Ulster University Schedule Cover Sheet · Web viewRecords documenting the disposal of properties by sale, transfer or donation. Retain from disposal of property + 12 years Transfer

Document Title Records Retention and Disposal Schedule 2.0

Custodian Secretary of the University in consultation with Deputy Director of Finance and Information Services (Information Services)

Approving Committee ISD Committee > Secretary of the University > SMT

Schedule approved date 2012 – 06 – 04

Schedule effective from date 2012 – 06 – 04

Schedule review date 2014 – 06 – 04

Ulster University Schedule Cover Sheet

Changes to previous versionConformance to University formatting.

More comprehensive, and updated to correlate to the new version of the generic JISC Records Retention Schedule, and Business Classification Scheme.

Specific instruction on e-mail retention and when to move to central archives.

Records Retention and Disposal Schedule 2.0

INTRODUCTION AND BACKGROUND

A Records Retention and Disposal Schedule is essentially a table that describes the length of time each business document or record will be retained and its final disposition (disposal or storage). The basic components consist of:

a description of each type of record which the organisation generates a retention period for each type of record

A more detailed Schedule may also contain information about:

reasons for retention (e.g. legislative requirements) actions required at the end of retention periods (e.g. destruction) responsibilities for retaining records and for taking required actions at the end

of retention periods

A Records Retention Schedule is an essential component of an effective records management programme. It sets out an organisation’s policy on retention of its business records. This provides a basis for consistent action across the entire organisation and eliminates the need for individual employees to make decisions about the retention of the records which they produce or receive in the course of their work.

RELEVANT LEGISLATION

The University will comply with all legislation and statutory requirements relevant to information and information systems, including:

Computer Misuse Act 1990; Data Protection Act 1998; Communications Act 2003; Copyright, Designs and Patents Act 1988; Freedom of Information Act 2000; Human Rights Act 2000; Regulation of Investigatory Powers Act 2000; Police and Justice Act 2006; The Telecommunications (Lawful Business Practice) (Interception of

Communications) Regulations 2000 (‘the Lawful Business Regulations’); Employment Equality (Age) Regulations 2006; Employment Equality (Religion or Belief) Regulations 2003; Employment Equality (Sexual Orientation) Regulations 2003; Control of Substances Hazardous to Health (COSHH) Regulations 2002; Control of Lead at Work Practices 2002; Control of Asbestos Regulations 2006; Ionising Radiations Regulations 1999; Diseases and Dangerous Occurrences Regulations 1995; Social Security (Claims and Payments) Amendment (No. 3) Regulations

1993; Special Waste Regulations 1996;

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Construction (Design and Management) Regulations 1994; COUNCIL REGULATION (EC) No 1260/1999 laying down general provisions

on the Structural Funds; National Minimum Wage Regulations 1999; Income Tax (Pay As You Earn) Regulations 2003; Lifting Operations and Lifting Equipment Regulations 1998; Provision and Use of Work Equipment Regulations 1998; Fire Precautions (Workplace) Regulations 1997; Employers' Liability (Compulsory Insurance) Regulations 1998

Additional guidance:

Medical Research Council, Good Research Practice; Medical Research Council, Personal Information in Medical Research; Stated or implied requirements of UK Research Councils and other significant

research sponsors. See Guidance on Managing Research Records which includes:

o Biotechnology and Biological Sciences Research Council (BBSRC)o Economic and Social Research Council (ESRC)o Engineering and Physical Sciences Research Council (EPSRC)o Medical Research Council (MRC)o Natural Environment Research Council (NERC)o Particle Physics and Astronomy Research Council (PPARC)o European Science Foundationo The Wellcome Trust;

HMRC Notice 700/21 Keeping VAT records; Information Commissioner’s Office, Employment Practices Code (2005); Chartered Institution of Personnel and Development, Retention of personnel

and other related records (2006); The National Archives, Records created by a public body fulfilling its

obligations under the Freedom of Information Act 2000

SCHEDULE STATEMENT

This Schedule has been developed following the model retention schedule for Higher Education Institutions developed by JISC, which may be found at:

http://www.jiscinfonet.ac.uk/partnerships/records-retention-he/hei-rrs

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http://www.jiscinfonet.ac.uk/partnerships/records-retention-he/hei-rrs


The University has adopted the JISC Business Classification Scheme (BCS) for records as follows:

1. Teaching & Learninga. Teachingb. Learning Support

2. Researcha. Researchb. Research Programme Provision

3. Knowledge Transfer and Enterprisea. Intellectual Property Rights (IPR) Exploitationb. Consultancyc. Education & Trainingd. Related Companies Managemente. Commercial Services Management

4. Academic Administrationa. Student Administrationb. Academic Programme Administrationc. Academic Award Administrationd. Student Assessment Administratione. Tuition Fees Administrationf. Student Financial Support Administration

5. Corporate Managementa. Corporate Planning & Performance Managementb. Governancec. Risk Managementd. Quality Managemente. Auditf. Legal Affairs Managementg. Organisational Developmenth. Equality & Diversity Managementi. Health & Safety Management j. Environmental Management

6. Corporate Resourcesa. Estate Managementb. Facilities Managementc. Finance Managementd. Human Resources Managemente. Information Compliance Managementf. Records Managementg. Archives Managementh. Collections Managementi. Publications Managementj. Intellectual Property Rights (IPR) Managementk. Information & Communications Technology (ICT) Systems

Managementl. Equipment and Consumables Managementm. Insurance Managementn. Procuremento. Publishing

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p. Management Information Collection, Analysis & Reporting7. Corporate Relations

a. Public Relations Managementb. Media Relations Managementc. HE/FE Sector Relations Managerd. Community Relations Managemente. Alumni Relations Managementf. Fundraisingg. Student Relations Managementh. Government Relations Managementi. Parliamentary Relations Managementj. Students’ Union Relations Managementk. Marketing

8. Related Companies Management9. Commercial Services Management10.Corporate Services Management11.Student Service Management12.Business Unit Management

In addition to the schedule presented in this document, the JISC document referenced above contains the following additional information:

Detailed scope of activity for each identified record type The “authority” or legislative document(s) for the retention duration Any additional record retention notes for clarification

More information on the JISC HE BCS and Records Retention Schedule, along with supporting documents may be found on-line at:

http://www.jiscinfonet.ac.uk/partnerships/records-retention-he

The JISC BCS may also be used to produce matching file plans for Departments/Faculties.

AIMS, PURPOSE AND SCOPE OF THE SCHEDULE

The aim of this schedule is to set out the retention durations and disposal requirements for different record types with all legitimate and legislative considerations having been taken into account. Specific aims include:

Ensuring the systematic transfer of records to the University Archive and supporting accountability through the retention of records (including the

availability of archival records of genuine historical value) Compliance with specific legal and regulatory requirements including the

Freedom of Information Act 2000 and the Data Protection Act 1998 Demonstrating that the disposal of information assets has been carried out

according to an agreed policy

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http://www.jiscinfonet.ac.uk/partnerships/records-retention-he


Managing risk to avoid the costs and potential liabilities of retaining information the organisation does not really need and which is likely to result in legal discovery actions and possible involvement in third party disputes

To provide specific advice on University staff on the length of time records should be kept in Departments, Schools and Faculties.

To minimise administrative overheads to the University.

Disposal is as important as retention. The retention durations given here are meant to also imply secure disposal of records at the end of the retention period.

The scope of the schedule is the entire University.

DEFINITIONS AND CLARIFICATION

A “record” is information created, received, and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of business. These records may be in either electronic or traditional paper format.

A “Records Retention and Disposal Schedule” (RRDS) is a table that describes the length of time each document or record will be retained and its final disposition (disposal or storage).

A “Business Classification Scheme” (BCS) outlines business functions and activities for the purposes of structuring records management, structuring records management by BCS rather than by content or location.

“JISC” is an organisation whose name has evolved from an acronym for “Joint Information Systems Committee”. JISC is a United Kingdom non-departmental public body whose role is to support post-16 and higher education and research by providing leadership in the use of ICT (Information and Communications Technology) in learning, teaching, research and administration. It is funded by all the UK post-16 and higher education funding councils.

The “Public Records Office for Northern Ireland” (PRONI) is an archival institution that holds both public and private records. It is performs the functions of Public Record Office, Manuscripts Department of a National Library, County Record Office for the six counties of Northern Ireland, and holder of a large range of private records.

“SPECTRUM” is a standard for collections management. It contains procedures for documenting objects and the processes they undergo, as well as identifying and describing the information which needs to be recorded to support the procedures.

PROCEDURE

Differentiation is made between paper and electronic records although the retention and disposal requirements by record type are still the same. The method of retention

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and disposal will be different, and the University Archive is only used for paper records.

The primary responsibility for

Identifying record type Marking record (visibly or electronically) with type, retention and disposal

dates Actual retention and disposal

lies with the originating Department/Faculty. More information is available in the University’s Document Management Policy. For paper records, the information in the schedule below indicates if and when it is appropriate to move paper records to the University’s central archive.

IMPLEMENTATION

UNIVERSITY E-MAIL

University e-mail exists as an electronic messaging and transport system, and accounts are provided to support University business. The acceptable and unacceptable uses of University e-mail are outlined in the document “Acceptable Use of Information Technology Code of Practice”.

E-mail records are subject to the same laws and policies that apply to other forms of paper and electronic records. All work-related emails are subject to Data Protection, Freedom of Information legislation and other judicial discovery, and may be legally admissible. Statements in e-mail records must not be made that could expose the University to legal liability or damage its reputation. It is the responsibility of all staff to ensure that e-mail records are retained for the appropriate period, and are also deleted when appropriate in accordance with the record type as defined in this document.

E-mails must not be used as a primary storage medium for University records. Appropriate storage for retention and disposal is the responsibility of the originator/recipient of the document.

Additional specific information on University policy concerning e-mail may be found in the following documents:

Acceptable and unacceptable use of e-mailAcceptable Use of Information Technology Code of Practice

E-mail monitoring policy and detailsIT Monitoring PolicyIT Monitoring Code of Practice

Classification of records, acceptable transmission and unacceptable transmissionProtective Marking Standard

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https://secure.ulster.ac.uk/isd/policies/Policies/Approved/Protective%20Marking%20Standard%202.1%2020121025.pdf

https://secure.ulster.ac.uk/isd/policies/Policies/Approved/IT%20Monitoring%20Code%20of%20Practice%201.2%2020121025.pdf

https://secure.ulster.ac.uk/isd/policies/Policies/Approved/IT%20Monitoring%20Policy%201.2%2020121025.pdf

https://secure.ulster.ac.uk/isd/policies/Policies/Approved/Acceptable%20Use%20of%20Information%20Technology%20CoP%2020111108.pdf




Security of e-mail access from portable devicesPortable Devices Security Standard

UNIVERSITY ARCHIVE

Originating departments should retain all records which they need for their own operational purposes for as long as they need them. Records should only be transferred to the University Archive when they cease to be operationally relevant.

Where it has been noted that records should be retained permanently by the University Archive, such records may eventually be deposited in the Public Record Office of Northern Ireland (PRONI) in accordance with any future strategy agreed between the University and PRONI.

In the event of any required change in retention period, e.g. changes in legislation, the University Archivist will have the discretion to make such a change, consulting as appropriate the Departments/Faculties concerned.

Teaching & LearningTeaching The function of delivering taught

programmes that lead to academic awards

RECORDS ACTION TO BE TAKEN IN

DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records that develop and establish teaching strategy and policies on teaching. Key records.

Retain until superseded + 10 years

Transfer to Archive when no longer required in department or faculty

Records that develop and establish teaching strategy, policies and procedures on teaching. Working papers.

Retain until Issue of new strategy, policy or procedure + 1 year

Do not transfer

Records that develop the quality and standards of teaching.

Retain while current Do not transfer

Reviews, audits and responses on the quality and standards of teaching.

Summaries, reports and analysis of taught programme or module effectiveness.

Retain for the current academic year + 5 years

Do not transfer

Documentation of developing taught programmes and modules.

Retain for the life of the programme or module + 10 years

Transfer to Archive when no longer required in department or

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https://secure.ulster.ac.uk/isd/policies/Policies/Approved/Portable%20Devices%20Security%20Standard%2020120522.pdf


facultyDocumentation of the preparation, planning and conduct of teaching and learning materials and events.

Retain for the current academic year + 1 year

Do not transfer

Documentation of the design and development of assessments.

Retain for the life of the programme or module

Do not transfer

Documentation of setting assessments; marking/grading assessments; reviewing marks/grades awarded in response to notifications of mitigating circumstances; conducting meetings of examination boards; determining awards and classifications.

Retain for current academic year

Do not transfer

Records documenting submitted/completed assessments: summative assessments.

Retain until confirmation of marks/grades by Board of Examiners + 6 months

Do not transfer

Records documenting an individual student’s:

Marks and grades given to assessments (including awards and classifications)

Feedback on academic progress, and general academic guidance and support, given to individual taught students.

Completion of student's module or programme + 6 years

Do not transfer

Learning Support The function of developing and delivering learning support resources (1) to support taught students in developing academic skills (2) and personal skills (3).


