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1 Harper Adams University College Records Retention Schedule Introduction This Records Retention Schedule provides information about the recommended retention of records which are generated by Harper Adams University College. Content The Schedule is arranged first by Function and then by Activity. For each Activity, it sets out: the description of the Activity the recommended retention period for records generated by the Activity The purpose of the schedule is to ensure that valuable records are not inadvertently destroyed. The Schedule suggests minimum retention periods for the records. Where applicable, it sets out: minimum statutory retention periods which apply in England minimum retention periods required by regulatory authorities Where there is no required retention period, a recommended period is indicated. The Schedule also indicates functions and activities which are likely to generate records which should be preserved as historical archives, in accordance with the Criteria for Selection of Archival Records, by recommending a retention period of "". The issue of duplication is not addressed within the Schedule. The recommended retention periods apply only to the "official" copy of the records concerned. Scope The Schedule includes records in all media and formats, including paper microfilm electronic records held on magnetic or digital media photographic materials of all kinds artefacts which are, or form an essential part of, records scientific materials such as samples of tissue, chemical compounds The following categories of records are not specifically included in the Schedule because their value depends entirely on their context and content, and is ultimately a matter for personal judgement following review of the records in context: correspondence reports meeting papers (agenda, minutes etc.) project records

2 Notation Retention periods are expressed in the Schedule as follows: starting point + number For example: Settlement of claim + 6 CFY + 2 Numbers represent years unless otherwise stated. The starting point is frequently expressed by a code. The codes used are: ACT Active C Creation CAY Current Academic Year CFY Current Financial Year CTY Current Tax Year P

3 1.1.TEACHING & LEARNING Teaching & Learning Strategy Development & Implementation Defining strategic goals and objectives for teaching and learning and formulating plans to achieve these goals and objectives Definition of strategic goals and objectives for teaching and learning, and formulation of plans to achieve these goals and objectives. Teaching & Learning Strategy 1.2.TEACHING & LEARNING Teaching & Learning Performance Management Monitoring the quality of teaching and learning Monitoring, inspecting and assessing examination and other procedures which lead to awards, to ensure consistency and quality Participating in Teaching Assessment Exercises Participating in Subject Reviews Monitoring, inspection and assessment of examination and other procedures which lead to awards, to ensure consistency and quality Teaching Assessment Exercises Teaching Assessment Exercise - Final Reports Teaching Assessment Exercise - other records C + 5

4 Subject Reviews Subject Review - Self-Assessment Documents Subject Review - Final Report Subject Review - other records P P C TEACHING & LEARNING Curriculum Development Designing new curricula, and developing existing curricula to respond to changing requirements or wider trends Monitoring curriculum trends Monitoring and evaluating curricula in other institutions Designing new curricula Monitoring, evaluating and developing existing curricula Monitoring of curriculum trends C + 5 Monitoring and evaluation of curricula in other institutions Design of new curricula C + 5 Reports & other key documents other records ACT Monitoring, evaluation and development of existing curricula Reports & key documents other records ACT

5 1.4.TEACHING & LEARNING Course Development Designing new courses, and developing existing courses to respond to changing requirements, performance issues or wider trends Identifying and analysing market needs for new courses Monitoring and analysing enquiries about courses and qualifications Monitoring and assessing courses offered by other institutions Developing new courses Reviewing and redesigning existing courses Identification and analysis of market needs for new courses Monitoring and analysis of enquiries about courses and qualifications C + 5 C + 5 Enquiry forms Collated data - reports / statistics C + 1 C + 5 Monitoring and assessment of courses offered by other institutions Definition and development of new courses C + 2 Course outlines Course guides Prospectuses other records C + 5 Review and redesign of existing courses Course outlines Course guides Prospectuses other records C + 5

6 1.5.TEACHING & LEARNING Course Accreditation Obtaining accreditation for courses Identifying accreditation requirements for new courses, and obtaining accreditation Managing changes in the external accreditation requirements of existing courses Identification of accreditation requirements for new courses, and obtaining accreditation ACT Course accreditation submissions ACT Managing changes in the external accreditation requirements of existing courses ACT 1.6.TEACHING & LEARNING Course Preparation & Delivery Preparing and delivering courses Preparation and delivery of courses - samples only Course notes Lecture notes Seminar notes Assignments Handouts Presentation materials Reading lists

