Document Retention Policy KILMARNOCK COLLEGE

Transcription

1 KILMARNOCK COLLEGE Document Retention Policy Policy Number: KC/QM/021 Date of Issue: November 2009 Revision Number: 0 Date of Approval: September 2009 for Review: Vice Principal Date of Last Review: October 2009 Date of Next Review: October 2010 Impact Assessment: Yes Page 1

2 Contents 1 General Introduction 2 2 Reasons for Retaining a Document 3 3 Final Review 4 4 Freedom of Information (Scotland) Act Data Protection Act Destruction of Records 5 7 Records Prior to Appendix 1 Document Retention s Learning and Teaching 6 Marketing / PR / Events / Centenary Trust 6 Strategic Planning / Board of Management 7 Assessment and Examinations 7 Staff 8-9 Students / Student Association 10 Quality Management Documentation 10 Procurement 11 Learning Resource Centre 11 IT 12 Premises / Estates 12 Health and Safety 13 Plant and Equipment Maintenance 14 Waste Management 14 Internal Services / Security 14 Financial 15 Intellectual Property Management 17 European Projects Documentation 17 Appendix 2 Procedure for Archiving Documentation 19 Appendix 3 European Documentation 20 Page 2

3 1 General Introduction The Document Retention Policy provides information and guidance relative to the retention of: Learning and Teaching Marketing / PR / Events / Centenary Trust Strategic Planning / Board of Management Examinations Staff Students / Student Representative Council Procurement Learning Resource Centre IT Premises / Estates / Insurance Health and Safety Plant and Equipment Maintenance Waste Management Internal Services / Security Financial Intellectual Property Rights European Projects Documentation The Document Retention Policy does not in all cases specify retention periods because these depend on the individual content and importance of the document. Therefore the Policy has been designed to give the reviewer the basis on which to consider the reasons for retaining any document. Appendix 1 gives details of retention periods relevant to Kilmarnock College. It is intended that Appendix 1 remains a working document and any omissions from the Appendix should be notified to the Vice Principal. Appendix 2 sets out the procedure for archiving documentation. Documents may be retained within the area from which it has originated, or be sent off-site for storage. 2 Reasons for Retaining a Document (a) The document still has a use or business purpose. Where Kilmarnock College still has a use for a document, it should be retained until no longer of use. This will normally be obvious but, if in doubt, check with the originator of the document, or with the Vice Principal. (b) There is an applicable Statutory In some cases Parliament has set specific minimum time periods for retaining certain documents. Where there is a special statutory minimum period, the document must be retained for at least this period. Some of the relevant statutory minimum retention periods are set out in Appendix 1. Any other statutory minimum Page 3

4 (c) retention periods that are relevant to the documents that Kilmarnock College holds must be provided to the Vice Principal. The document is relevant to an outstanding claim or current litigation, arbitration or investigation If a document is relevant to an outstanding or likely claim, arbitration or litigation, the document must be retained. Please contact the Vice Principal before destroying any document that may be subject to such action. (d) Does the document have evidential value for a possible claim, litigation, arbitration or investigation? These prescriptive periods (the time limits within which a legal action must be brought) are relevant. Legal actions raised against Kilmarnock College are a possibility. Therefore the reviewer should consider whether any document could be used to support or oppose a position in an investigation, arbitration or litigation. If so, the document should be retained until that possibility has expired. Advice on prescriptive periods can be sought from the Vice Principal. (e) Could the document be relevant in an Audit? In some cases external bodies have the right to audit the actions and decisions of Kilmarnock College. For example, SFC has a right to audit use of funds provided by it up to three years after the funds were provided. Where a document is or might be required for an audit, it must be retained until the audit right has expired. Where audits are likely to take place and records are required to be retained for longer periods, this should be notified to the Vice Principal. (f) Is the document a management document, or a policy or procedure, or standard terms and conditions (eg staff handbook, disciplinary procedures)? 3 Final Review All high level management documents evidencing decisions, and one copy of each version (together with the dates it was in use) of all policies and procedures, should be retained. Authorisation prior to destruction should be sought from the Vice Principal. If questions 2(a) to (f) above do not apply, and there is no reason to retain a document, it should be destroyed under the provisions of this Policy. Where the reviewer is in any doubt about the destruction of a document, advice should be sought from the Vice Principal. In the case of any document of potentially historical or other significance, Kilmarnock College may apply to archive this at the Scottish Records Office. 4 Freedom of Information (Scotland) Act 2002 Page 4