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records that develop and establish Learning Support strategy and policies on teaching. Key records.



Records that develop and establish learning support strategy, policies and procedures on teaching. Working papers.


Do not transfer

Master copies of procedures relating to learning support.


Transfer to Archive when no longer required in

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department or faculty

ResearchResearch The function of undertaking

academic research.RECORDS ACTION TO BE TAKEN

IN DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records that develop and establish research strategy, policies and procedures. Key records.



Records that develop and establish strategy, policies and procedures on research. Working papers.


Do not transfer

Records that develop the quality and standards of research.

Retain while current Do not transfer

Reviews, audits and responses on the quality and standards of research.

Records documenting liaison with research sponsors.

Retain for the current academic year + 5 years

Do not transfer

Records documenting the identification and exploration of new research opportunities which lead to research projects.

Retain until completion of project

Do not transfer

Records documenting the formation and management of partnerships and other collaborative arrangements to undertake research.

Records documenting the preparation and submission of applications for funding, where the application is successful (i.e. results in the offer of a funding award).

Retain for the life of partnership/arrangement or offer of the award + 6 years


Records documenting the design and planning of research projects which are not undertaken.

Records documenting the preparation and submission of applications for funding, where the application is unsuccessful (i.e. does not result in the offer of a

Retain until the abandonment or unsuccessful funding of plans + 1 year

Do not transfer

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funding award).Records documenting the design and planning of research projects which are undertaken: key records.

Retain until the completion of project + 10 years


Records documenting the design and planning of research projects which are undertaken: working papers.

Retain until completion of project

Do not transfer

Records documenting the conduct of research funded by the Medical Research Council, except where other requirements are specified.

Retain until completion of project + 10 years


Records documenting the conduct of clinical or public health studies funded by the Medical Research Council, except specific categories of records in studies for which consent was obtained.



Records documenting the protocol, the consent procedure, the participants and adverse effects in all studies (for which consent was obtained) funded by the Medical Research Council.



Records documenting the conduct of all other research funded by all other organisations.



Publications and presentations made to disseminate research results (NOT interim or final research reports).

Retain until publication/delivery + 3 years

Do not transfer

Records documenting the management of internally-funded research projects.


Do not transfer

Records documenting the management of externally-funded research projects.


Do not transfer

Research Programme Provision The function of delivering the University's postgraduate research programmes.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the Retain for the life of Transfer to

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development of the Univerrsity's research programmes.

programme + 10 years Archive when no longer required in department or faculty

Records documenting routine monitoring of external developments and trends to inform the development of the University's research programmes.

Retain for current academic year + 1 year

Do not transfer

Records containing data on, and analyses of, student numbers and other programme statistics.

Retain for current academic year + 3 years

Do not transfer

Records containing the conduct, results, results responses and reports of reviews of research programmes.


Do not transfer

Records documenting

the conduct of formal assessments of work

academic advice and guidance on the selection of research subjects and on the progress and standard of their work

for individual research students.

Retain until completion of student's programme + 6 years

Do not transfer

Records documenting awards and classifications, including reviews in response to notifications of mitigating circumstances or academic appeals.


Do not transfer

Records documenting the appointment of supervisors for research students.

Retain until termination of appointment + 1 year

Do not transfer

Knowledge Transfer and EnterpriseIntellectual Property Rights (IPR) Exploitation

The function of commercially exploiting the University's intellectual property rights (IPR).


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the University's IPR exploitation strategies and policies: key records.



Records documenting the development and establishment of the University's IPR exploitation

Retain from the issue of strategy, policy or procedure + 1 year

Do not transfer

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strategies, policies and procedures: working papers.Master copies of procedures relating to IPR exploitation.

Records documenting the development and establishment of the University's consultancy strategy: key records.


Do not transfer

Records documenting the negotiation and completion of IPR assignments to third parties.

Retain for life of IPR + 6 years

Do not transfer

Records documenting the negotiation and completion of IPR licence agreements to third parties.

Retain until termination of licence + 6 years

Do not transfer

Consultancy The function of providing consultancy to external organisations on a commercial basis.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the University's consultancy strategy and policies: key records.

Retain until strategy or policy superseded + 5 years


Records documenting the development and establishment of the University's consultancy strategy, policies and procedures: working papers.

Retain from issue of strategy, policy or procedure + 1 year

Do not transfer

Master copies of procedures relating to consultancy.


Do not transfer

Directories of expertise. Current Do not transferRecords documenting the handling of enquiries about consultancy, where no further action is taken.

Retain from last action on enquiry + 1 year

Do not transfer

Records documenting the preparation and submission of consultancy proposals/tenders, where the proposal/tender is unsuccessful (i.e. does not result in a contract).

Retain from receipt of notification that proposal/tender was unsuccessful + 1 year

Do not transfer

Records documenting:

preparation, negotiation, agreement and submission of consultancy proposals: key

Retain until submission of proposal/tender or termination of contract + 6 years

Do not transfer

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records tenders and contracts: key

records variations of contracts: key

records project deliverables and

outcomes: final versions and confirmations of client acceptance

Records documenting the preparation, negotiation, agreement and submission of consultancy proposals/tenders and contracts and variation of contracts: working papers.

Retain until submission of proposal/tender or agreement of contract

Do not transfer

Records documenting the management of consultancy projects: key records.

Records documenting substantive project work.

Retain until termination of contract + 3 years

Do not transfer


consultancy management working papers

scheduling of meetings, interviews and other project work

project deliverables and outcomes: draft versions and other working papers.

Retain until termination of contract

Do not transfer

Education & Training The function of developing and delivering education and training programmes for external organisations, and for the public.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the University's education and training strategy and policies: key records.



Records documenting the development and establishment of the University's education and training strategy, policies and procedures: working papers.

Retain until issue of strategy, policy or procedure + 1 year

Do not transfer

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Master copies of procedures relating to education and training.


Do not transfer

Records documenting the development of education and training programmes.

Retain for life of programme + 5 years

Do not transfer

Records containing data on, and analyses of, student numbers and other programme statistics.

Retain current academic year + 5 years

Do not transfer


preparation of teaching and learning materials

planning and conduct of teaching and learning events

Retain current academic year + 1 year

Do not transfer

Records documenting the design and development of assessments.

Retain for life of programme

Do not transfer

Records documenting submitted/completed assessments: formative assessments.

Retain current academic year

Do not transfer

Records documenting submitted/completed assessments: summative assessments.

Retain until confirmation of marks/grades + 6 months.

Do not transfer

Records documenting marks/grades given to submitted/completed summative assessments and, where appropriate, awards and classifications.


Do not transfer

Records documenting the negotiation and establishment of contracts.


Do not transfer

Related Companies Management The function of setting up and managing related companies.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the University's related companies strategy and policies on formation and management: key records.

Master copies of procedures relating to the formation and management of related companies.



Records documenting the development and establishment of the University’s related companies strategy, policies and procedures

Retain until Issue of strategy, policy or procedure + 1 year

Do not transfer

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on the formation and management of related companies: working papers

Commercial Services Management The function of providing services on a commercial basis.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the University's commercial services strategy and policies: key records.


Do not transfer

Records documenting the development and establishment of the University's commercial services strategy, policies on management and management procedures: working papers.

Retain from the issue of strategy, policy or procedure + 1 year

Do not transfer

Master copies of procedures relating to the management of commercial services.


Do not transfer

Academic AdministrationStudent Administration The function of administering

the University’s contractual relationships with its students.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the University's student administration policies: key records.

Master copies of procedures relating to student administration.

Records documenting the development and establishment of the University's admission criteria.



Records documenting the development and establishment of the University's student administration policies and procedures: working papers.

Retain from issue of policy or procedure + 1 year

Do not transfer

Records documenting the design, conduct, organisation and summary results of student recruitment

Retain until completion of campaign or event + 5 years

Do not transfer

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campaigns and events.Records documenting the design, operation and summary results of student recruitment schemes.

Retain for current academic year + 5 years OR Termination of scheme + 5 years

Do not transfer

Records documenting the issue of student recruitment materials in bulk to schools and other organisations.

Retain for current academic year

Do not transfer

Records documenting the handling of enquiries from prospective students.

Records documenting the administration of the clearing process.

Records containing data on overall student numbers.

Records documenting the administration of induction programmes and events for new students.

Retain for current academic year + 1 year

Do not transfer

Records containing summaries and analyses of:

enquiry, recruitment and retention data (including from individual students’ records)

data on registration of students on programmes

(anonymised) results of First Destination Surveys.

Records documenting the design and conduct of First Destination Surveys.


Do not transfer

Records documenting or containing:

personal data on individual students

handling of successful applications for admission

registration of individual students on programmes

academic progress of individual

Retain until end of student relationship + 6 years

Do not transfer

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students and formal action taken by the University to deal with unsatisfactory progress

transfer of individual students to new programmes or to new courses within programmes

withdrawal of individual students from the University

termination of individual students' programmes

Records documenting the handling of applications for admission: unsuccessful applications.

Retain until completion of admissions process + 1 year.

Do not transfer

Records documenting the design, conduct and review of induction programmes for new students.

Retain from completion of induction programme + 5 years

Do not transfer

Records documenting the handling of requests for:

ad hoc analyses of data from individual students' records

statements of results/transcripts from individual students

confirmation of individual students' awards, attendance or conduct from employers and other educational institutions

Retain from last action on request + 1 year

Do not transfer

First Destination Surveys: individual responses

Retain until completion of analysis of responses

Do not transfer


the conduct and results of disciplinary proceedings against individual students

the handling and results of academic appeals by individual students.

the handling of formal complaints made by individual students against the University.

Retain from last action on case + 6 years

Do not transfer

Records documenting the handling of complaints by individual students where the formal complaints procedure is not initiated.

Retain from last action on complaint + 3 years

Do not transfer

Academic Programme Administration The function of administering the delivery of the University's academic programmes.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER

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RECORDS)Records documenting the development and establishment of the University's academic programme administration policies: key records.

Master copies of procedures relating to academic programme administration.


Do not transfer

Records documenting the development and establishment of the University's academic programme administration policies and procedures: working papers.

Retain from issue of policy + 1 year

Do not transfer

Master copies of procedures relating to academic programme administration.


Do not transfer

Records documenting the administration of academic programmes.

Retain from current academic year + 3 years

Do not transfer

Academic Award Administration The function of administering the conferment of the University's academic awards.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the University's academic award administration policies: key records.

Master copies of procedures relating to academic award administration.


Do not transfer

Records documenting the development and establishment of the University's academic award administration policies and procedures: working papers.


Do not transfer


notification of awards to students and the issue of awards certificates

the process of inviting, receiving and considering nominations for honorary awards

offers of honorary awards and

Retain from conferment of award + 1 year

Do not transfer

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responses receivedRecords documenting:

organisation of award ceremonies

the production of award certificates

mailing award certificates to students who do not attend ceremonies

Retain from completion of ceremony + 1 year

Do not transfer

Student Assessment Administration The function of administering the conduct of student assessment.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the University's academic assessment administration policies: key records.

Master copies of procedures relating to academic assessment administration.



Records documenting the development and establishment of the University's academic assessment administration policies and procedures: working papers.

Retain from Issue of policy or procedure + 1 year

Do not transfer

Records documenting the selection and appointment of external examiners.


Do not transfer

Records documenting liaison with external examiners on administrative matters.

Records documenting the following aspects of the examinations process:

selection and appointment of examination invigilators

design and delivery of training for examination invigilators

control of examination papers and examination scripts

timetabling of examinations organisation of examination

Retain from current academic year + 1 year

Do not transfer

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facilities, including special arrangements for students with special needs

individual students' attendance at examinations, and the handling of reports of mitigating circumstances

collation of examination results, compilation of pass lists and individual notifications of results.

Records documenting individual students' submission of assessed work and handling of reports of mitigating circumstances.

Records documenting the issue of awards lists and individual notifications of awards.Pass Lists/Awards lists Retain current academic

year + 1 yearDo not transfer

Records documenting the conduct of the business of a committee:

agenda, minutes and papers correspondence and other

records relating to the preparation of committee business or to actions to be taken (or not taken) as a result of committee decisions.


Do not transfer

Tuition Fees Administration The function of administering the setting and collection of tuition fees.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the University's tuition fees policies: key records.

Master copies of procedures relating to tuition fees administration.



Records documenting the development and establishment of the University's tuition fees policies and procedures: working papers.


Do not transfer

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Records documenting the handling of applications for remission of tuition fees: successful applications.

Retain from determination of application + 6 years

Do not transfer

Records documenting the handling of applications for remission of tuition fees: unsuccessful applications.

Retain from determination of application + 1 year

Do not transfer

Records documenting the process of determining tuition fees.

Retain from current academic year + 5 years

Do not transfer

Records documenting the collection of tuition fees.

Retain from current academic year + 1 year

Do not transfer

Student Financial Support Administration

The function of administering the allocation of financial support funds available to the University's students.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the University's student financial support policies: key records.

Master copies of procedures relating to student financial support.


