Records Retention Policy

Transcription

1 Coventry University Records Retention Policy Purpose The Records Retention Policy sets out a schedule to determine how long Coventry University records should be retained. The policy applies to all records created, received or maintained as evidence and information by the University in pursuance of legal obligations and in the transaction of University business. Overview.1 The University s Retention Schedule has grouped documents into 14 main categories: 1. Management & Development Vice-Chancellor s Office Human Resources Research Office Enterprise and Innovation Group Finance Estates 2. Information Services Marketing & Communication IT Services Library 3. Student Administration & Support Recruitment and Admissions Office International Office, Centre for Global Engagement, Academic Partnership Unit Student Services Registry Faculty.2 Legislative and regulatory constraints impact on the University s records management practice because of the risk of potential litigation. Such risks have become increasingly marked with the implementation of the Data Protection Act 1988 and the Freedom of Information Act 2000 (see Annex 1 for further information on the legislation that the University is required to comply with)..3 The International Standard ISO 15486: 2001 defines records as information created, received and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of its business. Records are important because they provide a collective memory that informs the direction of the institution s current activity. Scope The University has a corporate responsibility to maintain its records and record-keeping systems in accordance with the regulatory environment. Group Legal and the Policy Unit are jointly responsible for the Records Retention Policy. It is recommended that each department identifies one member of staff who is responsible for its own records management and the relevant retention schedule. Page 1 of 56

2 The Policy.1 The Records Retention Schedule (Annex 2) lists records that are maintained across the University. They are organised in a departmental structure. Within each department, the schedule is categorised according to department and the activities within each department.2 The retention period of any document should be determined by the length of time it is required to support the University s operational needs and/or compliance with legal or regulatory requirements. When the retention period has lapsed, consideration needs to be given to a further period of retention, permanent retention as an archive or destruction..3 The retention periods within the schedules have been either identified or agreed with Executive Deans and Directors or are in compliance with statutory or legal requirements. Where the latter applies the legislation/statute has been identified. Please note the recommended retention periods are a minima. Responsibility of Policy Unit / Group Legal Approval date 7 July 2015 Date of commencement with immediate effect Approved by Academic Board Review date May 2018 Related Policies, Procedures, Guidance, Forms or Templates n/a Page 2 of 56

3 Annex 1 Legislation Affecting Records The University has a responsibility in achieving compliance with legal and regulatory constraints. The following Acts of Parliament have provisions that are relevant to record keeping and records disposal. Please note that the list is not exhaustive, nor should the document be read as comprising a University Records Retention Policy. (1) The Health and Safety at Work Act 1974 and its associated Regulations as follows: Construction, Design and Management Regulations 1994 Fire Precautions (Workplace) Regulations 1997 as amended 1999 Management of Health and Safety at Work Regulations 1992 Manual Handling at Work Regulations 1992 Personal Protection Equipment at Work Regulations 1992 Health and Safety Display Screen Equipment Regulations 1992 Noise at Work Regulations 1989 Control of Substances Hazardous to Health Regulations 2002 Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 Lifting Operations and Lifting Equipment Regulations 1998 Pressure Systems and Transportable Gas Containers Regulations 1998 Waste Management Licensing Regulations 1994 Special Waste Regulations 1996 Control of Asbestos at Work Regulations 2002 Control of Lead at Work Regulations 2002 (2) Employers Liability (Compulsory Insurance) Act 1969 (3) Equality Act 2010 (4) Statutory Sick Pay (General Regulations) 1982 (5) Statutory Maternity (General Regulations) 1986 (6) National Minimum Wage Regulations 1998 (7) Maternity and Parental Leave Regulations 1999 (8) The (9) The Companies Acts 1985, 1989 and section 22 (10) The Financial Services Act 1986 (11) The Value Added Tax Act 1994 (12) Taxes Management Act 1970 (13) Income and Corporation Taxes Act 1988 (14) The Civil Evidence Act 1995 The Act resolves some of the problems of the legal admissibility of evidence generated by or held on computers. It shifts the argument away from admissibility itself to the evidential value or weight of evidence possessed by a record. A court will still need to be satisfied however as to the authenticity of the record, and procedures need to be in place to prove this. (15) The Copyright, Designs and Patents Act 1988 Requires clear knowledge of the ownership of copyright in records before any outside person may copy any part of the record. In respect of electronic records the software itself as well as the content of the records may be subject to copyright and, in some cases, the two may be owned by different parties. Page 3 of 56

