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Records Management: Records Retention Schedule
Transcript of Records Management: Records Retention Schedule
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Records Management: Records Retention Schedule
Retention schedules are used to determine how long records should be kept. The
University Records Retention Schedule has grouped documents into 9 main categories:
1. Governance and Management 2. Financial Resources 3. Human Resources
4. Estates 5. Information Services 6. Student Administration and Support
7. Learning and Teaching
8. Research and Development 9. External Relations
This is not an exhaustive list, but is meant to cover the basic types of records stored by
the University. In general, the Limitations Act (1980 c.58) sets a time limit of current
year plus 6 years for seeking legal redress and this informs the retention schedule. If
you aren‟t certain about a group of records or they aren‟t listed here, keep them 6 years
from the time they were created, or contact the Records Manager.
The Schedule gives the expected “final record holder” for each record type listed. For
administrative reasons, one unit may need to keep duplicates of records held by another
unit (e.g. Schools may wish to keep copies of correspondence relating to academic
appeals). These duplicates should not be kept for longer than the retention period listed
in the schedule.
To use the Retention Schedule effectively it is essential that records are dated and that
they are filed or stored in some manner that identifies the date or (at a minimum) the year of creation. There can be some confusion as to whether „year‟ relates to the UK
fiscal year, the University financial year, the „academic‟ year or the calendar year. Some
record sequences relate directly to an academic year, in the event of the schedule
stating that the (academic year) records can be disposed of after (for example) three
years it is advisable to take this to be „after the end of the calendar year, three years after the end of the academic year‟. For example, a record created on 5 November 2012
in the academic year 2012/13 with a „three-year retention period‟ could be considered
for disposal after 31 December 2016.
It is suggested that users read the additional guidance on the records retention
schedule in conjunction with this document.
If you have any questions about implementing the policy or would like additional advice
please contact Jenny Rochfort, Academic Governance Manager
([email protected]; tel: 0115 7484017)
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Records retention schedule: governance and management
Introduction | 1. Structure & management | 2. Financial resources | 3. Human
resources
4. Physical resources | 5. Information Services | 6. Student administration & support
7. Learning & teaching | 8. Research & development | 9. External relations
In governance & management: Audit| Decision-making and management| Legal
and policy framework| Planning and strategy| Campuses in Asia
Audit
Record series Summary retention policy
Audit Files Retain until maximum of: Completion of next audit of the
topic;
3 years, unless sound reasons for
retaining longer
Internal Audit Service
Audit Investigations 3 years after completion of investigation,
unless sound reasons for retaining longer
Internal Audit Service
Audit Reports Permanent retention
Internal Audit Service
Decision-making and management
Record series Summary retention policy
Academic Boards End of the current academic year + 6
years
Academic Services Division
Ad hoc working groups not reporting to a
University committee For the lifetime of the working group
Secretary to the working group
Ad hoc working groups reporting to a
University committee For the retention period of the Committee
the group reports to.
Committee Secretary
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Record series Summary retention policy
Audit Committee Permanent retention
Retained by Registrar’s Office for 15
years then transferred to University
Archives
Boards of Studies (faculties) Permanent retention
Retained by Registrar’s Office for 15
years then transferred to University
Archives
Careers Advisory Board Permanent Retention
Retained by Registrar’s Office for 15
years then transferred to University
Archives
Committee for Special Appointments Permanent retention
Retained by HR for 15 years then
transferred to University Archives
Consultative Committee for Support Staff Permanent retention
Retained by HR for 15 years then
transferred to University Archives
Council Permanent retention
Retained by Registrar’s Office for 15
years then transferred to University
Archives
Council declaration of interests forms End of the current academic year + 10
years
RIS
Court Permanent retention
Retained by Registrar’s Office for 15
years then transferred to University
Archives
e-Learning/e-Knowledge Committee Permanent Retention
Retained by IS for 15 years then
transferred to University Archives
Environment Committee Permanent Retention
Retained by Registrar’s Office for 15
years then transferred to University
Archives
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Record series Summary retention policy
Equalities and Diversity Committee Permanent Retention
Retained by Registrar’s Office for 15
years then transferred to University
Archives
Ethics Committee Permanent Retention
Retained by Registrar’s Office for 15
years then transferred to University
Archives
Finance Committee Permanent retention
Finance
Honorary Degrees Sifting Committee Permanent Retention
Retained by Registrar’s Office for 15
years then transferred to University
Archives
Information Services Strategy Board Permanent Retention
Retained by IS for 15 years then
transferred to University Archives
Joint Consultative Committee Permanent Retention
Retained by Registrar’s Office for 15
years then transferred to University
Archives
Learning and Teaching Committee Permanent Retention
Retained by Registrar’s Office for 15
years then transferred to University
Archives
Management Board Permanent Retention
Retained by Registrar’s Office for 15
years then transferred to University
Archives
Military Education Committee Permanent Retention
Retained by Registrar’s Office for 15
years then transferred to University
Archives
Nominations Committee Permanent Retention
Retained by HR for 15 years then
transferred to Special Collections
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Record series Summary retention policy
Postgraduate Strategy Committee Permanent Retention
Retained by Registrar’s Office for 15
years then transferred to Special
Collections
