Post on 20-Aug-2020
File Plan – Business Classification Scheme 1.0
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INTRODUCTION AND BACKGROUND
A File Plan is an outline that denotes the records kept within an organisation. It can also contain other information like:
File organisation
File locations
File retention and disposal instructions
And other specific instructions that provide guidance for the effective management of records.
A Business Classification Scheme (BCS) at its simplest is a high-level, conceptual representation of business functions and activities. It is developed to provide a framework for business activities.
Currently within Ulster University, File Plan information is contained in the following document:
File Plan – Business Classification Scheme (BCS - this document) This document contains a table of the records held in Ulster University by both current department, and functions and activities.
Records Retention and Disposal Schedule This document is meant to exactly mirror the File Plan – Business Classification Scheme, giving the retention (and implied) disposal period for each record. Many retention duration periods are influenced by statute and legislation.
Institutional Information Inventory This document contains the location of Ulster University information, along with metadata including protective marking (classification) information.
FILE PLAN - BCS STATEMENT
Where documents are created and stored within the University can change from time to time due to institutional restructuring and
reorganisation. Because of this, it is helpful to think of documents and records in terms of function rather than taking an exclusively
departmental view. Taking a fundamental functional view of University records, the University has looked to the JISC BCS for
records as follows:
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1. Teaching & Learning a. Teaching b. Learning Support
2. Research a. Research b. Research Programme Provision
3. Knowledge Transfer and Enterprise a. Intellectual Property Rights (IPR) Exploitation b. Consultancy c. Education & Training d. Related Companies Management e. Commercial Services Management
4. Academic Administration a. Student Administration b. Academic Programme Administration c. Academic Award Administration d. Student Assessment Administration e. Tuition Fees Administration f. Student Financial Support Administration
5. Corporate Management a. Corporate Planning & Performance Management b. Governance c. Risk Management d. Quality Management e. Audit f. Legal Affairs Management g. Organisational Development h. Equality & Diversity Management i. Health & Safety Management j. Environmental Management
6. Corporate Resources a. Estate Management
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b. Facilities Management c. Finance Management d. Human Resources Management e. Information Compliance Management f. Records Management g. Archives Management h. Collections Management i. Publications Management j. Intellectual Property Rights (IPR) Management k. Information & Communications Technology (ICT) Systems Management l. Equipment and Consumables Management m. Insurance Management n. Procurement o. Publishing p. Management Information Collection, Analysis & Reporting
7. Corporate Relations a. Public Relations Management b. Media Relations Management c. HE/FE Sector Relations Manager d. Community Relations Management e. Alumni Relations Management f. Fundraising g. Student Relations Management h. Government Relations Management i. Parliamentary Relations Management j. Students’ Union Relations Management k. Marketing
8. Related Companies Management 9. Commercial Services Management 10. Corporate Services Management 11. Student Service Management 12. Business Unit Management
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AIMS, PURPOSE AND SCOPE OF THE DOCUMENT
The aim of this document is to provide a table of the records held in Ulster University by both current department, and functions and activities. This will also inform automated organising, filing and flagging for disposal.
The scope of the document is the entire University.
DEFINITIONS AND CLARIFICATION
A “record” is information created, received, and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of business. These records may be in either electronic or traditional paper format.
A “Records Retention and Disposal Schedule” (RRDS) is a table that describes the length of time each document or record will be retained and its final disposition (disposal or storage).
A “File Plan” is an outline that denotes the records kept within an organisation. It can also contain other information like file organisation, file locations, file retention and disposal instructions and other specific instructions that provide guidance for the effective management of records.
A “Business Classification Scheme” (BCS) outlines business functions and activities for the purposes of structuring records management, structuring records management by BCS rather than by content or location.
“JISC” is an organisation whose name has evolved from an acronym for “Joint Information Systems Committee”. JISC is a United Kingdom non-departmental public body whose role is to support post-16 and higher education and research by providing leadership in the use of ICT (Information and Communications Technology) in learning, teaching, research and administration. It is funded by all the UK post-16 and higher education funding councils.
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PROCEDURE
Differentiation is made between paper and electronic records although the retention and disposal requirements by record type are still the same. The method of retention and disposal will be different.
The primary responsibility for
Identifying record type
Marking a record (visibly or electronically) with type, retention and disposal dates
Actual retention and disposal
lies with the originating Department/Faculty. More information will be available in the University’s Document Management Policy.
Faculty Records ................................................................................................................................................................................6
Human Resources Records ............................................................................................................................................................ 10
Equality and Diversity Services Records ........................................................................................................................................ 17
Office of the University Secretary Records ..................................................................................................................................... 19
Finance and Planning Information Directorate Records ................................................................................................................. 23
Physical Resources Records .......................................................................................................................................................... 26
Student Administration Records ..................................................................................................................................................... 34
Academic Planning, Partnerships and International Affairs Records .............................................................................................. 37
Student Support Records ............................................................................................................................................................... 39
Research Office Records ................................................................................................................................................................ 42
Learning, Teaching and Student Experience Records .................................................................................................................... 45
Academic Office Records ............................................................................................................................................................... 66
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Faculty Records
Student records Retain until confirmation of marks/grades by Board of Examiners + 6 months
Completion of student's module or programme + 6 years
Teaching & Learning > Teaching > Records documenting submitted/completed assessments: summative assessments.
Teaching & Learning > Teaching > Records documenting an individual student’s:
Marks and grades given to assessments (including awards and classifications)
Feedback on academic progress, and general academic guidance and support, given to individual taught students.
Student Applications Unsuccessful - Retain until completion of admissions process + 1 year.
Academic Administration > Student Administration > Records documenting or containing:
handling of unsuccessful applications for admission
Course and revalidation information
Retain for the life of the programme or module + 10 years
Teaching & Learning > Teaching > Documentation of developing taught programmes and modules.
Programme Management System documents
Retain until superseded + 5 years Academic Administration > Academic Programme Administration > Master copies of procedures relating to academic programme administration.
Course documents Retain from current academic year + 3 years
Academic Administration > Academic Programme Administration > Records documenting the administration of academic programmes.
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Promotions files Retain until termination of employment + 6 years
Corporate Resources > Human Resources Management > Records documenting the employee's contract(s) of employment with the institution.
Records documenting changes to the employee's terms and conditions of employment.
Student appeals Retain from last action on case + 6 years
Retain for current academic year + 6 years
Academic Administration > Student Administration > Records documenting:
the conduct and results of disciplinary proceedings against individual students
the handling and results of academic appeals by individual students.
the handling of formal complaints made by individual students against the University.
Research > Research Programme Provision > Records documenting awards and classifications, including reviews in response to notifications of mitigating circumstances or academic appeals.
Student marks Completion of student's module or programme + 6 years
Teaching & Learning > Learning Support > Records documenting an individual student’s:
Marks and grades given to assessments (including awards and classifications)
Feedback on academic progress, and general academic guidance and support, given to individual taught students.
Invigilation Sheet Retain for 3 years Academic Administration > Student Assessment Administration > Assessment Administration
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External examiner claim forms Retain for current financial year + 6 years
Corporate Resources > Finance Management > payment of expenses to third parties (e.g. honorary appointees)
Directors of UU Foundation information
Retain until termination of appointment + 6 years
Corporate Management > Governance > Records documenting:
the appointment, election or designation of members of a statutory committee
training undertaken by individual members of a statutory committee
the appointment, election or designation of the University's senior officers
Committee papers Retain for life of committee + 5 years
Corporate Management > Governance > Records documenting the conduct of the business of a committee: agenda, minutes and supporting papers.
Companies House information Retain life of company + 10 years Related Companies Management > Records documenting the formation of the [related company].
Policies and procedures Retain from issue of policy or procedure + 1 year
Various
Database access request forms Retain from last action on request + 1 year
Corporate Resources > Information Compliance Management > Records documenting the handling of requests for access to personal information held by the institution under the Data Protection Act 1998.
Memorabilia stock records Retain from last action on campaign + 5 years
Corporate Relations > Fundraising > Records documenting the design, conduct and summary results of fundraising campaigns.
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Alumni information Retain duration of relationship + 6 years
Corporate Relations > Alumni Relations Management > Various
Donor information Retain duration of relationship + 6 years
Corporate Relations > Public Relations Management > Records documenting the management of the institution's relationship with donors to the institution (other than in response to fundraising campaigns).
Sponsor information Retain for the current academic year + 5 years
Retain until termination of grant + 6 years
Research > Research > Records documenting liaison with research sponsors.
Corporate Resources > Finance Management > Records documenting the administration of research grants provided by research councils or corporate sponsors.
Election papers Retain until termination of appointment + 6 years
Corporate Management > Governance > Records documenting the appointment, election or designation of members of a statutory committee
Corporate Management > Governance > Records documenting the appointment/election/designation of members of a committee.
Academic planning and admissions
Retain until superseded + 10 years Academic Administration > Various
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Boards of Examiners and External Examiner reports
Retain for current academic year
Retain from current academic year + 1 year
Teaching & Learning > Teaching > Documentation of setting assessments; marking/grading assessments; reviewing marks/grades awarded in response to notifications of mitigating circumstances; conducting meetings of examination boards; determining awards and classifications.
Academic Administration > Student Assessment Administration > Records documenting liaison with external examiners on administrative matters.
REF records Retain until superseded + 10 years Various
Human Resources Records
Recruitment Files
(Which will include a copy of the approval to recruit, the job description and personnel specification, the advertisement, all applications received, shortlisting report and all interview records)
Retain for recruitment period + 1 year
Corporate Resources > Human Resources Management > Records documenting internal authorisation for recruitment.