4 (16) The Electronic Communications Act 2000 Provides for the legal recognition of electronic signatures and the process under which they are generated, communicated or verified. (17) The Data Protection Act 1998 and Freedom of Information Act 2000 The Freedom of Information Act 2000 augments the Data Protection Act The Data Protection Act gives individuals the right of access to personal information held about them. - The Freedom of Information Act gives access to all other information and is more wide-ranging. Together the two acts allow access to virtually all records held by the University and consequently have far-reaching implications for all aspects of records creation, maintenance, processing and disposal. 18) EC Regulation 1083/2006 Article 90 Availability of documents as detailed in EC Regulations 1828/2006 Article 19 - Details regulation with regard to the retention of document related to ERDF/ESF funded projects. - Documents are retained for a period of three following the closure of the operational programme which they were funded under. -The retention of documents must be at least until the date given in the project Grant Funding Agreement (GFA). Documents should not be destroyed until written confirmation is received from DCLG. For further information refer to: (a) Registry intranet pages (see A-Z of policies, guidelines and procedures): - The Data Protection Policy - Freedom of Information - Disposal Policy for IT Equipment - Guidelines for Security of Electronic Information - Guidelines for Security of Non-Electronic Information - Information Security Policy - Guidelines for Staff Providing References for Students (b) Equality Act Equality Scheme - Employing People with Disabilities - EPwD Employee s/manager s Guide - Access to Work Information Page 4 of 56

5 Annex 2 Coventry University Retention Schedules Section 1 Management and Development In Management and Development: Vice Chancellor s Office Human Resources Research Office / Enterprise and Innovation Group Finance Estates Vice-Chancellor s Office External Relations / Legal Services / Management Information External Relations Managing the University s relationships with government, regulatory bodies and professional organisations With Jo Dobson Associate PVC Strategic Relationships Monitoring of, and participation, in the development of policies which will affect the institution (i.e. correspondence with DFES, HEFCE, QAA, government relations management etc.) Legal Services Records documenting the institutional policy on the acquisition/provision of legal services Development and establishment of the procedures for the conduct of legal affairs and the acquisition/provision of legal services Current + 5 year Current + 5 year With Clive Winters Associate PVC Government Page 5 of 56

6 Management and Development continued (Vice-Chancellor s Office) Records documenting legal support for the negotiation, Termination establishment and review of the contracts and of contract + agreements between the institution and third parties or 12 others: agreements and contracts under seal agreements and contracts not under seal Termination of contract + 6 Provision of legal support and representation for the institution in dealing with claims by or against the institution which do not proceed to litigation or settlement by agreement Litigation between the institution and third parties where legal precedents are set Litigation between the institution and third parties where legal precedents are not set Current + 6 Settlement of case + 6 Student disciplinary case files Records documenting legal advice requested by, and provided to the institution concerning: Proposals for and/or the interpretation of legislation affecting the institution s legal framework, governance, responsibilities or operations The institution s relationship with government bodies or HE regulators Industrial relations issues Health, safety and environmental issues Conduct of disciplinary proceedings against students and student disciplinary case files Student Disciplinary Panel papers. Page 6 of 56

7 Management and Development continued (Vice-Chancellor s Office) Documentation of legal advice on other matters Current + 5 requested by, and provided to, the institution Records documenting the University s notification of data controller details to the Office of the Information Commissioner Handling of data access requests under the Data Protection Act 1998 Records containing management statistics, analysis and reports of requests for access to personal information under the Date Protection Act 1998 Documentation of the development and maintenance of the University s Publication Scheme as required by the Freedom of Information Act 2000 Documentation of the handling of requests for access to information held under the Freedom of Information Act 2000 Records containing management statistics, analysis and reports of requests for access to personal information under the Freedom of Information Act 2000 Handling of requests from third parties to use material in which the University owns the copyright Expiry of notification + 6 Last action on request Completion of the Publication Scheme + 5 Last action on request Last action on request + 5 Data Protection Act 1998 Data Protection Act 1998 Page 7 of 56

8 Management and Development continued (Vice-Chancellor s Office) Management Information Externally driven exercises required by funding councils, government departments and other bodies HEFCE - Higher Education Students Early Statistics Survey (HESES) The HESES survey provides early data that inform our allocations of formula-based recurrent teaching funding and student number controls for higher education institutions (HEIs). All Management Information prepared by the Planning Office. HESA Student The Student record is collected in respect of all students registered at the reporting institution who follow courses that lead to the award of a qualification or institutional credit. The emphasis of the coverage of the Student record is those who are (or were) actively following a course at some time during the HESA reporting period. A wide range of data items are collected, including: the student's entry profile and personal characteristics, module and course level data, including course/module registrations and outcomes, funding information and qualifications awarded. Summary and validation tables only. Page 8 of 56

9 Management and Development continued (Vice-Chancellor s Office) HESA Aggregate Offshore - The The KIS record has Aggregate offshore record is been collected collected in respect of students since 2012/13. studying (to date) wholly outside the UK who are either registered with the reporting institution or who are studying for an award of the reporting institution. HESA Institutional Profile - The Institution profile record needs to be returned by all HEIs and is made up of two key pieces of information, the campuses and academic cost centres of HEIs. The data collected in this record will be used to validate the Student, Staff and Finance HE- BCI records as well as providing benchmarking material for heidi. Key Information Set (KIS) - The KIS record is collected to aid prospective higher education students in making a decision about what and where to study. The KIS provide comparable sets of information about full or part-time undergraduate courses and contain information that prospective students have identified as most important to inform their decisions about future study. The emphasis of the coverage of the KIS record is for any undergraduate course that someone can register for in the next academic year. The KIS record has been collected since 2012/13. Page 9 of 56

