records management: records retention schedule

1

Records Management: Records Retention Schedule

Retention schedules are used to determine how long records should be kept. The

University Records Retention Schedule has grouped documents into 9 main categories:

1. Governance and Management 2. Financial Resources 3. Human Resources

4. Estates 5. Information Services 6. Student Administration and Support

7. Learning and Teaching

8. Research and Development 9. External Relations

This is not an exhaustive list, but is meant to cover the basic types of records stored by

the University. In general, the Limitations Act (1980 c.58) sets a time limit of current

year plus 6 years for seeking legal redress and this informs the retention schedule. If

you aren‟t certain about a group of records or they aren‟t listed here, keep them 6 years

from the time they were created, or contact the Records Manager.

The Schedule gives the expected “final record holder” for each record type listed. For

administrative reasons, one unit may need to keep duplicates of records held by another

unit (e.g. Schools may wish to keep copies of correspondence relating to academic

appeals). These duplicates should not be kept for longer than the retention period listed

in the schedule.

To use the Retention Schedule effectively it is essential that records are dated and that

they are filed or stored in some manner that identifies the date or (at a minimum) the year of creation. There can be some confusion as to whether „year‟ relates to the UK

fiscal year, the University financial year, the „academic‟ year or the calendar year. Some

record sequences relate directly to an academic year, in the event of the schedule

stating that the (academic year) records can be disposed of after (for example) three

years it is advisable to take this to be „after the end of the calendar year, three years after the end of the academic year‟. For example, a record created on 5 November 2012

in the academic year 2012/13 with a „three-year retention period‟ could be considered

for disposal after 31 December 2016.

It is suggested that users read the additional guidance on the records retention

schedule in conjunction with this document.

If you have any questions about implementing the policy or would like additional advice

please contact Jenny Rochfort, Academic Governance Manager

([email protected]; tel: 0115 7484017)

mailto:[email protected]

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Records retention schedule: governance and management

Introduction | 1. Structure & management | 2. Financial resources | 3. Human

resources

4. Physical resources | 5. Information Services | 6. Student administration & support

7. Learning & teaching | 8. Research & development | 9. External relations

In governance & management: Audit| Decision-making and management| Legal

and policy framework| Planning and strategy| Campuses in Asia

Audit

Record series Summary retention policy

Audit Files Retain until maximum of: Completion of next audit of the

topic;

3 years, unless sound reasons for

retaining longer

Internal Audit Service

Audit Investigations 3 years after completion of investigation,

unless sound reasons for retaining longer


Audit Reports Permanent retention


Decision-making and management


Academic Boards End of the current academic year + 6

years

Academic Services Division

Ad hoc working groups not reporting to a

University committee For the lifetime of the working group

Secretary to the working group

Ad hoc working groups reporting to a

University committee For the retention period of the Committee

the group reports to.

