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TUD – Tallaght Campus Records Retention Schedule March 2019

TECHNOLOGICAL UNIVERSITY DUBLIN -TALLAGHT CAMPUS

RECORDS RETENTION SCHEDULELast updated: September 2018

THIS DOCUMENT IS CURRENTLY UNDER REVIEW

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TECHNOLOGICAL UNIVERSITY DUBLIN - TALLAGHT CAMPUSRECORDS RETENTION SCHEDULE

Contents:

Introduction

1. President’s Office 1.1 Senior Management Team

2. Office of the Registrar 2.1. Academic Council 2.2. Admissions and Registration 2.3. Student Records2.4. Fees and Grants2.5 Examinations 2.6. Student Services

2.6.1. Careers and Appointments Service 2.6.2. Chaplaincy Service2.6.3. Counselling Service2.6.4. Health Service 2.6.5. Sports and Recreation2.6.6 Access Office2.6.7 Disability Support Service

2.7 Library2.8 Computing Services/MIS

3. Office of the Secretary/Financial Controller 3.1. Human Resources Department 3.2. Finance Department 3.3. Freedom of Information / Data Protection / Office of the Ombudsman3.4. Estates Office

4. Office of Development & External Services4.1. Lifelong Learning 4.2. Industrial Liaison4.3. Marketing / Communications & International Office

5. Academic Schools and Departments

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Introduction

This Records Retention Schedule provides a guideline on how long Technological University Dublin - Tallaght Campus records should be retained under the University’s Records Management & Retention Policy. The retention schedule has been coordinated in conjunction with TUD & Institutes of Technology to provide as much consistency as possible and to ensure a realistic Records Management & Retention Policy suitable to the needs and requirements of TUD/Institute of Technology. The Schedule is designed to ensure that information is kept as long as necessary, whilst addressing compliance with the Data Protection Act, other legal requirements, good practice within the University and to preserve University’s history. No document list can be exhaustive. Documents that are not listed but are substantially similar to those listed in the Record Retention Guideline schedule shall be retained for the appropriate period of time.

The retention periods within the schedule apply to information in all formats and should be applied consistently regardless of whether the information is held manually or electronically. When retention periods for records have expired, documents should be reviewed in accordance with the University’s ‘Records Management & Retention Policy’, with a view to disposal. Where it is believed that there is justification to retain the data longer than indicated, then explicit reasons should be documented for doing so, in consultation with the Head of Department or Functional Manager.

Each department should take measures to prevent unauthorised access to private and confidential records. Such private and confidential records should only be accessed where necessary to perform a relevant University function. Any records containing personal data or confidential information should be disposed of in accordance with the University’s “Records’ Management & Retention Policy”.

Electronic records, i.e. records maintained in a format that requires the use of technology to access, which include email, text messaging, voicemail, databases, word processing documents, web content, scanned images, etc. must be maintained in an electronic form that is accessible and retrievable in a timely manner throughout their retention period. Security measures should be identified to ensure their integrity is preserved and protected from alteration and premature destruction and that a disaster recovery plan is in existence. When storing information in electronic format, only approved applications should be used to ensure long-term accessibility of information. For further advice on storage applications, or data types for scanned information, please contact the IT Department.

The retention requirements for email will follow the Records Retention Schedule where email is the format being used for the record described on the schedule. Email records that are not records identified on the Retention Schedule shall be retained at employees’ discretion and deleted when they no longer serve an

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administrative purpose. Technological University Dublin - Tallaght Campus employees are responsible for the retention and disposal of emails that they send and receive in carrying out their employment responsibilities.

This Records Retention Schedule is designed to ensure that information is kept as long as necessary, whilst addressing compliance with the Data Protection Acts, legal other requirements, good practice within the University and to preserve University’s history. No document list can be exhaustive. Documents that are not listed but are substantially similar to those listed in the Record Retention Schedule shall be retained for the appropriate period of time.

