained so that requested information can be located and extracted efficiently and, where necessary, information about another person can be redacted.

Search relevant electronic archives and backups where they may contain information within the scope of the request. Use the same effort to find information for the request as would be used to find archived or backed-up information for the school's own purposes.

Record the systems, archives and backups searched, the search terms or identifiers used where applicable, the information located and any source that could not be searched or extracted. Keep the record proportionate to the systems and information relevant to the request.

4. Use metadata and assess anonymisation

Use available metadata and the ability to query information about the individual to support the search. Consider whether information described as anonymised is truly anonymised or can still be linked to the individual.

Record the metadata, queries and anonymisation assessment that materially affect the information identified for consideration. Include information that remains linkable to the individual within the search assessment.

5. Extract and prepare information

Extract the personal information identified as relevant from the live, archived, backed-up, paper or other applicable source. Preserve the meaning and context of the information while preparing it for review.

Identify information about another person that may require redaction before disclosure. Apply redaction where necessary and retain a record of the information withheld, the reason for the redaction and the material considered in reaching that decision.

6. Make and record disclosure decisions

Review the extracted information, the search record, any ordinary changes made during handling, metadata and anonymisation assessment, and any proposed redactions. Decide what information is to be disclosed and what information is to be withheld or redacted.

Record the rationale for each material disclosure, withholding or redaction decision. The record should identify the information considered, the relevant source, any third-party information considered, the effect of anonymisation assessment where relevant, and the reason for the decision.

7. Retention and system arrangements

Maintain procedures for retrieving personal information from electronic archives and backups. Define how long archived and backed-up information is retained, and review or dispose of it in accordance with those defined retention periods rather than retaining it indefinitely.

Maintain information-management arrangements that support adequate metadata, queries for information about an individual, efficient extraction and appropriate redaction of information about another person.