7 1.7.TEACHING & LEARNING Course Review Reviewing courses in the light of feedback from staff, students and examiners Collecting, analysing and reviewing feedback Records Period Citation Period Not es Collection, analysis and review of feedback on courses ACT + 2 Staff course review reports Examiners' course review reports Student course feedback forms Collated data - reports/statistics C + 1 C + 1 C + 1 ACT TEACHING & LEARNING Examination Setting & Marking Designing, setting and marking examinations and assessments Defining examination / assessment rules Designing examinations and assessments Selecting external examiners Marking examinations Communicating results to students Handling complaints and appeals about examination procedures and results Definition of examination / assessment rules

8 Examination rules / protocols Design of examinations and assessments Examination papers 2 clean sets Selection of external examiners CAY + 1 Invitations to potential examiners CAY + 1 Marking of examinations CAY + 6 Examination scripts/ assignments Examiners' marking sheets Examiners' notes Examiners' reports CAY + 3 CAY + 6 CAY + 6 CAY + 6 Communication of examination results to students Pass lists For provision of references and confirmation of qualifications Processing of complaints and appeals about examination procedures and results Settlement + 6 Complaints files ) Appeals files ) Settlement + 6 Limitation Act 1980

9 1.9.TEACHING & LEARNING Course Administration Organising and administering courses Designing course timetables Assigning students to tutorial groups Monitoring student attendance Monitoring submission of assignments by students Records Period Citation Period Not es Timetabling of courses Course timetables CAY + 1 CAY + 1 Assignment of students to classes / groups CAY + 1 Class lists Tutorial lists CAY + 1 CAY + 1 Monitoring of student attendance CAY + 1 Student attendance registers CAY + 1 Monitoring of submission of assignments by students Course assignment registers CAY + 1 CAY + 1

10 1.10.TEACHING & LEARNING Student Assessment Assessing student performance Designing assessment methods and standards Communicating assessment methods and standards to students Design of assessment methods and standards Assessment Standard documents Communication of assessment methods and standards to students C TEACHING & LEARNING Examination Administration Organising and administering examinations and assessments Timetabling examinations Appointing invigilators Timetabling of examinations CAY + 1 Examination timetables Examination notices CAY + 1 CAY + 1 Assignment of invigilators ACT

11 1.12.TEACHING & LEARNING Awards Administration Administering the conferment of awards Organising awards ceremonies Organisation of awards ceremonies Programmes 1.13.TEACHING & LEARNING Conferment of awards Conferring student and honorary awards Confirming student awards Nominating and selecting candidates for honorary awards Confirmation of student awards Pass lists Graduation certificates Awards lists Graduation lists Nomination and selection of candidates for honorary awards Awards certificates Awards lists

12 2.1.RESEARCH Research Strategy Development Defining strategic goals and objectives for research and formulating plans to achieve these goals and objectives Definition of strategic goals and objectives for research and formulation of plans to achieve these goals and objectives Research Strategy 2.2.RESEARCH Research Performance Management Managing the institution's performance against its strategic goals and objectives for research Monitoring the volume and quality of research undertaken Reviewing and assessing the outcome of research proposals Participating in Research Assessment Exercises Monitoring of the volume and quality of research undertaken Reviewing and assessing the outcome of research proposals Research grant application summaries Research Assessment Exercises Research Assessment Exercise - Final Reports Research Assessment Exercise - other records C + 5

13 2.3.RESEARCH Research Proposal Preparation & Submission Preparing and submitting research proposals Identifying and evaluating research opportunities and potential sources of funding Preparing and submitting research proposals Records Period Citati on Period Notes Identification and evaluation of research opportunities and potential sources of funding ACT Research grants register ACT Preparation and submission of research proposals Research Proposals - Unsuccessful Rejection + 5 Retain for possible re-use of content Research Proposals - Successful 2.4.RESEARCH Research Programme Management Managing research programmes, i.e. project management Research project management Project planning and monitoring Completion of

14 documents project + 2 Progress reports to sponsors Final Reports 2.5.RESEARCH Research Conducting research programmes NOTE Records generated by some types of research will need to be retained in accordance with specific legal provisions which apply to the type of research involved. Scientific research may be subject to the Good Laboratory Practice (GLP) Regulations. Scientific research involving clinical work on humans is subject to the Good Clinical Practice (GCP) regulations. Primary data generated by non-scientific projects should be retained for a minimum of 5 years after completion of the project concerned. 2.6.RESEARCH Research Dissemination & Exploitation Disseminating and exploiting the results of research programmes Communication of research outcomes to funding bodies and others Lectures Presentations Published materials should not be transferred to archives.