1. Principal’s Office

Documents/Records Retention Requirement

Governing Body - minutes of meetings, backup materials and official correspondence. PermanentlyGeneral Information Files containing a wide range of materials pertinent to the operation and interest of the President's office

3 years (longer if there is a requirement to do so)

Circular letters and Government Reports Permanently

Documentation on Business Credit Card transactions, including Travel Approval Forms.

7 years

Strategic Plans PermanentlyDocumentation on Business Credit Card transactions, including Travel Approval Forms.

7 years

1.1 Senior Management Team/Academic Management Team/Total Management Team


Approved minutes of meetings and supporting documentation Permanently

2. Office of the Registrar


Minutes of MeetingsPermanently

New Course Approvals Duration of course + 3

5 yearsCircular letters and Government Reports Permanently

External examiners reports, lists of contracts, reports, payments

7 years

Documents and correspondence relating to litigation or disputes which have been completed or settled Permanently

Disciplinary Issues relating to examinations 7 years

Disciplinary Committee Minutes - relating to exams 7 years

Policy Statements Permanently

Programmatic Review Documents / Institutional Review Permanently

2.1 Academic Council


Signed Minutes of meetings Permanently

Correspondence to Academic Council 5 years

Correspondence from Academic Council to All Staff 1 year

2.2 Admissions and Registration


CAO non-standard application forms (registered) 5 years

CAO Mature and International R3 details for applicants 1 year

Post-Grad applications (not offered) 1 year

Post-Grad applications (offered but not registered) 1 year

Post-Grad applications (registered) duration of course

Registration forms and any back-up materials 2 years

CAO/Add ons/Advanced Entry/Transfers/Mature/International/Post-Grads

duration of course

Withdrawal forms 1 year

Student statistics (HEA/Social Welfare) Permanently

2.3 Student Records

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Banner Records - including name, address, date of birth, next of kin, type of employment, etc., course details Permanently

Deferral requests & letters duration of course

2.4 Fees and Grants


Documentation relating to student fees - Appeals Policy Documents

7 years

Documentation relating to Non EU Students for Fee Assessment

7 years

Documentation relating to grants/scholarships/financial aid 7 years

Financial records related to on-line programmes - Distance Learning

7 years

Fee Committee Documentation 7 years

2.5 Examinations


Repeat Examination Application forms 1 year

Examination results - Broadsheets Permanently

Broadsheet amendments, grade deletions and exemptions Permanently

Examination Signature Sheets 2 years

Examination Appeals documentation 2 years after student finished course

Examination Reports

Unexpected students who present for exams

Repeat Tuition / Examination Forms

Uncollected Parchments Permanently

Medical Certificates – Examinations 5 years

Examination signature (attendance) sheets 2 years

Examination results (hard copies) Permanently

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2.6 Student Services


Student Services Committee Minutes and recordsPermanently

Minutes of MeetingsPermanently

2.6.1 Careers and Appointments Service


Student Visits

1 year after student leaves University

Job applications 1 year

First destination statistics of graduates - HEA Survey Permanently

Employer database – list of employers who contact the Careers Service with job opportunities for graduates Updated each year

2.6.2 The Chaplaincy Service


General correspondence 3 yearsSolas Fund Records (student hardship fund) 5 years

2.6.3 Counselling


Confidential student records, case notes, assessment reports and recommendations 7 years

Annual Reports relating to Permanently

2.6.4 Health Service


Medical records for students who attended Student Health 10 years6

Unit

Annual reports relating to Student Health Centre Permanently

2.6.5 Sports and Recreation


Information regarding active sports clubs, participants, coaches

3 years

Funding and expenditure 7 years

Sports Scholarship information – criteria, application forms, updated information on existing scholarship recipients, funding of scholarships