Corporate Resources > Human Resources Management > Records documenting the advertising of vacancies.
Corporate Resources > Human Resources Management > Records documenting the handling of applications for vacancies: unsuccessful applications.
Corporate Resources > Human Resources Management > Records documenting the handling of applications for vacancies: successful applications.
Employee Personal File
(Which will include all application form, references, contract, any
Retain for duration of employment + 3 year
Corporate Resources > Human Resources Management > Records containing employee's basic
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contractual changes, changes to personal information (name, address, next of kin etc) and changes to salary point
personal details (e.g. address, next of kin, emergency contacts).
Human Resources Strategy Development
(The Strategy and any key records that informed strategy development)
Retain until superseded + 10 years Corporate Resources > Human Resources Management > Records documenting the development and establishment of the institution's human resources strategy: key records.
Human Resources Policy Development
(The Policy and any key records that informed policy development)
Retain until superseded + 10 years Corporate Resources > Human Resources Management > Records documenting the development and establishment of the institution's human resources management policies: key records.
Human Resources Procedure Development
(The Procedure and any key records that informed procedural development)
Retain until superseded + 1 year Corporate Resources > Human Resources Management > Records documenting the development of the institution's procedures relating to human resources management.
HR Executive Group Papers Retain for life of group + 3 years Corporate Resources > Human Resources Management > Records documenting the development and establishment of the institution’s human resources strategy, policies and procedures: working papers.
Succession Plans Retain until superseded + 5 years Corporate Resources > Human Resources Management > Records documenting management succession plans.
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DAR Retain for duration of employment + 1 year
Corporate Resources > Human Resources Management > Records containing summary information on workforce training and development needs.
For records documenting individual employees' training and development needs, see Staff Training and Development Targets.
Staff Surveys Retain until completion of survey + 10 years
Corporate Resources > Human Resources Management > Records documenting the design of workforce surveys and consultations.
Corporate Resources > Human Resources Management > Records containing (identifiable) individual responses to workforce surveys and consultations.
Corporate Resources > Human Resources Management > Records containing summary (anonymised) results of workforce surveys and consultations.
Staff Grievances
Retain from last action + 6 years Corporate Resources > Human Resources Management > Records documenting grievances raised by staff (which do not relate directly to their own contracts of employment), the institution's response, action taken and the outcome.
Bullying and Harassment Investigations
Retain from last action + 6 years Various
Disciplinary Action Retain for duration of warning Corporate Resources > Human Resources Management > Records documenting disciplinary
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proceedings against the employee, where employment continues.
Sick Leave Retain for duration of employment + 1 year
Corporate Resources > Human Resources Management > Records documenting the employee's absence due to sickness.
Trades Unions Recognition / De-recognition
Retain from derecognition + 6 years Corporate Resources > Human Resources Management > Records documenting institutional recognition/derecognition of trades unions.
Trades Unions Agreements Retain from until termination of agreement + 10 years
Corporate Resources > Human Resources Management > Records documenting agreements with trade unions.
Trades Unions Routine Meetings and Correspondence
Retain for current year + 5 years Corporate Resources > Human Resources Management > Records documenting routine communications with trade union representatives, including minutes of meetings.
Trades Unions Consultations and Negotiations on Specific Issues
Retain from last action on issue + 10 years
Corporate Resources > Human Resources Management > Records documenting consultations/negotiations with trade unions on specific issues.
Committee Papers and Minutes
Trade Union Negotiating Committees
(JNC’s / JUCNC)
Retain for current year + 10 years Corporate Resources > Human Resources Management > Records documenting routine communications with trade union representatives, including minutes of meetings.
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Promotions Files (including Professorial Progression)
Retain for duration of employment + 1 year
Corporate Resources > Human Resources Management > Records documenting the employee's contract(s) of employment with the institution.
Records documenting changes to the employee's terms and conditions of employment.
Probation Retain for duration of employment + 1 year
Various
Industrial Tribunal Files Retain for duration of tribunal + 3 years
Corporate Resources > Human Resources Management > Industrial Tribunal Files
Health and Safety risk assessments
Retain until superseded + 10 years Corporate Management > Health and Safety Management >
Records documenting the development and establishment of the University's health and safety strategy: key records
Records documenting the conduct, review and revision of assessments of risks to health and safety created by using department or faculty workstations, to fulfil the University's duties under Regulation 2 of the Health & Safety (Display Screen) Equipment Regulations 1992 (SI 1992/2792)
Records documenting the conduct, review and revision of assessments of the risks to health and safety created by exposure to noise, made to fulfil the University's duties under Regulation 5 of the Control of Noise at Work Regulations 2005 (SI 2005/1643)
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Records documenting the provision of information, instruction and training for employees who are exposed to noise, to fulfil the University's duties under Regulation 10 of the Control of Noise at Work Regulations 2005 (SI 2005/1643)
Records documenting the conduct, review and revision of assessments of the risks to health created by work with substances hazardous to health, to fulfil the University's duties under Regulation 6 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677)
Records documenting the provision of information, instruction and training for employees who are exposed to substances hazardous to health, to fulfil the University's duties under Regulation 12 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677)
Records documenting the provision of information, instruction and training for employees who are exposed to substances hazardous to health, to fulfil the University's duties under Regulation 12 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677)
Records documenting the development of plans and information to deal with accidents, incidents and emergencies related to the presence of substances hazardous to health, to fulfil the University's duties under Regulation 13 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677)
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Records documenting the conduct, review and revision of assessments of the risks to health created by work involving lead, to fulfil the University's duties under Regulation 5 of the Control of Lead at Work Regulations 2002 (SI 2002/2676)
Records documenting the provision of information, instruction and training for employees who are exposed to lead, to fulfil the University's duties under Regulation 11 of the Control of Lead at Work Regulations 2002 (SI 2002/2676)
Records documenting the development of plans and information to deal with accidents, incidents and emergencies related to the presence of lead, to fulfil the University's duties under Regulation 12 of the Control of Lead at Work Regulations 2002 (SI 2002/2676)
Records documenting the conduct, review and revision of assessments of the risks to health created by exposure to asbestos, to fulfil the University's duties under Regulation 6 of the Control of Asbestos Regulations 2006 (SI 2006/2739)
Records documenting the development of plans and information to deal with accidents, incidents and emergencies related to the presence of asbestos, to fulfil the University's duties under Regulation 15 of the Control of Asbestos Regulations 2006 (SI 2006/2739)
Records documenting the provision of information, instruction and training for employees who are exposed to asbestos, to fulfil the University's
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duties under Regulation 10 of the Control of Asbestos Regulations 2006 (SI 2006/2739)
Records documenting the conduct, review and revision of assessments of the risks to health created by work with ionising radiation, to fulfil the University's duties under Regulation 7 of the Ionising Radiations Regulations 1999 (SI 1999/3232)
Records documenting the provision of information, instruction and training for employees who are exposed to ionising radiation, to fulfil the University's duties under Regulation 14 of the Ionising Radiations Regulations 1999 (SI 1999/3232).
Equality and Diversity Services Records
EO monitoring information Retain current calendar year + 5 years
Corporate Management > Equality & Diversity Management > Records containing summary statistical information resulting from equality monitoring.
Section 75 screening and EQIAs Retain until strategy or policy superseded + 5 years
Corporate Management > Equality & Diversity Management > Records documenting the development and establishment of the University's equality and diversity strategy
Disability Retain until superseded + 5 years Corporate Management > Equality & Diversity Management > Records documenting the preparation/revision of the University's Disability Equality Scheme.
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Promotions/Advancements Retain until termination of employment + 6 years
Corporate Resources > Human Resources Management > Records documenting the employee's contract(s) of employment with the institution.
Records documenting changes to the employee's terms and conditions of employment.
Complaints Retain from last action on case + 6 years
Corporate Management > Equality & Diversity Management > Records documenting the handling of formal complaints about discrimination by or within the University.
REF ISC forms Retain while current Research > Research > Records that develop the quality and standards of research.
Exit questionnaires Retain until termination of employment + 6 years
Corporate resources > Human Resources Management > Records documenting the employee's termination of employment by voluntary resignation, redundancy, retirement (including on medical grounds) or dismissal.
Assembly questions Retain from last action on request + 5 years
Corporate Relations > Government Relations > Management > Records documenting requests for information from government bodies, the consideration of the requests, preparation of responses and the responses provided.
Committee papers Retain for life of committee + 5 years
Corporate Management > Governance > Records documenting the conduct of the business of a committee: agenda, minutes and supporting papers.
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Office of the University Secretary Records
Committee papers Retain for life of committee + 5 years
Corporate Management > Governance > Records documenting the conduct of the business of a committee: agenda, minutes and supporting papers.
Honorary graduate information Retain from conferment of award + 1 year
Academic Administration > Academic Award Administration > Records documenting:
the process of inviting, receiving and considering nominations for honorary awards
offers of honorary awards and responses received
Procession lists Retain from completion of ceremony + 1 year
Academic Administration > Academic Award Administration > Records documenting organisation of award ceremonies
Legislative records Retain for life of University Corporate Management > Governance > Legal Affairs Management > Records documenting legal advice requested by, and provided to, the University concerning e.g.: - interpretation of legislation affecting the University's legal framework, governance, responsibilities or operations - proposals for new legislation affecting the University's legal framework, governance, responsibilities or operations - the University's relationships with government bodies and HE regulators - industrial relations issues
- health, safety and environmental issues
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Annual University Review Retain for current academic year + 10 years
Corporate Management > Corporate Planning & Performance Management > Records containing reports on the University's performance against its strategic plan.