15 3.1.CORPORATE MANAGEMENT Strategic Planning Defining the institution's strategic aims and objectives, and formulating plans to achieve these aims and objectives Definition of the institution's overall strategic goals and objectives, and formulation of plans to achieve these goals and objectives Strategic Plan Corporate Plan Mission Statement 3.2.CORPORATE MANAGEMENT Strategic Performance Management Managing the institution's performance against its strategic goals and objectives Measuring the institution's performance against its strategic goals and objectives Identifying and accounting for under-performance Planning and implementing measures to improve performance Reporting on performance to funding councils, government departments and other authorised bodies Measurement of the institution's performance against its overall strategic goals and objectives Identification and accounting of underperformance Reporting on performance to funding councils, government departments and other authorised bodies

16 3.3.CORPORATE MANAGEMENT Contingency Planning Assessing risks to the institution and its work, and developing disaster prevention, response and recovery plans Identifying and assessing risks Developing and testing disaster prevention, response and recovery plans Records Period Citation Period Not es Identification, quantification and assessment of risks C + 10 Risk Assessment Reports C + 10 Development and testing of disaster prevention, response and recovery plans ACT + 10 Contingency plans Business recovery plans Disaster plans Emergency planning exercise documentation ACT + 5 ACT + 5 ACT + 5 ACT + 10 Identification and protection of vital information resources ACT + 10 Vital Records Schedules ACT + 10

17 3.4.CORPORATE MANAGEMENT Organisational Development Developing the institution's organisational structure, management style and culture Implementing organisational and cultural change, and analysing its impact Planning and implementation of organisational and cultural change, and analysis of its impact Planning statements Organisation plans Organisation charts 3.5.CORPORATE MANAGEMENT Competitor Monitoring Monitoring the strategies, activities and performance of the institution's competitors Monitoring media coverage of competitors' strategies, activities and performance Monitoring of competitors' overall strategies and performance C + 2 Market Research Reports C + 2

18 3.6.CORPORATE MANAGEMENT Governance Managing the institution in accordance with the defined rules of governance Recording the proceedings and decisions of the institution's governing body and key committees Definition and development of rules of governance and management structures Charter Constitution Ordinances / Statutes / Regulations Recording the proceedings and decisions of the institution's governing body and key committees Notices of meetings Agenda, minutes & supporting papers C + 1

19 4.1.EXTERNAL RELATIONS Government & Regulator Relations Managing the institution's relationships with government, regulatory bodies and professional organisations Managing relationships with government departments and agencies higher education funding councils research councils other public bodies professional bodies Monitoring and participating in the development of policies affect the institution and its work Management of relationships Monitoring of, and participation in, the development of policies which will affect the institution 4.2.EXTERNAL RELATIONS Institutional Relations Managing the institution's relationships with other HEI's Managing relationships with other HEIs Negotiating inter-university agreements Planning, financing, conducting and assessing co-operative ventures Management of relationships with other HEIs Negotiation and management of interuniversity agreements Termination of agreement + 6

20 Inter-university Agreements Termination of agreement + 6 Planning, financing and management of co-operative ventures Termination of agreement + 6 Joint Venture Agreements Termination of Agreement EXTERNAL RELATIONS Marketing Promoting the institution and its work Designing and controlling the institution's corporate identity Designing and distributing promotional materials Planning and executing marketing campaigns, and assessing their impact Identifying and exploiting promotional opportunities Design and control of the institution's corporate identity Designs Design and distribution of promotional materials Designs Identification and exploitation of promotional opportunities Planning and execution of marketing campaigns, and assessment of their impact C + 5 Marketing Plans Market Research Reports

21 4.4.EXTERNAL RELATIONS Public Relations Communicating information about the institution's strategies, activities and performance to the general public Planning and organisation of media communications Monitoring and control of media coverage Design and production of official publications Design and management of World Wide Web sites Planning and control of media communications Press Releases Monitoring and control of media coverage Press clippings Press coverage statistics C + 2 Design of official publications Designs/layouts Design and management of World Wide Web (WWW) sites WWW site "snapshots"

22 4.5.EXTERNAL RELATIONS Community Liaison Liaising with the local community to promote productive links with the institution Monitoring the local economy and job market Monitoring and participating in local initiatives which provide learning opportunities for staff and students Providing support and assistance to local organisations and institutions Monitoring of the local economy and job market C + 5 Monitoring of, and participation in, local initiatives which provide learning opportunities for staff and students Providing support and assistance to local organisations and institutions 4.6.EXTERNAL RELATIONS Fundraising Raising funds to support the institution's work Identifying fundraising opportunities Designing and executing fundraising campaigns, and monitoring their impact Identification of fundraising opportunities C + 20 Design and execution of fundraising campaigns, and assessment of their impact Fundraising Plans Promotional materials Promotional prospectuses 2 clean sets

