Discretionary records

Transcription

1 St George s, University of London is required to retain records to fulfil either legal and regulatory or organisational s. Effective management of our records also demonstrates our compliance with Data Protection legislation and Freedom of Information legislation. The retention schedules cover all records regardless of the format they are in. The retention schedules are organised by subject area and encourage a consistent way of managing records regardless of where they are held in the University. The retention schedules only apply to the controlled records. Duplicates and reference copies should be disposed of once the need for them has ended and must always be disposed of before the end of the retention period. Where controlled records are stored in systems of records such as SITS, HR, Allegro, etc. there is no need to hold a copy in your local area. The retention schedules identify records which are to be preserved in the Archives. These records should be transferred to the Archivist at the end of the retention period or after 10 years whichever is soonest. Discretionary records Some records SGUL produce are classed as ephemera or discretionary records as they hold no substantial evidential or operational value. Such items should be disposed of promptly. Examples include but are not limited to: Working papers Duplicates including extracts from databases, cc d s Confirmations of room bookings Distribution lists that are now superseded Messages Cover sheets, s, or routing slips that accompany documents Meeting invites, acceptances, refusals, or apologies The Records Manager will advise on fulfilling the s set out within the retention schedules. Contact khylan@sgul.ac.uk with queries relating to the schedules or to suggest updates and amendments.

2 Compliance - Records documenting activities undertaken by SGUL to comply with Data Protection and Freedom of Information legislation. Data Protection Subject Access Requests Data Protection - policy documents and records of implementation and compliance with the GDPR Data Protection - notifications FOI processing requests for information held by SGUL FOI policy documents and records of implementation and compliance with FOI FOI - maintaining the SGUL publication scheme FOI - compiling statistics - Records documenting activities involved in managing SGULs communications with students, alumni, and the public Alumni Records documenting the processing of requests for access to personal information held by SGUL under the Data Protection Act 1998 Developing policy, consulting with SGUL authorities regarding policies, disseminating approved policy, and reviewing policy. Records documenting SGUL notifying the ICO with details of our DPO. Processing FOI requests made under the Freedom of Information Act 2000 (c.36) for information held by SGUL. Developing policy, consulting with SGUL authorities regarding policies, disseminating approved policy, and reviewing policy. Developing and maintaining the SGUL Publication Scheme as required by the Freedom of Information Act 2000 (c36) Producing statistics, analyses, and reports on requests made to the SGUL FOI Officer. Alumni events - records related to planning, advertising, attendance. IS ACT+3 JISC recommendation 1998 c 29 does not prescribe a retention period for these records. A longer retention period may be appropriate for records documenting the handling of requests which resulted in complaints or appeals IS 10 years IS 2 years or CY + 1 Data Protection Legislation Annual from ICO GLAS Act+3 TNA recommendation See document "Records created by a public body fulfilling its obligations under the Freedom of Information Act 2000 (The National Archives)" GLAS 10 years GLAS ACT+5 JISC recommendation Model Higher Education Business Classification Scheme and Records Schedules GLAS ACT+10 TNA recommendation See document "Records created by a public body fulfilling its obligations under the Freedom of Information Act 2000 (The National Archives)" Alumni Alumni surveys - containing personal data Alumni Alumni surveys - survey results ACT+3 JISC recommendation 1 year JISC recommendation Completion of analysis - likely contains personal data Review with Archivist

3 Alumni Published edition alumni Magazine "George's" Fundraising Records documenting SGUL fundraising campaigns. Alumni Profiles of alumni Alumni Alumni Fundraising - identifying targets for fundraising campaigns Fundraising - event planning, promotional material, outcomes of event Press releases SGUL press releases Media relations Media relations Records detailing SGUL communications and relationship with the media Organising and planning interviews and briefing with media organisations Annual report Annual publication Prospectuses Undergraduate and postgraduate prospectuses published annually SGUL website Snapshot of website taken once a year Promotion SGUL logos, development of logos, branding guidelines Promotion Promotional material and marketing Promotion Marketing campaigns - planning and implementation 3 years JISC recommendation Indefinite 2 years 3 years JISC recommendation 6 years Limitation Act 1980 Transfer to Archives Records destroyed after death of alumni Transfer to Archives 1 year JISC recommendation Transfer significant articles / press campaigns to the Archivist 6 years JISC recommendation Superseded Superseded JISC recommendation JISC recommendation 5 years JISC recommendation Transfer to Archives Transfer to Archives