5 Under the Freedom of Information (Scotland) Act 2002, Scottish Ministers have issued a code of practice providing guidance to Scottish public authorities as to the practice which it would be desirable for the authorities to follow in connection with the keeping, management and destruction of records. Although not mandatory, following this code would provide a strong defence in the case of complaints. The Document Retention Policy will continue to be reviewed to ensure Kilmarnock College complies as far as practicable with the guidance given in this code of practice. 5 Data Protection Act 1998 Under the Data Protection Act 1998, individuals have the right to request a copy of any information held about them. In general they are entitled to receive a copy of the information held about them as at the date of receipt by Kilmarnock College of the request for information (Subject Access Request). However the information that Kilmarnock College provides in response to a Subject Access Request may take account of any amendment or deletion that would have been made regardless of the receipt of the request. Therefore, outstanding Subject Access Requests that have not yet been processed do not require to be taken into account before making a decision to destroy a document, provided that the decision to destroy is not based in any way on this Subject Access Request. The time limit for responding to Subject Access Requests is 40 days from the receipt of a valid request. The Data Protection Act also provides that Personal Data (which means any data from which or through which a living individual can be identified) must be accurate and may only be retained if the data is strictly necessary for a specified purpose. The review of files containing Personal Data must take account of these provisions of the Data Protection Act and the destruction of irrelevant and out of date Personal Data is a legal requirement. Further information is contained in Data Protection Act 1998: Technical Guidance. 6 Destruction of Documents Under the Freedom of Information (Scotland) Act 2002, a permanent record must be kept of the destruction of all of documents listed in Appendix 1. The Manager responsible for retaining the record should approve the destruction of the document, and send this to the Director of Organisational Development for approval, in case of any outstanding European claims. Finally, approval should be sought from the Vice Principal, to ensure no potential litigation claims or other actions are outstanding. The Vice Principal will be responsible for maintaining this record. 7 Records Prior to June 2009 It is accepted that, as this Policy was introduced in June 2009, records prior to this date may have been destroyed in error, or may not be in place. Should any requests for information or difficulties arise, advice should be sought from the Vice Principal. Page 5

6 Kilmarnock College Document Retention s Appendix 1 Learning and Teaching Document Course Team Minutes / Current + 1 year JISC Curriculum Managers Evidence Course Team Reports Current + 2 years JISC Curriculum Managers Learning and Teaching Permanent (sample JISC Curriculum Managers Materials only) College Course/Programme Permanent JISC Quality Enhancement Manager Approvals Committee papers Student Destination Statistics Permanent JISC Marketing Service Leader Student Satisfaction Surveys Current + 1 year JISC Marketing Service Leader survey data Student Satisfaction Surveys Permanent JISC Marketing Service Leader reports / statistics Student Complaints Current + 6 years College Principal Marketing / PR / Events / Centenary Trust Document Marketing and Promotional Materials Press Cuttings / Coverage Statistics Awards / Graduation Ceremony Programmes Competitor Information / Market Research Permanent JISC Head of External Relations Permanent Head of External Relations Permanent JISC Head of External Relations Current + 2 years JISC Head of External Relations Student / Staff Newsletters Permanent (2 copies) JISC Marketing Service Leader Annual Reports Permanent Head of External Relations Identification of Fundraising Opportunities Current + 20 years JISC Head of External Relations Page 6