Promotions Committee Permanent retention
Retained by HR for 15 years then
transferred to University Archives
Remuneration Committee Permanent Retention
Retained by HR for 15 years then
transferred to University Archives
Research Committee Permanent Retention
Retained by Registrar’s Office for 15
years then transferred to Special
Collections
Salary Review Committees Permanent Retention
Retained by HR for 15 years then
transferred to University Archives
Safety Committee Permanent retention
Retained by Safety Office for 15 years
then transferred to University Archives
Senate Permanent Retention
Retained by Registrar’s Office for 15
years then transferred to University
Archives
Space Management Committee Permanent Retention
Retained by Estates for 15 years then
transferred to University Archives
Staff Equality and Diversity Advisory Group Permanent Retention
Retained by HR for 15 years then
transferred to University Archives
Statutory Safety Committee Permanent Retention
Retained by Safety Office for 15 years
then transferred to University Archives
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Record series Summary retention policy
Strategy and Planning Committee Permanent retention
Retained by Registrar’s Office for 15
years then transferred to University
Archives
Strategy Groups Current academic year + 6 years
Secretary to group
Student Affairs Committee Permanent Retention
Retained by Registrar’s Office for 15
years then transferred to University
Archives
Transnational Education Committee Permanent Retention
Retained by Registrar’s Office for 15
years then transferred to University
Archives
Student Equality and Diversity Advisory
Group End of the current academic year + 15
years
SSC
Student Support Funds Committee End of the current academic year + 15
years
SSC
Unit Level Committees End of the current academic year + 6
years
Unit servicing the Committee
Legal and policy framework
Record series Summary retention policy
Calendar Permanent retention
Retained by Registrar’s Office for 15
years, copy for permanent retention
sent to University Archives on
publication
Charter and Statutes Permanent retention
Amended versions retained by
Registrar’s Office for 15 years from
amendment; copy for permanent
retention sent to University Archives
on publication
University Regulations Permanent retention
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Amended versions retained by Registrar’s
Office for 15 years from amendment;
copy for permanent retention sent to
University Archives on publication
Planning and strategy
Record series Summary retention policy
University annual reports Permanent retention
Retained by Registrar’s Office for 15
years then transferred to University
Archives
University financial statements Permanent retention
Finance; copy to University Archives
on publication
Campuses in Asia
Record series Summary retention policy
Management Board (UNNC and UNMC) Permanent retention
These records will be transferred
electronically and retained by
Registrar’s Office
Annual Financial Statements (UNNC and
UNMC) Permanent retention
These records will be transferred
electronically and retained by Chief
Financial Officer’s Office
Teaching and Learning Committee (UNNC
and UNMC) Permanent retention
These records will be transferred
electronically and retained by
Registrar’s Office
Research Committee (UNNC) Permanent retention
These records will be transferred
electronically and retained by
Registrar’s Office
Research Strategy Committee (UNMC) Permanent retention
These records will be transferred
electronically and retained by
Registrar’s Office
Student Affairs Committee (UNNC) Permanent retention
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These records will be transferred
electronically and retained by
Registrar’s Office
Student Services Committee (UNMC) Permanent retention
These records will be transferred
electronically and retained by
Registrar’s Office
Operations Group (UNMC) Permanent retention
These records will be transferred
electronically and retained by
Registrar’s Office
Marketing Committee (UNMC) Permanent retention
These records will be transferred
electronically and retained by
Registrar’s Office
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Records retention schedule: financial resources
Introduction l 1. Governance & management| 2. Financial resources | 3. Human
resources
4. Estates | 5. Student administration & support | 6. Information services 7. Learning & teaching | 8. Research & development | 9. External relations
In financial resources: Commercial Services l Chief Financial Officer‟s Office l
Financial Reporting l Payments Centre l Payroll & Pensions l Tax
Commercial Services
Record series Summary retention policy
Closed tender files Termination of supply contract awarded + 6
years
Commercial Services
Contracts/ Agreements Length of contract/agreement awarded + 6
years
Commercial Services
E-tender Correspondence Termination of supply contract awarded + 6
years
Commercial Services
E-Auction Correspondence Termination of supply contract awarded + 6
years
Commercial Services
New supplier request forms While current-supplier database
Rejected suppliers-rejection + 1 year
Approved suppliers-Termination of approval
Commercial Services
Race Relations Questionnaires Length of contract/agreement + 5 years
Commercial Services
Budget Management Records Current financial year + 6 years
Finance
Purchase card statements 3 months
Cardholder
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Record series Summary retention policy
Purchase card correspondence/application Length of card holder maintaining card
Finance
Personal Purchase Card Monthly Log Current financial year + 6 years
Cardholder
Purchase orders Current financial year + 6 years
Local Finance Team
Lodge Card statements Current financial year + 1 year
Cardholder
Strategy, policy and procedure
documentation Superseded + 5 years
Unit creating the documentation
Leases Length term of lease can be minimum 7
years or lease term + 3 years (35 yr plus)
Commercial Services
Outsourcing 3 years
Commercial Services
Treasury Documents Current financial year + 6 years
Commercial Services
Insurance Claims
Liability/Personal injury/nurture claims
Property and other claims
Permanent retention
Completion of claim + 6 years
Commercial Services
Insurance Policies Employers Liability policies should be
retained and records kept of insurers to
enable claims to be passed to the correct
insurer. Policies are written on the basis
that they are handled by the insurers for
the year when the incident happened, with
long-tail claims such as deafness there is a
long discovery period.
