Records Retention Schedule

Transcription

1 Plymouth University Records Retention Schedule Author: Date: 18/12/2015 Elena Menendez-Alonso (Digital Curator) Security Level: PUBLIC Status: Published Version: 1.0 Review Date: 31/12/2017

2 Contents 1. Introduction Definitions Using the schedule... 5 Retention periods... 6 Disposal of records... 6 Security classification Retention schedule... 8 A. Governance and Strategy Governance Strategy, Policy and Procedure Government and HEFCE relations B. Teaching and Research Teaching Research C. Student Administration & Support Student Administration Student Support Services D. Commercial enterprise Related Companies Management Commercial Services Management Retail Trading E Public, Media & Community Management Event Management HE/FE Sector Management Alumni Management Fundraising and Donations Publishing F. Corporate Management Risk Management Quality Management Audit Page 2 of 81

3 20. Compliance Management Legal Affairs Management Health and Safety Environmental Management Organisational Development Equality & Diversity Management Students Union Management G. Resources Management Management Finance Management Human Resources Management Information Resources Management Intellectual Property Management Information & Communications Technology Systems Management Equipment & consumables Insurance Management Procurement Management Internal Services Citations Related documents and further information References Page 3 of 81

4 1. Introduction 1.1 Purpose: The Records Retention Schedule (RRS) offers guidance on the minimum length of time Plymouth University records should be retained to comply with legal, regulatory and operational requirements. This includes compliance with the Data Protection Act 1998 and the Freedom of Information Act The retention schedule can help to balance the requirement to ensure records are not retained unnecessarily with the need to prevent the premature disposal of information we are required to keep. The schedule also indicates which area of the University is responsible for the storage and disposal of records and recommends a security classification level for each type of record. 1.2 Audience: This document is intended for to all members of the University and its partner organisations that have responsibility for any aspect of record creation, collection, use, maintenance or disposal. 1.3 Scope: Retention periods recommended in the schedule apply to all records irrespective of the technology used to create and store them or the type of information they contain. It includes, therefore, paper and electronic files as well as data stored in business and information systems (for example case management, finance and research information systems) and the contents of websites. 2. Definitions Archiving The selection of records for permanent preservation at the end of their standard retention period, and the process of transferring the records to an archive. Data and Information Data are facts and statistics collected together for reference or analysis 1. When data is processed, organised, structured or presented in a way that gives it context and therefore makes it more useful, it is called information. In the context of this document and the University s Information Governance framework, the terms data and information can be used interchangeably. Disposal The decision as to whether the record should be destroyed the end of the retention period, and the action of putting into effect that decision. Record Information created, received, and maintained, regardless of media, by the University and its staff which is used to control, support, or document the activities and transactions of the University, and also to meet legal obligations. Records are information or data that have specific purpose and ownership and satisfy quality requirements. 1 Oxford Dictionaries online, URL: Accessed: Page 4 of 81

5 Records Management Records Systems The creation, maintenance, control, storage and disposal of records in a way which facilitates their most appropriate, efficient and effective use and is compliant with legal obligations. Information or process systems that contain records and information. They can be either a paper-based system or a digital system. Examples are correspondence file series, case management systems or function-specific systems such as finance systems. Retention The agreed period of time the record will be retained for, prior to its disposal or transfer to an archive. Retention & Disposal Schedule A list of records stating how long they must be kept for, prior to their disposal or transfer to an archive. The schedule also defines which area of the University is responsible for the storage and disposal of records and what security classification applies to a record and determines how it should be stored or destroyed. 3. Using the schedule Retention periods, actions and security classification levels given in this document are guidelines based on recommended best practice within the Higher Education sector. Faculties, Research Institutes and professional services should use this document as a framework for developing their own procedures, in line with the objectives stated in the Records Management Policy 2. The Information Asset Owner 3 has overall responsibility for ensuring that appropriate procedures are in place in their area. A nominated individual, for each business unit, programme and project should ensure that suitable methods are in place to store records in an appropriate manner (physical or electronic), enabling the identification of records as they reach the end of their defined retention period as well as overseeing their disposal. This schedule, which is based on the RRS for Higher Education Institutions developed by the Joint Information Systems Committee (JISC), identifies business functions of the university and the categories of records they hold. As illustrated by Figure 1, the schedule provides: A description of the business function Descriptions of the records managed by that function Who has ownership of the record The recommended security classification level for the record or document (restricted, confidential, standard or public) The recommended retention period for the record The recommended action at the end of the retention period (destroy or review) Citations for legislation or documentation supporting the retention and disposal recommendation. 2 See Plymouth University Records Management Policy. 3 See Plymouth University Information Governance Roles & Responsibilities. Page 5 of 81