10 Management and Development continued (Vice-Chancellor s Office) EFA/SFA/24+Loan The further education (FE) and skills sector in England uses the Individualised Learner Record (ILR) to collect data about learners in the system and the learning undertaken by each of them. The data collected in the ILR is used to ensure that public money distributed through the Skills Funding Agency and the Education Funding Agency (EFA) is being spent in line with government targets for quality and value for money, for planning, and to make the case for the sector in seeking further funding. HEFCE Annual Accountability Return / Financial Forecast HESA Destinations of Leavers from Higher Education (DLHE) The DLHE record is collected in respect of successful leavers of the reporting institution 6 months after their completion of study. The data submitted in the record is obtained through a survey instrument, centrally defined by HESA and locally managed by HEIs year after data returned to HESA year after data returned to HESA Part of collation undertaken by Finance Either hardcopy of electronic copy of completed questionnaire or telephone script kept. Page 10 of 56

11 Management and Development continued (Vice-Chancellor s Office) The Office for Fair Access (OFFA) Institutional Access Agreement and associated monitoring - All publicly funded institutions wishing to charge higher tuition fees for full-time entrants must submit a new access agreement for approval by the Director of Fair Access. Access agreements set out how institutions will sustain or improve access and student retention. Statistical data on forward planning and resource allocation Recruitment and enrolment monitoring for internal purposes Projected/forecasts for student numbers Projected / Funding models Confirmation, clearing and recruitment monitoring Monitoring/analysis of late enrolments Monthly student number summary reports. UCAS application monitoring Page 11 of 56

12 Management and Development continued (Vice-Chancellor s Office) Institutional performance monitoring against various Corporate Plan performance indicators (i.e. HEFCE contract, PIs, benchmarks etc.) indicators HESA - Performance indicators The Times, Guardian and Thomson Reuters World Ranking League Tables Funding and Monitoring Data (FAMD) derived Statistics for the monitoring and allocation of funding Equality and Diversity Committee student and staff monitoring data + 5 Years It is a legal requirement to display this information on our website Page 12 of 56

13 Management and Development continued (Human Resources) Human Resources Industrial Relations / Staff Training and Development / Job Evaluation / Staff Administration / Recruitment / Employee Relations / Pension Scheme Administration / Payroll Administration / Disciplinary Proceedings / Grievance Proceedings / Staff Welfare / Manpower Planning / Miscellaneous Industrial Relations Development and maintenance of productive working relationships with trade unions Liaison with trade unions on proposed changes to staffing structures and other relevant matters. Reports and correspondence Negotiations with Unions regarding pay and conditions Reports and correspondence Reports documenting agreements with Trade Unions Routine communications with trade union representatives, including minutes of meetings Records of consultations/negotiations with trade unions on specific issues Staff Training and Development Identification and assessment of training needs and training needs analysis Identification, evaluation and selection of training programmes Job specific statutory/regulatory training requirements The record retention period arises from a recommendation from the Chartered Institute of Personnel and Development. As identified by Deans/Directors as part of the staff development & performance review process. Details of individual training needs should be kept until after the completion of actions. Documentation relating to statutory/regulatory training requirements and the training provided to meet these. Termination of agreement Last action + 20 Active Expiry of certification or after training has been undertaken + 6 Page 13 of 56

14 Management and Development continued (Human Resources) Advertisement of training opportunities Training Directory + 4 Design and commissioning of new training programmes Review of training programmes, and an assessment of their impact Course evaluation forms/training feedback reports Client files for Faculties/Departments Faculty/Department Working Groups Professional Development Certificate in Supervisory Skills Job Evaluation Job descriptions Job evaluation reports Ideally these should be kept for the duration of the job + 1 year year Variable Staff Administration Maintenance of staff records Staff personal files Provision of information to/about current/ former staff 6 after retires Termination of employment + 2 Page 14 of 56

15 Management and Development continued (Human Resources) Requests for access to information + 1 year Termination of employment by voluntary resignation, redundancy, retirement Termination of employment References provided in confidence in support of an employee s application(s) for elsewhere Provision of reference + 1 year Recruitment Authorisation to recruit forms + 1 year Advertising vacancy, advert and recruitment agency brief Completion of appointment + duration of employment Equality Act 2010 UK Border Agency s UK Visa & Immigration requires that where a non EEA citizen is appointed and issued a Tier 2 certificate of sponsorship, the University is required to keep all recruitment records relating to this appointment for the duration of the employment of said individual. As an employer the University needs to retain evidence of the competitive process that took place which includes all applications short listed for interview in the medium they were received, for example s, CVs, Application Forms etc. Also included are the notes from the interviews conducted for all the candidates, qualifications, professional accreditations. Page 15 of 56