Public liability as above with the student
exposure as liability
Commercial Services
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Record series Summary retention policy
General Correspondence for insurance Various depending on reason for
correspondence
Commercial Services
Accident/incident reports where reported
to HSE Permanent retention of copy
Safety Office
Crime Reports One year
Security
Finance: Chief Financial Officer’s Office
Record series Summary retention policy
Finance committee papers Permanent retention
Finance
Records documenting litigation between
the institution and third parties where
legal precedents are set
Permanent retention
Finance
Records documenting litigation between
the institution and third parties where
legal precedents are not set
Settlement of case + 6 years (review for
archival value)
Finance
Records documenting the provision of
legal support and representation for the
institution in dealing with claims by or
against the institution which do not
proceed to litigation or settlement by
agreement
Settlement of case+ 6 years, or withdrawal
of claim + 6 years, after which review for
archival value
Finance
Records documenting legal advice
requested by, and provided to, the
institution
Permanent retention OR superseded + 5
years depending on the subject
Finance
Conveyances and deeds Retained indefinitely or until property is
sold
Finance
Leases Retained until lease is renewed/expired
Finance
Share certificates Retained until sold
Finance
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Finance: Financial Reporting
Record series Summary retention policy
Budget and management accounts
working papers Current financial year + 1 year
Finance
Financial statements working papers Current financial year + 12 years
Finance
Subsidiary companies-statutory records Permanent retention
Finance
Project records- HEFCE, UE etc. Current financial year + 5 years
Finance
Financial Systems documentation Life of system
Finance
Journals and other prime documents for
financial transactions Current financial year + 1 year
Finance
Finance: Payments Centre
Record series Summary retention policy
BACS/Bankline reports Current financial year + 2 years
Finance
Cheque reports Current financial year + 2 years
Finance
CITS tax returns Current financial year + 6 years
Finance
Duplicate payment reports Current financial year + 2 years
Finance
Invoices Current financial year + 6 years
Finance
Journals Current financial year + 2 years or Current
financial year + 6 years where VAT involved
Finance
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Record series Summary retention policy
Lodge Card reports
Paper
Electronic Current financial year + 1 year
Current financial year + 6 years
Finance
Purchase card reports
Paper
Electronic
Current financial year + 1 year
Current financial year + 6 years
Finance
Pensions documentation move to Payroll &
Pensions Termination of employment + 75 years
Finance
Reconciliations:
Supplier statements Current financial year + 1 year
Finance
Reconciliations:
Control accounts Current financial year + 2 years
Finance
Supplier Master file changes Current financial year + 2 years
Finance
Used cheque books Current financial year + 2 years
Finance
Finance: Payroll & Pensions
Record series Summary retention policy
Records documenting employees‟
authorisation for non-statutory payroll
deductions
Current tax year + 6 years
Finance
Records documenting calculation and
payment of payroll payments to
employees
Current tax year + 6 years
Finance
Records documenting the operation of the
Statutory Sick Pay Scheme Current tax year + 6 years
Finance
Records documenting the operation of the
Statutory Maternity Pay Scheme Current tax + 6 years
Finance
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Record series Summary retention policy
Records documenting the operation of the
Nursery Schemes Current tax year + 6 years
Finance
Records documenting the operation of the
ECP vouchers scheme Current tax year + 6 years
Finance
Records documenting the operation of the
Sports Centre Scheme Current tax year + 6 years
Finance
Records documenting the operation of the
Fitness Centre Scheme Current tax year + 6 years
Finance
Records documenting payments of the
institution‟s employers‟ contributions to
pension schemes for its employees
Termination of employment + 75 years
Finance
Records documenting payments of the
institution‟s employees‟ contributions to
pension schemes
Termination of employment + 75 years
Finance
Finance: Tax
Record series Summary retention policy
Records documenting the preparation and
filing of the institution‟s tax returns Current tax year + 6 years
Finance
Records retention schedule: human resources
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Introduction | 1. Structure & management | 2. Financial resources | 3. Human
resources
4. Physical resources | 5. Information Services | 6. Student administration & support
7. Learning & teaching | 8. Research & development | 9. External relations
In human resources: Employment and employee relations | Health and safety| Staff
training and development
Employment and employee relations
Record series Summary retention policy
Activity/Performance Review
Paperwork including notes from
Performance Review Committee Current academic year + 6 years. Outcome
letters placed on individuals‟ files
HR
Promotions/Regrading Papers from relevant committees kept for
current academic year + 6 years. Outcome
letters placed on individuals‟ files.
HR
Recruitment Job Boxes and on-line job
applications (includes details of adverts,
job description, applications etc.)
Chairs
All other posts
Date of interview+ 3 years
Date of interview + 9 months
HR
Staff files: staff APM and R&T 7 Weed at termination of employment to
remove all transient material of no lasting
value and retain weeded files for 40 years
HR
Staff files: All other grades Termination of employment + 6 years
HR
Health and safety: Health and safety audit
Record series Summary retention policy
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Records of the conduct & results of
health & safety audits, & action taken to
address issues raised
Completion of audit +5 years
Safety Office
Health and safety: Health and safety management
Record series Summary retention policy
University policies and guidance including
the Safety Handbook
Superseded + 50 years
Safety Office
Minutes and associated papers of Faculty,
School and Departmental safety
committees.