6 Retention periods Retention periods are independent of format and therefore can be applied to any medium whether paper or electronic. Retention periods in this document are given in years (unless otherwise stated) and defined as the minimum, which mean that files may be retained for a longer period should they be required but must not be disposed of before the stated time. The following abbreviations are used in the schedule: CAY: Current Academic Year CFY: Current Financial Year CTY: Current Tax Year CY: Current (calendar) Year Disposal of records At the end of the designated retention periods, appropriate action should be taken against the records as outlined in the retention schedule. The action can be: Destroy It is recommended that the record is destroyed using the appropriate method for its classification category (public, standard, confidential or restricted) 4. A record of the destruction should be kept. Review (for extended retention or Archive value) It is recommended that at the end of their retention period, the records are considered for extended retention or for archive value. Records in this category may be required for a longer period of time, for example, for operational reasons or in order to preserve the institutional memory. A review of requirements should take place before any action is taken on these records. Security classification The recommended security classification is based on the information level of sensitivity and the impact to the University (e.g.: impact to organisational operations, organisational assets, or individuals) if the confidentiality, integrity or availability of the information is compromised. The owner of the record should review the recommendation to ensure the classification level is suitable. More information can be found in the Information Security Classification Policy which defines the four classification levels and states how information should be treated according to its classification level. The levels are: 4 Public The information is openly available 3 Standard The disclosure of information would not cause material harm, but the University has chosen not to release 2 Confidential The disclosure of information could cause material harm to individuals or the University 1 Restricted The disclosure of information would cause severe harm to individuals or the University 4 See Plymouth University Information Security Classification Policy for information on how to dispose of records according to their security classification level. Page 6 of 81

7 Figure 1. Schedule layout Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 7 of 81

8 4. Retention schedule A. Governance and Strategy 1. Governance The function of developing and establishing the University's corporate governance structure and rules, and of conducting its business in accordance with its governance structure and rules. A.1.1 A.1.2 A.1.3 A.1.4 A.1.5 Legal Framework Development Establishment and development of the University s legal framework Governance Structure Development Establishment and development of the University s governance structure Governing Body Management Appointment of members of the University s governing body Organisation of meetings of the University s governing body Conduct and proceedings of meetings of the University s governing body Executive Committee Management Development and establishment of terms of reference for the University s governance committees Organisation of meetings of the University s governance committees Conduct and proceedings of meetings of the University s governance committees Senior Managers Appointments OVC Confidential See notes Review JISC guidance Life of institution OVC Confidential See notes Review JISC guidance Life of institution OVC Confidential See notes Destroy 1980 c.58 End of appointment +6 OVC Confidential 2 years Destroy JISC guidance CY +1 OVC Confidential 51 years Review JISC guidance CY +50 OVC Standard See notes Review JISC guidance Life of committee OVC Confidential 2 years Destroy JISC guidance CY +1 OVC Confidential 51 years Review JISC guidance CY +50 Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 8 of 81

9 A.1.6 Appointment and designation of the University s senior managers Committees, Board and Major Working Groups Development and establishment of terms of reference for the University s committees Organisation of meetings of the University s committees Conduct and proceedings of meetings of the University s committees OVC Confidential 6 years Review JISC guidance End of appointment +5 Various Standard See notes Review JISC guidance Life of committee Various Standard 2 years Destroy JISC guidance CY +1 Various Standard 11 years Review Internal guidance CY Strategy, Policy and Procedure This section is common to all functions and can be used across all Faculties and Directorates unless specific local guidance advises other retention periods. A.2.1 A.2.2 A.2.3 A.2.4 Strategy & Planning Development and review of major strategies Final plans for implementing major strategies Policy Development Various Standard See notes Review JISC guidance Superseded +5 Various Standard See notes Review JISC guidance Superseded +3 Approved Policy Various Public See notes Review JISC guidance Superseded +5 Policy development working papers Various Standard See notes Review JISC guidance Superseded +1 Procedure Development Approved Procedure Various Standard See notes Review JISC guidance Superseded +5 Procedure development working papers Various Standard See notes Review JISC guidance Superseded +1 Performance Management Performance Monitoring Reports Various Confidential 11 years Review JISC guidance CAY +10 Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 9 of 81