Committee Secretary

3


Audit Committee Permanent retention

Retained by Registrar’s Office for 15

years then transferred to University

Archives

Boards of Studies (faculties) Permanent retention



Archives

Careers Advisory Board Permanent Retention



Archives

Committee for Special Appointments Permanent retention

Retained by HR for 15 years then

transferred to University Archives

Consultative Committee for Support Staff Permanent retention



Council Permanent retention



Archives

Council declaration of interests forms End of the current academic year + 10

years

RIS

Court Permanent retention



Archives

e-Learning/e-Knowledge Committee Permanent Retention

Retained by IS for 15 years then


Environment Committee Permanent Retention



Archives

4


Equalities and Diversity Committee Permanent Retention



Archives

Ethics Committee Permanent Retention



Archives

Finance Committee Permanent retention

Finance

Honorary Degrees Sifting Committee Permanent Retention



Archives

Information Services Strategy Board Permanent Retention

Retained by IS for 15 years then


Joint Consultative Committee Permanent Retention



Archives

Learning and Teaching Committee Permanent Retention



Archives

Management Board Permanent Retention



Archives

Military Education Committee Permanent Retention



Archives

Nominations Committee Permanent Retention


transferred to Special Collections

5


Postgraduate Strategy Committee Permanent Retention


years then transferred to Special

Collections

Promotions Committee Permanent retention



Remuneration Committee Permanent Retention



Research Committee Permanent Retention


years then transferred to Special

Collections

Salary Review Committees Permanent Retention



Safety Committee Permanent retention

Retained by Safety Office for 15 years

then transferred to University Archives

Senate Permanent Retention



Archives

Space Management Committee Permanent Retention

Retained by Estates for 15 years then


Staff Equality and Diversity Advisory Group Permanent Retention



Statutory Safety Committee Permanent Retention

Retained by Safety Office for 15 years

then transferred to University Archives

6


Strategy and Planning Committee Permanent retention



Archives

Strategy Groups Current academic year + 6 years

Secretary to group

Student Affairs Committee Permanent Retention



Archives

Transnational Education Committee Permanent Retention



Archives

Student Equality and Diversity Advisory

Group End of the current academic year + 15

years

SSC

Student Support Funds Committee End of the current academic year + 15

years

SSC

Unit Level Committees End of the current academic year + 6

years

Unit servicing the Committee

Legal and policy framework


Calendar Permanent retention


years, copy for permanent retention

sent to University Archives on

publication

Charter and Statutes Permanent retention

Amended versions retained by

Registrar’s Office for 15 years from

amendment; copy for permanent

retention sent to University Archives

on publication

University Regulations Permanent retention

7

Amended versions retained by Registrar’s

Office for 15 years from amendment;

copy for permanent retention sent to

University Archives on publication

Planning and strategy


University annual reports Permanent retention



Archives

University financial statements Permanent retention

Finance; copy to University Archives

on publication

Campuses in Asia


Management Board (UNNC and UNMC) Permanent retention

These records will be transferred

electronically and retained by

Registrar’s Office

Annual Financial Statements (UNNC and

UNMC) Permanent retention


electronically and retained by Chief

Financial Officer’s Office

Teaching and Learning Committee (UNNC

and UNMC) Permanent retention




Research Committee (UNNC) Permanent retention




Research Strategy Committee (UNMC) Permanent retention




Student Affairs Committee (UNNC) Permanent retention

8




Student Services Committee (UNMC) Permanent retention




Operations Group (UNMC) Permanent retention




Marketing Committee (UNMC) Permanent retention




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Records retention schedule: financial resources

Introduction l 1. Governance & management| 2. Financial resources | 3. Human

resources

4. Estates | 5. Student administration & support | 6. Information services 7. Learning & teaching | 8. Research & development | 9. External relations

In financial resources: Commercial Services l Chief Financial Officer‟s Office l

Financial Reporting l Payments Centre l Payroll & Pensions l Tax

Commercial Services


Closed tender files Termination of supply contract awarded + 6

years

Commercial Services

Contracts/ Agreements Length of contract/agreement awarded + 6

years

Commercial Services

E-tender Correspondence Termination of supply contract awarded + 6

years

Commercial Services

E-Auction Correspondence Termination of supply contract awarded + 6

years

Commercial Services

New supplier request forms While current-supplier database

Rejected suppliers-rejection + 1 year

Approved suppliers-Termination of approval

Commercial Services

Race Relations Questionnaires Length of contract/agreement + 5 years

Commercial Services

Budget Management Records Current financial year + 6 years

Finance

Purchase card statements 3 months

Cardholder

10


Purchase card correspondence/application Length of card holder maintaining card

Finance

Personal Purchase Card Monthly Log Current financial year + 6 years

Cardholder

Purchase orders Current financial year + 6 years

Local Finance Team

Lodge Card statements Current financial year + 1 year

Cardholder

Strategy, policy and procedure

documentation Superseded + 5 years

Unit creating the documentation

Leases Length term of lease can be minimum 7

years or lease term + 3 years (35 yr plus)

Commercial Services

Outsourcing 3 years

Commercial Services

Treasury Documents Current financial year + 6 years

Commercial Services

Insurance Claims

Liability/Personal injury/nurture claims

Property and other claims

Permanent retention

Completion of claim + 6 years

Commercial Services

Insurance Policies Employers Liability policies should be

retained and records kept of insurers to

enable claims to be passed to the correct

insurer. Policies are written on the basis

that they are handled by the insurers for

the year when the incident happened, with

long-tail claims such as deafness there is a

long discovery period.