University Corporate Plan Retain until superseded + 10 years Corporate Management > Corporate Planning & Performance Management > Records documenting the development and establishment of the University's corporate planning and performance management policies or strategic plan: key records.
University Charter, Statutes and Ordinances
Retain for life of University Corporate Management > Governance > the establishment and development University's governance structure and rules
Visitor papers Retain until closure of case + 6 years
Corporate Management > Governance > Visitor Documents
MoUs and agreements Retain until termination of contract + 12 years
Corporate Management > Legal Affairs Management > Records documenting the negotiation, establishment and review of contracts and agreements between the University and third parties: agreements and contracts under seal (by deed).
Corporate Management > Legal Affairs Management > Records documenting the negotiation, establishment and review of contracts and agreements between the University and third parties: other contracts and agreements.
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Licenses and contracts Retain until termination of contract + 6 years
Corporate Management > Governance > Legal Affairs Management > Records documenting the negotiation, establishment and review of contracts and agreements between the University and third parties: other contracts and agreements.
External representation Retain until superseded + 5 years Corporate > Management > Governance > Legal Affairs Management > Records documenting the development and establishment of the University's policies on the management of legal affairs: key records.
Master copies of procedures relating to the management of legal affairs.
Records documenting legal advice on other matters requested by, and provided to, the University.
Development papers for information compliance – key records
Retain until superseded + 5 years Corporate Resources > Information Compliance Management > Records documenting the development and establishment of the institution's information compliance strategy and policies: key records.
Development papers for information compliance – working papers
Retain from issue of strategy, policy or procedure + 1 year
Corporate Resources > Information Compliance Management > Records documenting the development and establishment of the institution's information compliance strategy, policies and procedures: working papers.
Information compliance procedures
Retain until superseded + 3 years Corporate Resources > Information Compliance Management > Master copies of procedures relating to information compliance.
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ICO notification of data controller Retain from current calendar year + 1 year
Corporate Resources > Information Compliance Management > Records documenting the institution's notification of data controller details (to be added to the public register of data controllers) to the Information Commissioner's Office, as required by s 2 of the Data Protection Act 1998
DPA Subject Access Requests Retain from last action on request + 1 year
Corporate Resources > Information Compliance Management > Records documenting the handling of requests for access to personal information held by the institution under the Data Protection Act 1998.
DPA statistics, analysis and reports
Retain for current calendar year + 10 years
Corporate Resources > Information Compliance Management > Records containing (anonymised) statistics, analyses and reports of requests for access to personal information held by the institution under the Data Protection Act 1998.
Documents for FOI publication scheme
Retain from completion of revision of Publication Scheme + 5 years
Corporate Resources > Information Compliance Management > Records documenting the handling of requests for information held by the institution, made under the Freedom of Information Act 2000.
FOI requests Retain from completion of request handling process + 3 years
Corporate Resources > Information Compliance Management > Records documenting the handling of requests for information held by the institution, made under the Freedom of Information Act 2000.
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FOI statistics, analysis and reports Retain from the current calendar year + 10 years
Corporate Resources > Information Compliance Management > Records containing (anonymised) management statistics, analyses and reports of requests for information held by the institution, made under the Freedom of Information Act 2000.
Corporate Business Continuity Plan
Retain until superseded + 1 year Corporate Management > Governance > Risk Management > Records documenting the formulation, testing and maintenance of disaster response and recovery plans
Copyright Policy Retain until superseded + 3 years Master copies of procedures relating to publications management.
Finance and Planning Information Directorate Records
Higher Education Return Early Retain from submission of report + 3 years
Corporate Relations > Government Relations Management > Records documenting the preparation and submission of reports to government bodies.
Statistics (HESES) Retain from submission of report + 3 years
Corporate Relations > Government Relations Management > Records documenting the preparation and submission of reports to government bodies.
HESA Student collection Retain from submission of report + 3 years
Corporate Relations > Government Relations Management > Records documenting the preparation and submission of reports to government bodies.
HESA Aggregate Offshore Collection
Retain from submission of report + 3 years
Corporate Relations > Government Relations Management > Records documenting the preparation and submission of reports to government bodies.
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HESA Institutional Profile Collection
Retain from submission of report + 3 years
Corporate Resources > Finance Planning > HESA Institutional Profile Collection
Financial planning and forecasts Retain for current financial year + 1 year
Corporate Resources > Finance Planning > Records documenting analyses of the internal deployment of the institution's financial resources
Management Accounts Retain for current financial year + 1 year
Corporate Resources > Finance Planning > Records documenting the preparation of annual operating budgets
Economic Appraisals Retain from termination of supply contract awarded + 6 years
Corporate Resources > Procurement > Records documenting Invitations to Tender and tender evaluation criteria.
Financial Analysis/Subsidies Retain for current financial year + 1 year
Corporate Resources > Finance Planning > Records documenting analyses of the internal deployment of the institution's financial resources
Sales Ledger records Retain for current financial year + 6 years
Corporate Resources > Finance Management > issue of sales invoices and the processing of incoming payments
Purchase Ledger records Retain for current financial year + 6 years
Corporate Resources > Finance Management > receipt and payment of purchase invoices
VAT return records Retain for current financial year + 6 years
Corporate Resources > Finance Management > Records documenting the institution's accounting for VAT
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Employee expense records Retain for current financial year + 6 years
Corporate Resources > Finance Management > payment and/or reimbursement of employees' expenses
Financial Statement records Retain for current year + 6 years Corporate Resources > Finance Management > Financial Statement Records
Payroll records Retain for current tax year + 3 years Corporate Resources > Finance Management > Records documenting calculation and payment of employees' salaries and other payments.
Corporate Resources > Finance Management > Records documenting employees' authorisation for non-statutory payroll deductions.
Employer pension contribution records
Retain from termination of employment + 3 years
Corporate Resources > Finance Management > Records documenting payments of the institution's employers' contributions to pensions schemes for its employees
Research grants Retain until termination of grant + 6 years
Corporate Resources > Finance Management > Records documenting the administration of research grants provided by research councils or corporate sponsors
Successful tenders Retain from termination of contract + 6 years
Corporate Resources > Procurement > Records documenting the evaluation of tenders, the conduct of negotiations with tenderers and the notification of the results of the tender evaluation process: accepted tenders
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Unsuccessful tenders Retain from award of supply contract + 1 year
Corporate Resources > Procurement > Records documenting the evaluation of tenders, the conduct of negotiations with tenderers and the notification of the results of the tender evaluation process: rejected tenders.
Purchase orders Retain for current financial year + 6 years
Corporate Resources > Procurement > Purchase Orders
Costings Retain from termination of supply contract awarded + 6 years
Corporate Resources > Procurement > Records documenting Invitations to Tender and tender evaluation criteria.
Physical Resources Records
Estate Strategy Development: Key Records
Retain until superseded + 10 years Corporate Resources > Estate Management > Records documenting the development and establishment of the institution's estate strategy: key records.
Estate Strategy Development: Key Records: Working Papers
Retain from issue of strategy + 1 year
Corporate Resources > Estate Management > Records documenting the development and establishment of the institution's estate strategy: working papers.
Estate Management Procedure Development
Retain from issue of procedures + 1 year
Corporate Resources > Estate Management > Records documenting the development of the institution's procedures relating to estate management.
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Property Acquisition Retain until disposal of property + 12 years
Corporate Resources > Estate Management > Records documenting the acquisition of ownership of properties.
Deeds of Title Retain until disposal of property Corporate Resources > Estate Management > Deeds of title for properties owned by the institution.
Unsuccessful Property Negotiations
Retain until closure of negotiations + 6 years
Corporate Resources > Estate Management > Records documenting negotiations for properties where the property was not acquired.
Property Leases and Agreements Retain until expiry of lease + 15 years
Corporate Resources > Estate Management > Records documenting the negotiation of leases and original lease agreements.
Property Development Retain until disposal of property Corporate Resources > Estate Management > Records documenting the development of properties.
Property Development Health and Safety
Retain until demolition of property OR Disposal of interest in property
Corporate Resources > Estate Management > Health and Safety File for a structure, as required by Regulation 14(d) of the Construction (Design and Management)
Planning Applications Retain until disposal of property or expiry of consent
Corporate Resources > Estate Management > Records documenting applications for planning consents required to (re)develop property and consents granted.
Property Inspections Retain from date of inspection + 5 years
Corporate Resources > Estate Management > Records documenting routine inspections of property.
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Property Maintenance: Major Works
Retain until disposal of property Corporate Resources > Estate Management > Records documenting major maintenance works on property.
Property Maintenance: Minor Works
Retain until completion of works + 12 years
Corporate Resources > Estate Management > Records documenting minor maintenance works on property.
Asbestos Inspections Retain from review of assessment + 10 years
Corporate Resources > Estate Management > Records documenting assessments made to determine the presence (or likely presence) of asbestos in premises, as required by Regulation 4(3) of the Control of Asbestos Regulations 2006 (SI 2006/2739).
Asbestos Removal Retain from removal of asbestos + 10 years OR Subsequent inspection + 10 years
Corporate Resources > Estate Management > Records documenting the monitoring of the condition of asbestos in premises, and of maintaining or removing it.
Property Disposal Retain until disposal of property + 12 years
Corporate Resources > Estate Management > Records documenting the disposal of properties by sale, transfer or donation.
Security Inspections
Retain until completion of subsequent inspection
Corporate Resources > Estate Management > Records documenting the conduct and results of security inspections of properties, and action taken to address issued raised.
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Key Registers and Access Registers
Retain from creation + 2 months Corporate Resources > Estate Management > Records documenting property access controls to secure areas (e.g. access registers, key registers, security data logs).