16 Management and Development continued (Human Resources) Unsuccessful job applications Completion Equality Act 2010 of Data Protection Act appointment UK Border Agency 12 months s In line with UK Border Agency requirements the University is now required to keep all recruitment records relating to this appointment for the duration of the employment of said individual where a non EEA citizen has been appointed and issued a Tier 2 certificate of sponsorship. The University needs to retain evidence of the competitive process that took place which includes all applications short listed for interview in the medium they were received, for example s, CVs, Application Forms etc. Also included are the notes from the interviews conducted for all the candidates, qualifications, professional accreditations. Supporting documentation for initial application Includes references, records relating to pre-employment health screening Completion of employment Pre-employment health screening for employees exposed to hazardous substances during employment Contract of employment 40 from the date of last entry on a health record Termination of employment The Control of Asbestos Regulations 2012 Control of Lead at Work Regulations 2002 Control of Substances Hazardous to Health Regulations 2002 Employment Rights Act 1996 National Page 16 of 56

17 Management and Development continued (Human Resources) Changes to terms and conditions of employment Termination Minimum Wage of Act 1998 employment Ethnic monitoring questionnaires/ reports Limitation Act 1980 Interview notes, test results and references for unsuccessful candidates Interview notes, test results and references for candidates Induction programmes Employee Relations Monitoring of impact of employment policies on recruitment and retention of staff Staff attitude surveys Exit interview reports Staff handbook/manual Staff newsletters Development, overall delivery and assessment of induction programme + 5 Years Page 17 of 56

18 Management and Development continued (Human Resources) Pension Scheme Administration Personal pension records End of tax year in which employee left employment + 75 Staff pension files Payroll Administration Processing non-statutory deductions from salaries and wages End of tax year in which employee left employment + 75 Year of creation + 6 Deduction authorisations Tax code notices Current tax year Current tax year + 3 Payroll payments Calculation and payment of payroll payments to employees. Current tax year Equality Act 2010 Income Tax (Employment) Regulations 1993 National Minimum Wage Regulations 1998 Page 18 of 56

19 Management and Development continued (Human Resources) Sickness/Maternity related documents Records documenting the operation Current tax Statutory Sick Pay of the Statutory Sick Pay Scheme year + 3 (General) and Statutory Maternity Pay scheme Regulations 1982 Statutory Maternity Pay (General) Regulations 1986 Payment claims Bank transfer reports Notifying staff of their employment-related tax liabilities Payroll BACS reports are necessary for the audit trail on ERDF projects which have a retention period longer than 7. Therefore, copies are to be kept by HR electronically for a longer period, in line with the ERDF requirements (see section for Research Office). Details of the University s remuneration structure, increments and rewards + 10 Pay reviews + 10 Special reward schemes e.g. Bett funding Termination of Scheme + 5 Documentation of an employee s absence due to sickness Authorisation and administration of special leave e.g. compassionate, study Termination of employment year Page 19 of 56

20 Management and Development continued (Human Resources) Authorisation and administration of statutory leave entitlements e.g. parental leave, adoption leave Completion of entitlement + 6 Maternity and Parental Leave Regulations 1999 Employment Act 2002 Staff disciplinary case files Grievance Proceeding Staff grievance case files Staff Welfare Individual welfare cases Ex gratia payments in relation to damages Gratuity Payments Closure of case Limitation Act 1980 Manpower Planning Definition of staffing requirements and evaluation of employment options + 20 Manpower Plans + 20 Planning promotions + 10 Management succession plans + 10 Staff Performance Appraisal and Development forms and reports Honorary Research/Teaching Fellows Includes routine assessment of an employee s performance and any consequent action taken. All documentation relating to the appointment of Honorary Research/Teaching Fellows Readerships and Professorships Conferments Committee documentation Page 20 of 56

21 Management and Development continued (Research Office / Enterprise and Innovation Group) Research Office / Enterprise and Innovation Group General / Intellectual Property Management / Spin-Off Companies / Research / Research Projects Research Assessment Exercise The key exercise nationwide for the distribution of research funding and demonstrating an Institution s research expertise DV-C Academic Research Excellence Framework The key exercise nationwide for the distribution of research funding and demonstrating an Institution s research expertise DV-C Academic General Prospects/Not Submitted project files All paperwork relating to bid prospects or bids that were never submitted. No requirement Unsuccessful project files Unsuccessful Bids electronic archive only. 2 All Successful project files All University Group successful projects Project End [Academic] Year + 6 All successful project financial records Refer to Annex 1 Legislation Affecting Records point 18 in conjunction with next section (Structural Funds Successful and Completed Structural Funds (ESF/ERDF) Projects Files containing purchase order copies, travel claim forms, other financial documentation. Documentation relating to funds awarded under the Structural Fund Projects, including application, contract, financial claims, terms and conditions, final reports/claims Project End [Academic] Year + 6 Until at least Dec 2014 There is no requirement to retain these documents. Scan all physical documents and retain in electronic archive This applies unless funder agreements recommend an alternative. Unless superseded by Funder or Finance retention periods. Audit requirements within the contract. Documents should be kept for a minimum of 3 after the final payment is made by the EC in relation to the EC programme that the project is funded by. Please confirm with the RO before destruction. Page 21 of 56