7 Fundraising Events / Campaigns (promotional material / guest lists / etc) Donor / Sponsor summary records Permanent JISC Marketing Service Leader Termination of Relationship + 20 years JISC Head of External Relations Strategic Planning / Board of Management Document Curriculum / Service Group Current + 5 years College Executive Assistant Development Plans Operational Plan Permanent JISC Executive Assistant Strategic Plan Permanent JISC Executive Assistant Board of Management / Permanent JISC College Secretary Committee Papers and Minutes Governance Documentation Permanent JISC College Secretary JNC / JCC Papers and Minutes Permanent JISC Human Resource Manager Company Register Life of company + 2 Statutory Companies Act College Secretary years from dissolution 1985 Section 65 Senior Management Team / Management Team meeting papers and minutes Permanent JISC Executive Assistant Assessment and Examinations Document Definition of exam / assessment Permanent JISC Quality Enhancement Manager rules Design of exam / assessment Permanent JISC Quality Enhancement Manager rules Exam scripts / assignments Current + 1 year JISC / College Quality Enhancement Manager Assessment Evidence Current + 1 year College Curriculum Manager Examiners Marking Sheets Current + 6 years JISC Quality Enhancement Manager Examiners Notes / Reports Current + 6 years JISC Quality Enhancement Manager External Moderation / Verification Reports Current + 6 years JISC Quality Enhancement Manager Page 7

8 Assignment of Invigilators Current JISC Quality Enhancement Manager Pass lists / Assessment Results Permanent JISC ICT/MIS Manager Complaints / Appeals 6 years from date of JISC Quality Enhancement Manager settlement Course Timetables Current + 1 year JISC ICT/MIS Manager Exam Timetables Current + 1 year JISC Quality Enhancement Manager Internal Verification Sampling Records Current + 1 year Kilmarnock College Curriculum Manager Staff Document Personal files Termination of Statutory Limitation Act Human Resources Manager Relationship + 7 years Manpower plans Permanent JISC Human Resources Manager Succession plan Permanent JISC Human Resources Manager Staff Development and Career Current + 3 years JISC Human Resources Manager Review/Performance development and Review Records Staff disciplinary reports Settlement of case + 6 Statutory Limitation Act Human Resources Manager years (must be removed from HR file in accordance with disciplinary procedure) Training Needs Analysis Current + 10 years JISC Training & Development Advisor Advertisement of training opportunities Current + 1 year JISC Training & Development Advisor Evaluation / feedback of training Current + 2 years JISC Training & Development Advisor Job Descriptions Current + 5 years JISC Human Resources Manager Job evaluation reports Current + 5 years JISC Human Resources Manager Provision of information to / Current + 5 years JISC Human Resources Manager about current / former staff (eg references) Subject Access Requests Completion of request + 1 year JISC Director or Organisational Development Authorisation to recruit forms Current + 1 year JISC Human Resources Manager Page 8

9 Advertising of vacancies Filling of vacancy + 6 months Statutory Various! Human Resources Manager Job application forms, interview notes, test results, references: Successful candidate Job application forms, interview notes, test results, references: Unsuccessful Candidate Ethnic Monitoring Transfer to personal file Filling of vacancy + 6 months Statutory Various Human Resources Manager Statutory Various Human Resources Manager Current + 5 years Statutory Various Human Resources Manager Questionnaires / Reports Staff opinion surveys Current + 5 years Human Resources Manager Exit interview reports Current + 5 years Human Resources Manager Staff handbooks Permanent Human Resources Manager Personal pension records Statutory maternity pay records and calculations Statutory Sick Pay records and calculations Termination of employment + 75 years Current Financial Year + 3 years Current financial year + 3 years Statutory Statutory Statutory Maternity Pay (General) Regulations 1982 Statutory Sick Pay (General) Regulations 1982 Health Records During employment Statutory Management of Health and Safety at Work Regulations 1992 Tax and National Insurance Returns Current + 7 years Statutory Inland Revenue Regulations Payroll and Wages Records Current + 6 years Statutory Inland Revenue Regulations Statutory Sick Pay and Statutory Maternity and Paternity Pay Current + 3 years Statutory Statutory Maternity Pay (General Regulations) 1982 and Employment Act 2002 Human Resources Manager Human Resources Manager Human Resources Manager Human Resources Manager Finance Manager Finance Manager Finance Manager Page 9