Public liability as above with the student

exposure as liability

Commercial Services

11


General Correspondence for insurance Various depending on reason for

correspondence

Commercial Services

Accident/incident reports where reported

to HSE Permanent retention of copy

Safety Office

Crime Reports One year

Security

Finance: Chief Financial Officer’s Office


Finance committee papers Permanent retention

Finance

Records documenting litigation between

the institution and third parties where

legal precedents are set

Permanent retention

Finance

Records documenting litigation between

the institution and third parties where

legal precedents are not set

Settlement of case + 6 years (review for

archival value)

Finance

Records documenting the provision of

legal support and representation for the

institution in dealing with claims by or

against the institution which do not

proceed to litigation or settlement by

agreement

Settlement of case+ 6 years, or withdrawal

of claim + 6 years, after which review for

archival value

Finance

Records documenting legal advice

requested by, and provided to, the

institution

Permanent retention OR superseded + 5

years depending on the subject

Finance

Conveyances and deeds Retained indefinitely or until property is

sold

Finance

Leases Retained until lease is renewed/expired

Finance

Share certificates Retained until sold

Finance

12

Finance: Financial Reporting


Budget and management accounts

working papers Current financial year + 1 year

Finance

Financial statements working papers Current financial year + 12 years

Finance

Subsidiary companies-statutory records Permanent retention

Finance

Project records- HEFCE, UE etc. Current financial year + 5 years

Finance

Financial Systems documentation Life of system

Finance

Journals and other prime documents for

financial transactions Current financial year + 1 year

Finance

Finance: Payments Centre


BACS/Bankline reports Current financial year + 2 years

Finance

Cheque reports Current financial year + 2 years

Finance

CITS tax returns Current financial year + 6 years

Finance

Duplicate payment reports Current financial year + 2 years

Finance

Invoices Current financial year + 6 years

Finance

Journals Current financial year + 2 years or Current

financial year + 6 years where VAT involved

Finance

13


Lodge Card reports

Paper

Electronic Current financial year + 1 year

Current financial year + 6 years

Finance

Purchase card reports

Paper

Electronic

Current financial year + 1 year


Finance

Pensions documentation move to Payroll &

Pensions Termination of employment + 75 years

Finance

Reconciliations:

Supplier statements Current financial year + 1 year

Finance

Reconciliations:

Control accounts Current financial year + 2 years

Finance

Supplier Master file changes Current financial year + 2 years

Finance

Used cheque books Current financial year + 2 years

Finance

Finance: Payroll & Pensions


Records documenting employees‟

authorisation for non-statutory payroll

deductions

Current tax year + 6 years

Finance

Records documenting calculation and

payment of payroll payments to

employees

Current tax year + 6 years

Finance

Records documenting the operation of the

Statutory Sick Pay Scheme Current tax year + 6 years

Finance


Statutory Maternity Pay Scheme Current tax + 6 years

Finance

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Nursery Schemes Current tax year + 6 years

Finance


ECP vouchers scheme Current tax year + 6 years

Finance


Sports Centre Scheme Current tax year + 6 years

Finance


Fitness Centre Scheme Current tax year + 6 years

Finance

Records documenting payments of the

institution‟s employers‟ contributions to

pension schemes for its employees

Termination of employment + 75 years

Finance

Records documenting payments of the

institution‟s employees‟ contributions to

pension schemes

Termination of employment + 75 years

Finance

Finance: Tax


Records documenting the preparation and

filing of the institution‟s tax returns Current tax year + 6 years

Finance

Records retention schedule: human resources

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resources



In human resources: Employment and employee relations | Health and safety| Staff

training and development

Employment and employee relations


Activity/Performance Review

Paperwork including notes from

Performance Review Committee Current academic year + 6 years. Outcome

letters placed on individuals‟ files

HR

Promotions/Regrading Papers from relevant committees kept for

current academic year + 6 years. Outcome

letters placed on individuals‟ files.

HR

Recruitment Job Boxes and on-line job

applications (includes details of adverts,

job description, applications etc.)

Chairs

All other posts

Date of interview+ 3 years

Date of interview + 9 months

HR

Staff files: staff APM and R&T 7 Weed at termination of employment to

remove all transient material of no lasting

value and retain weeded files for 40 years

HR

Staff files: All other grades Termination of employment + 6 years

HR

Health and safety: Health and safety audit


16

Records of the conduct & results of

health & safety audits, & action taken to

address issues raised

Completion of audit +5 years

Safety Office

Health and safety: Health and safety management


University policies and guidance including

the Safety Handbook

Superseded + 50 years

Safety Office

Minutes and associated papers of Faculty,

School and Departmental safety

committees.