23 Event statistics Management of relationships with individuals and institutions which provide funds Termination of relationship + 20 Donor/Sponsor Summary records / Database Termination of relationship EXTERNAL RELATIONS Alumni Relations Managing the institution's relationship with its alumni Monitoring of the careers of alumni Maintaining alumni records Providing support and assistance to alumni associations Organising events for alumni Maintenance of alumni records Alumni summary records/database First Destination statistics Provision of support and assistance to alumni associations Organisation of special alumni events Management of relationships with alumni Alumni newsletters/magazines 2 clean sets 5.1.STUDENT ADMINISTRATION & SUPPORT

24 Student Welfare Service Management Providing welfare information and services for students, e.g. welfare information services health services careers services sports and recreational facilities chaplaincy services accommodation services Development of services Key development and review documents Other records C STUDENT ADMINISTRATION & SUPPORT Student Liaison Liaising with student representative bodies Liaison with students regarding institutional operations and administration Student satisfaction surveys o survey data o collated statistics/reports C + 1 Staff/Student bodies - meeting papers

25 5.3.STUDENT ADMINISTRATION & SUPPORT Student Admission & Registration Registering new students Assessing external qualifications Creating student records Co-ordinating student funding arrangements Assessment of external qualifications Collated statistics Creation of student records Student Register Transfers to Student Administration Co-ordination of student funding arrangements C STUDENT ADMINISTRATION & SUPPORT Student Administration Maintaining individual student records Maintenance of individual student records Student Files Student Register Termination of relationship + 6 Provision of information to / about current / past students Completion of request + 1

26 Requests for references / confirmation of attendance, and responses transcripts / confirmations of attendance / results, and responses Completion of request STUDENT ADMINISTRATION & SUPPORT Student Discipline Conducting disciplinary proceedings against students Conduct of disciplinary proceedings against studenta Termination of relationship + 6 Student Disciplinary Case files Termination of relationship STUDENT ADMINISTRATION & SUPPORT Student Associations & Activities Organising student associations, clubs and other groups, and special events Establishing and running student unions and associations Organising student activities and events e g Rag Week Formation, management and operation of student unions and associations Organisation of student activities and events e g Rag Week Student Union newspapers / magazines Event programmes 2 clean sets

27 6.1.RESOURCE MANAGEMENT Procurement Identifying the most efficient, effective and economical means of meeting the institution's needs for goods and services Monitoring and researching markets for goods and services Identification and vetting potential suppliers Monitoring performance of suppliers Managing supplier relationships Identification and vetting of potential suppliers C + 5 Supplier evaluation reports Register of approved suppliers C + 5 ACT Selection of suppliers Invitations to Tender / Tenders / Tender evaluation documentation Successful Termination of supply contract + 6 Limitation Act 1980 Unsuccessful C + 1 Requests for Proposals / Proposals / Proposal evaluation documentation Limitation Act 1980 Successful Termination of supply contract + 6

28 Unsuccessful C + 1 Management of supplier relationships Termination of relationship + 2 Supplier files Termination of relationship + 2 Monitoring of supplier performance Termination of contract + 6 Limitation Act 1980 Contractor review reports Termination of contract + 6 Limitation Act RESOURCE MANAGEMENT Information Management Managing the institution's information assets Definition of internal information needs Co-ordinating internal information production and dissemination Developing information systems to o acquire, capture or produce this information o use it efficiently and effectively o disseminate it appropriately Identifying ownership of business critical data, and taking appropriate measures to ensure that this data is maintained to guarantee its accuracy and reliability Definition of internal information needs and formulation of plans to meet these needs Information Strategy Co-ordination of internal information production and dissemination Development of information systems C + 2

29 Identification of ownership of business critical data, and planning and implementation of appropriate measures to ensure that this data is maintained to guarantee its accuracy and reliability ACT 6.3.RESOURCE MANAGEMENT Information & Library Service Management Providing information and library services to staff, students and others who have access to the institution's resources Service planning and delivery Monitoring of effectiveness and customer satisfaction Service delivery Inter-library loan forms Enquiry forms Completion of request + 1 British Library requirement Loans records / database ACT

30 6.4.RESOURCE MANAGEMENT IT Operations Management Managing the IT hardware, software and networks required to support the institution's work Specifying 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 Specification of functional and technical requirements for IT hardware, software and networks ACT Functional specifications Technical specifications ACT ACT Installation, testing and operation of hardware, software and networks C + 5 Test reports Operating logs C + 5 C + 5 Operation of data backup and archiving routines C + 1 Backup schedules Archiving schedules C + 1 C + 1