10 Performance Monitoring Data and analysis Various Confidential 2 years Review JISC guidance CAY +1 Audit reviews, results and responses Various Confidential 11 years Review JISC guidance CAY Government and HEFCE relations The function of managing the University's relationships with government bodies. A.3.1 A.3.2 Communications General communications with governmental or parliamentary bodies or HEFCE (including enquiries and responses provided) Formal responses to governmental or parliamentary or HEFCE surveys and consultations University s formal participation in governmental or parliamentary or public inquiries HE Sector Legislation Development University s input to the preparation, development and implementation of legislation or regulation affecting the HE sector as a whole University s input to the preparation, development and implementation of legislation or regulation affecting its specific legal status, mandate or activities OVC Confidential See notes Review Internal guidance Last action +1 OVC Confidential See notes Review Internal guidance Last action +1 OVC Confidential 11 years Review Internal guidance CAY +10 OVC Confidential See notes Review Internal guidance Last action +5 OVC Confidential See notes Review Internal guidance Last action +5 Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 10 of 81

11 B. Teaching and Research 4. Teaching The function of providing teaching to deliver the taught programmes, including both undergraduate & postgraduate programmes leading to awards. B.4.1 B.4.2 B.4.3 B.4.4 Teaching Quality & Standards Development of internal quality assurance processes Conduct & results of formal internal reviews of teaching quality, & responses to the results Conduct & results of external reviews & audits of teaching quality & standards Taught Curriculum Development Developing the taught curriculum Monitoring external developments & trends to inform the development of the taught curriculum Taught Curriculum Review Routine & ad hoc feedback on the taught curriculum from staff, students, external examiners & others Conduct & results of formal reviews of the taught curriculum, & the responses to the results Taught Programme Development Developing taught programmes AP Central Quality Office AP Central Quality Office AP Central Quality Office Teaching & Learning Teaching & Learning Teaching & Learning Teaching & Learning Teaching & Learning Standard 1 year Review JISC guidance Current Confidential 6 years Review JISC guidance CAY +5 Confidential 6 years Review JISC guidance CAY +5 Confidential See notes Review JISC guidance Superseded +10 Standard 6 years Destroy JISC guidance CAY +5 Confidential 6 years Destroy JISC guidance CAY +5 Confidential 11 years Review JISC guidance CAY +10 Confidential See notes Review JISC guidance Life of programme +10 Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 11 of 81

12 B.4.5 B.4.6 B.4.7 Monitoring external developments & trends to inform the development of taught programmes Monitoring taught programme developments in other HE institutions Taught Programme Approval & Accreditation Obtaining approval &/or accreditation for taught programmes from professional, statutory or other accreditation bodies Taught Programme Review Data on & analyses of student numbers & other taught programme statistics Routine solicited feedback on taught programmes from staff & examiners: individual feedback Routine solicited feedback on taught programmes from students: individual feedback (Anonymised) summaries & analyses of routine solicited feedback on taught programmes from staff, examiners & students Routine internal reviews of taught programmes Results of formal independent reviews of taught programmes, & the responses to the results Taught Module Development Developing taught modules Teaching & Learning Teaching & Learning Teaching & Learning Teaching & Learning Teaching & Learning Teaching & Learning Teaching & Learning Teaching & Learning Teaching & Learning Teaching & Learning Standard 2 years Destroy JISC guidance CAY +1 Standard 2 years Destroy JISC guidance CAY +1 Confidential See notes Destroy Internal guidance Life of programme +10 Confidential 6 years Review Internal guidance CAY +5 Confidential 6 years Destroy JISC guidance CAY +5 Confidential See notes Destroy JISC guidance Completion of analysis of feedback Confidential 6 years Destroy JISC guidance CAY +5 Confidential 6 years Review JISC guidance CAY +5 Confidential 6 years Review JISC guidance CAY +5 Confidential See notes Review JISC guidance Life of module +10 years Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 12 of 81

13 B.4.8 B.4.9 B.4.10 Monitoring external developments & trends to inform the development of taught modules Monitoring taught module developments in other HE institutions Taught Module Preparation & Delivery Developing taught module materials Final version of taught module materials Working papers of the planning & conduct of teaching events Taught Module Review Data on & analyses of students numbers & other taught module statistics Routine feedback on taught modules from staff & examiners: individual feedback Routine solicited feedback on taught modules from students: individual feedback (Anonymised) summaries & analyses of routine solicited feedback on taught modules from staff, examiners & students Routine internal reviews of taught modules Results of formal reviews of taught modules, & the responses to the results Taught Module Assessment Teaching & Learning Teaching & Learning Teaching & Learning Teaching & Learning Teaching & Learning Teaching & Learning Teaching & Learning Teaching & Learning Teaching & Learning Teaching & Learning Teaching & Learning Standard 2 years Destroy JISC guidance CAY +1 Standard 2 years Destroy JISC guidance CAY +1 Confidential See notes Destroy Internal guidance Module life +3 Confidential See notes Review Internal guidance Module life +3 Confidential 2 years Destroy JISC guidance CAY +1 Confidential 6 years Review Internal guidance CAY +5 Confidential 6 years Destroy JISC guidance CAY +5 Confidential See notes Destroy JISC guidance Completion of analysis of feedback Confidential 6 years Destroy JISC guidance CAY +5 Confidential 6 years Review JISC guidance CAY +5 Confidential 6 years Review JISC guidance CAY +5 Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 13 of 81