Life of committee +50 years

Committee Secretary

Health and safety: Health and safety consultation


Notifications of appointments of safety

representatives by trade unions under the

Safety Representatives & Safety

Committees Regulations 1977

End of appointment +1 year

Safety Office

Records of the provision of time off, &

other facilities & assistance, for Safety

representatives under the Safety

Representatives & Safety Committees

Regulations 1977

Current year +5 years

Safety Office

Records of the formation of a safety

committee under the Safety

Representatives & Safety Committees

Regulations 1977, including records of the

objectives, role, functions, composition &

administration of the committee


Safety Office

17

Health and safety: Health and safety information, instruction and training

provision


Records of the provision of information,

instruction & training for employees,

students & others on health & safety in

University premises.

For role specific training for fire wardens

& first-aiders, see Emergency Planning

below

Termination of employment or study +5

years

Local Safety Officer

Records of the content of information &

instruction on health & safety matters

provided for members of the public &

others with legitimate access to premises,

& other methods of delivery

Superseded +5 years

Safety Office

Records of appointment of persons to

health and safety roles. Termination of appointment to the role +5

years

Safety Office

Health and safety: Health and safety hazard identification and risk assessment


Records of the identification of general

health & safety hazards to employees &

others on the premises. The conduct &

results of risk assessments in relation to

plant, equipment, machinery & processes



Records of health and safety

arrangements for the planning,

organisation, control, monitoring and

review of preventative and protective

measures.



Records of monitoring exposure to

physical agents with the potential for long

term health effects (including full

methodology).


Safety Office

18

Health and safety: Health and safety hazardous substance exposure control


Records of use of hazardous substances

with the potential to cause long term

health effects

Creation +40 years


Records of users and usage of high

classification biological agents. List of

employees exposed to Group 3 or Group 4

biological agents (defined in the

Regulations).

Last entry +40 years


Risk Assessments for use of hazardous

substances (All Risk Assessments that are

over 4 years old to be re-assessed unless

the issue is now irrelevant)



Records of testing, repair, examination or

maintenance of equipment provided to

control identified hazards / risks

(including methodology where

appropriate)



Environmental exposure monitoring

(general) (including full methodology)



Monitoring of environmental or personal

exposure for individual or where a person

is identified (including full methodology)

Creation +40 years


Health Surveillance or medical

certification records for individuals Date of monitoring +40 years

Safety Office

Records relating to asbestos: Medical

records, training records, suspected

incidents of potential exposure

Creation +40 years

Safety Office

Record relating to monitoring of exposure

to ionising radiation Current year +40 years


19

Health and safety: Health and safety inspection


Records of the conduct & results of health

& safety inspections of University land,

buildings, facilities or operations, & action

taken to address issues raised


Safety Office

Health and Safety: incident recording, reporting and investigation


Records of accidents, dangerous

occurrences & outbreaks of notifiable

diseases on University premises or

affecting University staff or students.


Safety Office

Records of investigations of accidents,

dangerous occurrences & outbreaks of

notifiable diseases on University premises

or affecting University staff or students.


Safety Office

Health and Safety: emergency planning


Nominations/appointments of fire

wardens End of appointment +5 years

Safety Office

Records of the provision of role-specific

training for fire wardens End of appointment +5 years

Safety Office

Records of the assessment of requirements for fire-fighting systems &

equipment

Review of assessment +5 years

Safety Office

Appointments of official first-aiders End of appointment +5 years

Safety Office

Records of the provision of approved

training for first aiders (specifically related

to their functions as first aiders)

End of appointment +5 years

Safety Office

Records of the assessment of requirements for first aid facilities &

equipment

Reassessment +5 years

Safety Office

20


Specifications for first aid facilities &

equipment Superseded +5 years

Safety Office

Records of arrangements with external

emergency service organisations Review of arrangements +5 years

Safety Office

Health and Safety: employee health surveillance


All records relating to occupational health

screening and health surveillance Records creation +40 years

Safety Office

Staff training and development


Applications for financial assistance from

Individual Development Fund End of the current financial year + 1 year

Professional Development Unit

Staff Educational Development Unit

appraisal forms End of the current academic year + 1 year


Staff Educational Development Unit

evaluation forms Completion of course + 3 months


21

Records retention schedule: Physical Resources


resources



In Estates: Maintenance, grounds and developments l Security Services

Maintenance, grounds and developments


Architectural drawings and plans

(electronic-CAD) Sample of 'historic' drawings and plans to

be retained permanently after demolition of

building or transfer of ownership

University Archives

Architectural drawings and plans (paper) Sample of 'historic' drawings and plans to

be retained permanently after digitization

University Archives

Asbestos files Permanent retention

Estates Office

Asset database Until asset is disposed of

Estates Office

Building files Life of building + 5 years

Estates Office

Building information system Permanent retention

Estates Office

Concept database (facilities management

system) Permanent retention

Estates Office

Continuum database (building heating

and ventilation information) Permanent retention (heating logs

truncated every 48 hours)