Life of committee +50 years
Committee Secretary
Health and safety: Health and safety consultation
Record series Summary retention policy
Notifications of appointments of safety
representatives by trade unions under the
Safety Representatives & Safety
Committees Regulations 1977
End of appointment +1 year
Safety Office
Records of the provision of time off, &
other facilities & assistance, for Safety
representatives under the Safety
Representatives & Safety Committees
Regulations 1977
Current year +5 years
Safety Office
Records of the formation of a safety
committee under the Safety
Representatives & Safety Committees
Regulations 1977, including records of the
objectives, role, functions, composition &
administration of the committee
Current year +5 years
Safety Office
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Health and safety: Health and safety information, instruction and training
provision
Record series Summary retention policy
Records of the provision of information,
instruction & training for employees,
students & others on health & safety in
University premises.
For role specific training for fire wardens
& first-aiders, see Emergency Planning
below
Termination of employment or study +5
years
Local Safety Officer
Records of the content of information &
instruction on health & safety matters
provided for members of the public &
others with legitimate access to premises,
& other methods of delivery
Superseded +5 years
Safety Office
Records of appointment of persons to
health and safety roles. Termination of appointment to the role +5
years
Safety Office
Health and safety: Health and safety hazard identification and risk assessment
Record series Summary retention policy
Records of the identification of general
health & safety hazards to employees &
others on the premises. The conduct &
results of risk assessments in relation to
plant, equipment, machinery & processes
Current year +5 years
Local Safety Officer
Records of health and safety
arrangements for the planning,
organisation, control, monitoring and
review of preventative and protective
measures.
Current year +5 years
Local Safety Officer
Records of monitoring exposure to
physical agents with the potential for long
term health effects (including full
methodology).
Current year +40 years
Safety Office
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Health and safety: Health and safety hazardous substance exposure control
Record series Summary retention policy
Records of use of hazardous substances
with the potential to cause long term
health effects
Creation +40 years
Local Safety Officer
Records of users and usage of high
classification biological agents. List of
employees exposed to Group 3 or Group 4
biological agents (defined in the
Regulations).
Last entry +40 years
Local Safety Officer
Risk Assessments for use of hazardous
substances (All Risk Assessments that are
over 4 years old to be re-assessed unless
the issue is now irrelevant)
Current year +5 years
Local Safety Officer
Records of testing, repair, examination or
maintenance of equipment provided to
control identified hazards / risks
(including methodology where
appropriate)
Current year +5 years
Local Safety Officer
Environmental exposure monitoring
(general) (including full methodology)
Current year +5 years
Local Safety Officer
Monitoring of environmental or personal
exposure for individual or where a person
is identified (including full methodology)
Creation +40 years
Local Safety Officer
Health Surveillance or medical
certification records for individuals Date of monitoring +40 years
Safety Office
Records relating to asbestos: Medical
records, training records, suspected
incidents of potential exposure
Creation +40 years
Safety Office
Record relating to monitoring of exposure
to ionising radiation Current year +40 years
Local Safety Officer
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Health and safety: Health and safety inspection
Record series Summary retention policy
Records of the conduct & results of health
& safety inspections of University land,
buildings, facilities or operations, & action
taken to address issues raised
Current year +5 years
Safety Office
Health and Safety: incident recording, reporting and investigation
Record series Summary retention policy
Records of accidents, dangerous
occurrences & outbreaks of notifiable
diseases on University premises or
affecting University staff or students.
Current year +40 years
Safety Office
Records of investigations of accidents,
dangerous occurrences & outbreaks of
notifiable diseases on University premises
or affecting University staff or students.