31 6.5.RESOURCE MANAGEMENT IT System Development Designing and developing IT systems to enable the institution to achieve its strategic goals and objectives Designing and developing new IT systems Developing existing IT systems to meet evolving business needs or technical standards Design, development and implementation of IT systems Decommissioning of system RESOURCE MANAGEMENT Records Management Controlling the organisation, retention, storage and destruction of the institution's records Determining retention periods for records Selecting records for permanent preservation as the institution's historical archives Transferring inactive records to off-site storage Authorising destruction of time-expired records Determination of retention periods for institutional records ACT + 10 Records Retention Authorisations Records Retention Schedules ACT + 10 ACT + 10 Selection of records for permanent preservation as the institution's historical Transferring inactive records to off-site storage ACT + 10 Records Transmittal Lists ACT + 10

32 Authorising destruction of time-expired records Destruction Authorisation Lists Records Destruction Schedules C + 10 C RESOURCE MANAGEMENT Archives Management Preserving and providing access to records which have been selected for permanent preservation as the institution's historical archives Organising and controlling archives Promoting archives as a research resource to institutional staff and students, and others Providing access to archives Undertaking conservation work on archives Acquisition of records Accessions Register Depositor / donor agreements Termination of agreement + 6 Storage of archives ACT Location Register ACT Promotion of archives Guides Catalogues Exhibition materials

33 6.8.RESOURCE MANAGEMENT Provision of access to the records C + 5 User Register Last use + 2 Enquiry records Records of loans Production / issue records C + 5 ACT + 5 C + 1 Undertaking conservation work on archives Conservation Register Collections Management Preserving and providing access to collections of artefacts which have been donated to or assembled by the institution for the purposes of teaching and research Organising and controlling collections Providing access to collections Obtaining accreditation from external bodies Promoting collections as a research resource to institutional staff and students, and others Undertaking conservation work on collections Acquisition of collections Accessions Register Depositor / donor agreements Termination of agreement + 6 Organisation of collections ACT Catalogues ACT ACT

34 Indexes Storage of collections ACT Location Register ACT Provision of access to the collections C + 5 User Register Enquiry records Records of loans Production / issue records Last use + 2 C + 5 ACT + 5 C + 1 Obtaining accreditation from external bodies Promotion of the collections as a research resource Undertaking of conservation work on collections Conservation Register C RESOURCE MANAGEMENT Lettings Administration Administering lettings of institutional accommodation Letting student accommodation Hiring of conference and banqueting facilities Lettings of student accommodation Termination of agreement + 6 Limitation Act 1980 Accommodation Booking forms Termination of agreement + 6 Limitation Act 1980

35 Accommodation lists Accommodation fees registers ACT CFY + 6 Hiring out of conference and banqueting facilities Termination of agreement + 6 Limitation Act 1980 Private hire agreements Termination of agreement + 6 Limitation Act RESOURCE MANAGEMENT Catering Service Management Providing catering services for the institution's staff and students, and others who have access to the institution's premises Defining catering requirements Identifying and evaluating options for meeting catering requirements Design and delivery of catering services Definition of catering requirements and evaluation of options for catering provision Design and delivery of catering services C + 5 C + 2 Menu plans Event plans C + 2 C + 2

36 6.11.RESOURCE MANAGEMENT Estates & Premises Management Managing the institution's estates and premises Defining estates and premises requirements Managing the construction, design, maintenance and repair of property Evaluation of options for meeting premises requirements Planning the utilisation of space Acquisition and disposal of estates and premises Managing the legal aspects of ownership and occupancy Managing the legal aspects of ownership and occupancy Management of the legal aspects of ownership and occupancy Disposal of property Title deeds Leases Mortgage deeds Planning applications Fire inspection reports Fire certificates Building plans / drawings Disposal of property Disposal of property Termination of mortgage + 6 Disposal of property C + 5 ACT Disposal of property

37 6.12.RESOURCE MANAGEMENT Risk Assessment Assessing risks in the working environment Conducting risk assessments Assessment of risks Risk Assessment Reports Monitoring of working environments Monitoring Reports Review of assessment + 3 Review of assessment + 3 C + 40 C + 40 Management of Health and Safety at Work Regulations 1992 Workplace Health, Safety and Welfare Regulations 1992 Provision and Use of Work Equipment Regulations 1992 Manual Handling Operations Regulations 1992 Health and Safety Display Screen Equipment Regulations 1992 Noise at Work Regulations 1989 Control of Substances Hazardous to Health Regulations 1994 Health and Safety Display Screen Equipment Regulations 1992 Noise at Work Regulations 1989 Control of Substances Hazardous to Health Regulations 1994 Health and Safety Display Screen Equipment