Do not transfer

Records documenting the development and establishment of the University's student financial support policies and procedures: working papers.

Retain until issue of policy or procedure + 1 year

Do not transfer

Records on individual students documenting:

provision of financial aid funds provision of crisis/hardship

payments the award of bursaries the award of scholarships and

fellowships

Retain for current financial/academic year + 6 years

Do not transfer

Records documenting nominations for prizes, the consideration of nominations and notifications to recipients of prizes.


Do not transfer

List of prize winners Retain while prize is awarded

Do not transfer

Corporate ManagementCorporate Planning & Performance Management

The function of developing and establishing the University’s

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corporate plans and of monitoring its performance against these plans


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the University's corporate planning and performance management policies or strategic plan: key records.



Records documenting the development and establishment of the University's corporate planning and performance management policies, procedures or strategic plan: working papers.

Retain from issue of policy, procedures or strategic plan + 1 year

Do not transfer

Master copies of procedures relating to corporate planning and performance management.


Do not transfer

Records containing data on, and analyses of, the University's performance against its strategic plan.

Records documenting the conduct and results of audits and reviews of the strategic planning and performance management function, and responses to the results.


Do not transfer

Records containing reports on the University's performance against its strategic plan.



Records documenting the development of the University's annual operating plans: key records.

Retain for current calendar year + 5 years

Do not transfer

Records documenting the development of the University's annual operating plans: working papers.

Records documenting benchmarking exercises with other comparable institutions.

Retain for current calendar year + 1 year

Do not transfer

Page 22 of 91


Records documenting performance monitoring and analysis.Records documenting the development of the University's key performance indicators.

Retain until superseded Do not transfer

Governance The function of developing and establishing the University's corporate governance structure and rules, and of conducting its business in accordance with its governance structure and rules.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the University's governance strategy: key records.



Records documenting the development and establishment of the University's governance strategy: working papers.

Retain from issue of strategy + 1 year

Do not transfer


the establishment and development of the University's legal framework

the establishment and development University's governance structure and rules

the development and establishment of the terms of reference, and the rules and procedures, for a statutory committee

the conduct of the business of a statutory committee: agenda, minutes and supporting papers

Retain for life of University Transfer to Archive when no longer required in department or faculty


the appointment, election or designation of members of a statutory committee

training undertaken by individual members of a statutory committee

the appointment, election or designation of the

Retain until termination of appointment + 6 years

Do not transfer

Page 23 of 91


University's senior officers

Register of interests of members of the University's governing body.Records documenting the development of induction and training programmes for members of a statutory committee.


Do not transfer

Records documenting the arrangements for meetings of a committee or statutory committee.

Retain for current year + 1 year

Do not transfer

Records documenting the conduct of the business of a statutory committee: correspondence and other records relating to the preparation of committee business or to actions to be taken (or not taken) as a result of committee decisions.

Retain for current year + 5 years

Do not transfer

Records documenting the conduct of reviews of the effectiveness and performance of a statutory committee.

Retain until the completion of two subsequent reviews

Do not transfer

Records documenting the development and establishment of the terms of reference, and the rules and procedures, for a committee.

Retain for life of committee + 6 years

Do not transfer

Records documenting the appointment/election/designation of members of a committee.

Records documenting training undertaken by individual members of a committee.

Retain until termination of membership + 6 years

Do not transfer

Records documenting the development of induction and training programmes for members of a committee.


Do not transfer

Records documenting the conduct of the business of a committee: agenda, minutes and supporting papers.


Do not transfer

Records documenting the conduct of the business of a committee: correspondence and other records relating to the preparation of committee business or to actions to be taken (or not taken) as a result of committee decisions.

Retain for current year + 5 years

Do not transfer

Page 24 of 91


Records documenting the investigation, determination and resolution of an allegation made by a member of staff under the Public Interest Disclosure Act 1998.

Retain until closure of case + 6 years

Do not transfer

Records documenting the appointment/designation of staff to officially represent the University.

Retain until termination of representation

Do not transfer

Risk Management The activities involved in managing risks to the viability or success of the University.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the University's risk management strategy and policies: key records.


Do not transfer

Records documenting the development and establishment of the University's risk management strategy, policies and procedures: working papers.

Retain from issue of strategy + 1 year

Do not transfer

Master copies of procedures relating to risk management.


Do not transfer

Records documenting identified risks to the University and assessments of those risks.

Records documenting the formulation, testing and maintenance of disaster response and recovery plans.

Retain until superseded + 1 year

Do not transfer

Quality Management The function of managing overall quality in the University.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the University's quality management strategy and policies: key records.


Do not transfer

Records documenting the development and establishment of the University's quality management strategy, policies and procedures: working papers.


Do not transfer

Page 25 of 91


Master copies of procedures relating to quality management


Do not transfer

Records documenting the conduct and results of quality audits, and action taken to address issues raised.

Retain until completion of audit + 3 years

Do not transfer

Records documenting the attainment and maintenance of the University's accreditation under established independent quality management schemes.

Retain until termination of accreditation + 1 year

Do not transfer

Audit The function of conducting audits of the University's affairs and operations.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the University's audit strategy and policies: key records.


Do not transfer

Records documenting the development and establishment of the University's audit strategy, policies and procedures: working papers.


Do not transfer

Master copies of procedures relating to audit management.


Do not transfer

Records documenting the conduct and results of audits, and action taken to address issues raised.


Do not transfer

Legal Affairs Management The function of managing the University’s legal affairs.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the University's policies on the management of legal affairs: key records.

Master copies of procedures relating to the management of legal affairs.

Records documenting legal advice on other matters requested by, and


Do not transfer

Page 26 of 91


provided to, the University.Records documenting the development and establishment of the University's policies and procedures on the management of legal affairs: working papers.


Do not transfer

Records documenting the negotiation, establishment and review of contracts and agreements between the University and third parties : agreements and contracts under seal (by deed).



Records documenting the negotiation, establishment and review of contracts and agreements between the University and third parties: other contracts and agreements.


Do not transfer

Records documenting the provision of legal support and representation for the University in dealing with claims by or against the University which do not proceed to litigation or settlement by an agreement.

Retain until settlement of claim + 6 years OR Withdrawal of claim + 6 years

Do not transfer

Records documenting litigation between the University and third parties where legal precedents are set.


Records documenting litigation between the University and third parties which does not set legal precedents.

Retain until settlement of case + 6 years

Do not transfer

Records documenting legal advice requested by, and provided to, the University concerning e.g.:- interpretation of legislation affecting the University's legal framework, governance, responsibilities or operations- proposals for new legislation affecting the University's legal framework, governance, responsibilities or operations- the University's relationships with government bodies and HE regulators- industrial relations issues


Page 27 of 91


- health, safety and environmental issues

Organisational Development The function of developing the University's organisational structure and culture.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the University's organisational strategy and development policies: key records.

Retain until strategy or development policy is superseded + 5 years

Do not transfer

Records documenting the development and establishment of the University's organisational strategy, development policies and procedures: working papers.

Retain from issue of strategy, development policy or procedure + 1 year

Do not transfer

Master copies of procedures relating to organisational development.


Do not transfer

Records documenting the management of individual organisational restructuring processes.

Retain until completion of process + 5 years

Do not transfer

Equality & Diversity Management The function of managing the University's compliance with legislation on equal opportunities.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the University's equality and diversity strategy and policies: key records.

Retain until strategy or policy superseded + 5 years

Do not transfer

Records documenting the development and establishment of the University's equality and diversity strategy, policies and procedures: working papers.


Do not transfer

Master copies of procedures relating to the management of equality and diversity.


Do not transfer

Records containing summary statistical information resulting from equality monitoring.

Retain current calendar year + 5 years

Do not transfer

Page 28 of 91


Records documenting the development and delivery of training on equality and diversity issues and procedures.Records documenting the handling of formal complaints about discrimination by or within the University.


Do not transfer

Records documenting the handling of individual applications for the Scheme and monitoring of the mentor-mentee relationship and outcomes.

Retain from completion of the Scheme + 1 year

Do not transfer

Records documenting the preparation/revision of the University's Disability Equality Scheme.


Do not transfer

Health & Safety Management The function of managing the impact of the University's operations on the health and safety of its staff, students and others while on its premises and in other places where they may be affected by its operations, and of ensuring compliance with legislation on health and safety matters.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the University's health and safety strategy: key records.

Records documenting the conduct, review and revision of assessments of risks to health and safety created by using workstations, to fulfil the University's duties under Regulation 2 of the Health & Safety (Display Screen) Equipment Regulations 1992 (SI 1992/2792).

Records documenting the conduct, review and revision of assessments of the risks to health and safety



Page 29 of 91


created by exposure to noise, made to fulfil the University's duties under Regulation 5 of the Control of Noise at Work Regulations 2005 (SI 2005/1643).

Records documenting the provision of information, instruction and training for employees who are exposed to noise, to fulfil the University's duties under Regulation 10 of the Control of Noise at Work Regulations 2005 (SI 2005/1643).

Records documenting the conduct, review and revision of assessments of the risks to health created by work with substances hazardous to health, to fulfil the University's duties under Regulation 6 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677).

Records documenting the provision of information, instruction and training for employees who are exposed to substances hazardous to health, to fulfil the University's duties under Regulation 12 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677).

Records documenting the provision of information, instruction and training for employees who are exposed to substances hazardous to health, to fulfil the University's duties under Regulation 12 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677).

Records documenting the development of plans and information to deal with accidents, incidents and emergencies related to the presence of substances

Page 30 of 91


hazardous to health, to fulfil the University's duties under Regulation 13 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677).

Records documenting the conduct, review and revision of assessments of the risks to health created by work involving lead, to fulfil the University's duties under Regulation 5 of the Control of Lead at Work Regulations 2002 (SI 2002/2676).

Records documenting the provision of information, instruction and training for employees who are exposed to lead, to fulfil the University's duties under Regulation 11 of the Control of Lead at Work Regulations 2002 (SI 2002/2676).

Records documenting the development of plans and information to deal with accidents, incidents and emergencies related to the presence of lead, to fulfil the University's duties under Regulation 12 of the Control of Lead at Work Regulations 2002 (SI 2002/2676).

Records documenting the conduct, review and revision of assessments of the risks to health created by exposure to asbestos, to fulfil the University's duties under Regulation 6 of the Control of Asbestos Regulations 2006 (SI 2006/2739).

Records documenting the development of plans and information to deal with accidents, incidents and emergencies related to the presence of asbestos, to fulfil the University's duties under Regulation 15 of the Control of

Page 31 of 91


Asbestos Regulations 2006 (SI 2006/2739).

Records documenting the provision of information, instruction and training for employees who are exposed to asbestos, to fulfil the University's duties under Regulation 10 of the Control of Asbestos Regulations 2006 (SI 2006/2739).

Records documenting the conduct, review and revision of assessments of the risks to health created by work with ionising radiation, to fulfil the University's duties under Regulation 7 of the Ionising Radiations Regulations 1999 (SI 1999/3232).

Records documenting the provision of information, instruction and training for employees who are exposed to ionising radiation, to fulfil the University's duties under Regulation 14 of the Ionising Radiations Regulations 1999 (SI 1999/3232).Records documenting the development and establishment of the University's health and safety strategy, policies and procedures: working papers.


Do not transfer

Records documenting the development and establishment of the University's policies on health and safety: key records.

Master copies of procedures relating to the management of health and safety.



Records documenting the conduct and results of health and safety inspections of the University's land, buildings, facilities or operations, and action taken to address issues raised.

Retain current calendar year + 5 years OR Superseded + 1 year

Do not transfer

Page 32 of 91


Records documenting the conduct and results of health and safety audits.


Do not transfer

Records documenting notifications of appointments of safety representatives by trade unions under Regulation 3 of the Safety Representatives and Safety Committees Regulations 1977 (SI 1977/500).


Do not transfer

Records documenting the provision of time off, and other facilities and assistance, for safety representatives appointed under the Safety Representatives and Safety Committees Regulations 1977 SI 1977/500).

Records documenting the provision of training (specifically related to their functions as representatives) for representatives of employee safety elected under the Health and Safety (Consultation with Employees) Regulations 1996 (SI 1996/1513).

Records documenting the provision of time off, and other facilities and assistance, for representatives of employee safety appointed under the Health and Safety (Consultation with Employees) Regulations 1996 (SI 1996/1513).

Records documenting the maintenance of premises, facilities and equipment to fulfil the University's duties under Article 17 of the Regulatory Reform (Fire Safety) Order 2005 (SI 2005/1541).

Records documenting the maintenance of premises, facilities and equipment provided for the use by, or the protection of, fire-fighters to fulfil the University's duties under Article 38 of the Regulatory Reform (Fire Safety) Order 2005 (SI


Do not transfer

Page 33 of 91


2005/1541).Records documenting consultations and other communications with safety representatives appointed under the Safety Representatives and Safety Committees Regulations 1977 (SI 1977/500).

Records documenting the proceedings and decisions of a safety committee formed under the Safety Representatives and Safety Committees Regulations 1977 (SI 1977/500).