Current year +40 years
Safety Office
Health and Safety: emergency planning
Record series Summary retention policy
Nominations/appointments of fire
wardens End of appointment +5 years
Safety Office
Records of the provision of role-specific
training for fire wardens End of appointment +5 years
Safety Office
Records of the assessment of requirements for fire-fighting systems &
equipment
Review of assessment +5 years
Safety Office
Appointments of official first-aiders End of appointment +5 years
Safety Office
Records of the provision of approved
training for first aiders (specifically related
to their functions as first aiders)
End of appointment +5 years
Safety Office
Records of the assessment of requirements for first aid facilities &
equipment
Reassessment +5 years
Safety Office
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Record series Summary retention policy
Specifications for first aid facilities &
equipment Superseded +5 years
Safety Office
Records of arrangements with external
emergency service organisations Review of arrangements +5 years
Safety Office
Health and Safety: employee health surveillance
Record series Summary retention policy
All records relating to occupational health
screening and health surveillance Records creation +40 years
Safety Office
Staff training and development
Record series Summary retention policy
Applications for financial assistance from
Individual Development Fund End of the current financial year + 1 year
Professional Development Unit
Staff Educational Development Unit
appraisal forms End of the current academic year + 1 year
Professional Development Unit
Staff Educational Development Unit
evaluation forms Completion of course + 3 months
Professional Development Unit
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Records retention schedule: Physical Resources
Introduction | 1. Structure & management | 2. Financial resources | 3. Human
resources
4. Physical resources | 5. Information Services | 6. Student administration & support
7. Learning & teaching | 8. Research & development | 9. External relations
In Estates: Maintenance, grounds and developments l Security Services
Maintenance, grounds and developments
Record series Summary retention policy
Architectural drawings and plans
(electronic-CAD) Sample of 'historic' drawings and plans to
be retained permanently after demolition of
building or transfer of ownership
University Archives
Architectural drawings and plans (paper) Sample of 'historic' drawings and plans to
be retained permanently after digitization
University Archives
Asbestos files Permanent retention
Estates Office
Asset database Until asset is disposed of
Estates Office
Building files Life of building + 5 years
Estates Office
Building information system Permanent retention
Estates Office
Concept database (facilities management
system) Permanent retention
Estates Office
Continuum database (building heating
and ventilation information) Permanent retention (heating logs
truncated every 48 hours)
Estates Office
Contracts under seal 12 years
Estates Office
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Record series Summary retention policy
Electrical test certificates Retain for lifetime of building
Estates Office
Energy bills 10 years
Estates Office
Energy database Permanent retention, truncate records at
2GB
Estates Office
Gas test certificates 5 years
Estates Office
Job tickets 10 years
Estates Office
Helpdesk voice recorder 1 year
Estates Office
Ladder inspection record For lifetime of ladder + 3 years
Estates Office
Legionella test certificates 5 years
Estates Office
Lifts-insurance inspections 6 years
Estates Office
Metering database 10 years, then truncated
Estates Office
PAT testing For lifetime of the appliance
Local Safety Officer
Pesticides database Permanent retention
Estates Office
Pressure systems (insurance inspections)
boiler plant Current year only
Estates Office
Pressure systems (insurance inspections) Current year only
Estates Office
23
Record series Summary retention policy
Project files 7 years, unless EU funded, in which case
permission is required before destruction
Estates Office
Project Portal database Permanent retention
Estates Office
Safety harness, PPE and Access systems Permanent retention
Estates Office
Space Management documents Permanent retention
Estates Office
Stores requisition forms 1 year
Estates Office
Tree survey database Until tree is removed
Estates Office
University Houses building files Life of building + 5 years
Estates Office
Waste transfer certificate 3 years
Estates Office
Security Services
Record series Summary retention policy
Associate Card Application Forms Whilst card is active
Estates Office
CCTV Video 21 days, then overwritten unless there is
management intervention
Security
Key card application forms Whilst card is active
Estates Office
Lost Property forms 1 year
Estates Office
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Record series Summary retention policy
Lost Property forms 1 year
Estates Office
Nedap access control database Permanent retention, logs may be
truncated every 10 years. Snapshot every
3 months.
Estates Office
Parking permit application form
Staff
Students 2 years
1 year
Estates Office
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Records retention schedule: information services
Introduction | 1. Structure & management | 2. Financial resources | 3. Human
resources
4. Physical resources | 5. Information Services | 6. Student administration & support 7. Learning & teaching | 8. Research & development | 9. External relations
In information services: Archives | Business systems| Library
Archives
Record series Summary retention policy
Accessions register Permanent retention
Manuscripts and Special Collections;
transferred to University Archives
Depositor/donor agreements Permanent retention Manuscripts and Special Collections;
transferred to University Archives
Locations database Keep while current + 5 years
Manuscripts and Special Collections;
transferred to University Archives
Promotion of archives
Guides Catalogues
Exhibition guides Exhibition materials reports
Permanent retention
Manuscripts and Special Collections;
transferred to University Archives
Provision of access to the records Registration file
Enquiry records Loan records
Production Reprographics orders
Copyright forms
Permanent retention
Weeded after 1 year
Whilst current + 5 years
Current year + 3 years
Current year + 3 years
Current year + 5 years
Manuscripts and Special Collections;
Registration File transferred to
University Archives
Conservation records including policies
and standards Permanent retention
Manuscripts and Special Collections;
transferred to University Archives
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Record series Summary retention policy
Acquisition of collections Permanent retention
Manuscripts and Special Collections;
transferred to University Archives
Catalogues and indexes of collections in
archives Permanent retention
Manuscripts and Special Collections;
transferred to University Archives
Business Systems
Record series Summary retention policy
Agresso, Resourcelink, SATURN Full back up every night; tapes kept for 6
weeks. Data retention controlled by clients.
Legacy data from previous systems also
retained and controlled by clients
IS
Other business systems Systematic back up. Data retained in
consultation with clients
IS
Contents of email servers Backups of exchange email servers
performed weekly with daily incrementals.