7 years

Clubs and Societies Records 7 years

2.6.6 Access Office


Student Assistance Funds records 7 years

Minutes of Meetings – Student Assistance Fund Permanently

2.6.7 Disability Support Service


Confidential information on students with special needs 7 years

Fund for Students with Disabilities 7 years

Statistics on students with special needs 7 years

Annual report on Disability Service Permanently

General correspondence 3 years

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2.7 Library

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Audio-visual Materials Current according to Catalogue

Careers Information Current information only

Conferring Brochures Permanently

General Book Collections Current

ITT Annual Reports Permanently

ITT Publications, Prospectuses, Student Handbooks, etc. Permanently

Journals Current according to Catalogue

Library guides Current according to Catalogue

Library Policy Manual Current

Magazines (foreign languages) 3 months

Maps Current according to Catalogue

Newspapers 6 weeks

Official Publications - Irish and EU Current

Other Annual Reports Current, according to catalogue

Past Examination Papers of other bodies 3 years

Past ITT Examination Papers Permanently

Reference collection Current according to Catalogue

Short loan collection Current according to Catalogue

Staff Procedural Manual Current

Student Projects 3 years

Video/DVD Recordings Current according to Catalogue

Library System Data – Millennium

Bibliographic records Current according to Catalogue

Item records Current according to Catalogue

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Journal Current according to Catalogue

Patron records Updated on on-going basis

Study Room Bookings 1 yearManagement Information

Circulation statistics 3 years

ILLs statistics 3 years

Journal Statistics 3 years

Library Statistics Reports Permanently

Operational and Administrative Files

External Readers Current

Information Literacy Documentation 3 years

Inter-Library Loans Documents 1 year

Journal Holdings Records Current

Library Bye Laws 1998 Permanently

Library Department Correspondence 3 years

Licenses Current

Staff attendance book 1 year

Staff induction sheets Current staff

Students with Special Needs 1 year after student leaves University

Correspondence

Copyright 6 years

Copyright 3 years

Correspondence with Suppliers 3 years

Electronic Publications Updated on on-going basis

Grant Applications 7 years

Minutes of University Librarians Meetings Permanently

Minutes of Librarian Team Meetings Permanently

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Minutes of Library Committee Permanently

Minutes of Registrar Team Meetings Permanently

2.8 Computing Services / MIS


Student and Staff logon User ID and email addresses Current version

Student and Staff server based data storage (including server based email)

3 years

Supplier Information Current version

Tender Notices and Tender Documentation 7 years

Tender Replies and Tender Selection Information 7 years

Contract Details 7 years

IT security and contingency planning information Current version

IT Planning information Current version

Information on involvement and contact with external bodies –

1 year

Minutes of meetings Permanently

Software Licences 3 years (plus period they run for

Equipment register /Fixed Asset Register Current version

Support Calls 3 years

Reprographic Meter Reading Reports to end of year 2 years

3. OFFICE OF THE SECRETARY / FINANCIAL CONTROLLER


Governing Body

Minutes of Meetings backup materials, official correspondence

Permanently

Details of Election to Governing Body 1 year

Policies Permanently11

Presentations to Governing Body and backup material Permanently

University Annual Reports Permanently

Official correspondence Permanently

General Correspondence 3 years

Operation and Administration

Tender documentation from 2016Up to 31/8/16 all tender documentation held in each functional area. From 1/9/16 the documentation will be held centrally in finance permanently (electronically).

7 years

Permanently - electronically

Insurance documentation 7 years

Capital projects files Permanently

DOES & HEA budget files and correspondence 7 years

Signed financial statements and audit reports Permanently

Final operating programme and budgets 7 years

Internal audit reports 7 years

Legal documents and correspondence Permanently

Correspondence with the DOES & HEA regarding Finance 7 years

Correspondence with the DOES & HEA regarding Human Resources

7 years

Correspondence with the DOES & HEA regarding Facilities 3 years

Circular Letters from the Department of Education and Science

Permanently

Correspondence with the University’s Legal Advisers and details with regard to Individual Cases

Permanently

Policies and Correspondence with the University’s Insurers 7 years after a case closes