38 Regulations 1992 Noise at Work Regulations 1989 Control of Substances Hazardous to Health Regulations RESOURCE MANAGEMENT Hazardous Exposure Control Controlling the exposure of individual employees, and others who have legitimate access to the institution's premises, to hazards in the workplace Control of handling and use of hazardous substances COSHH Data Sheets ACT ACT + 40 Control of Substances Hazardous to Health Regulations 1994 Control of access to hazardous areas C + 3 Permits to Work C + 3 Monitoring of the health of employees Health Surveillance Reports C + 40 C + 40 Health and Safety Display Screen Equipment Regulations 1992 Control of Substances Hazardous to Health Regulations RESOURCE MANAGEMENT Accident / Dangerous Occurrence Monitoring Reporting and investigating accidents and dangerous occurrences in the workplace, and taking appropriate measures to prevent recurrence Reporting and investigation Completion Date of Limitation

39 of accidents and dangerous occurrences Accident books Accident Report - Form F2508 (Reportable accidents and dangerous occurrences) Accident reports of book + 3 Date of entry + 3 Date of occurrence + 3 Date of occurrence + 3 Health and Safety at Work Act 1974 Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 accident + 40 Act case law Dangerous occurrence reports 6.15.RESOURCE MANAGEMENT Insurance Management Managing the institution's insurance portfolio Defining insurance requirements Filing of claims against insurance policies Maintenance of insurance policies Termination of policy + 6 Limitation Act 1980 Insurance policies Termination of policy + 6 Limitation Act 1980 Filing of claims against insurance policies Settlement of claim + 6 Limitation Act 1980 Settlement of Limitation Act

40 Insurance Claims ) Inspection reports ) claim RESOURCE MANAGEMENT Plant & Equipment Maintenance Maintaining plant and equipment to required standards Conducting routine testing, maintenance and statutory inspections, and taking necessary corrective action Carrying out ad hoc repairs and maintenance Conduct of testing, maintenance and statutory inspections, and any necessary corrective action Life of plant / equipment + 6 Limitation Act 1980 Maintenance schedules C + 2 Corrective action schedules C + 2 Inspection certificates Maintenance certificates Life of plant / Limitation Act 1980 equipment + 6 Limitation Repair reports Life of plant / Act 1980 equipment + 6

41 6.17.RESOURCE MANAGEMENT Waste Management Disposing of the institution's waste Categorising and disposing of hazardous waste Disposing of redundant stock Destroying time-expired records Categorising and disposing of waste Controlled Waste Transfer Note ) Written description of waste ) C + 2 C + 3 Waste Management Licensing Regulations 1994 Special Waste Regulations 1996 C + 3 Special Waste Consignment Note

42 6.18.RESOURCE MANAGEMENT Internal Services Providing internal support services for the institution's staff, students and others who have access to the institution's premises Allocating and reserving accommodation Despatching and delivering mail Co-ordinating travel arrangements Retrieving and returning records from/to off-site storage Providing IT support to end-users Allocating and reserving car parking spaces Allocation and reservation of accommodation Date of booking Room booking reports Date of booking Despatch and delivery of mail C + 3 months Courier logs Postage logs C + 3 months C + 3 months Booking of vehicles C + 3 months Taxi booking logs Pool car requisitions C + 3 months C + 3 months Allocation and reservation of car parking spaces C + 3 months

43 Parking logs Parking reservation requests C + 3 months Date of reservation Provision of document production services Completion of job + 3 months Print / production requisitions Completion of job + 3 months 6.19.RESOURCE MANAGEMENT Security Management Protecting the institution's premises and property, and its employees and others who have legitimate access to institutional premises Controlling access to institutional premises and IT systems Controlling removal of institutional property from institutional premises Control of access to institutional premises, facilities and IT systems C + 3 months Key issue / return logs ) Visitors logs ) Access logs ) C + 3 months Controlling removal of institutional property Property removal permits C + 3 months C + 3 months

44 6.20.RESOURCE MANAGEMENT Manpower Planning Planning the recruitment, deployment and development of the institution's workforce Defining manpower requirements Identifying and evaluating employment options Planning promotions and management succession Definition of staffing requirements and evaluation of employment options Manpower Plans Planning promotions and management succession Management Succession Plan 6.21.RESOURCE MANAGEMENT Staff Performance Appraisal & Development Assessing the performance of individual staff against their defined job objectives and performance criteria Appraising performance Identifying training and development needs Reviewing the impact of training Conducting disciplinary proceedings