Estates Office

Contracts under seal 12 years

Estates Office

22


Electrical test certificates Retain for lifetime of building

Estates Office

Energy bills 10 years

Estates Office

Energy database Permanent retention, truncate records at

2GB

Estates Office

Gas test certificates 5 years

Estates Office

Job tickets 10 years

Estates Office

Helpdesk voice recorder 1 year

Estates Office

Ladder inspection record For lifetime of ladder + 3 years

Estates Office

Legionella test certificates 5 years

Estates Office

Lifts-insurance inspections 6 years

Estates Office

Metering database 10 years, then truncated

Estates Office

PAT testing For lifetime of the appliance


Pesticides database Permanent retention

Estates Office

Pressure systems (insurance inspections)

boiler plant Current year only

Estates Office

Pressure systems (insurance inspections) Current year only

Estates Office

23


Project files 7 years, unless EU funded, in which case

permission is required before destruction

Estates Office

Project Portal database Permanent retention

Estates Office

Safety harness, PPE and Access systems Permanent retention

Estates Office

Space Management documents Permanent retention

Estates Office

Stores requisition forms 1 year

Estates Office

Tree survey database Until tree is removed

Estates Office

University Houses building files Life of building + 5 years

Estates Office

Waste transfer certificate 3 years

Estates Office

Security Services


Associate Card Application Forms Whilst card is active

Estates Office

CCTV Video 21 days, then overwritten unless there is

management intervention

Security

Key card application forms Whilst card is active

Estates Office

Lost Property forms 1 year

Estates Office

24


Lost Property forms 1 year

Estates Office

Nedap access control database Permanent retention, logs may be

truncated every 10 years. Snapshot every

3 months.

Estates Office

Parking permit application form

Staff

Students 2 years

1 year

Estates Office

25

Records retention schedule: information services


resources

4. Physical resources | 5. Information Services | 6. Student administration & support 7. Learning & teaching | 8. Research & development | 9. External relations

In information services: Archives | Business systems| Library

Archives


Accessions register Permanent retention

Manuscripts and Special Collections;


Depositor/donor agreements Permanent retention Manuscripts and Special Collections;


Locations database Keep while current + 5 years



Promotion of archives

Guides Catalogues

Exhibition guides Exhibition materials reports

Permanent retention



Provision of access to the records Registration file

Enquiry records Loan records

Production Reprographics orders

Copyright forms

Permanent retention

Weeded after 1 year

Whilst current + 5 years

Current year + 3 years




Registration File transferred to

University Archives

Conservation records including policies

and standards Permanent retention



26


Acquisition of collections Permanent retention



Catalogues and indexes of collections in

archives Permanent retention



Business Systems


Agresso, Resourcelink, SATURN Full back up every night; tapes kept for 6

weeks. Data retention controlled by clients.

Legacy data from previous systems also

retained and controlled by clients

IS

Other business systems Systematic back up. Data retained in

consultation with clients

IS

Contents of email servers Backups of exchange email servers

performed weekly with daily incrementals.

Emails cannot be deleted to a set timescale

as contents vary and some are records of

business activity

IS

Email server logs and contents of

Exchange post office mail logs Generated daily and retained for 1 year

IS

Library


Inter-library loan request forms End of the current academic year

Library handling request

User records 2 years after expiry unless outstanding

debts

Library handling request

27

Records retention schedule: student administration & support


resources



In student administration & support: Student admission | Student fees | Student

accommodation | Student registration and administration | Student discipline |

Student services to support learning | Student liaison | Student welfare | Student associations