Visitor Security Passes Retain until expiry of pass + 1 month
Corporate Resources > Estate Management > Records of security passes issued to visitors
Staff and Student Security Passes Retain until expiry of pass Corporate Resources > Estate Management > Records of security passes issued to employees, other staff and students.
Security Surveillance Records Retain from creation + 1 month Corporate Resources > Facilities Management > Records documenting the conduct of routine security surveillance of properties.
Incident Reporting Retain until last action on incident + 1 year
Corporate Resources > Estate & Facilities Management > Records documenting security breaches or incidents, unauthorised access to facilities, and action taken.
Property Leasing-out Retain until expiry of lease + 12 years
Corporate Resources > Estate Management > Records documenting leasing-out arrangements for properties.
Space Audits Retain until completion of subsequent audit + 5 years
Corporate Resources > Estate Management > Records documenting the conduct and outcomes of space audits.
Facilities Management Procedure Development
Retain from issue of procedures + 1 year
Corporate Resources > Facilities Management > Records documenting the development of the institution's procedures relating to facilities management.
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Facilities Management Procedure Development: Master Copies
Retain until superseded + 6 years Corporate Resources > Facilities Management > Records documenting the development of the institution's procedures relating to facilities management.
Master copies of procedures relating to facilities management.
Facilities Specifications
Retain until completion of works + 12 years
Corporate Resources > Facilities Management > Records documenting the specification of requirements for facilities services.
Facilities Inspections Retain until completion of two subsequent inspections
Corporate Resources > Facilities & Estates Management > Records documenting routine inspections of facilities.
Estates Maintenance Works: Major
Retain until completion of works + 12 years
Corporate Resources > Estates Management > Records documenting the carrying out of major maintenance works within facilities.
Estates Maintenance Works: Minor
Retain until current year + 6 years Corporate Resources > Estates Management > Records documenting the carrying out of minor maintenance works within facilities.
Facilities Licences and Certificates Retain until superseded Corporate Resources > Estates & Facilities Management > Original licences and certificates
Environmental Strategy Development: Key Records
Retain until superseded + 10 years Corporate Management > Environmental Management > Records documenting the development and establishment of the institution's environmental management strategy: key records.
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Environmental Strategy Development: Working Papers
Retain from issue of strategy + 1 year
Corporate Management > Environmental Management > Records documenting the development and establishment of the institution's environmental management strategy: working papers.
Environmental Management Policy Development: Key Records
Retain until superseded + 10 years Corporate Management > Environmental Management > Records documenting the development and establishment of the institution's environmental management policies: key records.
Environmental Management Policy Development: Working Papers
Retain from issue of policy + 1 year Corporate Management > Environmental Management > Records documenting the development and establishment of the institution's environmental management policies: working papers.
Environmental Management Procedure Development
Retain from issue of procedures + 1 year
Corporate Management > Environmental Management > Records documenting the development of the institution's procedures relating to environmental management.
Environmental Management Procedure Development: Master Copies
Retain until superseded + 10 years Corporate Management > Environmental Management > Master copies of procedures relating to environmental management.
Environmental Audit Retain until completion of audit + 5 years
Corporate Management > Environmental Management > Records documenting the conduct and results of environmental audits, and action taken to address issues raised.
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Environmental Hazard Identification & Risk Assessment
Retain until elimination of risk + 5 years OR Updating of risk assessment + 5 years
Corporate Management > Environmental Management > Records documenting identified environmental hazards to the institution, or created by its operations, and the conduct and results of risk assessments.
Environmental Management Scheme Accreditation Management
Retain until termination of accreditation + 1 year
Corporate Management > Environmental Management > Records documenting the attainment and maintenance of the institution's accreditation under established environmental management schemes.
Environmental Awareness Promotion
Retain current + 5 years Corporate Management > Environmental Management > Records documenting action taken by the institution to raise awareness of environmental issues among its employees, other staff and students.
Environmental Incidents Retain until last action on incident + 40 years
Corporate Management > Environmental Management > Records documenting the recording of environmental incidents on the institution's premises or caused by its operations.
Environmental Incident Investigations
Retain until closure of investigation + 40 years
Corporate Management > Environmental Management > Records documenting the investigation of environmental incidents on the institution's premises or caused by its operations.
Environmental Incident Reports to Authorities
Retain from date of notification + 5 years
Corporate Management > Environmental Management > Records documenting the notification and reporting of reportable environmental incidents to enforcing authorities.
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Energy Monitoring Retain current year + 5 years Corporate Management > Estates Management > Records documenting routine monitoring of the institution's use and consumption of energy.
Energy Management Reviews Retain until completion of review + 5 years
Corporate Management > Estates Management > Records documenting the conduct and results of formal reviews of the institution's use and consumption of energy, and action taken to address issues raised.
Waste Management (General Waste)
Retain until removal of waste consignment + 3 years
Corporate Management > Facilities and Estates Management > Register of ‘waste' removed from the premises for disposal by registered/licensed contractors, as required by Regulation 15 of the Special Waste Regulations 1996 (SI 1996/972).
Meet the duty of care to ensure that waste produced does not have adverse environmental impact as required by The Waste Management Regulations (Northern Ireland) 2006
Ensure Food waste is not deposited in a lateral drain or sewer as required in The Food Waste Regulations (Northern Ireland) 2015
Waste Management (“Hazardous Waste”)
Retain until removal of waste + 3 years
Corporate Management > Estates Management > Records documenting hazardous waste to be disposed of, as required by The Hazardous Waste Regulations (Northern Ireland) 2005.
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Student Administration Records
Student records used to provide transcripts, replacement certificates, reference requests, confirmation of dates of attendance.
Retain permanently Academic Administration > Student Administration > Student Records Administration > Transcript Records
Certificates of students who have not attended graduation/requested postage.
Retain permanently Academic Administration > Academic Award Administration > Records documenting notification of awards to students and the issue of awards certificates
Student Appeals, Communication of Results Forms
Retain for current academic year + 6 years
Academic Administration > Student Administration > Records documenting:
the conduct and results of disciplinary proceedings against individual students
the handling and results of academic appeals by individual students.
the handling of formal complaints made by individual students against the University.
Criminal Record Checks Retain until end of student relationship + 6 years
Academic Administration > Student Administration > Records containing personal data on individual students
Student Support RAR Forms Retain until end of student relationship + 1 year
Student Services > Student Service Management > RAR Forms
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External Examiner Appointment Retain until end of appointment + 1 year
Academic Administration > Student Assessment Administration > Records documenting the selection and appointment of external examiners.
External Examiner Annual Reports Retain for current year + 1 year Teaching & Learning > Teaching > Documentation of setting assessments; marking/grading assessments; reviewing marks/grades awarded in response to notifications of mitigating circumstances; conducting meetings of examination boards; determining awards and classifications.
Academic Administration > Student Assessment Administration > Records documenting liaison with external examiners on administrative matters.
Missing Script Documentation/Senior Invigilator Reports
Retain for 1 year Academic Administration > Student Assessment Administration > Assessment Administration
Reference requests/replacement transcripts/letters of confirmation
Retain for 1 year Academic Administration > Student Administration > Records documenting the handling of requests for:
ad hoc analyses of data from individual students' records
statements of results/transcripts from individual students
confirmation of individual students' awards, attendance or conduct from employers and other educational institutions
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SLC Contracts Retain for 3 years Academic Administration > Student Administration > Records on individual students documenting:
provision of financial aid funds
provision of crisis/hardship payments
the award of bursaries
the award of scholarships and fellowships
Student Record Amendment Forms
Retain for student duration + 1 year Academic Administration > Student Administration > Records documenting or containing:
personal data on individual students
UCAS related communications Retain for current year Various
Admissions Policy/Admission Complaints Policy
Retain for current year Academic Administration > Student Administration > Records documenting the development and establishment of the University's student administration policies: key records.
Master copies of procedures relating to student administration.
Records documenting the development and establishment of the University's admission criteria
Student Guide Retain for current year Academic Administration > Student Administration > Student Induction
Graduation Refund Listings Retain for current year Academic Administration > Student Financial Support Administration > Graduation Refunds
Direct entry applications Retain for current year Academic Administration > Student Administration > Student Admission
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LEA Reports Retain for current year + 1 year Academic Administration > Student Administration > LEA Reports
Student Administration Financial Records
Retain for current year + 6 years Academic Administration > Student Financial Support Administration
Academic Planning, Partnerships and International Affairs Records
Records pertaining to Faculty Heads of Collaborative Courses Forum / Collaborative Partnerships Forum (from 2011/12)
Retain for life of committee + 5 years
Corporate Management > Governance > Records documenting the conduct of the business of a committee: agenda, minutes and supporting papers.
Academic Planning Sub-Committee documents
Retain for life of committee + 5 years
Corporate Management > Governance > Records documenting the conduct of the business of a committee: agenda, minutes and supporting papers.
PIP Board documents Retain for life of the Board + 5 years Corporate Management > Governance > Records documenting the conduct of the business of a committee: agenda, minutes and supporting papers.
Agreements with partner institutions
Retain until termination of contract + 12 years
Corporate Management > Legal Affairs Management > Records documenting the negotiation, establishment and review of contracts and agreements between the University and third parties: agreements and contracts under seal (by deed).
Corporate Management > Legal Affairs Management > Records documenting the negotiation, establishment and review of contracts and agreements between the University and third parties: other contracts and agreements.
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Financial records documenting:
• preparation of annual operating budgets and records documenting the monitoring of income
• expenditure against annual operating budgets, and action taken to deal with variances
Retain for current financial year + 1 year
Corporate Resources > Finance Management > Records documenting analyses of the internal deployment of the institution's financial resources.