Minutes - Health and Safety Committee (parent) Permanently

Health & Safety within the University(Ancillary H&S) Permanently

Parent Safety Statement Permanently

General12

Examination Invigilators claim forms 7 years

Correspondence with the Controller and Auditor General and contract auditors

Up to 31/8/16 all tender documentation held in each Functional Area. From 1/9/16 it is held centrally in Finance Office permanently (electronically)

Commencement forms for Invigilators, Associate Staff (part-time) and Student Leaders and Post graduate students

7 years

Financial correspondence with University Bankers 7 years

General correspondence with University Bankers 3 years

MIS - Financial information 7 years

MIS - general correspondence 3 years

Correspondence with South Dublin County Council Permanently

Correspondence regarding GrowCorp, CityWest Permanently

Correspondence regarding Internal Procurement Control for the Purchasing of Supplies and Services Competitive Process

7 years

3.1 Human Resources Department


Personal Records - employment history, qualifications, training, salary increments, appointment details, medical certificates, leave of absence, birth certificates, staff development, etc.

Permanently

Parental Leave Records 8 years

Administration - staff structures, letters, circular. Permanently

Superannuation - Certificates of Service, department returns, benefit statements, superannuation scheme details and details of appropriate salary scales.

Permanently

Recruitment & Selection - Copy of public advertisement, schedule of Interviews, shortlisting criteria and recruitment screening form

Destroyed 3 years after the appointment has been affected unless litigation was

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contemplated.Application forms and any other documentation in respect of applicants who are not offered positions

3 years from the date they were received-

Nationally Agreed Job Descriptions Permanently

Interview Report Forms Permanently

Selection Board Recommendations Permanently

ReportsTri-monthly report for Central Statistics Office 1 year

Quarterly returns on staffing levels to the HEA Permanently

Industrial RelationsMinutes of Meetings 3 years

Correspondence with Local and National Union representatives

2

Correspondence with the Department of Education and Science

3

Correspondence with THEA 3 years

TrainingDetails of Courses attended (held on individual Personnel Files and on computer)/ centrally

Permanently

GeneralAccident report forms for staff and students 10 years unless

subject of claimStaff Commencement forms Permanent

3.2 Finance Department


PayrollNames and addresses of employees Current Information

Department of Finance Circulars (Pay Scales) Permanently

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Pay Claim Forms 7 years

Payslip History 7 years

Authority for Statutory and non-statutory deductions 7 years

Social Welfare documents 7 years

Tax Fee Allowance forms 7 years

PT Claim Forms Permanently

Fees and Grants

Documentation relating grants/scholarships/financial aid/wave of fees including eligibility, attendance reports, bank reconciliation, etc.(Database)

7 years

Approval Letters from VECs 7 years

Refund of fees form 7 years

Previous Third level fee declaration form 7 years

Grant Status Form/Copy of grant application or awarding letter of grant

7 years

Documentation from SUSI regarding student grant status 7 years

Travelling and Maintenance Expenses

Expenses re-imbursement forms 7 years

Travel Approval Forms 7 years

Department of Finance Circulars Permanently

Creditors

Invoices 7 years

Purchase Orders (hard copy) 1 year

Invoice Analysis Sheets 7 years

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Withholding Tax Certificates 7 years

Tax Clearance Certificates 7 years

Debtors

Invoices 7 years

Back up documentation 7 years

Banking

Bank Statements and Reconciliations 7 years

Receipt Books 7 years

Lodgement Books 7 years

Projects

Financial Summaries 7 years

Financial Accounting

Audited Accounts and related correspondence 7 years

Budget Allocation and related correspondence 7 years

Fee and other income and related correspondence 7 years

Purchase orders 7 years


Purchase invoices - paid and unpaid 7 years

Paid Expense claim forms 7 years

Copies of all fee refunds 7 years

Copies of all student assistance 7 years

Prompt payment interest calculations 7 years

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Creditors statements 7 years