Student admission


UCAS application forms for successful

applicants to undergraduate courses

leading to professional registration in the

Faculty of Medicine and Health Sciences

who register

Graduation/leaving + 50 years

Registry

UCAS application forms for successful

applicants to undergraduate courses

(courses not leading to professional

registration) who register


Registry

UCAS application forms for unsuccessful

applicants to undergraduate courses and

successful applicants who fail to register

End of applications cycle + 1 year

Admissions

Interview notes for successful applicants

to undergraduate courses who register Graduation/leaving

School

Interview notes for unsuccessful applicants to undergraduate courses and



School

Offer letters and acceptances for

applicants to undergraduate courses Graduation/leaving + 6 years

Registry –applicants who register

Admissions – applicants who don’t register

Application forms and supporting

documentation for successful applicants to

postgraduate courses who register

including TOEFL/IELTS and financial

guarantees


Registry

Application forms and supporting

documentation for unsuccessful applicants

to postgraduate courses and successful

applicants who fail to register


Admissions

28


Offer letters and acceptances for

applicants to postgraduate courses Graduation/leaving + 6 years



Interview notes for successful applicants

to postgraduate courses who register Graduation/leaving + 6 years

Registry

Interview notes for unsuccessful applicants to postgraduate courses and



School

Fees status questionnaires Graduation/leaving + 6 years



Correspondence and documentation

relating to PBS for international students Duration that the migrant is sponsored

International Office

Parental consent Graduation/leaving + 6 years



CRB Checks Six Months

Unit requesting check

CRB Issue number and date Graduation/leaving + 50 years

Unit requesting check

29

Student fees


Undergraduate grant cheques Current financial year + 6 years

Finance

Student Loans (student tuition fee record)


Finance

Student Loans

(information from SLC) Retain for administrative purposes and destroy when no longer current

Finance (tuition fees)

SSC (payment to student)

Bursaries (cheques from bursary funds)


SSC

Bursaries (graduate school scholarships for

conferences/travel paid into School

project codes)


RIS

Bursaries (new university core bursaries)


SSC

Bursaries (undergraduate fee reduction

scholarships)


Office delivering the scholarship

Bursaries (travel scholarships awarded by Student

Services)


SSC

Bursaries/scholarships

(awarded by School) Current financial year + 6 years

School

Debts (debt information

Permanent retention

Finance

Debts (debtors list and write-off list)

Permanent retention

Finance

Funding applications

(graduate school applications to research

councils)


(no need to retain unsuccessful

applications)

RIS

Funding applications

(international office) End of funding + 6 years

(no need to retain unsuccessful

applications)

International Office

30

Hardship fund documentation Graduation/leaving + 6 years

SSC


Postgraduate stipends/sponsorship

agreement/award letters

(e-works, grant requests, and School

authorisations)


RIS

Student accommodation


Accommodation application forms Retain for administrative purposes and

destroy when no longer current

Accommodation

Accommodation residency offer and

payment schedule Graduation/leaving + 6 years

Accommodation

Accommodation residency contracts End of contract + 6 years

Accommodation

Accommodation personal details form Retain for administrative purposes and


Accommodation

Accommodation termination notifications Retain for administrative purposes and


Accommodation

31

Student registration and administration


New students‟ personal details Retain for administrative purposes and


Registry

Returning students‟ personal details

(including name change information) Retain for administrative purposes and

destroy when information is no longer

current

Registry

Student declaration of acceptance of

terms and conditions of registration Graduation/leaving + 6 years

Registry

Student fitness to practice declarations Graduation/leaving + 50 years

School

Module content information including

module learning resources in Moodle(1) Current academic year + 6 years

School & LRLR (for records

in Moodle)

Module content information for courses

leading to professional qualifications in

the Faculty of Medicine and Health

Sciences

Current academic year + 50 years

School

Module entry form enrolments/ exam

entry forms Retain for administrative purposes and


School

Module enrolments Graduation/leaving + 6 years

ASD

Module enrolments for courses leading to

professional qualifications in the Faculty

of Medicine and Health Sciences


ASD

Exchanges Graduation/leaving + 6 years

School and/or International Office

Prizes awarded by Schools Permanent retention

School

Supervision records Graduation/leaving + 6 years

School

32

Transfers/change of course (database

record) Graduation/leaving + 50 years

Registry

Attendance monitoring school reports Current period + 6 years

School

Attendance monitoring SAMS

snapshots Current period + 6 years

Student Administration

(1) No records are being retained by the University in WebCT

33


Transfers/change of course

(form confirming change to LEA and

Student Loans Company)