Records documenting consultations and other communications with representatives of employee safety elected under the Health and Safety (Consultation with Employees) Regulations 1996 (SI 1996/1513), or with all employees directly.



Records documenting the establishment of a safety committee to fulfil the University's duty under s 2(7) of the Health and Safety at Work etc. Act 1974 (c. 37) and in accordance with Regulation 9 of the Safety Representatives and Safety Committees Regulations 1977 (SI 1977/500). Includes records documenting the objectives, role, functions, composition and administration of the committee.

Retain until dissolution of committee + 50 years


Records documenting the election of members of a safety committee formed under the Safety Representatives and Safety Committees Regulations 1977 (SI 1977/500).

Records documenting the election of representatives of employee safety under the Health and Safety (Consultation with Employees) Regulations 1996 (SI 1996/1513).

Retain from completion of election + 1 year

Do not transfer

Records documenting the provision of health and safety information,

Retain for current calendar year + 5 years or

Do not transfer

Page 34 of 91


instruction and training for employees, students and others, except where specified elsewhere in this Records Retention Schedule.

Records documenting the conduct and review of safety drills to fulfil the University's duties under Article 15 of the Regulatory Reform (Fire safety) Order 2005 (SI 2005/1541).

Records documenting the provision of role-specific training for 'competent persons' to implement fire-fighting measures in the University's premises to fulfil the University's duties under Article 13 of the Regulatory Reform (Fire Safety) Order 2005 (SI 2005/1541).

Records documenting arrangements with external emergency services for the provision of first-aid, emergency medical care, fire-fighting and rescue services (including the provision of information on the University's emergency procedures and arrangements) to fulfil the University's duties under Article 16 of the Regulatory Reform (Fire Safety) Order 2005 (SI 2005/1541).

Records documenting the provision of fire safety training to employees to fulfil the University's duties under Article 21 of the Regulatory Reform (Fire Safety) Order 2005 (SI 2005/1541).

superseded + 5 years

Records documenting the conduct, review and revision of risk assessments made to fulfil the University's duties under Regulation 3 of the Management of Health and Safety at Work Regulations 1999 (SI 1999/3242) and except where specified elsewhere in this Records Retention Schedule.


Do not transfer

Page 35 of 91


Records documenting the provision of training and information for employees using workstations, to fulfil the University's duties under Regulations 6 and 7 of the Health & Safety (Display Screen) Equipment Regulations 1992 (SI 1992/2792).

Records documenting fire safety arrangements made to fulfil the University's duties under Article 11 of the Regulatory Reform (Fire Safety) Order 2005 (SI 2005/1541).Records documenting the provision of personal protective equipment to employees, to fulfil the University's duties under Regulation 7of the Control of Noise at Work Regulations 2005 (SI 2005/1643).

Records documenting the conduct, review and revision of fire safety risk assessments to fulfil the University's duties under Article 9 of the Regulatory Reform (Fire Safety) Order 2005 (SI 2005/1541) or Section 53 and/or Section 54 of the Fire (Scotland) Act 2005 (asp 5).

Retain until return of issued equipment + 1 year

Do not transfer

Records documenting the maintenance of equipment provided to control exposure to noise, to fulfil the University's duties under Regulation 8 of the Control of Noise at Work Regulations 2005 (SI 2005/1643).

Records documenting the maintenance of equipment provided to control exposure to substances hazardous to health, to fulfil the University's duties under Regulation 9 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677).

Records documenting the conduct and results of monitoring

Retain until date of examination/test/repair + 5 years

Do not transfer

Page 36 of 91


employees' general exposure to substances hazardous to health, to fulfil the University's duties under Regulation 10 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677).

Records documenting the maintenance of equipment provided to control exposure to lead, to fulfil the University's duties under Regulation 8 of the Control of Lead at Work Regulations 2002 (SI 2002/2676).

Records documenting the maintenance of equipment provided to control exposure to asbestos, to fulfil the University's duties under Regulation 13 of the Control of Asbestos Regulations 2006 (SI 2006/2739).

Records documenting the maintenance of other equipment provided to control exposure to ionising radiation, to fulfil the University's duties under Regulation 10 of the Ionising Radiations Regulations 1999 (SI 1999/3232).Records documenting health surveillance of employees who are exposed to noise, carried out to fulfil the University's duties under Regulation 9 of the Control of Noise at Work Regulations 2005 (SI 2005/1643).

Records documenting the conduct and results of monitoring the personal exposures of individual employees to substances hazardous to health, to fulfil the University's duties under Regulation 10 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677).

Records documenting health

Retain until date of last entry in record + 40 years


Page 37 of 91


surveillance of individual employees who are exposed to substances hazardous to health, to fulfil the University's duties under Regulation 11 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677).

Records documenting medical surveillance of individual employees who are exposed to lead, to fulfil the University's duties under Regulation 10 of the Control of Lead at Work Regulations 2002 (SI 2002/2676).

Records documenting medical surveillance of individual employees who are exposed to asbestos, to fulfil the University's duties under Regulation 22 of the Control of Asbestos Regulations 2006 (SI 2006/2739).List of employees exposed to Group 3 or Group 4 biological agents, and records of exposures, accidents and incidents involving these agents, required by Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677), Schedule 3, para. 4.



Records documenting the University's response to accidents, incidents and emergencies involving substances hazardous to health, to fulfil the University's duties under Regulation 13 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677).

Records documenting the University's response to accidents, incidents and emergencies involving lead, to fulfil the University's duties under Regulation 12 of the Control of Lead at Work Regulations 2002 (SI 2002/2676).

Retain from last action on event + 10 years


Page 38 of 91


Records documenting the University's response to accidents, incidents and emergencies involving asbestos, to fulfil its duties under Regulation 15 of the Control of Asbestos Regulations 2006 (SI 2006/2739).Records documenting the conduct and results of monitoring employees' general exposure to lead (in air), to fulfil the University's duties under Regulation 9 of the Control of Lead at Work Regulations 2002 (SI 2002/2676).

Retain from last entry + 5 years

Do not transfer

Records documenting assessments of the presence and condition of asbestos, as required by Regulation 5 of the Control of Asbestos Regulations 2006 (SI 2006/2739).

Retain until completion of work to which the assessment relates + 10 years


Records documenting the preparation of written plans of work for undertaking work with asbestos, as required by Regulation 7 of the Control of Asbestos Regulations 2006 (SI 2006/2739).

Retain until completion of work to which plan relates.

Do not transfer

Records documenting notifications to enforcing authorities of proposed work with asbestos, to fulfil the University's duties under Regulation 9 of the Control of Asbestos Regulations 2006 (SI 2006/2739).

Retain for duration of work + 10 years


Records documenting the conduct and results of monitoring the personal exposures of individual employees (who are required to be under medical surveillance) to asbestos, to fulfil the University's duties under Regulation 19 of the Control of Asbestos Regulations 2006 (SI 2006/2739).

Retain from date of monitoring + 40 years


Page 39 of 91


Records documenting the conduct and results of monitoring employees' general exposure to asbestos, to fulfil the University's duties under Regulation 19 of the Control of Asbestos Regulations 2006 (SI 2006/2739).


Do not transfer

University's copies of certificates of medical examinations of identifiable employees who are exposed to asbestos, as required by Regulation 22 of the Control of Asbestos Regulations 2006 (SI 2006/2739).

Retain from date of certificate + 4 years

Do not transfer

Records documenting the maintenance of personal protective equipment provided to control exposure to ionising radiation, to fulfil the University's duties under Regulation 10 of the Ionising Radiations Regulations 1999 (SI 1999/3232).

Retain from date of examination/test/repair + 2 years

Do not transfer

Records documenting the preparation of contingency plans to deal with radiation accidents, to fulfil the University's duties under Regulation 12 of the Ionising Radiations Regulations 1999 (SI 1999/3232).


Records documenting the maintenance and testing of equipment for monitoring levels of ionising radiation, to fulfil the University's duties under Regulation 19 of the Ionising Radiations Regulations 1999 (SI 1999/3232).

Retain from date of maintenance/testing + 2 years

Do not transfer

Records documenting the monitoring of levels of ionising radiation in designated controlled areas, to fulfil the University's duties under Regulation 19 of the Ionising Radiations Regulations 1999 (SI 1999/3232).


Do not transfer

Page 40 of 91


Records documenting assessments of doses of ionising radiation received by 'classified persons' which are likely to be significant, to fulfil the University's duties under Regulation 21 of the Ionising Radiations Regulations 1999 (SI 1999/3232).

Retain from date of assessment + 50 years OR Until the employee reaches (or would have reached, if deceased) 75 years, whichever is the later.


Summaries of dose records, as required by Regulation 21 of the Ionising Radiations Regulations 1999 (SI 1999/3232).


Do not transfer

Records documenting investigations into the exposure of 'classified persons' to ionising radiation, to fulfil the University's duties under Regulation 22 of the Ionising Radiations Regulations 1999 (SI 1999/3232).

Reports of immediate investigations into possible overexposure to ionising radiation, to fulfil the University's duties under Regulation 25 of the Ionising Radiations Regulations 1999 (SI 1999/3232).

Retain from date of report of investigation + 2 years

Do not transfer

Records documenting assessments of individual doses of ionising radiation received as a result of a radiation accident, to fulfil the University's duties under Regulation 23 of the Ionising Radiations Regulations 1999 (SI 1999/3232).

Retain from date of accident + 50 years OR Until the employee reaches (or would have reached, if deceased) 75 years, whichever is the later.


Records documenting medical surveillance of individual employees who are exposed to ionising radiation and are required to be under medical surveillance, to fulfil the University's duties under Regulation 24 of the Ionising Radiations Regulations 1999 (SI 1999/3232).

Retain from date of last entry + 50 years OR Until the employee reaches (or would have reached, if deceased) 75 years, whichever is the later.


Reports of investigations into occurrences of overexposure to ionising radiation, to fulfil the University's duties under Regulation 25 of the Ionising

Retain from date of report + 50 years OR Until the employee reaches (or would have reached, if deceased) 75 years,


Page 41 of 91


Radiations Regulations 1999 (SI 1999/3232).

whichever is the later.

Records documenting tests to detect leakage from articles containing or embodying radioactive substances, to fulfil the University's duties under Regulation 27 of the Ionising Radiations Regulations 1999 (SI 1999/3232).

Retain from completion of subsequent test on article OR Disposal of article + 2 years.

Do not transfer

Records of the quantity and location of radioactive substances, to fulfil the University's duties under Regulation 28 of the Ionising Radiations Regulations 1999 (SI 1999/3232).

Retain from disposal of radioactive substance + 2 years OR Date of record + 2 years, whichever is the longer.

Do not transfer

Records documenting immediate investigations into possible accidental release or theft of radioactive substances, where no release or theft was found to have occurred, to fulfil the University's duties under Regulation 30 of the Ionising Radiations Regulations 1999 (SI 1999/3232).

Retain from date of report + 2 years

Do not transfer

Records documenting immediate investigations into possible accidental release or theft of radioactive substances, where accidental release or theft was found to have occurred, to fulfil the University's duties under Regulation 30 of the Ionising Radiations Regulations 1999 (SI 1999/3232).



Records of injuries, dangerous occurrences and outbreaks of notifiable diseases on the University's premises, to fulfil the University's duties under Regulation 7 of the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (SI 1995/3163).

Retain from date of recording + 3 years

Records documenting the investigation of accidents, dangerous occurrences and outbreaks of notifiable diseases on the University's premises.

Retain from closure of investigation + 40 years


Page 42 of 91


Records documenting the notification and reporting (to the relevant enforcing authorities) of reportable accidents, dangerous occurrences and outbreaks of notifiable diseases to enforcing authorities.

Retain from date of notification + 3 years

Do not transfer

Records documenting the nomination of 'competent persons' to implement fire-fighting measures to fulfil the University's duties under Article 13 of the Regulatory Reform (Fire Safety) Order 2005 (SI 2005/1541).

Records documenting the appointment of 'competent persons' to assist in implementing fire safety measures to fulfil the University's duties under Article 18 of the Regulatory Reform (Fire Safety) Order 2005 (SI 2005/1541).

Retain until termination of status as 'competent person'

Do not transfer

Records documenting the conduct, review and revision of assessments of requirements for fire-fighting equipment and for fire detectors and alarms to fulfil the University's duties under Article 13 of the Regulatory Reform (Fire Safety) Order 2005 (SI 2005/1541).

Retain from review of assessment + 5 years

Do not transfer

Records documenting the appointment of first aiders.

Retain until termination of appointment

Do not transfer

Records documenting the provision of approved training for first aiders to fulfil the University's duties under Regulation 3 of the Health and Safety (First Aid) Regulations 1981 (SI 1981/917).

Retain from current year + 3 years OR Superseded + 3 years

Do not transfer

Records documenting the provision of information about first aid arrangements to employees, to fulfil the University's duties under Regulation 4 of the Health and Safety (First Aid) Regulations 1981 (SI 1981/917).