22 Management and Development (Research Office / Enterprise and Innovation Group) Successful and Completed Structural Funds Documentation relating to funds awarded Until at least (ESF/ERDF) Projects under Structural Fund Projects, including Dec 2025 application, contract, financial claims, terms and conditions, final reports/claims, financial and defrayal evidence Intellectual Property Management Registration of patents, trademarks and designs Audit requirements within the contract. Documents should be kept for a minimum of 3 after the closure of the EC programme that the project is funded by, and should only be destroyed after confirmation from DCLG. Please confirm with the RO before destruction. For full range of legislation relating to Intellectual Property please also refer to: ICSA Guide to Document Retention; Companies Act 1985; Patent applications Specification, claims, abstract, patent office forms VAT Act 1994; Finance Act 1998; Income Tax (PAYE) Regulation 2003; Patent Certificates of Grant Tax Management Act 1970; Statutory Sick Pay (General) Regs 1982; Trade mark certificates Intellectual property disclosure forms Administration of intellectual property agreements Agreements/assignment of patent to third party Claims of infringement of intellectual property rights Termination of agreement Termination of agreement+ 6 Year matter is resolved + 6 Identification of intellectual property Documentation identifying new intellectual property and discussions with Patent agents. Page 22 of 56

23 Management and Development continued (Research Office / Enterprise and Innovation Group) Exploitation of intellectual property Documentation identifying opportunities for Last action + commercial exploitation and the formation of 10 spin-off companies. Licensing of institutional patents to third party Termination of Licence + 6 Administration of patent licensing agreements and collection fees Termination of Licence + 6 Infringements of patents and action taken other than litigation Last action + 6 Spin-Off Companies Records documenting action to ensure that companies are conducting business in line with established agreements and company law. Company accounts. Documentation relating to the disposal/winding up of company. 10 from date of resolution/me eting/decisio n 6 from date created Disposal + 10 s.355 Companies Act 2006 s.388 Companies Act 2006 Company formation documents need to be kept on a permanent basis. Companies Act makes reference to retaining accounts in private companies for 3, but best practice is to keep for 6. Page 23 of 56

24 Management and Development continued (Finance) Finance Financial Planning and Financial Accounting / Management Accounting / Cash management / Asset Management / Internal Accounting / Budget Administration / Investment Management / Tax Management / Purchasing and Procurement Supplier Information and Purchasing / Insurance Management Financial Planning Financial Forecasts + 3 Capital and revenue budgets + 3 Financial Accounting Accounting for income Current + 6 Value Added Tax Act 1994* Sales invoices, sales ledgers, receipts credit notes, till rolls, remittance advices Statements Accounting for expenditure 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, receipts and processing of student fees. Current year Value Added Tax Act 1994* Value Added Tax Act 1994* Value Added Tax Act 1994* Page 24 of 56

25 Management and Development continued (Finance) Management Accounting Financial analysis Annual management accounts Monthly/quarterly accounts Cash Management Bank accounts Records documenting the opening, closure and routine administration of bank accounts + 1 year Closure of account + 6 Value Added Tax Act 1994* Pay-in slips, transfer instructions, withdrawal slips Value Added Tax Act 1994* Bank Statements Value Added Tax Act 1994* Cancelled cheques Value Added Tax Act 1994* Standing orders, direct debits Records documenting Life of instruction + 6 Asset Management Asset register Capital asset register: major items other items Asset disposal Documents relating to the authorisation and decisions to dispose of capital assets 12 Current financial year of disposal + 6 Taxes Management Act 1970 Commercial considerations Page 25 of 56

26 Management and Development continued (Finance) Internal Accounting Internal accounting transactions + 1 year Cross-charge requests and reports Budget Administration Monitoring of actual against planned expenditure Budget reports + 1 year + 1 year + 1 year Investment Management Acquisition/disposal of investments Investment instructions Share certificates Investment portfolio reports Tax Management Assessment of tax liabilities Disposal of shares + 6 Value Added Tax Act 1994 VAT account Value Added Tax Act 1994 Page 26 of 56

27 Management and Development continued (Finance) Submission of tax returns Value Added Tax Act 1994 VAT return Value Added Tax Act 1994 Corporation tax returns Income and Corporation Taxes Act 1988 PAYE/NI/Returns on subcontractors Purchasing and Procurement Supplier Information Supplier evaluation reports year Taxes Management Act 1970, Income Tax (employment) Regulations Register of approved suppliers Active Invitations to tender/tenders/tender evaluation documentation: Successful Termination of contract + 6 Invitations to tender/tenders/tender evaluation documentation Where unsuccessful + 1 year Requests for proposals Successful Requests for proposals/proposals/ proposal documentation unsuccessful + 1 year Insurance Management Arrangements for and renewal of insurance policies to meet legal obligations Expiry of policy + 6 Page 27 of 56