14 B.4.11 Developing taught module assessments Final versions of taught module assessments Taught course students submitted/completed assessments Marks awarded to submitted/completed assessments, including reviews in response to notifications of mitigating circumstances & academic appeals Taught Student Academic Support (Tutorial Support) Feedback on academic progress, & general academic guidance & support, given to individual taught students Teaching & Learning Teaching & Learning Teaching & Learning Teaching & Learning Teaching & Learning Confidential See notes Review JISC guidance Life of module Confidential See notes Review JISC guidance Life of module Confidential 2 years Destroy JISC guidance CAY +1 Confidential 7 years Destroy 1980 c.58 CAY +6 Confidential See notes Destroy 1980 c.58 Completion of student s programme Research The function of undertaking research & delivering supervised research programmes. B.5.1 B.5.2 Research Quality & Standards Developing internal quality assurance processes Conduct & results of formal internal reviews of research quality, & responses to the results Conduct & results of external reviews (e.g., REF) & audits of research quality & standards Research Business Development Confidential See noted Review JISC guidance While current Confidential 6 years Review JISC guidance CAY +5 Confidential 6 years Review JISC guidance CAY +5 Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 14 of 81

15 B.5.3 Liaison with research sponsors to monitor their research policies & to promote the University s capabilities Identifying & exploring new research opportunities which lead to research projects Identifying & exploring new research opportunities which do not lead to research projects Forming & managing partnerships & other collaborative arrangements to undertake research Research Project Development Design of research projects & preparation of formal research project proposals which lead to research projects Design of research projects & preparation of formal research project proposals which do not lead to research projects B.5.4 Research Project Management 5 Final reports of all research projects Confidential 6 years Destroy JISC guidance CAY +5 Confidential See notes Review JISC guidance Completion of project Confidential See notes Destroy JISC guidance Last action +5 Confidential See notes Review 1980 c.58 Life of partnership/ arrangement +6 Confidential See notes Review JISC guidance Completion of project +5 Confidential See notes Review JISC guidance Last action +5 Varies See notes Review JISC guidance Completion of project +5 5 Retention requirements for research data & records will need to be determined on a project by project basis, or at least for clearly defined categories of projects, considering: - the legal & regulatory framework for particular types of research - the terms & conditions imposed by external research sponsors - the commercial, political or ethical sensitivity of particular types of research, or any research for particular external sponsors Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 15 of 81

16 B.5.5 B.5.6 B.5.7 B.5.8 Management of internally-funded research projects Management of externally-funded research projects Research projects governance and ethics Research Dissemination Announcements of research results other than in publications or through the media Preparation of publications, audio-visual presentations, demonstrations or other means of disseminating research results Final versions of publications, presentations, etc. Research Exploitation Identifying new intellectual property & liaison with specialists regarding applications for patents etc. Identifying opportunities for commercial exploitation of research results & liaison with specialist staff regarding formation of spin-out companies to develop commercial products Research Programme Development Developing research programmes Routine monitoring of external developments & trends to inform the development of research programmes Research Programme Review Confidential See notes Destroy Internal guidance Completion of project +6 Confidential See notes Destroy 1980 c.58 Completion of project +6 Varies See notes Review Internal guidance Completion of project +5 Varies Destroy JISC guidance Issue of announcement +1 Confidential See notes Destroy JISC guidance Publication/ delivery +1 Public See notes Review JISC guidance Publication/ delivery +3 Confidential See notes Review JISC guidance Last action +5 Confidential See notes Review JISC guidance Last action +5 Confidential See notes Review JISC guidance Life of programme +10 Standard 2 years Destroy JISC guidance CAY +1 Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 16 of 81

17 B.5.9 B.5.10 Data on & analyses of student numbers & other programme statistics Routine internal reviews of research programmes Conduct & results of formal independent reviews of research programmes & the responses to results Research Student Assessment Conduct of formal assessments of work undertaken by research students Awards & classifications including reviews in response to notifications of mitigating circumstances or academic appeals Research Student Academic Supervision & Support Appointment of supervisors for research students Academic advice & guidance to individual students on the selection of research subjects & on the progress & standard of their work Developing & delivering training in research-related skills Confidential 4 years Review JISC guidance CAY +3 Confidential 6 years Review JISC guidance CAY +5 Confidential 6 years Review JISC guidance CAY +5 Confidential See notes Destroy 1980 c.58 Completion of programme +6 Confidential 7 years Destroy 1980 c.58 CAY +6 Confidential See notes Destroy Internal guidance End of appointment +3 Confidential See notes Destroy 1980 c.58 Completion of programme +6 Confidential 6 years Destroy JISC guidance CAY +5 C. Student Administration & Support 6. Student Administration The function of recruiting students and administering students processes. Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 17 of 81