Records documenting the conduct, review and revision of assessments


Do not transfer

Page 43 of 91


of requirements for first aid facilities, equipment and trained personnel to fulfil the University's duties under Regulation 3 of the Health and Safety (First Aid) Regulations 1981 (SI 1981/917).

Environmental Management The function of managing the impact of the University and its business on the environment, and of ensuring compliance with legislation on environmental matters.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the University's environmental management strategy and policies: key records.

Master copies of procedures relating to environmental management.



Records documenting the development and establishment of the University's environmental management strategy, policies and procedures: working papers.


Do not transfer

Records documenting the conduct and results of environmental audits, and action taken to address issues raised.

Retain from completion of audit + 5 years

Do not transfer

Records documenting identified environmental hazards to the University, or created by its operations, and the conduct and results of risk assessments.

Retain from the elimination of risk + 5 years OR Updating of risk assessment + 5 years

Do not transfer

Records documenting the attainment and maintenance of the University's accreditation under established environmental management schemes.

Retain from termination of accreditation + 1 year

Do not transfer

Records documenting action taken by the University to raise awareness of environmental issues among its employees, other staff and students.

Retain current calendar year+ 5 years

Do not transfer

Page 44 of 91


Records documenting routine monitoring of the University's use and consumption of energy.Records documenting the recording of environmental incidents on the University's premises or caused by its operations.

Retain from last action on incident + 40 years


Records documenting the investigation of environmental incidents on the University's premises or caused by its operations.

Retain until closure of investigation + 40 years


Records documenting the notification and reporting of reportable environmental incidents to enforcing authorities.

Retain from date of notification + 5 years

Do not transfer

Records documenting the conduct and results of formal reviews of the University's use and consumption of energy, and action taken to address issues raised.

Retain from completion of review + 5 years

Do not transfer

Register of 'special waste' removed from the premises for disposal by registered/licensed contractors, as required by Regulation 15 of the Special Waste Regulations 1996 (SI 1996/972).

Retain from removal of waste consignment + 3 years

Do not transfer

Records documenting hazardous waste to be disposed of, as required by Regulation 49 of the Hazardous Waste (England and Wales) Regulations 2005 (SI 2005/894).

Retain from removal of waste + 3 years

Do not transfer

Corporate ResourcesEstate Management The function of managing the

University’s estate.RECORDS ACTION TO BE TAKEN


ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's estate strategy, policies and procedures: key records.



Page 45 of 91


Records documenting the development and establishment of the institution's estate strategy, policies and procedures: working papers.


Do not transfer

Records documenting the acquisition of ownership of properties.

Retain from disposal of property + 12 years


Deeds of title for properties owned by the institution.

Retain from disposal of property


Records documenting negotiations for properties where the property was not acquired.

Retain from closure of negotiations + 6 years

Do not transfer

Records documenting the negotiation of leases and original lease agreements.

Retain from expiry of lease + 15 years


Records documenting the development of properties.

Records documenting major maintenance works on property.

Retain from disposal of property


Health and Safety File for a structure, as required by Regulation 14(d) of the Construction (Design and Management) Regulations 1994 (SI 1994/3140)

Retain from demolition of property OR Disposal of interest in property


Records documenting applications for planning consents required to (re)develop property and consents granted.

Retain from disposal of property or expiry of consent.


Records documenting routine inspections of property.

Retain from date of inspection + 5 years

Do not transfer

Page 46 of 91


Records documenting minor maintenance works on property.

Retain from completion of works + 15 years


Records documenting assessments made to determine the presence (or likely presence) of asbestos in premises, as required by Regulation 4(3) of the Control of Asbestos Regulations 2006 (SI 2006/2739).

Retain from review of assessment + 10 years


Records documenting the monitoring of the condition of asbestos in premises, and of maintaining or removing it.

Retain from removal of asbestos + 10 years OR Subsequent inspection + 10 years


Records documenting the disposal of properties by sale, transfer or donation.

Retain from disposal of property + 12 years


Records documenting the conduct and results of security inspections of properties, and action taken to address issued raised.

Retain from completion of subsequent inspection

Do not transfer

Records documenting property access controls to secure areas (e.g. access registers, key registers, security data logs).

Retain from creation + 2 years

Do not transfer

Records of security passes issued to visitors

Retain from expiry of pass + 1 month

Do not transfer

Records of security passes issued to employees, other staff and students.

Retain from expiry of pass + 1 year

Do not transfer

Records documenting the conduct of routine security surveillance of properties.

Retain from creation + 1 month

Do not transfer

Records documenting security breaches or incidents, and action taken.

Retain from last action on incident + 1 year

Do not transfer

Records documenting leasing-out arrangements for properties.

Retain from expiry of lease + 12 years


Page 47 of 91


Records documenting the conduct and outcomes of space audits.

Retain from completion of subsequent audit + 5 years

Do not transfer

Facilities Management The function of managing the University's facilities.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's facilities strategy, policy and procedures: key records.



Records documenting the development and establishment of the institution's facilities strategy, policies and procedures: working papers.


Do not transfer

Records documenting the specification of requirements for facilities.

Records documenting the development of interior design and fit-out schemes.

Records documenting the carrying out of interior decoration and fitting-out works.

Records documenting the carrying out of major maintenance works within facilities.

Retain from completion of works + 15 years


Records documenting routine inspections of facilities.

Retain from the completion of two subsequent inspections

Do not transfer

Records documenting the carrying out of minor maintenance works within facilities.

Retain from current calendar year + 5 years

Do not transfer

Records documenting the conduct and outcomes of security inspections of facilities.

Retain from completion of two subsequent inspections

Do not transfer

Records documenting the conduct of routine surveillance of facilities.

Retain from creation + 1 month

Do not transfer

Records documenting occurrences of unauthorised access to facilities, and action taken.


Do not transfer

Page 48 of 91


Records documenting the conduct and outcomes of inspections of facilities by enforcing authorities.

Retain from completion of subsequent inspection

Do not transfer

Original licences and certificates Retain until superseded Do not transfer

Finance Management The function of managing the University's financial resources.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's finance strategy, policies and procedures: key records.



Records documenting the development and establishment of the institution's finance strategy, policies and procedures: working papers.


Do not transfer


issue of sales invoices and the processing of incoming payments

receipt and payment of purchase invoices

payment and/or reimbursement of employees' expenses

payment of expenses to third parties (e.g. honorary appointees)

handling of petty cash receipt and processing of tuition

fees preparation of annual accounts Annual Accounts preparation of the institution's

statutory accounts the payment of honoraria to

third parties (unless honoraria are administered through the payroll)

Retain for current financial year + 6 years

Do not transfer

Records documenting analyses of the internal deployment of the institution's financial resources.

Records documenting the

Retain for current financial year + 1 year

Do not transfer

Page 49 of 91


processing of internal accounting transactions between operating units (i.e. cross-charges).

Records documenting the preparation of annual operating budgets.

Records documenting the monitoring of income and expenditure against annual operating budgets, and action taken to deal with variances.

Records documenting the negotiation and administration of formal contracts between operating units (e.g. for the provision of services.)

Retain until termination of contract + 1 year

Do not transfer

Records documenting the administration of annual funding allocations from the appropriate statutory funding body.



Records documenting the administration of research grants provided by research councils or corporate sponsors.

Retain until termination of grant + 6 years

Do not transfer

Records documenting the administration of funding from European Structural Funds.

Retain until final payment on the programme to the UK + 3 years (see note)

Do not transfer

Records documenting the administration of scholarship funds.


Do not transfer

Records documenting employees' authorisation for non-statutory payroll deductions.

Records documenting calculation and payment of employees' salaries and other payments.

Records documenting the preparation and filing of the institution's tax returns.

Records documenting the institution's accounting for VAT.

Records documenting the

Retain for current tax year + 6 years

Do not transfer

Page 50 of 91


employee's remuneration and rewards (e.g. bonuses, merit awards, long service awards).Employer's PAYE records which are not required to be sent to the Inland Revenue (under the provisions of the Income Tax (Pay As You Earn) Regulations 2003.

Records documenting the administration of payments made under the Statutory Sick Pay scheme.

Records documenting the administration of payments made under the Statutory Maternity Pay scheme.

Retain for current tax year + 3 years

Do not transfer

Records documenting payments of the institution's employers' contributions to pensions schemes for its employees.

Records documenting payments of the institution's employees' contributions to pension schemes.

Retain from termination of employment + 75 years


Records documenting the opening, closure and routine administration of bank accounts.

Retain from closure of account + 6 years

Do not transfer

Records documenting standing orders, direct debits etc.

Retain for life of instruction + 6 years

Do not transfer

Records documenting routine bank account deposits/withdrawals/transfers (paying-in slips, transfer instructions, bank statements etc.)


Do not transfer

Records documenting the overall management of the institution's financial investment portfolio.

Retain until divestment + 6 years

Do not transfer

Records documenting the purchase/sale of investments.

Retain for current financial year (of transaction) + 6 years

Do not transfer

Records documenting the value of the institution's capital assets.


Do not transfer

Records documenting decisions (and authorisations) to dispose of capital assets.

Retain for current financial year (of disposal) + 6 years

Do not transfer

Human Resources Management The function of managing the University's workforce and its

Page 51 of 91


contractual relationship with individual employees.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's human resources strategy, policies and procedures: key records.



Records documenting the development and establishment of the institution's human resources strategy, policies and procedures: working papers.


Do not transfer

Records documenting the assessment and analysis of workforce requirements, and the identification and evaluation of options for meeting these requirements.

Records containing summary (anonymised) results of employees' performance assessments.


Do not transfer

Records documenting management succession plans.

Records documenting the development and evaluation of job specifications.


Do not transfer

Records documenting internal authorisation for recruitment.

Records containing management analyses of recruitment effectiveness e.g. use of advertising media.

Records relating to the administration of the employee's contractual holiday entitlement.

Records documenting the authorisation and administration of special leave, e.g. compassionate leave, study leave.


Do not transfer

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Records documenting the advertising of vacancies.

Records documenting the handling of applications for vacancies: unsuccessful applications.

Records documenting the handling of applications for vacancies: unsuccessful applications.

Retain until completion of recruitment process + 3 months

Do not transfer

Records documenting enquiries about vacancies and requests for application forms.

Retain until completion of recruitment process

Do not transfer

Records documenting the handling of applications for vacancies: successful applications.

Records documenting the employee's initial application for employment with the institution and supporting documentation supplied by third parties (e.g. references, Criminal Records Bureau checks).

Retain until termination of employment + 6 years (as part of employee contract records) except information which is not relevant to the on-going employment relationship.

Do not transfer

Records documenting the handling of unsolicited applications for employment.

Retain from receipt of application + 1 year

Do not transfer


development, overall delivery and assessment of induction programmes for new employees *

summary information on workforce training and development needs *

* For records documenting individual employees activities, see Employee Contract Management.


(anonymised) workforce feedback on training and development programmes

management analyses of the impact of training and development programmes


Do not transfer

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management analyses of the impact of workforce performance assessment systems

pay reviews routine communications with the

pension schemesRecords documenting the administration of induction programmes.

Retain until completion of programme + 1 year OR Termination of programme + 1 year

Do not transfer

Records documenting the development of training and development programmes to meet defined needs.

Retain until completion of programme + 5 years

Do not transfer

Records containing individual feedback on training and development programmes.

Retain until completion of analysis of feedback

Do not transfer

Records documenting the development of workforce performance assessment systems.

Retain for life of system + 5 years

Do not transfer

Records documenting the development of the institution's remuneration structure.



Records documenting special reward schemes (e.g. Merit Reviews).

Retain until termination of scheme + 5 years

Do not transfer

Records documenting the hours worked by employees, including those who have agreed to work more than 48 hours a week, as required by the Working Time Regulations 1998 (SI 1998/1833).

Records documenting health assessments for night workers, and the results of assessments, as required by the Working Time Regulations 1998 (SI 1998/1833).

Retain from date of record + 2 years

Do not transfer

Records documenting the design of workforce surveys and consultations.

Retain until completion of survey/consultation + 5 years

Do not transfer

Records containing (identifiable) individual responses to workforce surveys and consultations.


Do not transfer

Page 54 of 91


Records containing summary (anonymised) results of workforce surveys and consultations.

Retain until completion of survey + 5 years

Do not transfer

Records documenting grievances raised by staff (which do not relate directly to their own contracts of employment), the institution's response, action taken and the outcome.

Retain until last action on case + 6 years

Do not transfer

Retain until termination of employment + 6 years (as part of employee contract records) except information which is not relevant to the on-going employment relationship.

Records documenting the employee's subsequent applications for other jobs within the institution.

Records documenting the job descriptions of positions held by the employee within the institution.

Retain for duration of job + 1 year

Do not transfer

Records documenting the employee's contract(s) of employment with the institution.

Records documenting changes to the employee's terms and conditions of employment.

Retain until termination of employment + 6 years

Do not transfer

Records documenting induction programmes attended by the employee.

Retain from completion of induction + 1 year

Do not transfer

Records documenting the employee's training and development needs, and the action taken to meet these needs.

Retain from completion of actions + 5 years

Do not transfer

Records documenting job-specific statutory/regulatory training requirements for the employee, and the training provided to meet these requirements.