Emails cannot be deleted to a set timescale
as contents vary and some are records of
business activity
IS
Email server logs and contents of
Exchange post office mail logs Generated daily and retained for 1 year
IS
Library
Record series Summary retention policy
Inter-library loan request forms End of the current academic year
Library handling request
User records 2 years after expiry unless outstanding
debts
Library handling request
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Records retention schedule: student administration & support
Introduction | 1. Structure & management | 2. Financial resources | 3. Human
resources
4. Physical resources | 5. Information Services | 6. Student administration & support
7. Learning & teaching | 8. Research & development | 9. External relations
In student administration & support: Student admission | Student fees | Student
accommodation | Student registration and administration | Student discipline |
Student services to support learning | Student liaison | Student welfare | Student associations
Student admission
Record series Summary retention policy
UCAS application forms for successful
applicants to undergraduate courses
leading to professional registration in the
Faculty of Medicine and Health Sciences
who register
Graduation/leaving + 50 years
Registry
UCAS application forms for successful
applicants to undergraduate courses
(courses not leading to professional
registration) who register
Graduation/leaving + 6 years
Registry
UCAS application forms for unsuccessful
applicants to undergraduate courses and
successful applicants who fail to register
End of applications cycle + 1 year
Admissions
Interview notes for successful applicants
to undergraduate courses who register Graduation/leaving
School
Interview notes for unsuccessful applicants to undergraduate courses and
successful applicants who fail to register
End of applications cycle + 1 year
School
Offer letters and acceptances for
applicants to undergraduate courses Graduation/leaving + 6 years
Registry –applicants who register
Admissions – applicants who don’t register
Application forms and supporting
documentation for successful applicants to
postgraduate courses who register
including TOEFL/IELTS and financial
guarantees
Graduation/leaving + 6 years
Registry
Application forms and supporting
documentation for unsuccessful applicants
to postgraduate courses and successful
applicants who fail to register
End of applications cycle + 1 year
Admissions
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Record series Summary retention policy
Offer letters and acceptances for
applicants to postgraduate courses Graduation/leaving + 6 years
Registry –applicants who register
Admissions – applicants who don’t register
Interview notes for successful applicants
to postgraduate courses who register Graduation/leaving + 6 years
Registry
Interview notes for unsuccessful applicants to postgraduate courses and
successful applicants who fail to register
End of applications cycle + 1 year
School
Fees status questionnaires Graduation/leaving + 6 years
Registry –applicants who register
Admissions – applicants who don’t register
Correspondence and documentation
relating to PBS for international students Duration that the migrant is sponsored
International Office
Parental consent Graduation/leaving + 6 years
Registry –applicants who register
Admissions – applicants who don’t register
CRB Checks Six Months
Unit requesting check
CRB Issue number and date Graduation/leaving + 50 years
Unit requesting check
29
Student fees
Record series Summary retention policy
Undergraduate grant cheques Current financial year + 6 years
Finance
Student Loans (student tuition fee record)
Graduation/leaving + 6 years
Finance
Student Loans
(information from SLC) Retain for administrative purposes and destroy when no longer current
Finance (tuition fees)
SSC (payment to student)
Bursaries (cheques from bursary funds)
Current financial year + 6 years
SSC
Bursaries (graduate school scholarships for
conferences/travel paid into School
project codes)
Current financial year + 6 years
RIS
Bursaries (new university core bursaries)
Graduation/leaving + 6 years
SSC
Bursaries (undergraduate fee reduction
scholarships)
Current financial year + 6 years
Office delivering the scholarship
Bursaries (travel scholarships awarded by Student
Services)
Current financial year + 6 years
SSC
Bursaries/scholarships
(awarded by School) Current financial year + 6 years
School
Debts (debt information
Permanent retention
Finance
Debts (debtors list and write-off list)
Permanent retention
Finance
Funding applications
(graduate school applications to research
councils)
Graduation/leaving + 6 years
(no need to retain unsuccessful
applications)
RIS
Funding applications
(international office) End of funding + 6 years
(no need to retain unsuccessful
applications)
International Office
30
Hardship fund documentation Graduation/leaving + 6 years
SSC
Record series Summary retention policy
Postgraduate stipends/sponsorship
agreement/award letters
(e-works, grant requests, and School
authorisations)
Graduation/leaving + 6 years
RIS
Student accommodation
Record series Summary retention policy
Accommodation application forms Retain for administrative purposes and
destroy when no longer current
Accommodation
Accommodation residency offer and
payment schedule Graduation/leaving + 6 years
Accommodation
Accommodation residency contracts End of contract + 6 years
Accommodation
Accommodation personal details form Retain for administrative purposes and
destroy when no longer current
Accommodation
Accommodation termination notifications Retain for administrative purposes and
destroy when no longer current
Accommodation
31
Student registration and administration
Record series Summary retention policy
New students‟ personal details Retain for administrative purposes and
destroy when no longer current
Registry
Returning students‟ personal details
(including name change information) Retain for administrative purposes and
destroy when information is no longer
current
Registry
Student declaration of acceptance of
terms and conditions of registration Graduation/leaving + 6 years
Registry
Student fitness to practice declarations Graduation/leaving + 50 years
School
Module content information including
module learning resources in Moodle(1) Current academic year + 6 years
School & LRLR (for records
in Moodle)
Module content information for courses
leading to professional qualifications in
the Faculty of Medicine and Health
Sciences
Current academic year + 50 years
School
Module entry form enrolments/ exam
entry forms Retain for administrative purposes and
destroy when no longer current
School
Module enrolments Graduation/leaving + 6 years
ASD
Module enrolments for courses leading to
professional qualifications in the Faculty
of Medicine and Health Sciences
Graduation/leaving + 50 years
ASD
Exchanges Graduation/leaving + 6 years
School and/or International Office
Prizes awarded by Schools Permanent retention
School
Supervision records Graduation/leaving + 6 years
School
32
Transfers/change of course (database
record) Graduation/leaving + 50 years
Registry
Attendance monitoring school reports Current period + 6 years
School
Attendance monitoring SAMS
snapshots Current period + 6 years
Student Administration
(1) No records are being retained by the University in WebCT
33
Record series Summary retention policy
Transfers/change of course
(form confirming change to LEA and
Student Loans Company)
Graduation/leaving + 6 years
Registry
Transfers/change of course (authorisation
form)/upgrades and change to thesis
pending
Graduation/leaving + 6 years
Registry
Work placements Graduation/leaving + 6 years
School
Fieldwork/Study Abroad documentation Graduation/leaving + 6 years (weeded to
remove personal information 12 months
after completion of trip)
School
Withdrawal/interruption of studies incl.