Registry

Transfers/change of course (authorisation

form)/upgrades and change to thesis

pending


Registry

Work placements Graduation/leaving + 6 years

School

Fieldwork/Study Abroad documentation Graduation/leaving + 6 years (weeded to

remove personal information 12 months

after completion of trip)

School

Withdrawal/interruption of studies incl.

request from student, authorisation and

confirmation letters (courses leading to

professional registration in the Faculty of

medicine and Health Sciences))


Registry

Withdrawal/interruption of studies incl.

request from student, authorisation and

confirmation letters (courses not leading

to professional registration)


Registry

General correspondence with student

(including thesis pending information,

notice of intent to submit etc)


Originator of correspondence

Student discipline


Offences dealt with by Security (except

traffic offences) Settlement of case + 6 years

Security

Traffic offences Settlement of case + 3 years

SSC

Minor offences relating to IS Settlement of case + 3 years

SSC

Minor offences relating to accommodation Settlement of case + 3 years

SSC

34


Documentation relating to academic

offences (except outcome letters) Settlement of case + 6 years

School-first offences

ASD- further offences

Academic offences outcome letters Settlement of case + 50 years

School-first offences

ASD- further offences

Documentation relating to appeals

(courses leading to professional

registration)

Settlement of case + 50 years

ASD

Documentation relating to appeals

(courses not leading to professional

registration)

Settlement of case + 6 years

ASD

Documentation referred to by Fitness to

Practice committees Settlement of case + 50 years

Secretary to the Medical School

Offences dealt with by Senate Disciplinary

Committee Settlement of case + 6 years

SSC

Offences dealt with by PVC for Student

Experience Settlement of case + 6 years

SSC

Suspensions Settlement of case + 6 years

SSC

Student services to support learning


Special arrangements for teaching and

learning (applications) Graduation/leaving + 6 years

Academic Support


learning (medical assessment) Graduation/leaving + 6 years

Academic Support


learning (academic referral) Graduation/leaving + 6 years

Academic Support

35

Student liaison


Careers advice (tracking student use of service)


CCD

Careers advice (notes on meetings with students)


CCD

Support for failing students

(in Schools/Departments with formal

process for this)


School

Staff Student Consultative Committees Current academic year + 5 years

School

Student welfare


Counselling service

(notes relating to student clients)

Completion of casework + 5 years

University Counselling Service

Disability issues incl. disclosure form and

DSA (courses leading to professional

registration in the Faculty of Medicine and

Health Sciences)


Academic Support

Disability issues incl. disclosure form and

DSA (courses not leading to professional

registration)


Academic Support

Records of informal pastoral care Graduation/leaving + 1 year

Member of UoN staff offering support

(e.g. Hall Warden, Personal Tutor)

Student associations


Students' Union constitution Permanent retention (yearly 'snapshot')

Students' Union

Students' Union handbooks and guides Permanent retention

Students' Union

Students' Union magazine (Impact) Permanent retention

Students' Union

36

Records retention schedule: learning & teaching


resources



In learning & teaching: Academic quality and standards | Graduation | Programme

development and delivery | Student assessment & academic progress

Academic quality and standards


Minutes of exam boards meetings Permanent retention

School

School exam board papers (courses

leading to professional registration) Graduation/leaving + 50 years

School

School exam board papers(courses not

leading to professional registration) Graduation/leaving + 6 years

School

Graduation


Award ceremony invitation forms Retain for administrative purposes and


Registry

Degree ceremony proceedings Permanent retention

Exams Office

Award certificates Permanent retention when not collected by

student

Exams Office

37

Student assessment & academic progress


Assignments/coursework/projects End of the academic session following the

session in which the work was submitted

School

Attendance registers (when needed for

assessment purposes) End of the academic session following the

session to which the register relates

School

Clinical assessment notes (Faculty of

Medicine & Health Sciences) Graduation/leaving + 1 year

School

Summative examination question papers End of the academic session + 5 years

School; copies may be sent to

University Archives

Examination scripts End of the academic session following the

session in which the exam was sat.