Retail until expiry of certification + 6 years OR Superseded + 6 years

Do not transfer

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Records documenting routine assessments/reviews of the employee's performance, and any consequent action taken.


Do not transfer

Records documenting disciplinary proceedings against the employee, where employment continues.

Records documenting grievances raised by the employee which relate directly to his/her own contract of employment, the institution's response, action taken and the outcome.

Retain until closure of case + 6 years

Do not transfer

Records documenting the employee's absence due to sickness.



Records documenting the authorisation and administration of statutory leave entitlements, e.g. parental leave.

Retain until completion of entitlement + 6 years

Do not transfer

Records documenting entitlements to, and calculations of, Statutory Maternity Pay.

Retain for current Tax Year + 3 years

Do not transfer

Records containing employee's basic personal details (e.g. address, next of kin, emergency contacts).


Records documenting pre-employment health screening of an employee: employees exposed to hazardous substances during employment.

See HEALTH & SAFETY MANAGEMENT - HAZARDOUS SUBSTANCE EXPOSURE CONTROL.

Records documenting pre-employment health screening of an employee: other employees.

Records documenting the issue of personal protective equipment/other special equipment to an employee.

Records documenting the employee's termination of employment by voluntary


Do not transfer

Page 56 of 91


resignation, redundancy, retirement (including on medical grounds) or dismissal.

Records documenting major injuries to an employee arising from accidents in the workplace.



Records documenting references provided in confidence in support of the employee's application(s) for employment by another organisation.

Retain from provision of reference + 1 year

Do not transfer

Records documenting institutional recognition/derecognition of trades unions.

Retain from derecognition + 6 years

Do not transfer

Records documenting agreements with trade unions.

Retain from termination of agreement + 10 years


Records documenting routine communications with trade union representatives, including minutes of meetings.



Records documenting consultations/negotiations with trade unions on specific issues.

Retain from last action on issue + 20 years


Records documenting the institution's relationships with pension schemes to which all or part of its workforce belongs.

Retain from termination of relationship + 5 years

Do not transfer

Information Compliance Management The function of ensuring that the University complies with legislation on access to information.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's information compliance strategy and policies: key records.


Do not transfer

Page 57 of 91


Records documenting the development and establishment of the institution's information compliance strategy, policies and procedures: working papers.


Do not transfer

Master copies of procedures relating to information compliance.


Do not transfer

Records documenting the institution's notification of data controller details (to be added to the public register of data controllers) to the Information Commissioner's Office, as required by s 2 of the Data Protection Act 1998

Retain from current calendar year + 1 year

Do not transfer

Records documenting the handling of requests for access to personal information held by the institution under the Data Protection Act 1998.


Do not transfer

Records containing (anonymised) statistics, analyses and reports of requests for access to personal information held by the institution under the Data Protection Act 1998.



Records documenting the development and maintenance of the institution's Publication Scheme, as required by the Freedom of Information Act 2000.

Retain from completion of revision of Publication Scheme + 5 years

Do not transfer

Records documenting the handling of requests for information held by the institution, made under the Freedom of Information Act 2000.

Records documenting the handling of requests for environmental information held by the institution, made under the Environmental Information Regulations 2004 (SI 2004/3391).

Retain from completion of request handling process + 3 years

Do not transfer

Records containing (anonymised) management statistics, analyses and reports of requests for information held by the institution, made under the Freedom of Information Act 2000.

Retain from the current calendar year + 10 years


Page 58 of 91


Records containing (anonymised) management statistics, analyses and reports of requests for environmental information held by the institution, made under the Environmental Information Regulations 2004 (SI 2004/3391)

Records Management The activities involved in developing and establishing the University's records management strategy.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's records management strategy and policies: key records.

Records documenting classification and indexing schemes for records.


Do not transfer

Records documenting the development and establishment of the institution's records management strategy, policies and procedures: working papers.


Do not transfer

Master copies of procedures relating to records management.


Do not transfer

Records documenting recordkeeping requirements for specific business activities and processes.

Records documenting storage locations of records.


Records documenting the movement of records to/from storage.

Retain from return of records + 1 year

Do not transfer

Records documenting the provision of access to records.

Retain from date of access + 1 year

Do not transfer

Records documenting the determination of retention periods for records.

Retain from completion of revised Records Retention Schedule + 1 year

Do not transfer

Final versions of Records Retention Schedules

Retain permanently Transfer to Archive when no longer required in

Page 59 of 91


department or faculty

Records documenting the review of individual records to determine requirements for ongoing retention, where records are disposed of.

Retain for life of records + 25 years


Records documenting conservation work undertaken on records.

Retain until disposal of records


Records documenting authorisation for the disposal of redundant records.

Retain until disposal of records + 25 years


Records documenting the conduct and results of records surveys/audits.

Retain from completion of subsequent survey/audit


Archives Management The function of managing the University's archives.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's archives strategy and policies: key records.


Do not transfer

Records documenting the development and establishment of the institution's archives strategy, policies and procedures: working papers.


Do not transfer

Master copies of procedures relating to archives management.


Do not transfer

Records documenting the development and establishment of the selection criteria for records to be preserved as archives.

Records documenting the accessioning of records acquired for preservation as archives.

Retain for life of archives Transfer to Archive when no longer required in department or faculty

Records documenting the appraisal, selection and acquisition

Retain for life of records Transfer to Archive when no

Page 60 of 91


of records for preservation as institutional archives.

Records containing the descriptions of the records held as archives.

Records documenting conservation work undertaken on items in the archives.

longer required in department or faculty

Records documenting the institution's scheme of arrangement for its archives.

Retain for life of records arranged according to the scheme

Do not transfer

Records documenting the development of the institution's standard descriptive model for its archives.

Retain for life of records described using the model

Do not transfer

Records documenting the monitoring and control of the storage of archives.

Retain current calendar year + 1 year

Do not transfer

Records documenting the movement of archives from/to storage.

Retain from return of items + 1 year

Do not transfer

Records documenting requests for access to archives.


Do not transfer

Records documenting authorisation for the disposal of de-accessioned records.

Retain from completion of disposal process + 6 years

Do not transfer

Records documenting the development and maintenance of specialised finding aids to promote and facilitate access to (items in) the archives.

Records documenting the design and distribution of promotional materials to raise awareness and encourage use of (items in) the archives.


Records documenting enquiries about (items in) the archives, and the responses provided.

Note: key information from substantive enquiries may be extracted and indexed to avoid repetitive research.

Last action on enquiry + 1 year

Do not transfer

Records documenting the selection and use of items from the archives


Do not transfer

Page 61 of 91


by institutional staff (e.g. for teaching events, publications, exhibitions).Records documenting the selection and use of items from the archives by third parties (e.g. for exhibitions, publications, television programmes).

Retain from last action on project + 5 years

Do not transfer

Records documenting loans of items from the archives to third parties.

Retain from termination of loan + 6 years

Do not transfer

Collections Management The function of managing the University's collections of artworks, artefacts and manuscripts.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's collections strategy and policies: key records.


Do not transfer

Records documenting the development and establishment of the institution's collections strategy, policies and procedures: working papers.


Do not transfer

Master copies of procedures relating to collections management.


Do not transfer

Records documenting the design and development of promotional materials.

Retain while materials are current

Do not transfer

Records documenting the design and implementation of promotional events.

Retain from last action on event + 5 years

Do not transfer

Records documenting enquiries about collections and the responses given.


Do not transfer

Records documenting the receipt and evaluation of requests / proposals for use of collections or objects, where the requests / proposals are rejected.

Retain from last action on request / proposal + 1 year

Do not transfer

Records documenting the receipt and evaluation of requests / proposals for use of collections or

Retain from completion of use + 5 years.

Do not transfer

Page 62 of 91


objects, where the requests / proposals are authorised.

Records documenting the authorised use of collections or objects, and actions taken to facilitate, monitor or control use (e.g. checking environmental conditions, handling / operating objects; taking samples from objects)Records documenting the receipt of objects which are not currently part of the institution's collections.

SPECTRUM: Object Entry records



Records documenting loans of objects to the institution by other organisations or by individuals.

SPECTRUM: Loan In records

Retain permanently Transfer to Archive when no longer required in department or faculty

Records documenting the acquisition of objects for the institution's collections.

SPECTRUM: Accession records


Records documenting the location and movement of objects within the institution's premises.

SPECTRUM: Location and Movement Records


Records documenting key information about objects in the institution's collections.

SPECTRUM: Catalogue records


Records documenting objects which have left the institution's premises.

SPECTRUM: Object Exit Records

Retain from return of item + 10 years


Records documenting loans of objects to other organisations or to individuals.

SPECTRUM: Loan Out records

Retain from return of loaned item + 10 years


Publications Management The function of managing the University's collections of publications acquired or

Page 63 of 91


assembled to support its work.RECORDS ACTION TO BE TAKEN


ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's publications strategy and policies: key records.


Do not transfer

Records documenting the development and establishment of the institution's publications strategy, policies and procedures: working papers.


Do not transfer

Master copies of procedures relating to publications management.


Do not transfer

Records documenting the process of selecting publications to purchase.

Retain until completion of purchase

Do not transfer

Records documenting decisions to (dis)continue purchase of publications.

Retain from last action on issue + 1 year

Do not transfer

Records documenting the institution's scheme(s) for classifying and cataloguing publications.

Retain until all catalogues based on the scheme are superseded

Do not transfer

Catalogues/indexes Retain until superseded Do not transfer

Records documenting the monitoring and control of storage conditions.


Do not transfer

Records documenting the movement of items from/to storage.

Return of items + 1 year Do not transfer

Records documenting conservation work undertaken on publications.

Retain for life of items Do not transfer

Records documenting the authorisation for the disposal of redundant publications.

Retain until disposal of publications + 1 year

Do not transfer

Records documenting applications for permission to copy from published works which are not covered by Copyright Licensing Agency licences, where permission is not granted.

Retain from last action on application + 1 year

Do not transfer

Page 64 of 91


Records documenting applications for permission to copy from published works which are not covered by Copyright Licensing Agency licences, where permission is granted.

Retain for period for which permission is granted + 6 years

Do not transfer

Records documenting the compilation of statistical and other data required by the Copyright Licensing Agency, and the submission of this data to the Agency.


Do not transfer

Records documenting the institution's participation in surveys / audits undertaken by the Copyright Licensing Agency.

Retain until completion of survey/audit

Do not transfer

Records documenting the results of surveys / audits undertaken by the Copyright Licensing Agency (provided to the institution by the Agency).


Do not transfer

Records documenting the institution's participation in inspections undertaken by copyright owners or their representatives to check the institution's compliance with legal / contractual requirements.

Retain from last action on case + 1 year

Do not transfer

Intellectual Property Rights (IPR) Management


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's IPR management policies and procedures: working papers.


Do not transfer

Master copies of procedures relating to IPR management.


Do not transfer

Records documenting the institution's applications for patents and patent certificates.

Retain for life of patent + 50 years

Transfer to Archive when no longer required in department or

Page 65 of 91


facultyRecords documenting the institution's applications for other forms of IPR protection (registered trade marks, registered designs) and certificates of registration

Retain from end of registration + 6 years

Do not transfer

Records documenting applications for renewal of IPR protection, up to the maximum period permitted.

Retain for life of patent/End of registration

Do not transfer

Records documenting routine monitoring of third party activity to detect infringements of the institution's IPR.


Do not transfer

Records documenting identified infringements of the institution's IPR, and action taken other than litigation.


Do not transfer

Information & Communications Technology (ICT) Systems Management

The function of managing the University's information and communications technology (ICT) systems.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's ICT systems strategy and policies: key records.


Do not transfer

Records documenting the development and establishment of the institution's ICT systems strategy, policies and procedures: working papers.


Do not transfer

Master copies of procedures relating to the management of ICT systems.


Do not transfer

Records documenting the initial development and post-implementation modification and maintenance of ICT systems.

Records documenting the security arrangements for ICT systems.

Retain from decommissioning of system + 5 years

Do not transfer

Records documenting the initial development of ICT systems which are not implemented.

Retain from last action on development + 5 years

Do not transfer

Records documenting the Retain from termination of Do not transfer

Page 66 of 91


management of ICT systems development projects (i.e. project management records).

project + 5 years

Records documenting the routine monitoring and testing of the operation of ICT systems, and action taken to rectify problems and optimise performance.

Records documenting the management of system data storage, including the operation of routine data backup, archiving and deletion routines.

Records documenting routine monitoring of the use of ICT systems to ensure compliance with legal requirements and institutional policies.

Retain from current calendar year + 1 year

Do not transfer

Records documenting faults reported by users of ICT systems, and action taken to investigate and resolve the problem.

Retain from last action on fault + 1 year

Do not transfer

Records documenting user requests to recover data from backup or archive stores, and action taken.

Retain from last action on request + 3 months

Do not transfer

Records documenting the maintenance of appropriate software licences for live ICT systems.

Retain from issue of new licence

Do not transfer

Records documenting the opening, maintenance and closure of user accounts for ICT systems.