request from student, authorisation and
confirmation letters (courses leading to
professional registration in the Faculty of
medicine and Health Sciences))
Graduation/leaving + 50 years
Registry
Withdrawal/interruption of studies incl.
request from student, authorisation and
confirmation letters (courses not leading
to professional registration)
Graduation/leaving + 6 years
Registry
General correspondence with student
(including thesis pending information,
notice of intent to submit etc)
Graduation/leaving + 6 years
Originator of correspondence
Student discipline
Record series Summary retention policy
Offences dealt with by Security (except
traffic offences) Settlement of case + 6 years
Security
Traffic offences Settlement of case + 3 years
SSC
Minor offences relating to IS Settlement of case + 3 years
SSC
Minor offences relating to accommodation Settlement of case + 3 years
SSC
34
Record series Summary retention policy
Documentation relating to academic
offences (except outcome letters) Settlement of case + 6 years
School-first offences
ASD- further offences
Academic offences outcome letters Settlement of case + 50 years
School-first offences
ASD- further offences
Documentation relating to appeals
(courses leading to professional
registration)
Settlement of case + 50 years
ASD
Documentation relating to appeals
(courses not leading to professional
registration)
Settlement of case + 6 years
ASD
Documentation referred to by Fitness to
Practice committees Settlement of case + 50 years
Secretary to the Medical School
Offences dealt with by Senate Disciplinary
Committee Settlement of case + 6 years
SSC
Offences dealt with by PVC for Student
Experience Settlement of case + 6 years
SSC
Suspensions Settlement of case + 6 years
SSC
Student services to support learning
Record series Summary retention policy
Special arrangements for teaching and
learning (applications) Graduation/leaving + 6 years
Academic Support
Special arrangements for teaching and
learning (medical assessment) Graduation/leaving + 6 years
Academic Support
Special arrangements for teaching and
learning (academic referral) Graduation/leaving + 6 years
Academic Support
35
Student liaison
Record series Summary retention policy
Careers advice (tracking student use of service)
Graduation/leaving + 6 years
CCD
Careers advice (notes on meetings with students)
Graduation/leaving + 6 years
CCD
Support for failing students
(in Schools/Departments with formal
process for this)
Graduation/leaving + 6 years
School
Staff Student Consultative Committees Current academic year + 5 years
School
Student welfare
Record series Summary retention policy
Counselling service
(notes relating to student clients)
Completion of casework + 5 years
University Counselling Service
Disability issues incl. disclosure form and
DSA (courses leading to professional
registration in the Faculty of Medicine and
Health Sciences)
Graduation/leaving + 50 years
Academic Support
Disability issues incl. disclosure form and
DSA (courses not leading to professional
registration)
Graduation/leaving + 6 years
Academic Support
Records of informal pastoral care Graduation/leaving + 1 year
Member of UoN staff offering support
(e.g. Hall Warden, Personal Tutor)
Student associations
Record series Summary retention policy
Students' Union constitution Permanent retention (yearly 'snapshot')
Students' Union
Students' Union handbooks and guides Permanent retention
Students' Union
Students' Union magazine (Impact) Permanent retention
Students' Union
36
Records retention schedule: learning & teaching
Introduction | 1. Structure & management | 2. Financial resources | 3. Human
resources
4. Physical resources | 5. Information Services | 6. Student administration & support
7. Learning & teaching | 8. Research & development | 9. External relations
In learning & teaching: Academic quality and standards | Graduation | Programme
development and delivery | Student assessment & academic progress
Academic quality and standards
Record series Summary retention policy
Minutes of exam boards meetings Permanent retention
School
School exam board papers (courses
leading to professional registration) Graduation/leaving + 50 years
School
School exam board papers(courses not
leading to professional registration) Graduation/leaving + 6 years
School
Graduation
Record series Summary retention policy
Award ceremony invitation forms Retain for administrative purposes and
destroy when no longer current
Registry
Degree ceremony proceedings Permanent retention
Exams Office
Award certificates Permanent retention when not collected by
student
Exams Office
37
Student assessment & academic progress
Record series Summary retention policy
Assignments/coursework/projects End of the academic session following the
session in which the work was submitted
School
Attendance registers (when needed for
assessment purposes) End of the academic session following the
session to which the register relates
School
Clinical assessment notes (Faculty of
Medicine & Health Sciences) Graduation/leaving + 1 year
School
Summative examination question papers End of the academic session + 5 years
School; copies may be sent to
University Archives
Examination scripts End of the academic session following the
session in which the exam was sat.