28 Management and Development continued (Finance) Arrangements and renewal of insurance policies to meet defined requirements and legal obligations: employers liability insurance Commencem ent of policy + 40 OR renewal of policy + 40 Employers Liability (Compulsory Insurance) Act 1969 and Regulations 1998 Insurance claims Inspection or maintenance reports Supplier files Settlement or withdrawal of claim Monitoring of supplier performance Refers to vendor appraisal forms. Contractor review reports Purchasing Purchase orders Goods received notes/goods inward notes Current financial year +6 Value Added Tax Act 1994 HM Customs & Exercise Notice 700/21 Value Added Tax Act 1994 HM Customs & Exercise Notice 700/21 Information held on QLF *Also required by the relevant sections of Taxes Management Act 1970 and Corporation Taxes Act Page 28 of 56

29 Management and Development continued (Estates) Estates Estates and Premises Management / Risk Assessment / Hazardous Exposure Control / Accident/Dangerous Occurrence Monitoring / Insurance Management / Waste Management / Internal Services / Security Management Estate and Premises Management Management of the legal aspects of ownership and occupancy. Electrical Test Certificates Includes title deeds, leases, mortgage deeds, planning applications, building plans and drawings. 5 Year Periodic Inspection Reports 2 Year PAT records Title deeds: ly or until the property is disposed of Leases: 12 following end of lease Mortgage deeds: 12 from the end of the mortgage Current + 5 Construction, Design and Management Regulations 1994 Electricity at Work Act 1989 The regs are 2007 and currently under review. They require a plan and a file which does build spec, drawings and maintenance. It does not included title deeds etc. Records of remedial works completed LEV testing Annual Test Records Current + 5 Years COSSH Landlord Domestic Gas Safe Certificates Annual Test Records Current + 5 The Gas Safety (Management) Regulations 1996 (GSMR) Gas Safety (Installation and Use) Regulations 1998 Risk Assessment Fire risk assessment of buildings Active Fire Safety (Regulatory Reform) Order 2005 Page 29 of 56

30 Management and Development continued (Estates) Assessment of operations, activities and Active Management of procedures within work place Health and Safety at Work Regulations 1999 Where assessment is linked to accident/ employee s health condition, 3 after accident date or notification of condition. Risk assessment of manual handling operations undertaken by employees Assessment to ensure protective clothing/equipment issued to those likely to be exposed to risks Active Active Manual Handling at Work Regulations, 1992 Personal Protection Equipment at Work Regulations 1992 Where assessment is linked to accident/ employee s health condition, 3 after accident date or notification of condition. Safe Water Risk Assessments 5 Years HSE - L8 Control of Legionella Assessment of work stations Active Health and Safety Display Screen Equipment Regulations 1992 Records of remedial works included Where assessment could be linked to employee condition i.e. RSI 3 after notification of condition. Assessment of noise levels and if necessary take action to prevent injury Life time of equipment or environment Control of Noise at Work Regulations 2005 If records relate to personal noise monitoring then the retention period is Life time of employee. Hazardous Exposure Control Risk Assessment of hazardous substances Active Control of Substances Hazardous to Health Regulations 2002 Where assessment is linked to accident/ employee s health condition, 3 after accident date or notification of condition Local exhaust ventilation (LEV) and similar equipment statutory inspections records Life time of equipment Control of Substances Hazardous to Health Regulations 2002 Where assessment is linked to accident/ employee s health condition, 3 after accident date or notification of condition Page 30 of 56

31 Management and Development continued (Estates) Health Surveillance Reports (Held by the Life time of Control of Occupational Health Provider) employee Substances Hazardous to Health Regulations Exposure monitoring associated with a specific process which identifies staff Control of Substances Hazardous to Health Regulations 2002, Noise at Work Regulations 2005, Ionising Radiation Regulations 1999 Accident/Dangerous Occurrence Monitoring Reporting and investigation of accidents and dangerous occurrences + 3 Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013 For accident/ employee s health condition, 3 after accident date or notification of condition ll RIDDOR Forms Plant and Equipment Maintenance Conduct of testing, maintenance and statutory inspections, and any necessary corrective action + 3 Life of plant/ equipment + 6 Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995, Lifting Operations and Lifting Equipment Regulations 1998, Pressure Systems and Transportable Gas Containers Regulations 1989 Page 31 of 56

32 Management and Development continued (Estates) Maintenance schedules + 2 Corrective action schedules + 2 Inspection certificates Maintenance certificates Life of plant/ equipment + 6 Repair reports Life of plant/ equipment + 6 Waste Management Waste transfer note and written description of waste + 2 Waste (England and Wales) (amendment) Regulations 2014 Hazardous waste consignment note Energy and Carbon Management + 3 The Hazardous Waste (England and Wales) (amendment) Regulations 2009 Carbon Reduction Commitment Evidence Pack All records and submissions relating to the Carbon Reduction Commitment +6 The CRC Energy Efficiency Scheme Order 2013 Records and information relating to externally certified Environmental Management System ISO14001 Internal Services Documentation re room booking All records to demonstrate compliance with ISO unless otherwise specified Active ISO14001:2004 Page 32 of 56