18 C.6.1 C.6.2 C.6.3 C.6.4 C.6.5 Student Recruitment Design, management & summary results of student recruitment campaigns, events & schemes Summaries and analysis of student enquiry and recruitment data Enquiries from prospective students Student Admission Developing & establishing admission criteria Handling of applications for admission: successful applications Handling of applications for admission: unsuccessful applications Administering the clearing process Student Registration Registration of individual students on programmes Summaries & analyses of data on students registering on programmes Student Induction Design, management & review of induction programmes for new students Administering induction programmes & events for new students Student Records Administration Standard 6 years Destroy JISC guidance Completion of campaign/event/scheme +5 Standard 6 years Destroy JISC guidance Completion of campaign/event/scheme +5 Confidential 2 years Destroy JISC guidance CAY +1 Confidential See notes Review JISC guidance Superseded +10 Confidential See notes Destroy 1980 c.58 End of student relationship +6 Confidential 2 years Destroy JISC guidance CAY +1 Confidential 2 years Destroy JISC guidance CAY +1 Faculty Confidential See notes Destroy 1980 c.58 End of student relationship +6 Faculty Confidential 6 years Destroy JISC guidance CAY +5 Confidential See notes Destroy Internal guidance Programme end +5 Confidential 2 years Destroy JISC guidance CAY +1 Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 18 of 81

19 C.6.6 Personal data on individual students Faculty Confidential See notes Destroy 1980 c.58 Varies depending on type of data. Recommended: end of registered student relationship +6 Canned analyses of data from individual student records Requests for ad hoc analyses of data from individual student records Individual student requests for statements of results/transcripts Requests for confirmation of individual student awards, attendance or conduct from employers & other educational institutions Records of the design & conduct of First Destination Surveys First Destination Surveys: individual responses Records of (anonymised) summaries & analyses of the results of First Destination Surveys Student Progress Administration Academic progress of individual students & formal action taken to deal with unsatisfactory progress Individual students transferring to new programmes or to new courses within programmes Faculty Confidential 6 years Review JISC guidance CAY +5 Faculty Confidential See notes Destroy JISC guidance Last action +1 Faculty Confidential See notes Destroy JISC guidance Last action +1 Faculty Confidential See notes Destroy JISC guidance Last action +1 Careers & Employability Careers & Employability Careers & Employability Confidential 6 years Destroy Internal guidance CAY +5 Confidential See notes Destroy JISC guidance Completion of analyses of responses Confidential 6 years Review JISC guidance CAY +5 Faculty Confidential See notes Destroy 1980 c.58 End of relationship with student +6 Faculty Confidential See notes Destroy 1980 c.58 End of relationship with student +6 Withdrawal / interruption of studies Faculty Confidential See notes Destroy 1980 c.58 End of relationship with student +6 Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 19 of 81

20 C.6.7 C.6.8 C.6.9 C.6.10 C.6.11 Student Disciplinary Cases Handling & results of disciplinary proceedings against individual students Student Academic Appeals Handling & results of academic appeals by individual students Student Complaints Handling & results of formal complaints made by individual students against the University Handling & results of complaints by individual students where the formal complaints procedure is not initiated Course administration Timetabling of teaching & management of teaching space Faculty Confidential See notes Destroy 1980 c.58 Last action +6 Faculty Confidential See notes Destroy 1980 c.58 Last action +6 Faculty Confidential See notes Destroy 1980 c.58 Last action +6 Faculty Confidential See notes Destroy JISC guidance Last action +3 Faculty Standard 1 year Destroy JISC guidance CAY Class/tutorial lists Faculty Confidential 1 year Destroy JISC guidance CAY Schedules for submission, marking & return of coursework Individual student submission of coursework Faculty Standard 1 year Destroy JISC guidance CAY Faculty Confidential 2 years Destroy JISC guidance CAY +1 Individual student attendance Faculty Confidential 2 years Destroy JISC guidance CAY +1 Organisation of student work placements Assessment Administration Development & establishment of assessment & examination rules & procedures Selection & appointment of external examiners Faculty Confidential See notes Destroy 1995 c.50 End of placement +6 Faculty Confidential See notes Review JISC guidance Superseded +10 Faculty Confidential See notes Destroy JISC guidance End of appointment +1 Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 20 of 81