Retain from closure of account + 1 year

Do not transfer

Records documenting attempted or actual security breaches of the institution's ICT systems, and action taken.


Do not transfer

Requests for, and authorisation of, connections of third party equipment to the institution's networks, either on institutional premises or via dial-up communications links.

Retain from termination of connection + 1 year

Do not transfer

Page 67 of 91


Records documenting the removal/return of mobile ICT systems hardware and software from/to the institution's premises.

Retain from return of equipment + 3 months

Do not transfer

Records documenting arrangements for the sanitisation of institutional ICT equipment prior to disposal.

Retain from disposal of equipment + 1 year

Do not transfer

Records documenting the development of technical and application training for ICT system users.


Do not transfer

Equipment and Consumables Management

The function of managing equipment and consumables which are owned by the University, or which the University has legal rights to use.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's equipment and consumables strategy and policies: key records.


Do not transfer

Records documenting the development and establishment of the institution's equipment and consumables strategy, policies and procedures: working papers.


Do not transfer

Master copies of procedures relating to the management of equipment and consumables.


Do not transfer

Records documenting the development of specifications for, and the selection of, equipment/consumables: major items

Maintenance logs for equipment

Retain for life of item or equipment + 6 years

Do not transfer

Records documenting the development of specifications for, and the selection of, equipment/consumables: items which are safety critical or

Retain for life of item + 40 years


Page 68 of 91


associated with hazardous operationsRecords documenting the development of specifications for, and the selection of, equipment/consumables: other items

Retain for life of item Do not transfer

Records documenting the monitoring of the condition of stored equipment/consumables.

Records documenting routine stocktaking and stock checking.

Records documenting the movement of stock into and from storage.


Do not transfer

Records documenting the stock inventory for equipment/consumables.


Records documenting the installation of equipment: major items.

Records documenting the inspection, testing and maintenance of equipment: major items other than those specified elsewhere.

Retain until decommissioning/removal + 6 years

Do not transfer

Records documenting the installation of equipment: items which are safety critical or associated with hazardous operations.

Retain until decommissioning/removal + 40 years


Records documenting the installation of equipment: other items.

Retain until decommissioning/removal

Do not transfer

Health and Safety File for fixed plant which is a 'structure' as defined in Regulation 2 of the Construction (Design and Management) Regulations 1994 (SI 1994/3140).

Retain until decommissioning/removal of plant

Do not transfer

Reports of pre-commissioning examinations of lifting equipment, as required by Regulation 9(1) and 9(2) of the Lifting Operations and

Retain until decommissioning

Do not transfer

Page 69 of 91


Lifting Equipment Regulations 1998 (SI 1998/2307).Reports of pre-commissioning examinations of accessories for lifting, as required Regulation 9(1) of the Lifting Operations and Lifting Equipment Regulations 1998 (SI 1998/2307).


Do not transfer

Records documenting the inspection, testing and maintenance of equipment, except as specified elsewhere.

Records documenting authorisation for the disposal of equipment/consumables, and the evaluation of alternative methods of disposal.

Records documenting the transfer of ownership of equipment/consumables.

Retain from disposal of item + 1 year

Do not transfer

Records documenting inspections of equipment, made under Regulation 6 of the Provision and Use of Work Equipment Regulations 1998 (SI 1998/2306).

Retain until completion of subsequent inspection

Do not transfer

Records documenting the inspection, testing and maintenance of equipment: items which are safety critical or are associated with hazardous operations.

Retain until decommissioning/Disposal + 15 years


Records documenting the examination, testing and repair of plant and equipment provided to control exposure to substances hazardous to health, as required by Regulation 9 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677).

Records documenting the examination, testing and repair of plant and equipment provided to control exposure to asbestos, as required by Regulation 13 of the Control of Asbestos Regulations


Do not transfer

Page 70 of 91


2006 (SI 2006/2739).

Records documenting the examination, testing and repair of plant and equipment provided to control exposure to lead, as required by Regulation 8 of the Control of Lead at Work Regulations 2002 (SI 2002/2676).

Records documenting the examination, testing and repair of other equipment provided to control exposure to ionising radiation, as required by Regulation 10(1) of the Ionising Radiations Regulations 1999 (SI 1999/3232).Records documenting the examination, testing and repair of personal protective equipment provided to control exposure to ionising radiation, as required by Regulation 10(2) of the Ionising Radiations Regulations 1999 (SI 1999/3232).


Do not transfer

Records documenting the maintenance and testing of equipment for monitoring levels of ionising radiation, as required by Regulation 19(2) of the Ionising Radiations Regulations 1999 (SI 1999/3232).

Retain from date of maintenance/testing + 2 years

Do not transfer

Reports of inspection and 'thorough examination' of lifting equipment, as required by Regulation 9 of the Lifting Operations and Lifting Equipment Regulations 1998 (SI 1998/2307).

Retain until date of subsequent report OR Date of report + 2 years, whichever is the later

Do not transfer

Records documenting the cleaning/sanitisation of equipment/consumables prior to disposal: items used in connection with operations involving substances hazardous to health.

Retain from disposal of item + 15 years


Records documenting the cleaning/sanitisation of equipment/consumables prior to disposal: other items.

Retain from disposal if item + 6 years

Do not transfer

Insurance Management The function of assessing the

Page 71 of 91


University's liabilities and insurance needs, and of maintaining adequate insurance cover.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's insurance strategy and policies: key records.


Do not transfer

Records documenting the development and establishment of the institution's insurance strategy, policies and procedures: working papers.


Do not transfer

Master copies of procedures relating to the management of insurance cover and claims.


Do not transfer

Records documenting the arrangement and renewal of insurance policies: all other insurance.

Records documenting the arrangement and renewal of insurance policies: employers' liability insurance.

See also Employers' Liability Insurance Certificates.

Retain until expiry of policy + 6 years

Do not transfer

Employers' Liability Insurance Certificates

Retain until Commencement/Renewal of policy + 40 years


Records documenting claims, and the outcomes of claims, against insurance policies.

Retain from settlement of claim + 6 years

Do not transfer

Procurement The function of purchasing goods, works and services from external organisations.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Page 72 of 91


Records documenting the development and establishment of the institution's procurement strategy and policies: key records.

Superseded + 5 years Do not transfer

Records documenting the development and establishment of the institution's procurement strategy, policies and procedures: working papers.


Do not transfer

Master copies of procedures relating to the management of procurement.


Do not transfer

Records documenting supplier evaluation criteria.


Do not transfer

Records documenting invitations to prospective suppliers to apply for approval.

Retain from Expiry of invitation OR Rejection of application + 6 months OR Completion of approval

Do not transfer

Records documenting the evaluation of applications for approval from prospective suppliers, and notification of the outcome : approved suppliers.

Retain until termination of approval

Do not transfer

Records documenting the evaluation of applications for approval from prospective suppliers, and notification of the outcome : rejected suppliers.

Retain until rejection + 1 year

Do not transfer

Supplier database Retain current Do not transfer

Records documenting the process of inviting and evaluating pre-qualification submissions from prospective suppliers.

Records documenting the issue of Invitations to Tender and handling of incoming tenders.

Records documenting the evaluation of tenders, the conduct of negotiations with tenderers and the notification of the results of the tender evaluation process: rejected tenders.

Retain from award of supply contract + 1 year

Do not transfer

Page 73 of 91


Records documenting Invitations to Tender and tender evaluation criteria.

Retain from termination of supply contract awarded + 6 years

Do not transfer

Records documenting the evaluation of tenders, the conduct of negotiations with tenderers and the notification of the results of the tender evaluation process: accepted tenders.

Contract award notices sent to the Official Journal, as required by Regulation 31 of the Public Contracts Regulations 2006 (SI 2006/5) or by Regulation 31 of the Public Contracts (Scotland) Regulations 2006 (SSI 2006/1)

Records documenting variations to contracts (e.g. revisions, extensions).

Records documenting the monitoring of supplier performance and action taken regarding under-performance.

Retain from termination of contract + 6 years

Do not transfer

Records documenting contracts awarded, containing the information specified in Regulation 32 (14) of the Public Contracts Regulations 2006 (SI 2006/5) or by Regulation 32(14) of the Public Contracts (Scotland) Regulations 2006 (SSI 2006/1)

Retain from termination of contract + 10 years


Statistical and other reports on contracts awarded prepared for the Office of Government Commerce, as required by Regulation 40 of the Public Contracts Regulations 2006 (SI 2006/5) or for the Scottish Ministers, as required by the Public Contracts (Scotland) Regulations 2006 (SSI 2006/1)


Do not transfer

Records documenting purchasing authorisation limits.


Do not transfer

Records documenting internal authorisation for procurement.


Do not transfer

Purchase Orders Retain for current financial Do not transfer

Page 74 of 91


Goods Received Notes/Goods Inwards Notes

year + 6 years

Publishing The function of publishing materials for internal or external distribution.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's publishing strategy: key records.

Records documenting the development and establishment of the institution's publishing policies: key records.


Do not transfer

Records documenting the development and establishment of the institution's publishing strategy, policies and procedures: working papers.


Do not transfer

Master copies of procedures relating to the management of publishing.


Do not transfer

Records documenting the design, commissioning, editing and production of publications.

Retain from issue of publication + 1 year

Do not transfer

Records documenting the distribution of publications.


Do not transfer

Records documenting the development of marketing plans for publications.

Retain for life of publication Do not transfer

Management Information Collection, Analysis & Reporting

The function of collecting and maintaining management information and of producing management information reports for internal use.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Dataset specifications and protocols for submission and collation of data.


Page 75 of 91


Management information reports Retain for current calendar year + 3 years

Do not transfer

Corporate RelationsPublic Relations Management The function of raising and

maintaining the University's public profile, and of managing its relationships with the public.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's public relations strategy and policies: key records.


Do not transfer

Records documenting the development and establishment of the institution's public relations strategy, policies and procedures: working papers.


Do not transfer

Master copies of procedures relating to public relations.


Do not transfer

Records documenting enquiries from members of the public and the responses provided.


Do not transfer

Records documenting unsolicited feedback from members of the public, the internal handling of this feedback and the responses provided.

Retain from last action on feedback + 1 year

Do not transfer

Records documenting the design and conduct of public surveys.

Results of public surveys: summaries and analyses of responses

Retain from completion of survey + 3 years

Do not transfer

Results of public surveys: individual responses

Retain from completion of analysis of survey responses

Do not transfer

Records documenting complaints from members of the public, the internal handling of these complaints and the responses provided.

Retain from last action on complaint + 1 year

Do not transfer

Records documenting the planning and impact/results of public events.

Retain from completion of event + 3 years

Do not transfer

Page 76 of 91


Records documenting the organisation and administration of public events.

Retain from completion of event + 1 year

Do not transfer

Records documenting the organisation and administration of official visits.

Retain from completion of visit + 1 year

Do not transfer

Records documenting the arrangements for corporate sponsorship of public events by the institution.

Retain until termination of sponsorship + 6 years

Do not transfer

Records documenting the management of the institution's relationship with donors to the institution (other than in response to fundraising campaigns).

Retain duration of relationship + 6 years

Do not transfer

Records documenting the process of making donations to third parties.

Retain from last action on donation + 6 years

Do not transfer

Media Relations Management The function of managing the University's relationships with the media.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's media relations strategy and policies: key records.


Do not transfer

Records documenting the development and establishment of the institution's media relations strategy, policies and procedures: working papers.


Do not transfer

Master copies of procedures relating to media relations.


Do not transfer

Records documenting the institution's media contacts.


Records documenting the planning and organisation of media briefings.

Retain from date of briefing + 1 year

Do not transfer

Transcripts of media briefings Retain from date of briefing + 5 years

Do not transfer

Records documenting the planning and organisation of media interviews.

Retain from date of interview + 1 year

Do not transfer

Page 77 of 91


Transcripts of media interviews Retain from date of interview + 5 years

Do not transfer

Press Releases

Records documenting the monitoring and analysis of media coverage of the institution.


Do not transfer

Records documenting media enquiries, the internal handling of these enquiries and responses provided.

Retain from last action on enquiry + 3 years

Do not transfer

Press cuttings Retain from creation + 1 year

Do not transfer

HE/FE Sector Relations Manager The function of managing the University's relationships with organisations in the HE and FE sectors.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's HE/FE sector relations strategy and policies: key records.

Records documenting the development and establishment of the institution's HE/FE sector relations policies: key records.


Do not transfer

Records documenting the development and establishment of the institution's HE/FE sector relations strategy, policies and procedures: working papers.


Do not transfer

Master copies of procedures relating to HE/FE sector relations.


Do not transfer

Records documenting the institution's general communications with other HE/FE institutions, other educational institutions, professional associations and learned bodies.


Do not transfer

Records documenting the production of publications specifically intended for the HE and/or FE sector(s).

Retain from publication + 1 year

Do not transfer

Page 78 of 91


Publications Retain while current + 1 year

Do not transfer

Records documenting general enquiries from institutions and other bodies in the sector, the internal handling of these enquiries and the responses given.

