University of Kent. Quality Assurance Office Quality Assurance: Documentation Retention and Archiving Policy

Transcription

1 Quality Assurance Office Quality Assurance: Dcumentatin Retentin and Archiving Plicy This plicy sets ut apprved dcument retentin perids in rder that Kent may meet its bligatins t students; cmply with quality assurance requirements; reduce burdens n space and strage; and cmply with the Data Prtectin Act by nt retaining dcumentatin lnger than is justifiably necessary. a) Data Prtectin Act 1998: the Act stipulates that persnal data must nly be used fr the purpse fr which it was btained and kept fr n lnger than necessary. When persnal data is n lnger required t be retained, it must be destryed. Fr further infrmatin, please refer t b) Retentin: Dcumentatin may be retained fr a lnger perid f time than stated in this dcument, but the r ffice must make explicit the reasns fr ding s, e.g. t retain prject wrk that includes riginal data and/r analysis; fr surveys f trends in student achievement; t use as examples t future students. The dcumentatin must be destryed when the stated purpse has been fulfilled. c) Prfessinal, Statutry and Regulatry Bdies: Where relevant, s shuld refer t PSRB guidance n the archiving f assessed wrk t ensure that they will cmply with any specific requirements. d) Students: The plicy n the retentin f student wrk and files shuld be made available t students,.e.g. via the prgramme handbk r faculty website. e) Frmats: Paper (e.g. files, frms, flders) r electrnic (e.g. wrd prcessed dcuments, databases, spreadsheets, web, scanned images). Recrds held electrnically must remain accessible and nt lst in bslete technlgy. Electrnic strage shuld be reviewed peridically and, if necessary, arrangements made fr it t be mved t new sftware. Lng term data shuld be held n a central server t ensure that it is adequately backed up. f) Strage and Dispsal: If it is helpful t retain bth paper and electrnic cpies as the fficial recrd, this may be dne; if nt the nn-fficial cpy shuld be destryed as sn as the need fr reference ceases. In rder t make dispsal easier, make a nte n flders r flder lists when they are due fr dispsal at the creatin r clsure f that flder. Fr each area, there shuld be smene with respnsibility fr rganising dispsal f specific files/data. Paper dcumentatin with persnal data shuld be shredded n dispsal. g) Befre undertaking permanent dispsal f student data it is vital t ensure that any student marks and results infrmatin, including pass lists, are retained by the Central Student Administratin Office (), r n the Student Data System itself. If in dubt, please check with (csa@kent.ac.uk) befre destrying files. h) This plicy will be a grwing dcument as needs evlve. Any feedback r queries regarding dcument retentin shuld be directed t qa@kent.ac.uk. KB Apprved by LTB 9 June 2010 Last updated Nvember

2 A. Quality and Standards Dcument Type Retentin Perid Held By QAA HE Review/Institutinal Audit/Cllabrative Audit dcumentatin - evidence QAA HE Review/Institutinal Audit/Cllabrative Audit dcumentatin - prcess QAA HE Review/Institutinal Audit/Cllabrative Audit dcumentatin respnse t the results and fllw up Wrking Grup fr Regulatins and Cnventins minutes and supprting papers (develpment f QA plicy and prcedures) Electrnic - permanent archive Paper - end f Review/Audit year plus six years End f Review/Audit year plus six years Electrnic - permanent archive Paper - end f Review/Audit year plus six years Electrnic - permanent archive Kent Cde f Practice Permanent archive electrnic Kent Credit Framewrk Permanent archive electrnic Peridic Prgramme Review dcumentatin fr panel End f the current academic year plus six years Peridic Prgramme Review reprt and respnse End f the current academic year plus six years Faculty PASC Prgramme apprval minutes and supprting dcumentatin Minutes permanent electrnic archive Prgramme specificatins published n website On Faculty website Mdule specificatins published n website On Faculty website External Examiners reprts and respnses (Frm 2009 reprts) permanent archive n Sharepint annual prgramme/mdule mnitring reprts End f the current academic year plus six years Faculty annual mnitring reprts End f the current academic year plus six years Faculty Bard f Examiner minutes End f the current academic year plus six years Faculty Review Panel End f the current academic year plus six years Faculty All cmmittee minutes and supprting dcumentatin All Faculty cmmittee minutes and supprting dcumentatin Sub-cmmittee minutes and supprting dcumentatin Faculty As per wnership f subcmmittee 2