Records documenting the preparation of annual operating budgets.
Records documenting the monitoring of income and expenditure against annual operating budgets, and action taken to deal with variances.
Records documenting the development and evaluation of job specifications
Retain until termination of employment + 6 years
Corporate Resources > Human Resources Management > Records documenting the employee's contract(s) of employment with the institution.
Records documenting changes to the employee's terms and conditions of employment.
Records documenting references provided in confidence in support of the employee’s application(s) for employment by another organisation
Retain from provision of reference + 1 year
Corporate Resources > Human Resources Management > Records documenting references provided in confidence in support of the employee's application(s) for employment by another organisation.
Records pertaining to Academic Planning, Partnerships and International Affairs Committee
Retain for life of committee + 5 years
Corporate Management > Governance > Records documenting the conduct of the business of a committee: agenda, minutes and supporting papers.
APPIAC and ACEB agendas, minutes and supporting papers
Retain for life of committee + 5 years
Corporate Management > Governance > Records documenting the conduct of the business of a committee: agenda, minutes and supporting papers.
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US FSA student files Retain for current financial/academic year + 6 years
Corporate Management > Governance > US FSA > Student Files
US FSA administrative files Retain for current academic year + 5 years
Corporate Management > Governance > US FSA > Administrative Files
US FSA compliance audits Retain for current academic year + 5 years
Corporate Management > Governance > US FSA > Compliance Audits
US FSA policies and procedures Retain until superseded + 5 years Corporate Management > Governance > US FSA > Policies and Procedures
International business policies and procedures
Retain until policy superseded + 5 years
Corporate Management > Governance > International Business Policies and Procedures
Risk registers Retain until superseded + 1 year Corporate Management > Risk Management > Records documenting identified risks to the University and assessments of those risks.
Student Support Records
Student Support Retain until superseded + 3 years Student Services > Student Service Management > Records documenting the development and establishment of the institution's [student service] strategy, policies and procedures: key records.
Support provider Retain until superseded Student Services > Student Service Management > Student Service Operations Management > Support Providers
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Support provider application form reference
Retain from provision of reference + 1 year
Student Services > Student Service Management > Student Service Operations Management > Support Providers > References
Support provider interview notes Retain for up to 1 year or until recruitment process is complete
Student Services > Student Service Management > Student Service Operations Management > Support Providers > Interview Notes
Support provider AccessNI documents
Retain until termination of employment + 6 years (as part of employee contract records) except information that is not relevant to the on-going employment relationship.
Student Services > Student Service Management > Student Service Operations Management > Support Providers > Personal Documentation
Support provider statement of agreement
Retain for 3 years Student Services > Student Service Management > Student Service Operations Management > Support Providers> Statements of Agreement
Support provider learning plans Retain until termination of employment + 6 years (as part of employee contract records) except information that is not relevant to the on-going employment relationship.
Student Services > Student Service Management > Student Service Operations Management > Support Providers > Learning Plans
Support provider work records Retain until superseded Student Services > Student Service Management > Student Service Operations Management > Support Providers > Work Records
Support provider personal documentation
Retain until the Support Provider withdraws or is withdrawn from the Register
Student Services > Student Service Management > Student Service Operations Management > Support Providers > Personal Documentation
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Support provider student information
Retain for 3 years Student Services > Student Service Management > Student Service Operations Management > Support Providers > Student Information
Disability services student file documents
Retain for 7 years Student Services > Student Service Management > Disability Services > Student File Documents
Disability services ASN for non-students
Retain until confirmation is received that the student is not attending Ulster University
Student Services > Student Service Management > Disability Services > ASN for Non-students
Student funding applications Retain until Issue of new strategy, policy or procedure + 1 year
Teaching & Learning > Learning Support > Records that develop and establish learning support strategy, policies and procedures on teaching. Working papers.
Student funding payment records Retain for 7 years Academic Administration > Student Financial Support Administration > Records on individual students documenting:
provision of financial aid funds
provision of crisis/hardship payments
the award of bursaries
the award of scholarships and fellowships
Counselling intake forms Retain until Issue of new strategy, policy or procedure + 1 year
Student Services > Student Service Management > Counselling Services > Intake Forms
Counselling interview notes Retain for 8 years Student Services > Student Service Management > Counselling Services > Interview Notes
Counselling EC1 forms Retain until Issue of new strategy, policy or procedure + 1 year
Student Services > Student Service Management > Counselling Services > EC1 Forms
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Child care parent application forms Retain until Issue of new strategy, policy or procedure + 1 year
Student Services > Student Service Management > Child Care > Application Forms
Health declaration form Retain until Issue of new strategy, policy or procedure + 1 year
Student Services > Student Service Management > Health Declaration Form
Research Office Records
Records and working papers that develop and establish strategy, policies and procedures on research
Retain until superseded + 10 years
Retain until Issue of new strategy, policy or procedure + 1 year
Research > Research > Records that develop and establish research strategy, policies and procedures. Key records.
Research > Research > Records that develop and establish strategy, policies and procedures on research. Working papers.
Records documenting the development of the quality and standards of research
Retain while current Research > Research > Records that develop the quality and standards of research.
Records documenting the identification and exploration of new opportunities which lead to research projects
Retain until completion of project Research > Research > Records documenting the identification and exploration of new research opportunities which lead to research projects.
Records documenting the design and planning of research projects which are undertaken: key records
Retain until the completion of project + 10 years
Research > Research > Records documenting the design and planning of research projects which are undertaken: key records.
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Records documenting the design and planning of research projects which are undertaken: working papers
Retain until completion of project Research > Research > Records documenting the design and planning of research projects which are undertaken: working papers.
Publications and presentations made to disseminate research results (NOT interim or final research reports)
Retain until publication/delivery + 3 years
Research > Research > Publications and presentations made to disseminate research results (NOT interim or final research reports).
Records documenting the management of internally-funded research projects
Retain until completion of project + 3 years
Research > Research > Records documenting the management of internally-funded research projects.
Records documenting the management of externally-funded research projects
Retain until completion of project + 6 years
Records documenting the management of externally-funded research projects.
Records documenting the identification and exploration of new research opportunities which lead to research projects
Retain until completion of project Research > Research > Records documenting the identification and exploration of new research opportunities which lead to research projects.
Records documenting the design and planning of research projects which are not undertaken
Retain until the abandonment or unsuccessful funding of plans + 1 year
Research > Research > Records documenting the design and planning of research projects which are not undertaken.
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Records documenting the preparation and submission of applications for funding, where the application is unsuccessful (i.e. does not result in the offer of a funding award)
Retain until the abandonment or unsuccessful funding of plans + 1 year
Research > Research > Records documenting the preparation and submission of applications for funding, where the application is unsuccessful (i.e. does not result in the offer of a funding award).
Records documenting the identification and exploration of new research opportunities which lead to research projects
Retain until completion of project Research > Research > Records documenting the identification and exploration of new research opportunities which lead to research projects.
Publications and presentations made to disseminate research results (NOT interim or final research reports)
Publications and presentations made to disseminate research results (NOT interim or final research reports).
Research > Research > Publications and presentations made to disseminate research results (NOT interim or final research reports).
Records documenting the management of internally-funded research projects
Retain until completion of project + 3 years
Research > Research > Records documenting the management of internally-funded research projects.
Records documenting the management of externally-funded research projects
Retain until completion of project + 6 years
Research > Research > Records documenting the management of externally-funded research projects.
Records documenting spending of research grants
Retain until termination of grant + 6 years
Corporate Resources > Finance Management > Records documenting the administration of research grants provided by research councils or corporate sponsors.
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Learning, Teaching and Student Experience Records
Committee papers Retain current academic year + 6 years
Corporate Management > Governance > Records documenting the conduct of the business of a committee: agenda, minutes and supporting papers.
Working group papers Retain for life of working group + 5 years
[To be determined]
Steering group papers Retain current academic year + 6 years
[To be determined]
Records pertaining to Quality Assurance and Enhancement Committee
Retain for life of committee + 5 years
Corporate Management > Governance > Records documenting the conduct of the business of a committee: agenda, minutes and supporting papers.
Records pertaining to Senate Retain for life of committee + 5 years
Corporate Management > Governance > Records documenting the conduct of the business of a committee: agenda, minutes and supporting papers.
Records pertaining to Senate induction
Retain until superseded + 5 years Corporate Management > Governance > Records documenting the development of induction and training programmes for members of a statutory committee.
Records pertaining to Self-Effectiveness Review of Senate
Retain until the completion of two subsequent reviews
Corporate Management > Governance > Records documenting the conduct of reviews of the effectiveness and performance of a statutory committee.
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Records pertaining to Charter Review Group (2014/15)
Retain for life of committee + 5 years
[To be determined]
QAA external reviews Retain until completion of audit + 3 years
Corporate Management > Governance > Quality Management > Records documenting the conduct and results of quality audits, and action taken to address issues raised
HEQC Collaborative Audit records Retain until completion of audit + 3 years
Corporate Management > Quality Management > Records documenting the conduct and results of quality audits, and action taken to address issues raised.
QAA Audit of UK TNEIN China (2011/12) documents
Retain until completion of audit + 3 years
Corporate Management > Governance > Quality Management > Records documenting the conduct and results of quality audits, and action taken to address issues raised
National Student Survey (2005-2011) documents
Retain reports for duration of current survey + 3 years
Corporate Relations > Student Relations Management >
Annual Subject Monitoring documents
Retain for the current academic year + 5 years
Teaching & Learning > Teaching > Reviews, audits and responses on the quality and standards of teaching.
Summaries, reports and analysis of taught programme or module effectiveness.