21 Liaison with external examiners on administrative matters Selection & appointment of examination invigilators Design & delivery of training for examination invigilators Control of examination papers & examination scripts Faculty Confidential 2 years Destroy JISC guidance CAY +1 AP - Central Quality Office AP - Central Quality Office Confidential 2 years Destroy JISC guidance CAY +1 Standard 2 years Destroy JISC guidance CAY +1 Faculty Standard 2 years Destroy JISC guidance CAY +1 Timetabling of examinations Faculty Public 2 years Destroy JISC guidance CAY +1 Organisation of examination facilities, including special arrangements for students with special needs Individual students attendance at examinations, & the handling of reports of mitigating circumstances Collation of examination results & compilation of pass lists & individual notifications of results Individual students submission of assessed work & handling of reports of mitigating circumstances Faculty Standard 2 years Destroy JISC guidance CAY +1 Faculty Confidential 2 years Destroy JISC guidance CAY +1 Faculty Confidential 2 years Destroy JISC guidance CAY +1 Faculty Confidential 5 years Destroy Internal guidance CAY +4 Examination Scripts Faculty Confidential See notes Destroy Internal guidance Award of Degree + 1 Pass lists/awards lists Faculty Confidential See notes Review JISC guidance Issue of lists +10 C.6.12 C.6.13 Award Ceremony Administration Organisation of award ceremonies Consider implications of DPA 1998 Standard See notes Destroy JISC guidance Completion of ceremony +1 Administration of award certificates Faculty Confidential See notes Destroy JISC guidance Completion of ceremony +1 Student Management Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 21 of 81

22 Establishment & operation of staffstudent liaison committees Operation of staff-student liaison committees Election &/or appointment of student representatives to committees Design, development & delivery of training for elected student representatives Faculty Standard See notes Review JISC guidance Life of committee +3 Faculty Standard 4 years Review JISC guidance CAY +3 Faculty Confidential See notes Destroy JISC guidance Completion of next election Faculty Standard See notes Destroy JISC guidance Superseded +1 Design & conduct of student surveys Faculty Standard See notes Review JISC guidance Completion of survey +5 Student surveys: individual responses Faculty Confidential See notes Destroy JISC guidance Completion of analysis of responses Student surveys : summaries & analyses of responses Design of, & overall responses to, student suggestion schemes Handling of suggestions from individual students Faculty Confidential See notes Review JISC guidance Completion of survey +5 Faculty Confidential See notes Review JISC guidance Closure of scheme +5 Faculty Confidential See notes Destroy JISC guidance Last action Student Support Services The function of providing services to support students throughout their relationship with Plymouth University. These services may be: managed & provided directly; specified by Plymouth University but managed & provided by a third party organisation under contract; managed & provided as a joint venture with other institutions; managed & provided by the students union. C.7.1 Student Support Service Proposal Development Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 22 of 81

23 C.7.2 C.7.3 C.7.4 C.7.5 Developing & evaluating a proposal to set up a student support service where a decision is made to proceed Developing & evaluating a proposal to set up a student support service where a decision is made not to proceed Student Support Service Planning Planning a student support service Student Support Service Performance Management Performance indicators for a student support service Data on & analyses of performance against plans Reports of service performance against plans Reports of the conduct & results of formal audits & reviews of a student support service, & responses to the results Student Support Service Policy Development Developing & establishing policies on operating, managing & developing a student support service Student Support Service Procedures Development Records of developing procedures for operating, managing & developing a student support service Learning Support & Wellbeing Learning Support & Wellbeing Learning Support & Wellbeing Learning Support & Wellbeing Learning Support & Wellbeing Learning Support & Wellbeing Learning Support & Wellbeing Learning Support & Wellbeing Learning Support & Wellbeing Standard See notes Review JISC guidance Life of service Standard See notes Review JISC guidance Last action +5 Standard 6 years Review JISC guidance CAY +5 Standard See notes Destroy JISC guidance While current Confidential 2 years Destroy JISC guidance CAY +1 Confidential 6 years Review JISC guidance CAY +5 Confidential 6 years Review JISC guidance CAY +5 Standard See notes Review JISC guidance Superseded +5 Standard See notes Destroy JISC guidance Superseded +3 Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 23 of 81