Anonymised samples may be kept for

quality assurance purposes

School

Exam registers Retain for administrative purposes and


Exams Office

Research theses/dissertations Permanent retention

Theses – Library

Dissertations - School

Taught masters dissertations Graduation/leaving + 5 years

School

Undergraduate dissertations Graduation/leaving + 1 year

School

Annual student reviews Graduation/leaving + 6 years

School

Documentation relating to attendance

problems Graduation/leaving + 6 years

School

Records relating to examination

invigilators Retain for administrative purposes and


Exams Office/Schools if exams not

centrally invigilated

38


Applications for overseas examinations Retain for administrative purposes and


Exams Office

Alternative examination arrangement

recommendations Retain for administrative purposes and


Academic Support

Extenuating circumstances submissions Graduation/leaving + 6 years

School

Marks Graduation/leaving + 50 years

Schools – current students

ASD – post-graduation

Official finalists pass lists Permanent retention

Registry

Transcripts Produced to order, no copies are kept

SSC – Current students

ASD – post-graduation

Examiners notes End of the academic session following the

session in which the exam was sat

School

PhD Examiners reports Graduation/leaving + 50 years

Registry

Thesis restriction requests For period of restriction + 12 months

Registry

External Examiners (including

appointment information) Reports should be kept for the current

academic year and previous 5 years.

ASD

39

Records retention schedule: research & development


resources



In research & development: Development | Funding and administration| Intellectual

Property Rights (IPR) management | Knowledge transfer and enterprise

Development


Research project files Minimum of 7 years after closure and up to

25 years. US Federal Department

requirement minimum of 12 years

Principal Investigator

Research project files for European

projects Minimum of 7 years after closure and up to

25 years.


Funding and administration


Individuals/companies correspondence On-going


Financial information 7 years

RIS

Systems-configurations and invoices Lifetime of systems

RIS

Systems-project management and

reporting material Duration of development programme

RIS

40


ESF, ERDF, KTP, Medici, EMDA, GOEM and 10 years for ESF, ERDF, innovation and

EU funding Medici fellowships.

Up to 25 years for KTP

Prior to the destruction of any

documentation relating to projects

supported by the 1994-96, 1997-99 and

2000–06 ERDF Programmes, confirmation

must be sought from the Government Office

East Midlands Documentation relating to

the 2007-13 ERDF Programme must be

retained until at least 31 December 2023.

Prior to the destruction of any

documentation relating to this programme,

confirmation must be sought from the

European Programme Secretariat at the

East Midlands Development Agency.

RIS

Intellectual Property Rights (IPR) management


Contracts and agreements (intellectual

property management)) Termination of contract/agreement + 20

years

RIS

Intellectual Property Rights (IPR)

correspondence End of the current financial year + 6 years

RIS

Patents applications and renewals Life of patent + 6 years

RIS

Patents correspondence End of the current financial year + 6 years

RIS

Knowledge transfer and enterprise

41


Consultancy documentation (Research

and Innovation Services) Completion of consultancy project + 6

years

RIS

Knowledge transfer partnership (KTP)

programme files Completion of programme + 6 years

RIS

42

Records retention schedule: external relations


resources

4. Physical resources | 5. Information Services | 6. Student administration & support 7. Learning & teaching | 8. Research & development | 9. External relations

In external relations: Alumni| Government and regulator relations | Marketing |

Public relations l Freedom of information and data protection

Alumni


Alumni membership records Permanent retention unless individual

requests their details are removed

Alumni Office

Alumni details Destroy/remove when no longer valid

Alumni Office

Alumni correspondence Destroy/remove when no longer valid

Alumni Office

Alumni donations records Current financial year + 6 years

Alumni Office

Government and regulator relations


HEFCE circulars End of the current calendar year + 3 years

PMID

HEFCE correspondence End of the current academic year + 6 years

PMID

HESA Individual Student Record (ISR)

returns Permanent retention

PMID

Quality Assurance Agency (QAA)

correspondence End of the current academic year + 6 years

PMID

43


Training and Development Agency for

Schools (TDA) correspondence End of the current academic year + 6 years

School of Education

Universities UK circulars and

correspondence End of the current calendar year + 3 years

PMID

Marketing


University prospectuses (undergraduate

and postgraduate) Permanent retention

Copy sent to University Archives on

publication

Public relations


Press cuttings Permanent retention


publication

Press releases Permanent retention


publication

Publications (e.g. the Hub) Permanent retention


publication

Freedom of Information and Data Protection


Freedom of information requests Close of query + 6 years

Unit responding to the request

Data Protection Subject Access Requests Close of query + 6 years

Unit responding to the request

Guidance from the Information

Commissioner‟s Office Until superseded

Academic Services Division