10 Records for personal liability claims (eg if employee has had an industrial accident) Current + 12 years Best Practice Human Resources Manager Students Staff Document Personal Learning Plans and Current + 10 years JISC Curriculum Managers Records of Achievement Extended Learning Support Plans Current + 10 years JISC Head of Widening Access & Participation Student Files Termination of JISC ICT/MIS Manager relationship + 6 years Student Register Permanent JISC ICT/MIS Manager Provision of information to / Completion of request JISC ICT/MIS Manager about current / past students (eg reference requests, confirmation of attendance etc) + 1 year Student disciplinary records Termination of JISC Quality Enhancement Manager Formation, management and operation of Student Association Organisation of student activities and events Student Handbooks / SRC Alternative Handbook Student medical documentation Relationship + 6 years Permanent JISC Head of Customer Services Permanent JISC Curriculum Managers Permanent (2 copies) JISC Head of Customer Services Termination of relationship + 6 years JISC ICT/MIS Manager Quality Management Documentation Document Internal Quality Audit Records Current + 3 years TQS Quality Enhancement Manager External Quality Audit Records Current + 3 years TQS Quality Enhancement Manager Page 10

11 Procurement Document Identification and vetting of potential suppliers Tender documentation (invitation to tender, tenders, tender evaluation) for successful company Tender documentation for unsuccessful company Requests for proposals, proposals and evaluation documentation for successful company Requests for proposals, proposals and evaluation documentation for unsuccessful company Management of supplier relationships files Monitoring of supplier performance / contractor review reports Current + 5 years JISC Finance Manager Termination of supply contract + 6 years Statutory Limitation Act Current + 1 year Statutory Limitation Act Termination of supply Statutory Limitation Act contract + 6 years Current + 1 year Statutory Limitation Act Termination of relationship + 2 years Termination of contract + 6 years Director of Finance Director of Finance Director of Finance Director of Finance JISC Director of Finance Statutory Limitation Act Finance Manager Learning Resource Centre Document Service delivery Current + 6 years JISC Learning Resource Centre Service Leader Inter-library loan forms Current + 6 years JISC Learning Resource Centre Service Leader Enquiry forms Completion of request + 1 year Statutory British Library requirement Learning Resource Centre Service Leader Loans records / database Current JISC Learning Resource Centre Service Leader Page 11

12 IT Document Specification of functional and technical requirements for IT hardware, software and networks Installation, testing and operation of hardware, software and networks Operation of data backup and archiving routines Design, development and implementation of IT Systems Current JISC ICT/MIS Manager Current + 5 years JISC ICT/MIS Manager Current + 1 year JISC ICT/MIS Manager Decommissioning of system + 5 years JISC ICT/MIS Manager Premises / Estates Document Title deeds Disposal of property JISC Director of Estates Leases Disposal of property JISC Director of Estates Director of Estates Planning applications Disposal of property JISC Director of Estates Fire inspection reports, fire Current + 5 years JISC Director of Estates certificates Building plans / drawings Disposal of property JISC Director of Estates Insurance Policies Termination of Policy + Statutory Limitation Act Director of Estates 6 years Filing of claims against insurance policies (claims / reports) Settlement of claim + 6 years Statutory Limitation Act Director of Estates Page 12

13 Health and Safety Document Risk Assessment Reports Review of Assessment Statutory Various! Estates & Facilities Manager + 3 years Current + 40 years Statutory Various! Estates & Facilities Manager Monitoring of working environments Reports COSHH Data Sheets Current + 40 years Statutory Control of Substances Hazardous to Health Health and Safety & Wellbeing Advisor Regulations 1994 Control of access to hazardous Current + 3 JISC Estates & Facilities Manager areas / permits to work Monitoring the health of Current + 40 years Statutory Various! Human Resource Manager employees / health surveillance reports Reporting and investigation of Date of Accident + 40 Statutory Limitation Act Estates & Facilities Manager accidents and dangerous years occurrences Accident books Completion of book + 3 Statutory Health and Safety Health and Safety & Wellbeing years at Work Act 1974 Advisor Accident Report Form F2508 Health and Safety & Wellbeing (Reportable Accidents and Advisor Dangerous Occurrences) Accident reports Date of occurrence + 3 years Dangerous Occurrence Reports Date of occurrence + 3 years Date of Entry + 3 years Statutory Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 Statutory Statutory Health and Safety & Wellbeing Advisor Health and Safety & Wellbeing Advisor Page 13