4 Official visits Records documenting organising official visits by dignitaries to SGUL Graduation ceremonies Estates and Facilities - Records created during the day to day management of SGUL facilities and estates Statutory maintenance and inspections of facilities and equipment Maintenance and inspections of facilities Maintenance and inspections of facilities Maintenance and inspections of facilities Maintenance and inspections of facilities Insurance Records detailing organising and administrating graduation ceremonies. Records that detail routine maintenance, inspections, tests, and reports of any repairs made of equipment. Includes testing of lifts, boilers, fire systems, electrical, and alarms Estates ACT+6 Limitation Act 1980 Maintenance and inspection certificates Estates ACT+6 Limitation Act 1980 Records detailing maintenance and corrective action schedules Major works carried out on facilities and equipment at SGUL including contracts for building works, reports from contractors, and project files Minor works carried out on facilities and equipment at SGUL Records include inspection reports and insurance certificates for SGUL equipment and buildings ACT+1 JISC recommendation Any records, photographs, or ephemera generated by the visit should be sent to the Archivist for assessment ACT+1 JISC recommendation Transfer significant records i.e. photographs, program to the Archives. Estates ACT+6 Limitation Act 1980 Demonstrates robust effective maintenance program Estates ACT+15 Limitation Act c. 58 s 14B Estates ACT+6 Limitation Act 1980 Estates ACT+6 Limitation Act 1980 Building security Logs tracking issuing of keys, visitors, and access to the building Estates ACT+1 Data Protection Legislation Asbestos Asbestos register and superseded registers Estates Control of Asbestos at Work Regulations 2012 Fire safety Records recording SGUL's fire safety arrangements Estates ACT+6 Limitation Act 1980 Fire safety - certificates Fire certificates Estates Superseded JISC recommendation Building plans / CAD drawings University floorplans Estates ACT+15 Limitation Act c. 58 s 14B CCTV CCTV recordings Estates 3 months SGUL CCTV Policy 24/08/2011 Security Security incidents and any actions taken Estates 1 year JISC recommendation Leases - third party Sub-letting SGUL property Estates ACT+6 Limitation Act 1980 Space management Space surveys, space audits, capacity reporting, options for meeting s Estates Completion of next survey + 5 JISC recommendation Completion of works plus 15 years Completion of works plus 15 years. Liaise with the Archivist regarding what to deposit into the Archives Images required for evidential purposes will be keep longer

5 Waste management Disposal of no hazardous waste Estates 2 years Waste (England and Wales) Regulations 2011 / 998 Disaster recovery and emergency plans detailing what actions are to be Estates Superseded response taken in the event of a disaster or emergency taking place Finance - Records detailing the management of SGUL finances. Accounts payable invoices, receipts, BACS, credit notes, tuition fees Finance 7 years Companies Act 2006, Value Added Tax Act 1994, Finance Act 1998 Banking Instructions and payments Finance ACT+6 Limitation Act 1980 Banking Reconciliation and balance management Finance 7 years Companies Act 2006, Value Added Tax Act 1994, Finance Act 1998 Management accounts and budgeting Tax Preparation of annual budgets, monitoring expenditure against the budgets, variances reporting VAT and corporation tax - preparation of returns and VAT accounting Finance 7 years Finance 7 years Companies Act 2006, Value Added Tax Act 1994, Finance Act 1998 Annual accounts Annual reports and financial statements Finance Annual accounts Annual reports and financial statements - working Finance 6 years Companies Act 2006 papers Expenses Includes claim forms and receipts and payment details. Finance 7 years Companies Act 2006, Value Added Tax Act 1994, Finance Act 1998 Procurement -tendering - unsuccessful Bids and tender records- unsuccessful bids Finance Awarding of tender + 1 JISC recommendation Six years are statutory with an additional year added in case of HMRC enquiry. Six years are statutory with an additional year added in case of HMRC enquiry. Six years are statutory with an additional year added in case of HMRC enquiry. For transfer to the Archives. Six years are statutory with an additional year added in case of HMRC enquiry. Procurement - contract management Procurement - tendering - successful Monitoring performance of supplier during the contract period Records including procurement authorisation, qualification questionnaires, invitation to tender, tender evaluation, negotiations, notification of results, contract Finance ACT+6 Limitation Act 1980 Finance ACT+6 Limitation Act 1980