3 Dcument Type Retentin Perid Held By Academic Standards and Quality Cmmittee/Educatin Bard/Learning and Teaching Bard/Graduate Bard minutes and supprting dcumentatin B. Cllabrative Prvisin Cllabrative Prvisin apprval panel dcumentatin End f the current academic year plus six years Frmal agreements with partner rganisatins (MU/MA) Life f cllabratin plus six years Register f cllabrative prvisin C. Student Recrds Nte: The recrding n the Student Data System f infrmatin relating t marks and results etc is the respnsibility f the relevant /Centre where the data was generated. The Central Student Administratin Office is respnsible fr the recrds n SDS nce they have been entered. Cre student data frm registratin Cre student data frm studies Lists f students registered t a prgramme and phtgraphs f students Paper - end f last year f registered student relatinship with university plus six years Paper - end f last year f registered student relatinship with university plus six years Examinatin/cursewrk mark sheets/cmpsite mark sheets Pass lists Student Prizes Attendance registers/sheets Recrds f requests fr cnfirmatin f student awards, attendance r cnduct frm emplyers r ther HEIs Recrds f student requests fr cnfirmatin f results/ transcripts Paper - end f last year f registered student relatinship with university plus six years Paper - nrmally, t end f relevant academic year. Nte that this requirement will be superseded where there is an additinal specific need t retain paper cpies, e.g. fr UKBA purpses. Abve data transferred t SDS permanent electrnic archive Electrnic - end f current academic year plus six years Electrnic - end f current academic year plus six years Central Student Administratin Office () Faculty Recrds f letters despatched t students Electrnic - end f current academic year plus six years 3

4 Dcument Type Retentin Perid Held By Cncessinary/medical evidence Last actin n case plus six years Recrds f disciplinary/miscnduct prceedings against a student Last actin n case plus six years Recrds f appeals/grievance hearings Last actin n case plus six years Dependent n level case reaches Recrds f analyses and summaries f NSS D. Student Assessment End f current academic year plus six years Published reprt permanent electrnic archive Planning Office Nte 1: Assessed wrk shuld be retained as per lcal plicies fr ding s (e.g. by s r by students themselves) until students have cmpleted their prgrammes f studies with the University. Where relevant, s shuld verify Prfessinal Statutry and Regulatry Bdies' guidance n the archiving f assessed wrk t ensure that they are meeting any specific requirements. Where a student appeal r cmplaint is nging the wrk shuld be retained beynd the nrmal requirements until such time as the appeal/cmplaint has cncluded all applicable avenues. Nte 2: Wrk submitted electrnically t Turnitin is nt stred n University f Kent servers. s are advised t ensure that wrk is stred lcally and securely (e.g. n CD, DVD, in netwrk flder r as hard cpy). Nte 3: Recrdings n KentPlayer, including student presentatins and perfrmances (audi r visual) are purged after tw years, therefre, lnger term strage f such assessed wrk must be made in a suitable frmat. Nte 4: Examinatin mark sheets, cmpsite mark sheets and pass lists must nt be dispsed f, but can be sent t fr permanent archive, as set ut in Sectin C abve. Teaching materials placed n Mdle (VLE) Electrnic - end f current academic year plus six years (n Mdle) Educatinal recrdings n KentPlayer (see Nte 3 abve) Electrnic - end f current academic year plus ne year (n KentPlayer) Examinatin papers Examinatin scripts and assciated cmmentary fr Fundatin Year/Stage 1 (nt leading t a separate award) (als refer t Nte 4) Examinatin scripts and assciated cmmentary (ther than abve) (als refer t Nte 4) Taught undergraduate/masters dissertatins Theses fr degrees by research may be published n library website Fundatin Year/Stage plus ne year Graduatin/leaving plus ne year Graduatin/leaving plus ne year MA dissertatins may be depsited in the library - permanent Library depsit - permanent /may be published n library website Library Library 4

5 E. Supervisrs/Examiners Reprts f supervisrs and examiners n theses fr degrees by research Appintment frms/cvs relating t selectin and appintment f External Examiners End f current academic year plus six years End f appintment plus ne year Expenses claim frms frm External Examiners End f the current tax year plus three tax years Pay Office 5

6 Appendix 1 Recrds which may be rutinely destryed As a rule, the fllwing types f recrds have n significant peratinal, infrmatinal r evidential value. They can, therefre, be destryed as sn as they have served their primary purpse. Annuncements and ntices f meetings and ther events, and ntificatins f acceptance r aplgies Requests fr stck infrmatin such as maps and travel directins, brchures etc Requests fr, and cnfirmatins f, reservatins fr internal services (e.g. meeting rms, car parking spaces, pl cars) where n internal charges are made Requests fr, and cnfirmatins f, reservatins with third parties (e.g. travel, htel accmmdatin, restaurants) when invices have been received Transmissin dcuments: letters, fax cver sheets, messages, cmpliments slips and similar items which accmpany dcuments but d nt add any value t them Message slips Superseded address lists, distributin lists etc. Duplicate dcuments such as: CC and FYI cpies drafts Snapsht printuts r extracts frm databases Day Files (chrnlgical cpies f crrespndence) Persnal diaries, address bks etc. Wrking papers, where the results have been written int an fficial dcument and which are nt required t supprt it Stcks f in-huse publicatins which are bslete, superseded r therwise useless e.g. magazines, marketing materials, prspectuses, catalgues, manuals, directries, frms, and ther material prduced fr wide distributin Published r reference materials received frm ther parts f the institutin r frm vendrs r ther external rganisatins which require n actin and are nt needed fr recrd purpses, e.g. trade magazines, vendr catalgues, flyers, newsletters (Surce: JISC; 6