Retain from last action of enquiry + 1 year

Do not transfer

Records documenting the preparation of the institution's formal responses to consultations conducted by HE/FE sector organisations (including records of internal consultation processes).

Retain from last action on consultation + 1 year

Do not transfer

Records documenting the institution's formal responses to consultations conducted by HE/FE sector organisations.

Retain from last action on consultation + 3 years

Do not transfer

Records documenting the preparation and submission of reports to HE/FE regulatory bodies.

Retain from submission of report + 3 years

Do not transfer

Records documenting the planning and impact/results of events for the HE sector.


Do not transfer

Records documenting the organisation and administration of events for the HE sector.


Do not transfer

Records documenting the institution's membership of organisations.

Retain from termination of membership + 1 year

Do not transfer

Records documenting the institution's participation in the activities of external organisations (including committees).

Retain from termination of involvement + 1 year

Do not transfer

Records documenting the establishment of formal contractual relationships between the institution and other HE/FE institutions.

Retain from termination of contractual relationship + 6 years

Do not transfer

Community Relations Management The function of managing the University's relationship with its local community.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's community relations strategy, policies and procedures: working papers.


Do not transfer

Page 79 of 91


Records documenting the development and establishment of the institution's community relations policies: key records.


Do not transfer

Master copies of procedures relating to community relations.


Do not transfer

Records documenting enquiries from members of the local community and the responses provided.

Retain from last action of enquiry + 1 year

Do not transfer

Records documenting unsolicited feedback from members of the local community, the internal handling of this feedback and the responses provided.

Retain from last action on feedback + 1 year

Do not transfer

Records documenting the design and conduct of community surveys.


Do not transfer

Results of community surveys: individual responses

Retain from completion of analysis of survey responses

Do not transfer

Results of community surveys: summaries and analyses of responses


Do not transfer

Records documenting complaints from members of the local community, the internal handling of these complaints and the responses provided.

Retain from last action on complaint + 1 year

Do not transfer

Records documenting the planning and impact/results of local community events.


Do not transfer

Records documenting the organisation and administration of local community events.


Do not transfer

Records documenting the institution's membership of local community organisations.

Retain from termination of membership + 1 year

Do not transfer

Records documenting the institution's participation in the activities of local community organisations (including committees).

Retain from termination of involvement + 1 year

Do not transfer

Alumni Relations Management The function of managing the University's relationship with its alumni.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER

Page 80 of 91


RECORDS)Records documenting the development and establishment of the institution's alumni relations strategy and policies: key records.


Do not transfer

Records documenting the development and establishment of the institution's alumni relations strategy, policies and procedures: working papers.

Retain from issue of strategy, policy and procedure + 1 year

Do not transfer

Master copies of procedures relating to alumni relations.


Do not transfer

Records containing personal data on individual alumni.

Retain while current (or likely to be current)

Do not transfer

Summary (anonymised) statistical records of alumni



Records documenting the design, planning and production of official alumni communications.

Retain from issue of communication + 1 year

Do not transfer

Alumni communications Retain from issue + 1 year Do not transfer

Records documenting enquiries from alumni and the responses provided.

Retain until last action on enquiry + 1 year

Do not transfer

Records documenting unsolicited feedback from alumni, the internal handling of this feedback and the responses provided.

Retain until last action on feedback + 1 year

Do not transfer

Records documenting the design and conduct of alumni surveys.

Results of alumni surveys: summaries and analyses of responses


Do not transfer

Results of alumni surveys: individual responses

Retain until completion of analysis of survey responses

Do not transfer

Records documenting the handling of complaints from alumni.

Retain until last action on complaint + 3 years

Do not transfer

Records documenting the planning and impact/results of institutional events for alumni.


Do not transfer

Page 81 of 91


Records documenting the organisation and administration of institutional events for alumni.

Retain until completion of event + 1 year

Do not transfer

Records documenting the administration of financial and other support given to individual alumni organisations.


Do not transfer

Records documenting requests from alumni associations for financial or other support, the internal handling of these requests and the responses provided.

Retain until last action on request + 1 year

Do not transfer

Records documenting the administration of financial and other support to alumni organisations.

Retain for current financial year +1 year

Do not transfer

Records documenting requests for contact details for alumni, action taken and the responses provided.


Do not transfer

Fundraising The function of soliciting funds directly from organisations and individuals, and of managing relationships with donors.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's fundraising strategy and policies: key records.


Do not transfer

Records documenting the development and establishment of the institution's fundraising strategy, policies and procedures: working papers.


Do not transfer

Master copies of procedures relating to fundraising.


Do not transfer

Records documenting the design, conduct and summary results of fundraising campaigns.

Retain from last action on campaign + 5 years

Do not transfer

Records containing details of individual responses to fundraising campaigns.

Retain until completion of analysis of data

Do not transfer

Records documenting the handling of enquiries about making donations to the institution.


Do not transfer

Records documenting donations to the institution.


Do not transfer

Student Relations Management The function of managing the

Page 82 of 91


University's relationship with its student body.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's student relations strategy and policies: key records.


Do not transfer

Records documenting the development and establishment of the institution's student relations strategy, policies and procedures: working papers.


Do not transfer

Master copies of procedures relating to student relations.


Do not transfer

Records documenting the establishment and operation of staff-student liaison committees.


Do not transfer

Records documenting the operation of staff-student liaison committees.


Do not transfer

Records documenting the design and conduct of student surveys.

Results of student surveys: summaries and analyses of responses

Retain until completion of survey + 5 years

Do not transfer

Results of student surveys: individual responses

Retain until completion of analysis of survey responses

Do not transfer

Records documenting the design of, and overall response to, student suggestion schemes.

Retain until closure of scheme + 5 years

Do not transfer

Records documenting the handling of suggestions from individual students.

Retain from last action on suggestion + 1 year

Do not transfer

Government Relations Management The function of managing the University's relationships with government bodies.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Page 83 of 91


Records documenting the development and establishment of the institution's government relations strategy and policies: key records.


Do not transfer

Records documenting the development and establishment of the institution's government relations strategy, policies and procedures: working papers.

Retain until issue of strategy, policy or procedure + 1 year

Do not transfer

Master copies of procedures relating to government relations.


Do not transfer

Records documenting general correspondence with government bodies.


Do not transfer

Records documenting requests for information from government bodies, the consideration of the requests, preparation of responses and the responses provided.

Retain from last action on request + 5 years

Do not transfer

Records documenting the consideration and preparation of the institution's formal responses to consultations conducted by government bodies (including records of internal consultation processes).


Do not transfer

Records documenting the institution's formal responses to consultations conducted by government bodies.


Do not transfer

Records documenting the preparation and submission of reports to government bodies.

Retain from submission of report + 3 years

Do not transfer

Records documenting the institution's participation in formal government or public inquiries.

Retain from last action on inquiry + 10 years


Parliamentary Relations Management The function of managing the University's relationships with parliamentary bodies.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Page 84 of 91


Records documenting the development and establishment of the institution's parliamentary relations strategy and policies: key records.


Do not transfer

Records documenting the development and establishment of the institution's parliamentary relations strategy, policies and proceudres: working papers.


Do not transfer

Master copies of procedures relating to parliamentary relations.


Do not transfer

Records documenting general correspondence with parliamentary bodies.


Do not transfer

Records documenting requests for information from parliamentary bodies, the consideration of the requests, preparation of responses and the responses provided.

Retain from last action on request + 5 years

Do not transfer

Records documenting the preparation of the institution's formal responses to consultations conducted by parliamentary bodies (including records of internal consultation processes).


Do not transfer

Records documenting the institution's formal responses to consultations conducted by parliamentary bodies.


Do not transfer

Records documenting the institution's participation in formal parliamentary inquiries.

Retain from last action on inquiry + 10 years


Students’ Union Relations Management The function of managing the University’s relationship with its students’ union, including fulfilling its responsibilities under the Education Act 1994.


ACTION IN ARCHIVES

Page 85 of 91


DEPARTMENT/FACULTY (PAPER RECORDS)

Records documenting the development and establishment of the institution's students' union relations strategy: key records.

Code of Practice required by Section 22(3) of the Education Act 1994.



Records documenting the development and establishment of the institution's students' union relations strategy, policies and procedures: working papers.


Do not transfer

Records documenting the development and establishment of the institution's policies and procedures on students' union relations: key records.


Do not transfer

Records documenting the development and establishment of the institution's code of practice on the oversight of the operations and finances of its students' union, as required by Section 22(3) of the Education Act 1994.

Retain from issue of revised Code of Practice + 1 year

Do not transfer

Records documenting the process of negotiating and agreeing funding to be provided by the institution to its students' union.


Do not transfer

Records documenting the investigation and reporting on complaints against the students' union by independent investigators appointed by the institution's governing body.

Retain from settlement of complaint + 6 years

Do not transfer

Marketing The function of marketing the University.


DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's marketing strategy and policies: key records.


Do not transfer

Page 86 of 91


Records documenting the development and establishment of the institution's marketing strategy, policies and procedures: working papers.


Do not transfer

Master copies of procedures relating to marketing.


Do not transfer

Records documenting the design and development of market research tools.

Market research data: aggregated data and analyses.

Retain until completion of research + 5 years

Do not transfer

Market research data: data relating to identifiable individuals.

Retain until completion of analysis of data

Do not transfer

Records documenting the design, implementation and review of marketing campaigns.

Retain until completion of campaign + 3 years

Do not transfer

Records documenting the design of the institution's corporate identity marks (logos etc.).

Records documenting the development of corporate style guides for official use of corporate identity marks.


Records documenting the development, placement and impact of advertisements.

Retain while current + 5 years

Do not transfer

Related Companies ManagementRECORDS ACTION TO BE TAKEN


ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the formation of the [related company].

Retain life of company + 10 years


Records documenting the oversight and periodic review of the performance of the [related company].


Do not transfer

Records documenting the winding-up of the [related company] or the disposal of the institution's interest in it.

Retain until wind-up/Disposal of company + 6 years

Do not transfer

Commercial Services Management

Page 87 of 91



DEPARTMENT/FACULTY

ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's [commercial service] strategy, policies and procedures: key records.


Do not transfer

Records documenting the development and establishment of the institution's [commercial service] strategy, policies and procedures: working papers.


Do not transfer

Records documenting enquiries about the [commercial service] and the responses provided.


Do not transfer

Records documenting the handling of complaints from customers of the [commercial service].


Do not transfer

Records documenting unsolicited customer feedback on the [commercial service] and the responses provided.

Retain from last action on feedback + 3 years

Do not transfer

Records documenting the design of [commercial service] customer surveys and the (anonymised, if necessary) analysis of responses.

Retain from last action on survey + 3 years

Do not transfer

Individual responses to [commercial service] customer surveys.


Do not transfer

Corporate Services ManagementRECORDS ACTION TO BE TAKEN


ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's [corporate service] strategy, policies and procedures: key records.


Do not transfer

Records documenting the development and establishment of the institution's [corporate service] strategy, policies and procedures: working papers.


Do not transfer

Records documenting enquiries about the [corporate service] and


Do not transfer

Page 88 of 91


the responses provided.Records documenting the handling of complaints from customers of the [corporate service].


Do not transfer

Records documenting unsolicited customer feedback on the [corporate service] and the responses provided.


Do not transfer

Records documenting the design of [corporate service] customer surveys and the (anonymised, if necessary) analysis of responses.


Do not transfer

Individual responses to [corporate service] customer surveys.


Do not transfer

Student Service ManagementRECORDS ACTION TO BE TAKEN


ACTION IN ARCHIVES

(PAPER RECORDS)

Records documenting the development and establishment of the institution's [student service] strategy, policies and procedures: key records.


Do not transfer

Records documenting the development and establishment of the institution's [student service] strategy, policies and procedures: working papers.


Do not transfer

Records documenting enquiries about the [student service] and the responses provided.


Do not transfer

Records documenting the handling of complaints from customers of the [student service].


Do not transfer

Records documenting unsolicited customer feedback on the [student service] and the responses provided.


Do not transfer

Records documenting the design of [student service] customer surveys and the (anonymised, if necessary) analysis of responses.


Do not transfer

Individual responses to [student service] customer surveys.


Do not transfer

Business Unit ManagementRECORDS ACTION TO BE TAKEN

IN ACTION IN ARCHIVES

Page 89 of 91


DEPARTMENT/FACULTY (PAPER RECORDS)

Records documenting work allocation/scheduling (e.g. duty rosters).

Records documenting the progress of work.

Retain current calendar year

Do not transfer

Desk diaries (and similar 'official' work planning/scheduling tools).


Do not transfer

Records documenting the arrangements for meetings.

Retain until date of meeting

Do not transfer

Records documenting the conduct of meetings: agenda, minutes and supporting papers.


Do not transfer

Records documenting travel arrangements.

Retain until completion of travel + 3 months

Do not transfer

OTHER RELEVANT POLICIES

Document Management Policy

Page 90 of 91

Documents

Ulster University Schedule Cover Sheet · Web viewRecords documenting the disposal of properties by sale, transfer or donation. Retain from disposal of property + 12 years Transfer