6 Governance - Activities undertaken to develop and establish SGUL's corporate governance structure. Records detailing how SGUL conducts its business in accordance with the governance structure. Council Senate Committee papers - key Records documenting the activities of Council including agendas, minutes, papers, recruitment and membership. Records documenting the activities of the Senate including agendas, minutes, papers, recruitment and membership. Records documenting the activities of key SGUL committee's including papers, agendas, minutes, and membership. See notes for key committees GLAS GLAS GLAS Transfer to Archives Transfer to Archives Key committees include but are not limited to: SPARC; Audit, Finance, Safety Management, Risk Management and Efficiency Committees Committee papers Strategic Plan Fellowships Policies Policies Records documenting the activities of SGUL committee's including papers, agendas, minutes, and membership. See notes for committees that this retention period applies to. Records detailing the University's strategic plans, mission statement Records documenting fellowships awarded to individual who have made a significant impact in medicine or on SGUL. Records documenting the University's position on issues that impact the running of the University Records documenting the development of SGUL policies GLAS 6 years GLAS GLAS 10 years Committees include but are not limited to QAEC; JSEC; Nominations and Honorary Awards, Information Strategy, Space Strategy, Equality and Diversity Committees. Transfer to Archives Includes but is not limited to anti-corruption, anti-fraud, research policies, student policies, whistleblowing, student relations i.e. admission, tuition fees, disciplinary GLAS ACT+1 JISC recommendation Dispose of one year from the publication of the policy Regulations Regulations approved by the Senate that apply to all study programs and students at SGUL GLAS Transfer to the Archive Office for students Annual submission to the Office for Students GLAS 9 years

7 Register of interests GLAS When the council members retires from council Audit reports Internal and external reporting on audits carried out at SGUL Quality & Partnership 5 years JISC recommendation Recruitment to Council and Senate GLAS HSE - Records detailing how SGUL manages the impact of University functions on the health and safety of staff, students, and visitors while on premise, and of ensuring compliance with legislation on health and safety matters. Accident records, accident reports, and accident books Accident records, accident reports, and accident books - under 21 Control of Substances Hazardous to Health Regulations (COSHH) Records include accident reports, near miss reports HSE ACT+3 The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (RIDDOR) (SI 1195/3163) as amended If the accident involves a young adult then keep the records until the person reaches the age of 21. Records as specified by the Control of Substances Hazardous to Health Regulations (COSHH) HSE Until the person reaches the age of 21 Limitation Act 1980 HSE Act+40 The Control of Substances Hazardous to Health Regulations 1999 and 2002 (COSHH) (SIS 1999/437 and 2002/2677) and Health & Safety at Work Act For accidents involving chemicals or asbestos see XXXX Includes persons exposed to Hazard Group 3 microbiological agents as defined by the Advisory Committee on Dangerous Pathogens guidance and also Control of Substances Hazardous to Health (COSHH)