24 C.7.6 C.7.7 Student Support Service Quality Management Developing & establishing service standards for a student support service Data on & analyses of the quality of service delivered against established service standards Service quality Conduct & results of independent reviews of service quality, & the responses to the results Student Support Service Promotion Promoting a student support service C.7.8 Student Support Service Delivery 6 C.7.9 Mental Health Adviser's Notes Student Support Service Customer Management Design & conduct of user/customer surveys for student support service Results of user/customer surveys: individual responses Learning Support & Wellbeing Learning Support & Wellbeing Learning Support & Wellbeing Learning Support & Wellbeing Learning Support & Wellbeing Learning Support & Wellbeing Learning Support & Wellbeing Learning Support & Wellbeing Standard See notes Destroy JISC guidance Superseded +1 Confidential 2 years Destroy JISC guidance CY +1 Public 4 years Review JISC guidance CY +3 Confidential 6 years Review JISC guidance CY +5 Standard See notes Review JISC guidance While current Confidential 8 years Destroy Nursing and Midwifery Council CAY + 7 Standard See notes Review JISC guidance Completion of survey +3 Confidential See notes Destroy JISC guidance Completion of analysis of survey responses 6 Retention requirements for records generated by individual student support services such as Counselling, Chaplains or DAS must be determined on a case by case basis, considering: - the type of service being provided - the legal and regulatory framework for providing particular types of services - the need to manage personal data on individual students in accordance with the provisions of the Data Protection Act 1998 Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 24 of 81

25 Results of student surveys summaries & analyses of responses Records of the handling of user/customer complaints about a student support service Learning Support & Wellbeing Learning Support & Wellbeing Confidential See notes Review Internal guidance Completion of survey +5 Confidential See notes Review 1980 c.58 Last action +6 D. Commercial enterprise 8. Related Companies Management The function of establishing related companies which are wholly or partly-owned by the University D.8.1 D.8.2 D.8.3 D.8.4 Related Company Proposal Development Development and evaluation of a proposal to form a related company: where a decision is made to proceed Development and evaluation of a proposal to form a related company: where a decision is made not to proceed Related Company Formation Records documenting the formation of a related company Related Company Management Actions by the University to ensure that a related company is conducting business in line with established agreements and company law Related Company Review Confidential See notes Review JISC guidance Life of Company +10 Confidential See notes Review JISC guidance Last action +5 Confidential See notes Review JISC guidance Life of Company +10 Confidential 6 years Review JISC guidance CY +5 Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 25 of 81

26 D.8.5 Conduct and results of regular reviews of a related company s performance against plans, including budgets Reports of the results of internal and external audits of a related company Action taken by the University to ensure that a related company has proper operating procedures in place, and that they are being implemented Report & Accounts Related Company Disposal Disposal of a related company (or the University s interest in it) by winding-up or sale Confidential 6 years Review JISC guidance CY +5 Confidential 6 years Destroy JISC guidance CY +5 Confidential 6 years Destroy JISC guidance CY +5 Confidential See notes Review JISC guidance Life of Company +10 Confidential 11 years Review JISC guidance Disposal Commercial Services Management The function of providing services on a commercial basis. D.9.1 D.9.2 Commercial Service Proposal Development Development and evaluation of a proposal to set up a commercial service: where a decision is made to proceed Development and evaluation of a proposal to set up a commercial service: where a decision is made not to proceed Commercial Service Planning Confidential See notes Review JISC guidance Life of service +5 Confidential See notes Review JISC guidance Last action +5 Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 26 of 81

27 D.9.3 D.9.4 D.9.5 D.9.6 Planning of the operation, management and development of a commercial service Commercial Service Performance Management Data on performance of a commercial service Reports on the performance of a commercial service Conduct and results of audits and reviews of a commercial service, and the responses to the results Commercial Service Policy Development Development and establishment of policies on the operation, management and development of a commercial service Commercial Service Procedures Development Development of procedures for the operation, management and development of a commercial service Commercial Service Quality Management Development and establishment of service standards for a commercial service Data on, and analyses of service delivered against the established service standards Reports on service quality Confidential 6 years Review JISC guidance CY +5 Confidential 2 years Destroy JISC guidance CY +1 Confidential 6 years Review JISC guidance CY +5 Confidential 6 years Review JISC guidance CY +5 Standard See notes Review JISC guidance Superseded +5 Standard See notes Review JISC guidance Superseded +3 Standard See notes Destroy JISC guidance Superseded +3 Confidential 2 years Destroy JISC guidance CY +1 Confidential 4 years Review JISC guidance CY +3 Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 27 of 81