45 Appraising the performance of individual members of staff C + 3 Performance Appraisal reports C + 3 Conduct of disciplinary proceedings against staff Staff disciplinary case files Settlement of case + 6 Settlement of case + 6 Limitation Act 1980 Unless merged with Staff Personal File. See Staff Administration. Limitation Act RESOURCE MANAGEMENT Industrial Relations Managing the institution's relationships with trade unions Developing productive working relationships with trade unions Liaising with trade unions on proposed changes to staffing structures and other relevant matters Negotiating with unions regarding pay and conditions Development and maintenance of productive working relationships with trade unions Liaison with trade unions on proposed changes to staffing structures and other relevant matters Negotiation with unions regarding pay and conditions

46 6.23.RESOURCE MANAGEMENT Staff Training & Development Providing training and development opportunities for staff Identifying and assessing general training needs Identifying, evaluating and selecting training programmes Designing and commissioning new training programmes Reviewing training programmes, and assessing their impact Records Period Citation Period Not es Identification and assessment of training needs C + 10 Training Needs Analysis C + 10 Identification, evaluation and selection of training programmes Advertisement of training opportunities ACT C + 1 Notices C + 1 Design and commissioning of new training programmes Review of training programmes, and assessment of their impact ACT + 5 C + 2 Course evaluation forms ) Training feedback reports ) C + 2

47 6.24.RESOURCE MANAGEMENT Job Evaluation Assessing the relative value of defined jobs to establish grades and remuneration levels Defining job evaluation criteria Defining jobs Assessment of jobs in relation to established job evaluation criteria Records Period Citation Period Not es Definition of jobs ACT + 5 Job descriptions ACT + 5 Assessment of jobs in relation to established job evaluation criteria ACT + 5 Job evaluation reports ACT RESOURCE MANAGEMENT Staff Administration Processing routine employment matters Designing and delivering induction programmes for new employees Maintaining employee records Providing references for former employees Authorising leave

48 Maintenance of individual staff records Staff Personal Files Provision of information to / about current / former staff Retirement date + 6 Minimum :Termination of employment + 6 Advisory : Retirement date + 6 C + 2 Limitation Act 1980 Limitation Act 1980 Continuing residual relationship throughout working life Requests for Access to Information Completion of request RESOURCE MANAGEMENT Recruitment Selection and appointment of staff Authorising recruitment Advertising job vacancies Reviewing and shortlisting job applications Conducting interviews and assessments Authorisation of recruitment C + 1 Authorisation to recruit forms C + 1 Advertising of vacancies Filling of vacancy + 6 months Sex Discrimination

49 Advertisement ) Recruitment Agency Brief ) Reviewing and shortlisting of applications Job applications : Filling of vacancy + 6 months C + 5 Act 1975 /1986 Race Relations Act 1976 Disability Discrimination Act 1995 Sex Discrimination Act 1975 /1986 Race Relations Act 1976 Disability Discrimination Act 1995 Successful Unsuccessful Ethnic Monitoring Questionnaires / Reports Selection of staff Transfer to Staff Personal File. See Staff Administration Filling of vacancy + 6 months C + 5 Sex Discrimination Act 1975 /1986 Race Relations Act 1976 Disability Discrimination Act 1995 Interview notes ) Test results ) References ) Unsuccessful candidates Filling of vacancy + 6 months Transfer to Staff Sex Discrimination Act 1975 / 1986 Personal File. See Race Relations Staff Administration Act 1976 Disability Successful candidates Discrimination Act 1995

50 6.27.RESOURCE MANAGEMENT Employee Relations Managing the relationship between the institution and its staff Monitoring the impact of the institution's employment policies on recruitment and retention of employees Providing welfare and recreational facilities and services for staff Monitoring of the impact of employment policies on recruitment and retention of staff C + 5 Staff attitude surveys Exit interview reports C + 5 C + 5 Communication with staff Staff handbook / manual Staff newsletters 6.28.RESOURCE MANAGEMENT Financial Planning Identifying the financial resources required to achieve the institution's strategic aims and objectives, and the most efficient, effective and economical means of obtaining these resources Preparing financial forecasts Preparing capital and revenue budgets

51 Preparation of financial forecasts CFY + 3 Financial forecasts CFY + 3 Preparation of capital and revenue budgets CFY + 3 Budgets CFY RESOURCE MANAGEMENT Pension Scheme Administration Administering the pension schemes for institutional staff Setting up new members of the pension scheme Maintaining individual pension records Communicating personal details of entitlements to individual staff Answering enquiries from current and former employees Maintenance of personal pension records Termination of employment + 75 Staff Pension Files Termination of employment RESOURCE MANAGEMENT Purchasing Purchasing goods and services from approved suppliers Authorising purchases Placing orders Taking delivery of goods and services