8 Medical records under the Control of Health records of SGUL staff under occupational HSE Act+40 The Control of Asbestos at Work Regulations health surveillance Asbestos at Work Regulations 2002 (SI 2002/2675). Control of Asbestos Regulations 2006 (SI 2006/2739). Control of Asbestos Regulations 2012 (SI 2012/632) Radiation Health & safety Investigations into over-exposure HSE MIN50 Ionising Radiations investigations Regulations 2017 Use of radioactive substances Registration to store and make use of radioactive substances. Authorisation to dispose of radioactive substances HSE ACT+6 Radioactive Substances Act 1993 Use of radioactive substances Enforcement notices HSE ACT+6 Radioactive Substances Act 1993 Use of radioactive substances Approval to use a specific practice i.e. radiation generators HSE ACT+6 Ionising Radiations Regulations 2017 Radioactive substances - reports to the Environment Agency HASS RSA10 reports, RSA93 and other reports HSE Indefinite Radioactive Substances Act 1993 Radioactive substances - waste management Disposal of radioactive waste disposal HSE ACT+2 Radioactive Substances Act 1993 Radionuclide Radionuclide storage / radionuclide disposals HSE MIN5 Ionising Radiations Regulations 2017 Radioactive substances - health & safety Radioactive substances - inspection and maintenance of equipment Radioactive substances - health Environmental risk assessments Risk assessments, contingency plans, departmental rules for use of radioactive material Records documenting maintenance of PPE and other equipment utilised to control exposure to radiation Records detailing assessments of doses of the substance accidental or otherwise, health records of individuals handling the substance, and review of the health records Records documenting risk assessments; classification of the contained use work; notification to the competent authority; applying control measures; accident reporting etc. HSE Superseded Ionising Radiations Regulations 2017 HSE ACT+2 Ionising Radiations Regulations 1999 (SI 1999/3232) Regulation 10(1) Regulation 10(2) HSE MIN50 Ionising Radiations Regulations 2017 Estates Act+10 Genetically Modified Organisms (Contained Use) Risk Assessment Regulations 2014 Retain until informed by the Environment Agency that they can be destroyed period starts upon disposal of the waste Retain until the risk assessment is superseded Includes checks, repairs, planned maintenance Retain for a minimum of 50 years or until the staff members reaches 75 years of age

9 Control of Lead at Work (CLAW) Records as specified by the Control of Lead at Work HSE Act+40 Control of Lead at Act (CLAW) Work Regulation 9(4), 18(4) Training Training undertaken to ensure compliance with HSE 10 years JISC recommendation Ionising Radiations Regulations, COSHH Regulations, and Asbestos Regulations Human Resources - Records covering managing SGUL's staff and the University's legal relationship with individual staff members. Recruitment Unsuccessful Applicants Personnel File Maternity Pay Includes CV's, covering letters, notes made at interview, rejection letters Includes authorisation to recruit, application forms, CV, job descriptions, right to work, contract, performance, induction, appraisals, h&s training records, annual and parental leave taken. Entitlements to, and calculations of, Statutory Maternity Pay. All 1 year Equality Act 2010 Code of Practice, Employment Statutory Code of Practice, Chapter 16 Disciplinary Details of disciplinary given to SGUL staff HR Time in Force Disciplinary and grievance case files. Contractors Work Permits and / or Passes Employee Relations - individual staff responses Employee Relations - results of workplace surveys HR Polices and codes of practice Records relating to any cases bought by SGUL staff against the University Access to site, agreement of scope of work, contracted time on site. Records containing identifiable responses to workplace surveys and consultations. Records containing anonymised results of workplace surveys and consultations i.e. Pulse survey Records that document how key HR policies were developed and established. Covering time of unsuccessful applicant to make a claim at Tribunal. Also ensures we meet Data Protection s. HR ACT+6 Limitation Act 1980 Can include but not limited to training records, disciplinary records, working time, statutory sick pay, sick leave including selfcertification, GP certificates. Deposit basic employee details in Archives - name, position, job description, time with SGUL HR ACT+3 Statutory Maternity Pay (General) Regulations 1986 (SI 1986/1960) as amended Discipline and Grievances at Work ACAS HR ACT+6 Limitation Act 1980 HR ACT+6 Limitation Act 1980 HR 6 months Data Protection Legislation HR ACT+6 Limitation Act 1980 HR ACT+6 Limitation Act 1980 Discuss with HR. Can be destroyed upon completing the analysis of the responses.

10 Restructuring events Creating new departments, merges, restructuring existing teams, terminating teams. HR ACT+6 Limitation Act 1980 Limitation Act 1980 Wages / salaries / payroll Records documenting calculation and payment of salaries and Includes overtime, bonuses, expenses HR 6 years Taxes Management Act 1970 Wages / salaries / payroll SGUL salary bands HR Records relating to working time Working time opt out HR 2 years The Working time Regulations 1998 (SI 1998/1833) Trade union agreements See contracts and agreements HR ACT+6 Limitation Act 1980 Trade union Pension records Consultations, negotiations, and communications with trade unions Records documenting an employee's pension contributions; opt in / opt out notices, and entitlements. HR 20 years JISC recommendation HR ACT+75 Learning and development Planning and development records HR 5 years JISC recommendation Learning and development Identification, assessment, and selection of training HR 5 years JISC recommendation packages or in-house development of training packages Learning and development Anonymised feedback from L&D events HR 5 years JISC recommendation Learning and development Feedback from participants at L&D events HR 1 year JISC recommendation Learning and development Welcome seminar / induction HR ACT+5 JISC recommendation Information Management - Activities undertaken as part of managing St George's University London Archives. Records detailing activities undertaken to manage SGUL's records. Activities undertaken as part of managing the Library. Archives - Archives policies Archives - Archives procedures Records that document the development and establishment of SGUL policies for the management of the Archive. SGUL procedures relating to the management of the Archive. Archives - Archives Manual Details Archive operations Superseded Superseded Historical purposes. Working papers created as part of developing policy can be disposed of 1 year after the adoption of the policy. All earlier versions should be disposed of once superseded All earlier versions should be disposed of once superseded