33 Management and Development continued (Estates) Mail courier and postage logs + 3 months Taxi booking logs Pool car requisitions Security Management Control of access to institutional premises and IT systems (Key issue, visitors logs, access logs) Controlling removal of institutional property 3 months 3 months 3 Months 3 Months Page 33 of 56

34 Information (Marketing and Communication) Section 2 Information In Information: Marketing and Communication IT Services Library Marketing and Communication Competitor Monitoring / Marketing / Public Relations / Photographs and creative design / Business Stationary Competitor Monitoring Market Research reports Marketing Corporate identity Promotional material Identification and exploitation of promotional opportunities Planning and execution of marketing campaigns, and assessment of their impact (marketing plans and market research) Public Relations Press releases, press clippings Press coverage statistics Official publications Page 34 of 56

35 Information (Marketing and Communication continued) World Wide Web facilities (design and management of WWB sites) Every change must be recorded and kept permanently. Alumni Relations and Events Records containing personal data on individual alumni Design, planning and production of official alumni communications Records relating to the planning, organisation, administration and impact/results of institutional events for alumni Completion of event + logged on the database for future reference While current or until consent to hold data is withdrawn by the individual Current + some examples kept for future reference Data Protection Act Event attendance is logged on the alumni database for future reference and for a full picture of engagement alumni have with the University Records are kept on the alumni database in line with the Data Protection Act Examples of alumni magazines are kept for reference Design and conduct of alumni surveys Completion of survey + example kept for future reference Examples of surveys are kept for future reference. This does not include individual responses Results of alumni surveys: individual responses Completion of survey Individual responses are only kept for analysis; final reports are kept for future reference. Page 35 of 56

36 Information (Marketing and Communication continued) Summaries and analysis of responses from Completion the alumni surveys of survey + for future reference Records documenting complaints from alumni, the internal handling of and responses provided Photographs and creative design Business Stationery Last action on complaint + 1 year Page 36 of 56

37 Information (IT Services) IT Services Information Management / IT Operations Management / Design, development and implementation of IT systems / Contingency Planning / Registration for Computing Services / Code of Conduct for use of IT facilities Information Management Information Strategy Definition of internal information needs and 10 formulation of plans to meet those needs. Information Systems IT Operations Management Specifications of functional and technical requirements for hardware, software and networks. Test reports and operating logs on installation, testing and operation of for hardware, software and networks Operation of data backup and archiving routines. Design, development and implementation of IT systems Development of information systems business cases. The description of how the backups work not the backups themselves. Current plus previous system Current systems version + 3 Contingency Planning Risk assessment reports Development and testing of disaster prevention, response and recovery plans (Estates, Safety Office hold primary responsibility for the University s Emergency plan not business continuity plans) Page 37 of 56

38 Information (IT Services continued) Contingency plans, business recovery plans, disaster plans Emergency planning exercise documentation Identification and protection of vital information resources Registration for Computing Services Staff registration request forms Code of Conduct for Use of IT Facilities Single side of A4 requesting access to academic and admin systems. This document is an appendix to the University's General Regulations. It also appears on the screen once the user has logged-on and asks for confirmation of compliance. Student registration is dealt with electronically once enrolment has taken place. The staff request form is held with form used to issue user passwords for specific academic and admin systems. Breaches Investigations relating to the breach of the Code of Conduct for Use of IT Facilities that result in the generation of paper files to be presented as evidence in disciplinary hearings. 10 Monitoring of individual student files requires authorisation by the Director of IT Services, and for staff files authorisation must be received from the Pro-Vice-Chancellor (Academic). Page 38 of 56

39 Information (Library) Library Service delivery and planning / Inter-library loan forms / Enquiry forms / Loans records and database / Print and production requisition / Centre for Academic Writing Service delivery and planning Inter-library loan forms British Library requirement Enquiry forms Loans records and database + 1 year Active Print and production requisitions 3 months Centre for Academic Writing Tutorial Record Sheets Other Student Records Timetables, Class Lists, Attendance/Assessment Registers Staff Consultation/Development Records Financial Records Print/production requisitions SAB/PAB Documentation External Examiners Reports Cause for Concern Forms, Accutrack Student Lists, Student Profile Sheets, Drop in Tutorial records etc year 3 3 months Page 39 of 56