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Annual Course Review (Collaborative Courses) documents
Retain for the current academic year + 5 years
Teaching & Learning > Teaching > Reviews, audits and responses on the quality and standards of teaching.
Summaries, reports and analysis of taught programme or module effectiveness.
Module Monitoring documents Retain for the current academic year + 5 years
Teaching & Learning > Teaching > Reviews, audits and responses on the quality and standards of teaching.
Summaries, reports and analysis of taught programme or module effectiveness.
Themed Audits documents Retain until completion of audit + 3 years
Corporate Management > Quality Management > Records documenting the conduct and results of quality audits, and action taken to address issues raised.
Student Survey on the Quality of Teaching (SSQT) documents
Retain until completion of survey + 5 years
Corporate Relations > Student Relations Management > Results of student surveys: summaries and analyses of responses
Institutional Approval Files Retain for lifetime of partnership + 5 years
[To be determined]
Institutional Re-Approval Files Retain for lifetime of partnership + 5 years
[To be determined]
Faculty Head Collaborative Courses: Annual Reports
Retain for the current academic year + 5 years
Teaching & Learning > Teaching > Summaries, reports and analysis of taught programme or module effectiveness.
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PSRB Reports Retain for lifetime of relationship + 10 years
[To be determined]
Student Complaints files Retain from last action on complaint + 3 years
Academic Administration > Student Administration > Records documenting the handling of complaints by individual students where the formal complaints procedure is not initiated.
Regulations templates Retain until superseded + 10 years Teaching & Learning > Learning Support > Records that develop and establish Learning Support strategy and policies on teaching. Key records.
DEL Foundation Degree Validation Group
(external working group) documents
Retain from Issue of policy or procedure + 1 year
Academic Administration > Student Assessment Administration > Records documenting the development and establishment of the University's academic assessment administration policies and procedures: working papers.
Academic Policies (as approved by committees, or in relation to external agencies)
Retain until superseded + 10 years
Retain from issue of policy or procedure + 1 year
Academic Administration > Student Administration > Records documenting the development and establishment of the University's student administration policies: key records
Academic Administration > Student Administration > Records documenting the development and establishment of the University's student administration policies and procedures: working papers
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Prospectuses (copies) Retain for current academic year Academic Administration > Student Administration > Records documenting the issue of student recruitment materials in bulk to schools and other organisations
Teaching and Learning Strategy Annual Action Plans and Reports on Progress
Retain until superseded + 10 years Teaching & Learning > Teaching > Records that develop and establish teaching strategy and policies on teaching. Key records.
Teaching and Learning Strategy Working Papers
Retain until Issue of new strategy, policy or procedure + 1 year
Teaching and Learning > Teaching > Records that develop and establish teaching strategy, policies and procedures on teaching. Working papers.
Staff meetings – agendas, minutes Retain from issue of policy or procedure + 1 year
Academic Administration > Student Administration > Records documenting the development and establishment of the University's student administration policies and procedures: working papers.
Website updates Retain until fully migrated to the Squiz corporate content management system
[To be determined]
University Policy Documents Retain until superseded + 10 years Academic Administration > Student Administration > Records documenting the development and establishment of the University's student administration policies: key records.
Master copies of procedures relating to student administration.
Records documenting the development and establishment of the University's admission criteria.
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Financial records documenting:
• preparation of annual operating budgets and records documenting the monitoring of income
• expenditure against annual operating budgets, and action taken to deal with variances
Retain for current financial year + 1 year
Corporate Resources > Finance Management > Records documenting analyses of the internal deployment of the institution's financial resources.
Records documenting the processing of internal accounting transactions between operating units (i.e. cross-charges).
Records documenting the preparation of annual operating budgets.
Records documenting the monitoring of income and expenditure against annual operating budgets, and action taken to deal with variances.
Records documenting the development and evaluation of job specifications
Retain until termination of employment + 6 years
Corporate Resources > Human Resources Management > Records documenting the employee's contract(s) of employment with the institution.
Records documenting changes to the employee's terms and conditions of employment.
Records documenting references provided in confidence in support of the employee's application(s) for employment by another organisation
Retain from provision of reference + 1 year
Human Resources Management > Records documenting references provided in confidence in support of the employee's application(s) for employment by another organisation.
Annual Record of Retention and Disposal of Documents evidencing authorisation for the transfer/disposal of redundant records
Retain until disposal of records + 25 years
Corporate Resources> Records Management > Records documenting authorisation for the disposal of redundant records.
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CHERP Membership applications Retain for current academic year + 5 years
Academic Administration > Student Administration > Records documenting or containing:
personal data on individual students
handling of successful applications for admission
registration of individual students on programmes
academic progress of individual students and formal action taken by the University to deal with unsatisfactory progress
transfer of individual students to new programmes or to new courses within programmes
withdrawal of individual students from the University
termination of individual students' programmes
CHERP Finance documents (invoices, receipts, claim forms etc.)
Retain for current financial year + 6 years
Corporate Resources > Finance Management > Records documenting:
issue of sales invoices and the processing of incoming payments
receipt and payment of purchase invoices
payment and/or reimbursement of employees' expenses
payment of expenses to third parties (e.g. honorary appointees)
handling of petty cash
receipt and processing of tuition fees
preparation of annual accounts
Annual Accounts
preparation of the institution's statutory accounts
the payment of honoraria to third parties (unless honoraria are administered through the payroll)
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CHERP feedback forms/event booklets
Retain for current academic year + 5 years
Academic Administration > Academic Programme Administration > Academic Programme Co-ordination > CHERP Feedback Forms and Event Booklets
CHERP Awards applications Retain for current academic year + 3 years
Academic Administration > Academic Award Administration > Records documenting:
notification of awards to students and the issue of awards certificates
the process of inviting, receiving and considering nominations for honorary awards
offers of honorary awards and responses received
CHERP Attendance records Retain for current academic year + 5 years
Academic Administration > Academic Programme Administration > Academic Programme Co-ordination > CHERP Attendance Records
Preparation, planning and conduct of teaching and learning materials and events
Retain for the current academic year + 1 year
Teaching & Learning > Teaching > Documentation of the preparation, planning and conduct of teaching and learning materials and events.
Design and development of assessments documents
Retain for the life of the programme or module
Teaching & Learning > Teaching > Documentation of the design and development of assessments.
Submitted/completed assessments: summative assessments
Retain until confirmation of marks/grades by Board of Examiners + 6 months
Teaching & Learning > Teaching > Records documenting submitted/completed assessments: summative assessments.
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Individual student marks and grades given to assessments (including awards and classifications)
Completion of student's module or programme + 6 years
Teaching & Learning > Teaching > Records documenting an individual student’s:
Marks and grades given to assessments (including awards and classifications)
Feedback on academic progress, and general academic guidance and support, given to individual taught students.
Individual student feedback on academic progress and general academic guidance
Retain until end of student relationship + 6 years
Academic Administration > Student Administration > Records documenting or containing:
personal data on individual students
handling of successful applications for admission
registration of individual students on programmes
academic progress of individual students and formal action taken by the University to deal with unsatisfactory progress
transfer of individual students to new programmes or to new courses within programmes
withdrawal of individual students from the University
termination of individual students' programmes
Individual student marks, grades and feedback for summer school
Completion of student's module or programme + 6 years
Teaching & Learning > Teaching > Records documenting an individual student’s:
Marks and grades given to assessments (including awards and classifications)
Feedback on academic progress, and general academic guidance and support, given to individual taught students.
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Summaries, reports and analyses of taught programme effectiveness - CPPD, PEP
Retain for the current academic year + 5 years
Teaching & Learning > Teaching > Reviews, audits and responses on the quality and standards of teaching.
Summaries, reports and analysis of taught programme or module effectiveness.
Documentation of developing taught programmes and modules - PG CPD
Retain for the life of the programme or module + 10 years
Teaching & Learning > Teaching > Documentation of developing taught programmes and modules.
Documentation of setting assessments, marking & grading, conducting meetings of examiners etc.
Retain for current academic year Teaching & Learning > Teaching > Documentation of setting assessments; marking/grading assessments; reviewing marks/grades awarded in response to notifications of mitigating circumstances; conducting meetings of examination boards; determining awards and classifications.
Submitted/completed assessments Retain until confirmation of marks/grades by Board of Examiners + 6 months
Teaching & Learning > Teaching > Records documenting submitted/completed assessments: summative assessments.
Reviews audits and responses on the quality and standards of teaching, including reports and analysis of module/programme effectiveness
Retain for current academic year Teaching & Learning > Teaching > Documentation of setting assessments; marking/grading assessments; reviewing marks/grades awarded in response to notifications of mitigating circumstances; conducting meetings of examination boards; determining awards and classifications.
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Records in relation to the e-learning audit conducted by QMAU
Retain for the current academic year + 5 years
Reviews, audits and responses on the quality and standards of teaching.
Summaries, reports and analysis of taught programme or module effectiveness.
Non Award Bearing Working Group papers
Retain from Issue of policy or procedure + 1 year
Academic Administration > Student Assessment Administration > Records documenting the development and establishment of the University's academic assessment administration policies and procedures: working papers.
Records in relation to the development of the Programme Support Area Template
Retain for life of programme + 5 years
Knowledge Transfer and Enterprise > Education & Training > Records documenting the development of education and training programmes.
Records in relation to the development of the Course Support Area for Course Directors
Retain for current academic year + 5 years
[To be determined]
Records that develop and establish learning support strategy, policies and procedures on teaching
Retain until superseded + 10 years Teaching & Learning > Teaching > Records that develop and establish teaching strategy and policies on teaching. Key records.