11 Archives - Reader registration forms Records documenting access to and use of the Archive Archives - Reading room visitor logs Archives - Enquiry logs Archives - Enquiry records standard enquires Archives - Enquiry records enquiries of historical significance Archives - Request slips Archives - Self-service photography forms Archives - Copyright declaration forms Archives - Copyright licence agreements Archives - Accessions register Archives - Deposit/donor agreements Archives - Records location register Archives - Loan records Archives - Conservation surveys and register Archives - Successful Archive funding applications Archives - Unsuccessful Archive funding applications Records documenting access to and use of the Archive Records documenting access to and use of the Archive Records documenting access to and use of the Archive Records documenting access to and use of the Archive Record documenting the name the reader, the material consulted and the date. Used for security and statistical purposes. Records documenting agreement on how photographs in the Archive will be used. Activities undertaken to ensure SGUL is in compliance with the Copyright, Designs & Patents Act Activities undertaken to ensure SGUL is in compliance with the Copyright, Designs & Patents Act Records detailing the development of the SGUL Archive including receiving and appraising archives. Includes de-accession and disposal Records detailing the development of the SGUL Archive including receiving and appraising archives Activities undertaken to track the location of the content of the Archive Activities undertaken to track the location of the content of the Archive Records covering activities undertaken to preserve the physical condition of the Archive. Records detailing activities undertaken to obtain external funding for the development and promotion of the Archive Records detailing activities undertaken to obtain external funding for the development and promotion of the Archive 10 years 7 years 10 years 7 years 7 years 6 years Copyright Designs and Patents Act 1988 Retain as finding aid for historical enquiries The Archivist determines what enquiries will be deemed historical ACT+6 Limitation Act 1980 Life of agreement plus 6 years. 6 years Limitation Act years Historical and collections management purposes Historical and collections management purposes Security purposes Historical purposes care purposes

12 Archives - Archive project files Records detailing special projects undertaken by the Archivist. Archives - Sales invoice Archives - Image license agreement Records Management - Disposal of records Records Management - Records management policies - working papers Provision of archive images created by SGUL to external purchasers Records associated with disposing time expired records including authorisation to destroy, destruction requests i.e. to Facilities or offsite storage, and destruction certificates. Draft policies, consultation on policies, revisions, and reviews. ACT+6 VAT Act 1994, Limitation Act 1980 ACT+6 Limitation Act 1980 GLAS GLAS 2 years Historical and collections management purposes Records Management - Records management policies Records Management - Records management procedures Records Management - Organisation, classifying, and describing records Policies documenting SGUL's approach to managing the organisations records. Procedures detailing how SGUL approaches the day to day management of its records. Development of file plans, metadata schemes, classification schemes GLAS GLAS Superseded GLAS Superseded Records Management - Records Schedule - published version Records Management - Records retention Requirements by SGUL to retain records for set periods of time to meet their legal and regulatory obligations. Records detailing work undertaken with key stakeholders and record owners to determine the retention periods for SGUL records. GLAS GLAS 2 years Records Management - vital records Register of vital records GLAS Active JISC recommendation Collection management Collection policies, selection criteria IS JISC recommendation User registration IS ACT+1 JISC recommendation Loans records Library users loan history IS ACT+1 JISC recommendation Inter-Library loans forms Contract management Tracking loans acquired from libraries other than SGUL Management of contracts for databases and subscriptions IS 1 year JISC recommendation IS ACT+6 Limitation Act 1980 Library policies Collection policies, selection criteria. IS Retaining superseded versions of the retention schedules provides evidence of the basis for disposal of records over time as the legal and regulatory environment change and organisation s evolve.