28 D.9.7 D.9.8 D.9.9 Conduct and results of independent reviews of service quality, and the responses to the results. Commercial Service Promotion Development and assessment of promotional campaigns and materials for a commercial service Promotion materials Commercial Service Delivery Service proposals for prospective customers: where the proposal is accepted Service proposals for prospective customers: where the proposal is not accepted Service agreements/contracts with customers Commercial Service Customer Management Design and conduct of customer surveys Results of customer surveys: individual responses Results of customer surveys: summaries and analyses of responses Unsolicited customer feedback on the service, the internal handling of this feedback and the responses provided Confidential 5 years Review JISC guidance CY +5 Standard See notes Dispose JISC guidance Superseded + 1 Standard See notes Review JISC guidance While current Confidential See notes Review 1980 c.58 End of contract +6 Confidential See notes Destroy JISC guidance Rejection of proposal +5 Confidential See notes Review 1980 c.58 End of contract +6 Standard See notes Review JISC guidance Completion of survey +3 Standard See notes Destroy JISC guidance Completion of analysis of survey responses Standard See notes Review JISC guidance Completion of survey +3 Confidential See notes Destroy JISC guidance Last action +3 Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 28 of 81

29 Customer complaints about the service, then internal handling of the complaints and the responses provided Confidential See notes Destroy 1980 c.58 Last action Retail Trading The function of managing retail outlets owned by the University. D.10.1 D.10.2 D.10.3 D.10.4 Retail Outlet Proposal Development Development and evaluation of a proposal to set up a retail outlet: where a decision is made to proceed Development and evaluation of a proposal to set up a retail outlet: where a decision is made not to proceed. Retail Outlet Planning Planning of the management and operation of a retail outlet Retail Outlet Performance Management Data on, and analyses of, the performance of a retail outlet Reports on the performance of a retail outlet Conduct and results of audits and reviews of a retail outlet, and the responses to the results Retail Outlet Policy Development Development of policies on the operation and management of a retail outlet Various Confidential See notes Review JISC guidance Life of outlet +5 Various Confidential See notes Review JISC guidance Last action +5 Various Confidential 4 years Review JISC guidance CY +3 Various Confidential 2 years Destroy JISC guidance CY +1 Various Confidential 6 years Review JISC guidance CY +5 Various Confidential 6 years Review JISC guidance CY +5 Various Standard See notes Review JISC guidance Superseded +3 Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 29 of 81

30 D.10.5 D.10.6 D.10.7 D.10.8 Retail Outlet Procedures Development Development and establishment of procedures for the management and operation of a retail outlet Retail Outlet Promotion Development of promotional campaigns and materials for a retail outlet Various Standard See notes Review JISC guidance Superseded +5 Various Standard See notes Destroy JISC guidance Superseded +1 Promotional Materials Various Standard See notes Review JISC guidance While current Retail Outlet Operation Records documenting retail sales transactions Retail Outlet Customer Services Management Records documenting the design and conduct of customer surveys Results of customer surveys: individual responses Results of customer surveys: summaries and analyses of responses Customer complaints about the retail outlet, the internal handling of these complaints and the responses provided Unsolicited customer feedback on the retail outlet, the internal handling of this feedback and the responses provided Various Confidential 7 years Destroy 1980 c c.23 CFY +6 Various Standard See notes Review JISC guidance Completion of survey +3 Various Confidential See notes Destroy JISC guidance Completion of analysis of survey responses Various Standard See notes Review JISC guidance Completion of survey +3 Various Confidential See notes Destroy 1980 c.58 Last action +6 Various Confidential See notes Destroy JISC guidance Last action +3 Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 30 of 81

31 E. 11. Public, Media & Community Management The function of raising and maintaining the University s public profile, and of managing its relationships with the public. E.11.1 E.11.2 Public Communication Management Enquiries from members of the public and the responses provided Unsolicited feedback from members of the public, the internal handling of this feedback and the responses provided Design and conduct of surveys to assess public attitudes towards the institution Results of public surveys: individual responses Results of public surveys: summaries and analyses of responses Complaints from members of the public, the internal handling of these complaints and the responses provided Media Communication Management University s media contacts Planning and organisation of media briefings Transcripts of media briefings Confidential See notes Destroy JISC guidance Last action +1 Confidential See notes Destroy JISC guidance Last action +1 If enquiry is made under FOI please see section F.20.2 FOIA Compliance Management Standard See notes Review JISC guidance Completion of survey +3 Confidential See notes Destroy JISC guidance Completion of analysis of survey responses Standard See notes Review JISC guidance Completion of survey +3 Confidential See notes Destroy JISC guidance Last action +1 Confidential See notes Destroy JISC guidance Superseded Confidential See notes Destroy JISC guidance Last action +1 Standard See notes Destroy JISC guidance Last action +5 Abbreviations: CAY - Current Academic Year; CFY - Current Financial Year; CTY - Current Tax Year; CY - Current (calendar) Year. Time periods are in years unless otherwise stated. Page 31 of 81