Copy payslips Permanently

All payroll reports for weekly, monthly and part-time staff 7 years

Tax free allowances 7 years

Memos from personnel for payroll calculations 7 years

P35s and P30s 7 years

Deduction forms for staff incl. monthly list of deductions paid over

7 years

Miscellaneous information on the computer system 7 years

Bank statements 7 years

Bank correspondence 7 years

Bank reconciliation 7 years

Correspondence from Dept of Education re all E.F.T transfers 7 years

Monthly cashflows as submitted to the Dept of Education 7 years

Copies of Vat 3 returns, withholding tax returns and subcontractors returns.

7 years

Deposit interest certificates 7 years

Files on all capital projects Permanently

Fixed asset files Permanently

Audit files as prepared for the comptroller and auditor general

7 years

Monthly governing body financial reports 7 years

Working files for pay and non- pay expenditure for operating programme budgets

7 years

E.S.F. returns 7 years

Monitoring reports 7 years

Miscellaneous Internal budget reports (pay and non-pay) 7 years

Copies of financial procedures 7 years

Financial statements 7 years

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Interim and final financial reports submitted to awarding bodies

7 years

Financial reports for student assistance and disability reports

7 years

Financial reports of Mortway Ltd 7 years

Examination claim sheets for the correction of scripts 7 years

Examination invigilators – claims 7 years

Creditors records 7 Years

Creditors Statements (once reconciled with balances) 7 years

Copy payslips: keep them only for as long as required by Inspector of Taxes

electronically

3.3 Freedom of Information Office / Data Protection / Office of the Ombudsman


FOI Disclosure Log Permanently

FOI request process to completion, no request for internal review received

Individual case file should be destroyed once no longer required in connection with the provisions of the National Archives Act, 1996

FOI Request Register Permanently - electronically

Record Management & Retention Policy Permanently

Records Retention Schedule Permanently

Data Protection Policy Permanently

Data Protection Subject Access Requests Individual case file should be destroyed once no longer required in connection with the provisions of the

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National Archives Act, 1996

Data Protection Request Register Permanently

Statistics to THEA Permanently

Standard Operating Procedures Log Permanently

Signed copies of University SOPS Permanently

Model Publication Scheme Permanently updated on website

University Signed Policy documents Permanently

Ombudsman / Data Protection Commission Requests and investigations

Permanent case file must be retained in that University in accordance with the FOI provisions of the National Archives Act, 1986

Complaints - no Ombudsman (no appeal) 2 years

Access to Information on the Environment requests / log Log - PermanentlyRequest files

3.4. Estates Office


Tender Reports/documentation 7 years

Minutes of Site Meetings 3 yrs after project is complete

Contract Correspondence 7 years

Contract's Safety Files 3 yrs after contract is complete

Energy Management Files 3 years

Bookings and Space Allocation Records 3 years

Cleaning Schedules 1 year

Maintenance Requests Until request is complete

Drawings/Plans Permanently

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Signed minutes with relevant backup documentation Permanently

Correspondence with service contractors, general suppliers, utility suppliers, other public bodies, etc.

7 years

General correspondence with the Department of Education and Science

7 years

EU procurement correspondence Permanently

Information in respect of competitive public tenders such as catering, static security services, landscaping services, contract cleaning, various minor building/improvements projects, etc.

7 years from Commencement of Contract

Purchase orders for various supplies, works and service contracts

7 years

University Bookshop 7 years

Major Capital Works Documents 12 years from completion of contract

Contract Safety FilesPermanently

CCTV Footage 1 month

Health & Safety Documents/Records Retention Requirement Health & Safety within the University

Permanently

4. OFFICE OF DEVELOPMENT AND EXTERNAL SERVICES


Capital Projects Permanently

Minor Capital Works 7 years

Funding for buildings from public, private and foundation sources

7 years

International and European office direction and control 5 years

University – Industry interaction 3 years

Development of Incubator Centres for technology start-up Permanently20

companies

Postgraduate Diploma and Master level courses run jointly with other Third Level Institutions in Ireland or Internationally