14 Plant and Equipment Maintenance Document Conduct of testing, Life of plant / Statutory Limitation Act Estates & Facilities Manager maintenance and statutory inspections, and any necessary corrective action equipment + 6 years Maintenance schedules Current + 2 years JISC Estates & Facilities Manager Corrective action schedules Current + 2 years JISC Estates & Facilities Manager Inspection certificates Current + 6 years JISC Estates & Facilities Manager Maintenance certificates Life of plant / Statutory Limitation Act Estates & Facilities Manager equipment + 6 years Repair reports Life of plant / equipment + 6 years Statutory Limitation Act Estates & Facilities Manager Waste Management Document Controlled Waste Transfer Note Current + 2 years Statutory Waste Management Licensing Regulations 1994 Special Waste Consignment Current + 3 years Statutory Special Waste Note Regulations 1996 Estates & Facilities Manager Estates & Facilities Manager Internal Services / Security Document Room booking Date of booking JISC Estates & Facilities Manager Despatch and delivery of mail Current + 3 months JISC Head of Customer Services (courier logs / postage logs) Booking of vehicles (taxis / pool Current + 3 months JISC Estates & Facilities Manager cars) Allocation and reservation of car parking spaces logs Current + 3 months JISC Campus Supervisor Page 14

15 Provision of document production services (print / production requisitions) Control of access to institutional premises, facilities and IT systems (key issue, visitor logs) Controlling removal of institutional property / property removal permits Completion of job + 3 months JISC Head of Customer Services Current + 3 months JISC Head of Customer Services Current + 3 months JISC Head of External Relations Financial Document Financial Forecasts Current financial year + JISC Director of Finance 10 years Preparation of capital and Current financial year + JISC Director of Finance revenue budgets 10 years Purchase requisitions Current Financial Year JISC Finance Manager + 10 years Purchase Orders Current + 10 years Statutory VAT Act 1994 Finance Manager Taking delivery of goods and services / delivery notes / goods received notes Processing of non-statutory deductions from wages and salaries Making payroll payments / salary advice / bank transfer reports Notifying staff of their employment-related tax liabilities Current + 10 years Statutory VAT Act 1994 Finance Manager Current + 10 years JISC Finance Manager / Human Resources Manager Current + 10 years Statutory Income Tax (Employment) Regulations 1993 / Limitation Act Current + 10 years Finance Manager Finance Manager Page 15

16 Accounting for income / sales Current + 10 years Statutory VAT Act 1994 Finance Manager invoices / sales ledgers / credit notes / till rolls / remittance advices / statements Accounting for expenditure / Current + 10 years Statutory VAT Act 1994 Finance Manager purchase invoices / payment authorisations / credit notes / purchase ledgers / cheque authorisations / BACS reports / staff expense claims / petty cash authorisations / petty cash receipts / petty cash books / journal vouchers Financial analysis Permanent JISC Director of Finance Management Accounts Permanent JISC Director of Finance annual Management accounts Current + 10 years JISC Director of Finance monthly / quarterly Management of bank accounts / Current + 10 years Statutory VAT Act 1994 Finance Manager bank pay-in slips / cancelled cheques Bank statements Permanent Statutory VAT Act 1994 Finance Manager Maintaining asset registers Permanent JISC Finance Manager (aided by the Estates & Facilities Manager regarding non-it assets and the ICT/MIS Manager regarding IT related assets). Capital Asset Registers major Permanent JISC Director of Finance items Capital Asset Registers other Disposal of asset + 12 Statutory Limitation Act Director of Finance items Asset Disposal Authorisation Forms / Controlling the official movement of assets Processing of internal accounting transactions / cross years Current financial year + 10 years Current financial year + 10 years JISC Director of Finance JISC Finance Manager Page 16