52 Authorisation of purchasing CFY + 1 Purchase requisitions CFY + 1 Placing of orders Purchase Orders Taking delivery of goods and services Delivery notes Goods received notes Value Added Tax Act 1994 Value Added Tax Act 1994 Value Added Tax Act 1994 Value Added Tax Act 1994 Value Added Tax Act RESOURCE MANAGEMENT Payroll Administration Paying salaries and other benefits administered through the payroll Authorising non-statutory payroll adjustments Processing statutory and optional payroll deductions Making payroll payments Notifying staff of their employment-related tax liabilities Processing of non-statutory deductions from salaries and wages Deduction authorisations Tax Code notices CTY + 6 CTY + 6 ACT + 3 Making payroll payments CTY + Income Tax (Employment) CTY + 6

53 Salary Advices 3 Regulations 1993 Limitation Act 1980 Bank Transfer Reports Notifying staff of their employment-related tax liabilities CTY RESOURCE MANAGEMENT Financial Accounting Accounting for income and expenditure, and controlling internal movement of monies Processing purchase invoices Raising cheques and other forms of payment Processing employee expense claims Controlling petty cash floats Controlling foreign currency holdings Raising sales invoices Processing incoming payments Credit control Accounting for income Sales invoices Sales ledgers Credit notes Till rolls Remittance advices Statements Value Added Tax Act 1994 Value Added Tax Act 1994 Value Added Tax Act 1994 Value Added Tax Act 1994 Value Added Tax Act 1994 Value Added Tax Act 1994 CFY + 1 Accounting for expenditure Purchase invoices Value Added Tax Act 1994

54 Payment authorisations Credit notes Purchase ledgers Cheque authorisations BACS reports Staff expense claims Petty cash authorisations Petty cash receipts Petty cash books Journal vouchers Value Added Tax Act 1994 Value Added Tax Act 1994 Value Added Tax Act 1994 Value Added Tax Act 1994 Value Added Tax Act 1994 Value Added Tax Act 1994 Value Added Tax Act 1994 Value Added Tax Act 1994 Value Added Tax Act 1994 Value Added Tax Act 1994 Value Added Tax Act RESOURCE MANAGEMENT Management Accounting Planning, coordinating and monitoring the acquisition and deployment of institutional funds Producing financial analyses to inform executive decision-making Financial analysis Management Accounts o Annual o Monthly/Quarterly C RESOURCE MANAGEMENT Cash Management Managing the institution's liquid assets Management of bank accounts

55 Management of bank accounts Value Added Tax Act 1994 Bank Paying-in Slips Bank statements Cancelled cheques Value Added Tax Act 1994 Value Added Tax Act 1994 Value Added Tax Act RESOURCE MANAGEMENT Capital Asset Management Managing the institution's capital assets Maintaining the institution's asset registers Controlling the official movement of assets, e g movement for disposal Maintaining asset registers Capital Asset Registers major items other items Disposal of asset + 12 Limitation Act 1980 Controlling the official movement of assets Asset Disposal CFY + 1

56 Authorisation forms CFY RESOURCE MANAGEMENT Internal Accounting Processing internal accounting transactions Processing of internal accounting transactions CFY + 1 Cross-charge requests Cross-charge reports CFY + 1 CFY RESOURCE MANAGEMENT Budget Administration Monitoring actual against planned income and expenditure Monitoring of actual against planned expenditure CFY + 1 Budget reports CFY RESOURCE MANAGEMENT Investment Management Managing the institution's financial investment portfolio Acquisition / disposal of investments

57 Investment instructions Limiitation Act 1980 Share Certificates Disposal of Limitation Act shares Investment portfolio reports 6.39.RESOURCE MANAGEMENT Tax Management Preparation and filing of tax returns Assessment of tax liabilities Assessment of tax liabilities CTY + 6 Value Added Tax Act 1994 VAT account CTY + 6 Value Added Tax Act 1994 Submission of tax returns CTY + 6 Value Added Tax Act 1994 VAT return CTY + 6 Value Added Tax Act RESOURCE MANAGEMENT Intellectual Property Management Protecting the institution's intellectual property Registering, maintaining and protecting patents and trade marks

58 Administration of intellectual property agreements Controlling disclosure of intellectual property Registration of patents and trade marks Patent applications (Specification, Claims, Abstract, Patent Office forms) Patent Certificates of Grant Trade Mark Certificates Control of disclosure of intellectual property Disclosure + 6 Limitation Act 1980 Disclosure authorisation forms Disclosure + 6 Limitation Act 1980 Administration of intellectual property agreements Termination of agreement + 6 Limitation Act 1980 Agreements Termination of agreement + 6 Limitation Act 1980 Claims of infringement of intellectual property rights Settlement of claim + 6 Limitation Act 1980