13 Copyright Copyright declaration forms, CLA audits, logs of IS ACT+6 Limitation Act 1980 c. copying carried out under the CLA license 58 s 5 Information Systems - Records documenting the operation of SGUL information systems Records documenting IT systems. IT policies Design, development, testing, commissioning systems, installing systems, updating the system, and decommissioning the system. Policies documenting SGUL's approach to managing the University's IT systems. IS ACT+6 IS Superseded + 5 Information systems procedures Procedures detailing how SGUL approaches the day to day management of its computer systems IS Superseded Records documenting the monitoring of SGUL information systems performance Records documenting the monitoring of SGUL information systems performance System monitoring System monitoring Testing systems, documenting faults reported, actions taken to resolve issues System data storage, backup data, archiving, routine deletion, requests to recover data Records documenting actions taken to investigate and resolve system faults Records documenting monitoring of systems taken place to ensure compliance with SGUL policies IS ACT+5 IS ACT+1 IS ACT+1 IS ACT+1 System security Records documenting security for SGUL systems. IS ACT+6 Limitation Act 1980 System access - user accounts Records documenting maintaining user accounts IS ACT+1 System access - user accounts Decommissioning user accounts IS ACT+ 1 month Data Protection Legislation Legal - Records documenting the management of SGUL s legal affairs. Advice Advice provided to SGUL by either the in-house lawyer or external council GLAS ACT+6 Limitation Act 1980 Litigation Records generated when managing proceedings between SGUL and external parties. GLAS ACT+6 Limitation Act 1980 c. 58 ss 2 and 5 Records that don't set a precedent and are not significant. Where a legal precedent is set or when the litigation is felt to be significant the records should be transferred to the Archives

14 Contracts and agreements Negotiating, creating, and maintaining contracts and GLAS ACT+6 Limitation Act 1980 c. agreements between SGUL and third parties. 58 s 5 Contracts and agreements - under seal Negotiating, creating, and maintaining contracts and agreements between SGUL and third parties. GLAS ACT+12 Limitation Act c. 58 s 8 Where it is felt to be a significant contractual relationship the records should be transferred to the Archives Deeds Deeds of title for property owned by SGUL Legal Licence agreements Software licences for SGUL systems IS ACT+6 Limitation Act 1980 c. 58 s 5 Insurance policies Insurance claims Records detailing the arrangement, scope, and renewal of insurance policies Claims, and the outcomes of claims, against insurance policies. Legal ACT+6 Limitation Act 1980 c. 58 s 5 GLAS ACT+6 Limitation Act 1980 c. 58 s 5 Employee liability insurance Employers' Liability Insurance Certificates Legal ACT+40 The Employers' Liability (Compulsory Insurance) Regulations 1998 SI 1998/2573 Regulation 4(4) Whistleblowing Records relating to cases of whistleblowing at SGUL Legal ACT+6 Limitation Act 1980 Patents Patents Research - Records generated from SGUL research activities. Evidence and protection of the intellectual property of the company Administration of patent licensing agreements and fee collection. Transfer to the Archives Can include license s, acquisition of licenses, and compliance with licensing conditions JRES Patents Act 1977 Review for transfer to the Archives Legal ACT+6 Limitation Act 1980 Research Research - strategy Research - policy Primary and raw data for clinical or public health studies. Outputs from Research Strategy Committee including records documenting the development of SGULs research strategy Key policy documents detailing the development, establishment, and dissemination of SGUL research policies Institutes ACT+20 Medical Research Council "Good Research Practice : Principles and Guidelines" July 2012 Research studies may be kept for longer if for example the sponsor requires a longer retention period. Institutes ACT+10 JISC Recommendation Archivist to review for permanent retention in the Archives. Institutes ACT+10 JISC Recommendation Archivist to review for permanent retention in the Archives.