7 years

European Union Programmes such as Socrates and Leonardo

10 years

Intellectual Property Rights Permanently

Customised Training Records 5 years

Call for proposals for research applications 7 years

Information on Research Programmes available current

ERDF-European Regional Development Fund 2007-2013 Programmes

up to Yr 2022

4.2 Industrial Liaison


Postgraduate Research Student Files Duration of course + 5 years

Student Lists and general statistics

Minutes of meetings and backup material for Postgraduate Review Group

Any other records to be submitted…..

Applications for research or other funding (unless otherwise recommended by specific funding organisations

7 years

Student research application forms, proposals, external reviews etc.

Duration of research programme plus one year

University Industry interaction 3 years

Development of Incubator Centres for technology start-up companies

Permanently

All documentation related to the management and operation of Incubator Units

Permanently

Postgraduate Diploma and Master level courses run jointly with other Third Level Institutions in Ireland or Internationally

Permanently while active

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Intellectual Property Rights Permanently

Research and Development 7 years

4.3 Marketing & Communications / International Office


Promotional literature produced by Irish and International HEIs

3 years

Government and Sectoral reports 3 years

Media monitoring of Technological University Dublin - Tallaght Campus

Permanently

Data regarding feeder schools Permanently

European Union Programmes such as Socrates and Leonardo

5 years

Enrolment records for EU and non-EU students 5 years

Financial agreements for ERASMUS programmes applications to programmes

7 years

Application to programmes 2 years

International and European office direction and control 5 years

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5. ACADEMIC SCHOOLS & DEPARTMENTS

There are three Schools of Study in TUD - Tallaght Campus namely: Business & Humanities, Science & Computing and Engineering. The following list of records applies to all Schools of Study unless specified.


School publications Permanently

Minutes of meetings - course boards, senior management of the school, special purpose committees

7 years (unless HETAC requires otherwise)

Room Timetables (electronically on CMIS) 7 yearsCorrespondence, documentation and reports from external bodies pertaining directly to the school Duration of courseContinuous assessment practical/Projects Student Material 6 months

Corrected Examination Scripts12 months – from date of the Examination Board Meeting

Examination results - all APS components - green and white sheets 2 years

Approved programme schedule 5 years

Annual programme review 5 years

Programme board minutes 5 years

Programme submission documents 5 yearsNCEA/HETAC Programmatic Review documents PermanentlyExam board minutes 5 years

Student Correspondence by Post3 years unless required for longer for specific cases

Correspondence with Heads of Function, Departments. External Examiners and general miscellaneous correspondence.

7 years

General correspondence 3 years

Health & Safety Parent Safety Statement Permanently

Student Attendance Records Duration of course + 3 years

General correspondence for all areas 3 years

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APPENDIX 1

The following is a list of general documents /policies / standard operating procedures that have been approved and held in a central repository for the specified amount of time.


Policies / Standard Operating Procedures (Original signed copy) Permanently

Health & Safety Statement (Ancillary & Parent) Permanently

Annual Reports Permanently

Capital Files Permanently

Tender documentation Permanently

Other publications Permanently

RETENTION OF SUPPORTING DOCUMENTATION FOR ELIGIBLE EXPENDITURERegulation 1083/2006, Article 90, requires that all supporting documentation for eligible expenditure submitted for ESF funding must be retained for a certain period up to and after the closure of the current HCIOP 2007-2013.The Managing Authority therefore requests the Intermediate Bodies, for the purpose of consistency across the OP, that they:

- inform all the Public Beneficiary Bodies and Final Beneficiaries to retain all supporting documentation, at a minimum, to the 31st December 2022

- after that date, no documents should be disposed of without the agreement of the Managing Authority

- update all Procedures Manuals to reflect this position.

If expenditure relates to ERDF funding it must be kept for up to 25 years.

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