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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
Documents/Records Retention Requirement
Approved minutes of meetings and supporting documentation Permanently
2. Office of the Registrar
Documents/Records Retention Requirement
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
Documents/Records Retention Requirement
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
Documents/Records Retention Requirement
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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Documents/Records Retention Requirement
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
Documents/Records Retention Requirement
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
Documents/Records Retention Requirement
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
Documents/Records Retention Requirement
Student Services Committee Minutes and recordsPermanently
Minutes of MeetingsPermanently
2.6.1 Careers and Appointments Service
Documents/Records Retention Requirement
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
Documents/Records Retention Requirement
General correspondence 3 yearsSolas Fund Records (student hardship fund) 5 years
2.6.3 Counselling
Documents/Records Retention Requirement
Confidential student records, case notes, assessment reports and recommendations 7 years
Annual Reports relating to Permanently
2.6.4 Health Service
Documents/Records Retention Requirement
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
Documents/Records Retention Requirement
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
Documents/Records Retention Requirement
Student Assistance Funds records 7 years
Minutes of Meetings – Student Assistance Fund Permanently
2.6.7 Disability Support Service
Documents/Records Retention Requirement
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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Documents/Records Retention Requirement
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
Documents/Records Retention Requirement
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
Documents/Records Retention Requirement
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
Documents/Records Retention Requirement
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
Documents/Records Retention Requirement
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
Documents/Records Retention Requirement
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
Documents/Records Retention Requirement
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
Documents/Records Retention Requirement
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
Documents/Records Retention Requirement
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
Documents/Records Retention Requirement
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
Documents/Records Retention Requirement
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.
Documents/Records Retention Requirement
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.
Documents/Records Retention Requirement
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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