Records in relation to development of CPPD & Postgraduate CPD Framework, PEP and other ADL academic programmes
Retain for the life of the programme or module + 10 years
Teaching & Learning > Teaching > Documentation of developing taught programmes and modules.
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Teaching and learning material in relation to the Professional Experience Programme
Retain for the current academic year + 1 year
Teaching & Learning > Teaching > Documentation of the preparation, planning and conduct of teaching and learning materials and events.
Submitted assessments, marks, grades and feedback relation to the Professional Experience Programme
Retain for current academic year Teaching & Learning > Teaching > Documentation of setting assessments; marking/grading assessments; reviewing marks/grades awarded in response to notifications of mitigating circumstances; conducting meetings of examination boards; determining awards and classifications.
Records containing data on, and analyses of, student numbers and other programme statistics
Retain for current academic year + 3 years
Research > Research > Records containing data on, and analyses of, student numbers and other programme statistics.
Documentation of preparation and conduct of teaching & learning events (eTutor training)
Retain current academic year + 1 year
Knowledge Transfer and Enterprise > Education & Training > Records documenting:
preparation of teaching and learning materials
planning and conduct of teaching and learning events
Documentation of planning and conduct of teaching and learning events
Retain current academic year + 1 year
Knowledge Transfer and Enterprise > Education & Training > Records documenting:
preparation of teaching and learning materials
planning and conduct of teaching and learning events
Records documenting the development of education and training programmes
Retain for life of programme + 5 years
Knowledge Transfer and Enterprise > Education & Training > Records documenting the development of education and training programmes.
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Records documenting submitted/completed assessments: formative assessments
Retain current academic year Knowledge Transfer and Enterprise > Education & Training > Records documenting submitted/completed assessments: formative assessments
Records documenting submitted/completed assessments: summative assessments
Retain until confirmation of marks/grades + 6 months.
Knowledge Transfer and Enterprise > Education & Training > Records documenting submitted/completed assessments: summative assessments.
Records documenting marks/grades given to submitted/completed summative assessments and, where appropriate, awards and classifications
Retain current academic year + 6 years
Knowledge Transfer and Enterprise > Education & Training > Records documenting marks/grades given to submitted/completed summative assessments and, where appropriate, awards and classifications.
Records containing data on, and analyses of, student numbers and other programme statistics
Retain current academic year + 5 years
Research > Research > Records containing data on, and analyses of, student numbers and other programme statistics.
Contact Details of All community partners for Science Shop
Held jointly by Ulster and QUB. Reviewed regularly
[To be determined]
Records documenting the design, conduct, organisation and summary results of student recruitment campaigns and events
Retain until completion of campaign or event + 5 years
Academic Administration > Student Administration > Records documenting the design, conduct, organisation and summary results of student recruitment campaigns and events.
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Student Applications for STEP-UP Successful - Retain until end of student relationship + 6 years
Unsuccessful - Retain until completion of admissions process + 1 year.
Academic Administration > Student Administration > Records documenting or containing:
handling of successful applications for admission
Records documenting the handling of applications for admission: unsuccessful applications.
Contact details of all students participating in Science Shop
Retain until end of student relationship + 6 years
Academic Administration > Student Administration > Records documenting or containing:
personal data on individual students
handling of successful applications for admission
registration of individual students on programmes
academic progress of individual students and formal action taken by the University to deal with unsatisfactory progress
transfer of individual students to new programmes or to new courses within programmes
withdrawal of individual students from the University
termination of individual students' programmes
Records held in JIRA documenting handling of queries from prospective students
Retain for current academic year + 1 year
Academic Administration > Student Administration > Records documenting the handling of enquiries from prospective students.
Copies of student and community partner evaluations
Retain indefinitely [To be determined]
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Records containing personal data on individual students/successful applications/admission & registration of new students
Retain until end of student relationship + 6 years
Academic Administration > Student Administration > Records documenting or containing:
personal data on individual students
handling of successful applications for admission
registration of individual students on programmes
academic progress of individual students and formal action taken by the University to deal with unsatisfactory progress
transfer of individual students to new programmes or to new courses within programmes
withdrawal of individual students from the University
termination of individual students' programmes
Documents with regard to academic programme administration - PEP/CPPD/PG CPD
Retain from current academic year + 3 years
Academic Administration > Academic Programme Administration > Records documenting the administration of academic programmes.
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Documents with regard to academic award administration - PEP/CPPD/PG CPD
Retain until superseded + 5 years
Retain from issue of policy or procedure + 1 year
Academic Administration > Academic Award Administration > Records documenting the development and establishment of the University's academic award administration policies: key records.
Master copies of procedures relating to academic award administration.
Academic Administration > Academic Award Administration > Records documenting the development and establishment of the University's academic award administration policies and procedures: working papers.
Records related to Student Assessment Administration for the relevant ADL programmes/frameworks
Retain for current academic year Documentation of setting assessments; marking/grading assessments; reviewing marks/grades awarded in response to notifications of mitigating circumstances; conducting meetings of examination boards; determining awards and classifications.
Records documenting individual students assessed work and submissions
Retain from current academic year + 1 year
Academic Administration > Student Assessment Administration > Records documenting individual students' submission of assessed work and handling of reports of mitigating circumstances.
Copies of Student project completed for community partner
Retain permanently [To be determined]
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Records related to the administration of student assessment including committee servicing
Retain until superseded + 10 years
Retain from Issue of policy or procedure + 1 year
Retain current academic year + 6 years
Academic Administration > Student Assessment Administration > Records documenting the development and establishment of the University's academic assessment administration policies: key records.
Academic Administration > Student Assessment Administration > Master copies of procedures relating to academic assessment administration.
Academic Administration > Student Assessment Administration > Records documenting the development and establishment of the University's academic assessment administration policies and procedures: working papers.
Academic Administration > Student Assessment Administration > Records documenting the conduct of the business of a committee:
agenda, minutes and papers
correspondence and other records relating to the preparation of committee business or to actions to be taken (or not taken) as a result of committee decisions.
Records documenting the selection & appointment of external examiners
Retain until termination of appointment + 1 year
Academic Administration > Student Assessment Administration > Records documenting the selection and appointment of external examiners.
Records documenting the process of determining tuition fees
Retain from current academic year + 5 years
Academic Administration > Tuition Fees Administration > Records documenting the process of determining tuition fees
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Administration of Professional Experience Programme Bursaries
Retain for current financial year [To be determined]
Student Survey - Full dataset, including historical responses for the Student Survey
Retain until completion of survey + 5 years
Corporate Relations > Student Relations Management > Results of student surveys: summaries and analyses of responses
Records related to the tracking of income and expenditure against budget
Retain for current financial year + 1 year
Corporate Resources > Finance Management > Records documenting the monitoring of income and expenditure against annual operating budgets, and action taken to deal with variances.
Records documenting the advertising of vacancies for placement students
Retain until completion of recruitment process + 3 months
Teaching & Learning > Teaching > Taught Programme Delivery
Records documenting the handling of applications for vacancies for placement students: unsuccessful applications
Retain until completion of recruitment process + 3 months
Teaching & Learning > Teaching > Taught Programme Delivery
Records documenting enquiries about vacancies and requests for application forms. (placement students & postgraduate casual work)
Retain until completion of recruitment process
Corporate Resources > Human Resources Management > Records documenting enquiries about vacancies and requests for application forms.
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Records documenting the employee's initial application for employment with the institution and supporting documentation supplied by third parties (e.g. references, Criminal Records Bureau checks)
Retain until termination of employment + 6 years (as part of employee contract records) except information which is not relevant to the on-going employment relationship.
Corporate Resources > Human Resources Management > Records documenting the employee's initial application for employment with the institution and supporting documentation
Records documenting the employees training and development needs & DAR
Retain for duration of employment + 1 year
Corporate Resources > Human Resources Management > Records documenting the employee's training and development needs, and the action taken to meet these needs.
Records documenting the design and development of promotional materials
Retain while materials are current Corporate Resources > Collections Management > Records documenting the design and development of promotional materials.
Masters copies of procedures related to the management of Blackboard Learn
Retain until superseded + 3 years Corporate Resources > Information & Communications Technology (ICT) Systems Management > Master copies of procedures relating to the management of ICT systems.
Records documenting the initial development and post implementation modification, updates and maintenance of Blackboard Learn
Retain from decommissioning of system + 5 years
Corporate Resources > Information & Communications Technology (ICT) Systems Management > Records documenting the initial development and post-implementation modification and maintenance of ICT systems.
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Records documenting faults reported by users of Blackboard Learn and action taken to resolve (held in JIRA)
Retain from last action on fault + 1 year
Corporate Resources > Information & Communications Technology (ICT) Systems Management > Records documenting faults reported by users of ICT systems, and action taken to investigate and resolve the problem.
Departmental Purchase orders (e5 system) including associated paperwork
Retain for current financial year + 6 years
Corporate Resources > Procurement > Purchase Orders
Records documenting the design, commissioning, editing and production of publications
Retain from issue of publication + 1 year
Corporate Resources > Publishing > Records documenting the design, commissioning, editing and production of publications
Records documenting general enquiries from other institutions or bodies in the sector, internal handling and responses given
Retain from last action of enquiry + 1 year
Corporate Relations > HE/FE Sector Relations Manager> Records documenting general enquiries from institutions and other bodies in the sector, the internal handling of these enquiries and the responses given.
Records documenting enquiries from members of the local community and the responses provided
Retain from last action of enquiry + 1 year
Corporate Relations > Community Relations Management> Records documenting enquiries from members of the local community and the responses provided.