17 charge requests / cross charge reports Budget reports Current financial year + 10 years JISC Finance Manager Acquisition / disposal of Permanent JISC Director of Finance investments Investment Instructions Current + 10 years JISC Director of Finance Investment portfolio reports Permanent Statutory Limitation Act Director of Finance Assessment of tax liabilities / Current + 10 years Statutory VAT Act 1994 Director of Finance VAT Account Submission of tax returns / VAT Permanent Statutory VAT Act 1994 Director of Finance return SFC Annual Returns Permanent Kilmarnock Director of Finance College PAYE Annual Returns Permanent Kilmarnock College Director of Finance Intellectual Property Management Document Registration of patents and trade marks Control of disclosure of intellectual property / disclosure authorisation forms Recommende d Permanent JISC Director of Finance Disclosure + 6 years Statutory Limitation Act Director of Finance Administration of intellectual property agreements Termination of agreement + 6 years Statutory Limitation Act Director of Finance Agreements Termination of Statutory Limitation Act Director of Finance Page 17

18 Claims of infringement of intellectual property rights agreement + 6 years Settlement of claim + 6 years Statutory Limitation Act Director of Finance European Documentation (see Appendix 3) European Documentation (see Appendix 3) Document European Regional Anticipated to be 6 Development Fund (ERDF) years after final records and supporting payment of documentation programme / project European Social Fund (ESF) records and supporting documentation (See Appendix 3) Anticipated to be 6 years after final payment of programme / project. (See Appendix 3) Statutory Statutory European Court of Auditors European Court of Auditors Director of Finance for Financial records. Director of Organisational Development for non Financial records. Director of Finance for Financial records. Director of Organisational Development for non Financial records. Page 18

19 Appendix 2 Kilmarnock College Procedure for Archiving Documentation To Store Materials A named person should be identified within each curriculum/ service area to take responsibility for the operational aspects of archiving. This person will liaise with the Quality Enhancement Manager in order to ensure that archiving is carried out in accordance with Kilmarnock College policy. Identify records to be archived based on information contained within document retention policy. Obtain supply of Archive Storage Boxes. These can be collected from central stores. Pack records into archive boxes available from central stores. It is the responsibility of each curriculum or service group to undertake this task themselves. Each box should be assigned a box number. Each group must keep a record of what is in each box. It is the responsibility of each group to keep their own archive records and negotiate with the Vice Principal and Quality Enhancement Manager to set a date by which the materials will be reviewed before any decision to destroy, in line with the document retention policy. The boxes will then be assigned a number, which will use as a unique identifier to store and if necessary to retrieve the box. This information will be stored in the central database maintained by the central store assistant and should also be held within the group. If a box needs to be retrieved, this number will maintained by the central store assistant. After boxes are packed and records created, they will be stored in the college. To Retrieve Materials Individual files cannot be returned, only boxes. Each curriculum group or service area should identify the boxes which need to be retrieved. From storage records, it should be easy to identify which box or boxes are required and also the box identifier number. The person with responsibility for archiving in each area should contact the Central Store Assistant stating which box numbers are to be retrieved. The Central Stores Assistant will arrange delivery of the boxes. To return the boxes to Central Stores follow the procedure for storage as stated above. Page 19

20 To Destroy Materials Before the destruction of any document listed in Appendix 1, written approval must be obtained from both the Director of Organisation Development and the Vice Principal as detailed in section 6 of this document. Care should be taken to ensure that all confidential materials are shredded. A record should be kept of all documents destroyed and the Vice Principal informed once the destruction has taken place. The Vice Principal shall be responsible for maintaining a record of all documents destroyed as detailed in section 6 of this document. Page 20

21 Kilmarnock College European Documentation Appendix 3 The following documentation requires to be kept for the timescales outlined for European documentation: Information for projects : anticipated retention date is 2014 Information for projects : anticipated retention date is 2019 Student Records Enrolment forms Attendance registers physical and computerised Qualifications achieved Destination information Finance Payroll records PS1s prior to 1999 (subsequent PS1s held by Business Development Funding Services) Invoices ITRs Expense claims Bank records Bursary payments College account information proving apportioned cost calculations Curriculum Groups Guidance records Details of qualifications and achievements IT Unit-e records At the present time Kilmarnock College hold all electronic records from 1995 to the present date. The records are held on two different systems the first system called Femis has records held there from the Femis system was superseded by the present Capita system Unit-e which holds all the records from 2003 to present time. Board of Management / Senior Management Team Minutes of meetings where approval of European projects is confirmed Copies of all tender documents - tender procedures - all competitive tendering documents - list of tenders and values tendered - minutes of meeting to appoint a particular contractor Legal agreements with partners. (See below for current, June 2009, list). Page 21