15 Research - protocols and procedures Conduct of research funded by the Medical Research Institutes ACT+20 Medical Research Council including developing and amending Council "Good protocols and procedures, identifying, reviewing and Research Practice : resolving issues and risks, ensuring protocols and Principles and procedures are followed. Guidelines" July 2012 Animal research Animal health records, lab books, records of source, use, and disposal of animals used in procedures, licence records, procedures, and inspector reports Institutes 5 years Animals (Scientific Procedures) Act 1986 Archivist to review for permanent retention in the Archives. Animal research Misconduct AWERB. Records of advice given by AWERB and records of decisions taken as a consequence. Records detailing allegations, investigations, and resolution into allegations of research misconduct Institutes MIN3 Guiding principles on good practice for animal welfare and ERBS 2015 Institutes ACT+6 Limitation Act 1980 Research - funding - successful Records detailing applications for successful funding Institutes ACT+12 Limitation Act 1980 Research - funding - unsuccessful Students Records detailing the delivery of SGUL's academic programmes and relationship with students Counselling Service Prospective students Criteria for admission to SGUL Unsuccessful applications to SGUL Student records - core student record Student records - non core Student appeals Records detailing applications for unsuccessful funding Records recording details of counselling offered to SGUL students. Enquiries from prospective students including correspondence Records detailing admissions criteria and how they are applied Records include application forms, interview notes, correspondence with applicant, declined or withdrawn applications, transcripts, references, outcome letters Biographical information. Transcripts. Years attended. Courses taken. Any additional information required by professional bodies i.e. GMC Includes but is not limited to academic progress, transfers, withdrawals, placement, course registration Academic appeals including reports, submissions, hearing transcripts, and outcomes. Institutes ACT+1 Counselling Services ACT+6 Data Protection Legislation & Limitation Act 1980 Registry 1 year JISC Recommendation Registry 10 years JISC Recommendation Registry ACT+1 JISC Recommendation One admissions cycle plus 1 year Registry Institutes ACT+12 Limitation Act 1980 Transfer to Archives GLAS ACT+12 Limitation Act 1980 The retention period begins once the relationship with the student ends.

16 Student discipline Records of disciplinary proceedings including the conduct and outcome of proceedings, notice of GLAS ACT+12 Limitation Act 1980 The retention period begins once the relationship with the student ends. appeals, reports, submissions, and correspondence. References - transcripts Requests for transcripts and responses Registry ACT+1 JISC Recommendation Teaching - Records documenting the function of delivering SGUL programmes leading to academic awards. Academic program and policy Handbooks and regulations Academic programs Academic programs - collaborative Teaching co-ordination Teaching - strategy Teaching - monitoring Teaching - student feedback Teaching - student feedback Teaching - course development Teaching - course material Examinations Records documenting the development of SGUL academic policies including developing and consulting on policy proposals, reviewing, approving, and disseminating policy. General Regulations for Students and Programmes of Study and study handbooks Records documenting accreditation of modules from professional or statutory bodies Records documenting accreditation of modules from professional or statutory bodies Records include teaching timetables, class lists, monitoring student attendance, monitoring student compliance with submission timetables Records documenting SGULs teaching strategy. Includes s, proposals, consulting on strategy with committees, endorsing and disseminating strategy documents Records documenting reviews of quality standards for teaching at SGUL. As required by Higher Education Funding bodies. Internal reviews of teaching modules including reports, evaluation criteria, and action plans. Final report. Completed questionnaires / survey / feedback forms from students Developing teaching modules including revising existing modules, withdrawing modules, and designing new modules. Includes but is not limited to presentations, handouts, reading lists, and lecture notes Records detailing appointments of examiners including contracts Institutes ACT+5 JISC recommendation Archivist to review for permanent retention in the Archives. Registry ACT+12 Limitation Act 1980 Archivist to review for permanent retention in the Archives. Institutes Superseded JISC recommendation Institutes ACT+12 Limitation Act 1980 Registry ACT+3 JISC recommendation Registry ACT+10 JISC recommendation Archivist to review for permanent retention in the Archives. Registry ACT+5 JISC recommendation If a longer retention period is required by an external body this will override the retention period listed here. Final report to be sent to Archive for Archivist to review for permanent retention. Institutes ACT+5 JISC recommendation Institutes 1 year JISC recommendation Institutes ACT+10 JISC recommendation Archivist to review for permanent retention in the Archives. Institutes ACT+3 JISC recommendation Archivist to review for permanent retention in the Archives. GLAS ACT+12 Limitation Act 1980

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