Anonymised samples may be kept for
quality assurance purposes
School
Exam registers Retain for administrative purposes and
destroy when no longer current
Exams Office
Research theses/dissertations Permanent retention
Theses – Library
Dissertations - School
Taught masters dissertations Graduation/leaving + 5 years
School
Undergraduate dissertations Graduation/leaving + 1 year
School
Annual student reviews Graduation/leaving + 6 years
School
Documentation relating to attendance
problems Graduation/leaving + 6 years
School
Records relating to examination
invigilators Retain for administrative purposes and
destroy when no longer current
Exams Office/Schools if exams not
centrally invigilated
38
Record series Summary retention policy
Applications for overseas examinations Retain for administrative purposes and
destroy when no longer current
Exams Office
Alternative examination arrangement
recommendations Retain for administrative purposes and
destroy when no longer current
Academic Support
Extenuating circumstances submissions Graduation/leaving + 6 years
School
Marks Graduation/leaving + 50 years
Schools – current students
ASD – post-graduation
Official finalists pass lists Permanent retention
Registry
Transcripts Produced to order, no copies are kept
SSC – Current students
ASD – post-graduation
Examiners notes End of the academic session following the
session in which the exam was sat
School
PhD Examiners reports Graduation/leaving + 50 years
Registry
Thesis restriction requests For period of restriction + 12 months
Registry
External Examiners (including
appointment information) Reports should be kept for the current
academic year and previous 5 years.
ASD
39
Records retention schedule: research & development
Introduction | 1. Structure & management | 2. Financial resources | 3. Human
resources
4. Physical resources | 5. Information Services | 6. Student administration & support
7. Learning & teaching | 8. Research & development | 9. External relations
In research & development: Development | Funding and administration| Intellectual
Property Rights (IPR) management | Knowledge transfer and enterprise
Development
Record series Summary retention policy
Research project files Minimum of 7 years after closure and up to
25 years. US Federal Department
requirement minimum of 12 years
Principal Investigator
Research project files for European
projects Minimum of 7 years after closure and up to
25 years.
Principal Investigator
Funding and administration
Record series Summary retention policy
Individuals/companies correspondence On-going
Principal Investigator
Financial information 7 years
RIS
Systems-configurations and invoices Lifetime of systems
RIS
Systems-project management and
reporting material Duration of development programme
RIS
40
Record series Summary retention policy
ESF, ERDF, KTP, Medici, EMDA, GOEM and 10 years for ESF, ERDF, innovation and
EU funding Medici fellowships.
Up to 25 years for KTP
Prior to the destruction of any
documentation relating to projects
supported by the 1994-96, 1997-99 and
2000–06 ERDF Programmes, confirmation
must be sought from the Government Office
East Midlands Documentation relating to
the 2007-13 ERDF Programme must be
retained until at least 31 December 2023.
Prior to the destruction of any
documentation relating to this programme,
confirmation must be sought from the
European Programme Secretariat at the
East Midlands Development Agency.
RIS
Intellectual Property Rights (IPR) management
Record series Summary retention policy
Contracts and agreements (intellectual
property management)) Termination of contract/agreement + 20
years
RIS
Intellectual Property Rights (IPR)
correspondence End of the current financial year + 6 years
RIS
Patents applications and renewals Life of patent + 6 years
RIS
Patents correspondence End of the current financial year + 6 years
RIS
Knowledge transfer and enterprise
41
Record series Summary retention policy
Consultancy documentation (Research
and Innovation Services) Completion of consultancy project + 6
years
RIS
Knowledge transfer partnership (KTP)
programme files Completion of programme + 6 years
RIS
42
Records retention schedule: external relations
Introduction | 1. Structure & management | 2. Financial resources | 3. Human
resources
4. Physical resources | 5. Information Services | 6. Student administration & support 7. Learning & teaching | 8. Research & development | 9. External relations
In external relations: Alumni| Government and regulator relations | Marketing |
Public relations l Freedom of information and data protection
Alumni
Record series Summary retention policy
Alumni membership records Permanent retention unless individual
requests their details are removed
Alumni Office
Alumni details Destroy/remove when no longer valid
Alumni Office
Alumni correspondence Destroy/remove when no longer valid
Alumni Office
Alumni donations records Current financial year + 6 years
Alumni Office
Government and regulator relations
Record series Summary retention policy
HEFCE circulars End of the current calendar year + 3 years
PMID
HEFCE correspondence End of the current academic year + 6 years
PMID
HESA Individual Student Record (ISR)
returns Permanent retention
PMID
Quality Assurance Agency (QAA)
correspondence End of the current academic year + 6 years
PMID
43
Record series Summary retention policy
Training and Development Agency for
Schools (TDA) correspondence End of the current academic year + 6 years
School of Education
Universities UK circulars and
correspondence End of the current calendar year + 3 years
PMID
Marketing
Record series Summary retention policy
University prospectuses (undergraduate
and postgraduate) Permanent retention
Copy sent to University Archives on
publication
Public relations
Record series Summary retention policy
Press cuttings Permanent retention
Copy sent to University Archives on
publication
Press releases Permanent retention
Copy sent to University Archives on
publication
Publications (e.g. the Hub) Permanent retention
Copy sent to University Archives on
publication
Freedom of Information and Data Protection
Record series Summary retention policy
Freedom of information requests Close of query + 6 years
Unit responding to the request
Data Protection Subject Access Requests Close of query + 6 years
Unit responding to the request
Guidance from the Information
Commissioner‟s Office Until superseded
Academic Services Division