22 In addition the Strathclyde European Partnership Ltd has produced the following list as a guide. Project Management Documentation Approved Application Form (and working papers) Letter of Approval and copy of acceptance Quarterly Claim Forms and Progress Reports and working papers Notification of Change forms and working papers Any other Correspondence to and from the PME Details of the Management Structure of the Project Details of the Quality Control aspects implemented The original evaluation documentation e.g. questionnaires, studies Board minutes and report, progress reports Any documentation required to support added value justification. Procurement Records of tendering arrangements and contractual documentation Details of systems including scoring/assessment for handling tenders (adverts, submissions, scoring sheets, justification of decisions) Details of wok specifications Finance All expenditure and income records for the project Staff costs payroll records and staff timesheets. Job descriptions and staff contracts are also required Accounts register (or similar) Original invoices and payment details(certified copies are acceptable) Bank statements (to include evidence of match funding and revenue Signed receipts of beneficiary payments Apportionment method (where applicable) Publicity Records Original documents/materials produced Examples of Media advertising if applicable Recruitment material Evidence of raising ESF awareness Outputs and Results Evidence of outputs and results achieved Details of any methodologies used in the calculation of outputs and results Evidence of the methods used to access the impact of the project e.g. how visitor numbers were recorded and assessed End beneficiaries of grant, loan or equity scheme Copies of any evaluation work undertaken Page 22

23 Beneficiary Records ESF Beneficiary enrolment form Individual Beneficiary files containing information such as training plans, activity undertaken and qualifications achieved Beneficiary handbook containing information such as terms and conditions of training, equal opportunities policy Beneficiary expenditure records i.e. records of actual payments made to beneficiaries Beneficiary Attendance records i.e. course register/attendance sheet recording actual hours of attendance signed by staff member Copies of Qualifications/Certificates achieved Beneficiary assessments/reviews Beneficiary records Grant Schemes Appropriate grant award documentation, including project sponsor internal authorisation and SME eligibility check Evidence of payment of the grant to the SME an accounting record and evidence of bank payment Evidence of the payment made by the grant recipient for eligible goods and services a receipted invoice Evidence that the publicity material; relating to the grant acknowledges the ERDF contribution Training Records/Outcomes Course Content (ESF) Course timetable Development Plans, individual Action Plans, Employment Records Beneficiary Activity Records indicating progress through project content Completers/Early Leavers destination records Course evaluation forms Page 23

24 Kilmarnock College Partner Organisations ESF Projects - Ayrshire Builds Capacity East Ayrshire Council South Ayrshire Council North Ayrshire Council Scottish Enterprise Ayrshire East, North & South Ayrshire Councils for Voluntary Service School Link East Ayrshire Council Skills Launch Clyde Muirshiel Park Authority Ayrshire & Arran Tourist Forum Ayrshire Chamber of Commerce & Industry Ayrshire & Arran Tourist Board Equal Round 1 15 May 14 May 2005 Glasgow Caledonian University Business Enterprise Scotland Clackmannanshire Council Lauder College Scottish Business in the Community Stevenson College Equal Round 2 May 2005 June 2007 PSYBT Clackmannanshire Council SFEU Scottish Chamber of Commerce & Industry East Ayrshire Council Entrepreneurship & Creativity East Ayrshire Council YIP World Glaisnock Trust Inclusive Schools Opportunities East Ayrshire Council Employability Skills in the Care Sector NHS Ayrshire & Arran Employability Skills for Hospitality & Tourism NHS Ayrshire & Arran Page 24

25 First Steps to Employment East Ayrshire Council EASY project Glaisnock Trust CPP project Current (2009) East Ayrshire Council Page 25