40 Students (Recruitment and Admissions Office) Section 3 Students In Students: Recruitment and Admissions Office International Office, Centre for Global Engagement and Academic Partnership Unit Student Services Registry Faculty Recruitment and Admissions Office Marketing Materials / Admissions / Student Recruitment / Student Surveys Marketing Materials e.g. Open Day promotion leaflets, tariff leaflets, newsletters for staff, Summer Faculty programme details. Admissions Student application forms. + 1 year Student Recruitment Design, conduct and summary results of student recruitment campaigns and events Completion of campaign One copy of all materials is kept for future reference. Application forms are held by the RAO for one year and then passed onto Faculties for inclusion in the Student files. Handling of queries from prospective students Summaries and analysis of enquiry, recruitment and retention data Successful applications for admission Unsuccessful applications for admissions + 1 year End of student relationship year Page 40 of 56

41 Students (Recruitment and Admissions Office continued) Documentation on the clearing process + 1 year Registration of students on programmes Summaries and analysis of data on registration of students on programmes Documentation relation to design, conduct, review and administration of the induction programme Student Surveys Documentation referring to the design and conduct of student surveys Individual responses to surveys Summaries of analysis of responses End of programme of study + 6 Current academic year + 5 Completion of induction + 5 Completion of survey + 5 Completion of analysis of survey responses Completion of survey + 5 Page 41 of 56

42 Students (International Office, Centre for Global Engagement and Academic Partnership Unit) International Office, Centre for Global Engagement and Academic Partnership Unit Overseas Student Records / Application database / Student applications / Student Welfare files / Socrates-Erasmus Programme / Financial Records Overseas Student Records Electronic database Applications database + 3 Student applications Contains details of certificates, funding arrangements, sponsorships and related correspondence. + 1 year Student Welfare files Personal files. Socrates-Erasmus Programme Correspondence and papers created or received relating to the organisation, management and administration of the Socrates-Erasmus Programme for Higher Education Mobility in Europe. Completion of study + 2 Regulations, institutional applications and reports, payment and receipt details, student applications and correspondence etc. Completion of study + 2 Financial Records Operational income and expenditure statements. Academic Partnership Unit Planning, financing and management of joint venture agreements Termination of Agreement + 6 Years Page 42 of 56

43 Students (International Office, Centre for Global Engagement and Academic Partnership Unit) Appeals Documentation relating to staff/student Date of appeals and monitoring data settlement + 6 Assessment Examination/assessment rules. Principles, regulations and procedures for programmes of study and courses leading to academic awards and other distinctions i.e. General and Academic Regulations External Examiners Reports External Examiner reports 6 Partnership approval and review Documentation relating to partner colleges Course approval and review outcomes Key documentation as approved, and report. Strategic Academic Planning Group and Review and Approval Panel Definitive course documentation External Academic Review External Examiners (See also Registry s and Faculties Schedules) External Examiner reports Agendas, minutes and documents. Programme specifications, module descriptors, evidence of externality and resources document(s). Documentation relating to the QAA institutional audits. Records documenting the conduct and results of quality audits and action taken to address issues raised. External Examiner nominations, letters of appointment and reports. Course Design, Approval and Monitoring Faculty Collaborative Provision Committee Minutes and meeting documentation Page 43 of 56

44 Students (Student Services) Students Services Student Welfare Service Management / Student Accommodation / Conference and Banqueting Facilities / Careers Guidance and Alumni Relations / Catering Services Student Welfare Service Management Student funding Records relating to money advice and applications for loans and hardship fund. Includes application form, supporting documentation and type of funding applied for. Completion of course + 6 Key development and review documents + 3 Students with disabilities personal files Includes events log of meetings, correspondence, s and telephone conversations between student and staff and all supporting documentation arising from contact with student. Details of adjustments made and provision of funding also held on this file. Completion of course + 6 Time sheets Disabled students support workers timesheets and invoices. + 1 year Dyslexia assessment details Completion of course + 6 Counselling - client's personal file Includes counselling service record of information, consent form for release of information if applicable, standard examination report form for submission with mitigating circumstances forms. Completion of course + 6 Nursery children s reports and contracts + 3 Page 44 of 56

45 Students (Student Services continued) Student Accommodation Letting of student accommodation Accommodation booking forms Signed lease agreement is cross-referenced to the Licence to Occupy to an agreement that the student is required to sign. The agreement being on an A4 sheet of paper. These are the tear-off forms included in the International and UK Arrival Packs. Stored alphabetically and are not part of a student file as such. Room transfers are also logged on this form. Termination of agreement Booking forms not followed through by an acceptance and record card. + 1 year Accommodation fees register Only deposits are collected which are transferred to the Finance Department who is responsible for collecting fees. Cross-reference to the Finance Department retention schedule. Acceptance and record card Completed on acceptance of accommodation. Includes photograph and personal details. Notice to quit Letter formally terminating licence to occupy. Incident files Documentation relating to communal damage and misdemeanours. Resolution of dispute + 6 See also Registry s retention schedule for student disciplinarys. Complaints Conference and Banqueting Facilities Private hire agreements Documentation relating to student complaints. Private hire of catering facilities, internal conferences and internal summer Faculties. Resolution of dispute + 6 Page 45 of 56