Records documenting the design and conduct of community surveys
Retain from completion of survey + 3 years
Corporate Relations > Community Relations Management> Records documenting the design and conduct of community surveys.
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Records of community surveys - individual responses
Retain from completion of analysis of survey responses
Corporate Relations > Community Relations Management> Results of community surveys: individual responses
Records of community surveys - summaries and analyses of responses
Retain from completion of survey + 3 years
Corporate Relations > Community Relations Management> Results of community surveys: summaries and analyses of responses
Records documenting the organisation and administration of local community events
Retain from completion of event + 1 year
Corporate Relations > Community Relations Management> Records documenting the organisation and administration of local community events
Records in the category of Business Unit Management
Retain current calendar year
Retain current calendar year + 1 year
Retain until date of meeting
Retain current calendar year + 3 years
Business Unit Management > Records documenting work allocation/scheduling (e.g. duty rosters).
Business Unit Management > Records documenting the progress of work.
Model sign off permission forms for over and under 18s for video shoots, photos & audio recordings
Retain for current academic year + 5 years
Office for Digital Learning – retain indefinitely
[To be determined]
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Academic Office Records
Committee papers Retain for life of committee + 30 years
Academic Administration > Student Assessment > Information > Records documenting the conduct of the business of a committee:
agenda, minutes and papers
correspondence and other records relating to the preparation of committee business or to actions to be taken (or not taken) as a result of committee decisions.
Working group papers Retain for life of working group + 5 years
Academic Administration > Student Assessment Administration > Records documenting the development and establishment of the University's academic assessment administration policies and procedures: working papers.
Steering group papers Retain for life of steering group + 6 years
Academic Administration > Student Assessment > Information > Records documenting the conduct of the business of a committee:
agenda, minutes and papers
correspondence and other records relating to the preparation of committee business or to actions to be taken (or not taken) as a result of committee decisions.
Plagiarism Annual Reports to LTC Retain for current academic year + 5 years
[To be determined]
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Academic Planning Sub-Committee documents
Retain for life of committee + 5 years
Corporate Management > Governance > Records documenting the conduct of the business of a committee: agenda, minutes and supporting papers.
Regulations templates Retain until superseded + 10 years Teaching & Learning > Learning Support > Records that develop and establish Learning Support strategy and policies on teaching. Key records.
PIP Board documents Retain papers for current academic year + 5 years
Corporate Management > Governance > Records documenting the conduct of the business of a committee: agenda, minutes and supporting papers.
CMS Project Board Retain papers for current academic year + 5 years
[To be determined]
Evaluation/Revalidation papers Retain for the life of the programme or module + 10 years
[To be determined]
Evaluation/ Revalidation schedules Retain for the life of the programme or module + 10 years
[To be determined]
Evaluation/Revalidation external panel members expenses
Retain for current financial year + 6 years
[To be determined]
Annual validation briefing seminar documents
Retain for current academic year + 5 years
[To be determined]
Course files (servicing panels, reports, follow-up documentation, programme documentation)
Retain for the life of the programme or module + 25 years
[To be determined]
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Handbooks for:
Programme Approval, Management and Review
Retain for 20 years then transfer to University Archive
[To be determined]
Partnership Retain for 20 years then transfer to University Archive
Members of University Evaluation Panels
Retain for 5 years
Members of University Revalidation Panels
Retain for 5 years
Members of Evaluation Panels in External Institutions
Retain for 5 years
Members of Revalidation Panels in External Institutions
Retain for 5 years
External Examiners Retain for 20 years then transfer to University Archive
Assessment Retain for 20 years then transfer to University Archive
Academic Policies (as approved by committees, or in relation to external agencies)
Retain until superseded + 20 years
Academic Administration > Student Administration > Records documenting the development and establishment of the University's student administration policies: key records
Academic Administration > Student Administration > Records documenting the development and establishment of the University's student administration policies and procedures: working papers
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Prospectuses (Academic Office copies)
Retain for 40 years to support syllabus searches
Academic Administration > Student Administration > Records documenting the issue of student recruitment materials in bulk to schools and other organisations
Syllabus Searches Retain records of requests and outcomes of individual searches for current academic year + 5 years
[To be determined]
Details relating to financial transactions for syllabus searches
Retain for current financial year + 1 year
Corporate Resources > Finance Management > Records documenting:
issue of sales invoices and the processing of incoming payments
receipt and payment of purchase invoices
Access Courses queries Retain for current academic year + 1 year
[To be determined]
External Examiner Nominations Retain until termination of appointment + 1 year
Academic Administration > Student Assessment Administration > Records documenting the selection and appointment of external examiners.
Recognised Teacher Nominations Retain for current academic year + 5 years
Corporate Resources > Finance Management > Records documenting the employee's remuneration and rewards (e.g. bonuses, merit awards, long service awards).
Establishment of and revisions to terms and conditions of University prizes
Retain until end of prize + 1 year.
Retain prizes and revisions not approved for current academic year + 5 years.
Academic Administration > Student Financial Support Administration > Records documenting nominations for prizes, the consideration of nominations and notifications to recipients of prizes.
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Documentation relating to notification of prize winners and related correspondence
Retain for current academic year + 5 years
Academic Administration > Student Financial Support Administration > Records documenting nominations for prizes, the consideration of nominations and notifications to recipients of prizes.
Details relating to financial transactions for prizes
Retain for current academic year + 1 year
Academic Administration > Student Financial Support Administration > Records documenting nominations for prizes, the consideration of nominations and notifications to recipients of prizes
Academic Office Annual prize listing
Retain for current academic year + 5 years
Academic Administration > Student Financial Support Administration > List of prize winners
Teaching and Learning Strategy Annual Action Plans and Reports on Progress (now superseded)
Retain for life of strategy + 5 years Teaching & Learning > Teaching > Records that develop and establish teaching strategy and policies on teaching. Key records.
Teaching and Learning Strategy Working Papers (now superseded)
Retained until issue of new strategy, policy or procedure + 1 year
Teaching & Learning > Teaching > Records that develop and establish teaching strategy, policies and procedures on teaching. Working papers
Academic Office Risk Register Retain until superseded + 3 years Corporate Management > Risk Management > Records documenting identified risks to the University and assessments of those risks.
Academic Office Pandemic Flu Plan
Retain until superseded + 1 year Corporate Management > Health & Safety Management > Records documenting the development and establishment of the University's policies on health and safety: key records
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Academic Office staff meetings – agendas, minutes
Retain for current academic year + 3 years
Academic Administration > Student Administration > Records documenting the development and establishment of the University's student administration policies and procedures: working papers.
Academic Office Website updates Retain for current academic year + 3 years
[To be determined]
Academic Office Documentation for Internal Audit of Academic Office procedures
Retain evidence base for current academic year + 1 year.
Retain report in AO for 10 years or until updated
Academic Administration > Student Administration > Records documenting the development and establishment of the University's student administration policies and procedures: working papers.
Academic Office copy of University Policy Documents (issued by other departments.)
Retain until superseded + 1 year Academic Administration > Student Administration > Records documenting the development and establishment of the University's student administration policies: key records.
Master copies of procedures relating to student administration.
Records documenting the development and establishment of the University's admission criteria.
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Agreements with partner institutions
Retain copy in Academic Office until superseded or agreement ends + 5 years
Corporate Management > Legal Affairs Management > Records documenting the negotiation, establishment and review of contracts and agreements between the University and third parties: agreements and contracts under seal (by deed).
Corporate Management > Legal Affairs Management > Records documenting the negotiation, establishment and review of contracts and agreements between the University and third parties: other contracts and agreements.
Academic Office Financial records documenting:
Corporate Resources > Finance Management > Records documenting analyses of the internal deployment of the institution's financial resources.
Records documenting the processing of internal accounting transactions between operating units (i.e. cross-charges).
Records documenting the preparation of annual operating budgets.
Records documenting the monitoring of income and expenditure against annual operating budgets, and action taken to deal with variances.
• preparation of annual operating budgets and records documenting the monitoring of income
Retain for current financial year + 3 years
• expenditure against annual operating budgets, and action taken to deal with variances
Retain for current financial year + 6 years (paper copy)
Academic Office Records documenting the development and evaluation of job specifications
Retain until superseded + 5 years Corporate Resources > Human Resources Management > Records documenting the employee's contract(s) of employment with the institution.
Records documenting changes to the employee's terms and conditions of employment.
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Academic Office Records containing employees’ basic personal details (e.g. address information)
Retain until superseded or until staff member leaves
Corporate Resources > Human Resources Management > Records containing employee's basic personal details (e.g. address, next of kin, emergency contacts).
Academic Office Records documenting references provided in confidence in support of the employee's application(s) for employment by another organisation
Retain from provision of reference + 5 years
Human Resources Management > Records documenting references provided in confidence in support of the employee's application(s) for employment by another organisation.
Academic Office Annual Record of Retention and Disposal of Documents evidencing authorisation for the transfer/disposal of redundant records
Retain for 40 years in Academic Office Archive.
Corporate Resources> Records Management > Records documenting authorisation for the disposal of redundant records.
UNIVERSITY ARCHIVE
Originating departments should retain all records which they need for their own operational purposes for as long as they need them. Records should only be transferred to the University Archive when they cease to be operationally relevant.
Where it has been noted that records should be retained permanently by the University Archive, such records may eventually be deposited in the Public Record Office of Northern Ireland (PRONI) in accordance with any future strategy agreed between the University and PRONI.
In the event of any required change in retention period, e.g. changes in legislation, the University Archivist will have the discretion to make such a change, consulting as appropriate the Departments/Faculties concerned.
OTHER RELEVANT POLICIES
Document Management Policy