The Records Management Team should be consulted with any specific queries.

Transcription

1 PLEASE NOTE: The University's Records Retention Schedule is currently under review. This version can be used for reference with the understanding that some recommendations will be superseded. The Records Management Team should be consulted with any specific queries. When the new version is available, training on its implementation will be provided to the network of Records Liaison Officers (RLOs).

2 University of Liverpool Records Retention Schedule Reference Number Title CSD-016 University of Liverpool Records Retention Schedule Version Number 2.0 Document Status Document ification Active Public Effective Date 01 February 2016 Review Date 31 January 2017 Author Michelle Alexander, University Records Manager Computing Department Approved by: Leadership Team (13 March 2014); Corporate and Facilities Committee (3 June 2014); Subsequent amendments approved during the annual review in January by the signatories indicated in each individual section Implemented by Computing Department Comments U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 2

3 Introductory Notes Amendments Any proposed amendments must be referred to the University Records Manager for approval. Aim Retention and disposal of records can have far-reaching consequences. The aim of this schedule is to provide clear guidance to staff on how long records need to be retained and to document the reasons behind these s. All University staff are responsible for following the schedule, these responsibilities are outlined in the University Records Management Policy. Note that there are some circumstances where the schedule should not be applied, for example if there is a potential legal case or a freedom of information enquiry. Follow the link above for full guidance. Acknowledgements This schedule has been based on the model retention schedule for HE & FE institutions, produced by JISC (which can be found here). Following a lengthy consultation period, it has been adapted to be specific to the University of Liverpool. This has only been possible because so many University staff have given their time and expertise to ensure the accuracy of the recommendations given. Further resources See the Records Management website or contact the Records Manager for further help with all aspects of records and information (e.g. advice on filing systems, managing s and electronic records, version control). Related policies and guidelines Records Management Policy Data Protection Policy FOI Policy Information Strategy Computing policies (including Information Security Policy and Code of Practice for the Use of ) Research Data Management Policy U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 3

4 Using the schedule Before using the schedule you need to do the following: 1. Read the (very brief!) University Records Management Policy 2. Look at the training and advice on how to use the schedule (again this is very brief; you may also find the general Records Management training helpful) 3. Download the Records Retention Guide: how long to keep your records designed to be used in conjunction with the schedule. Navigating the schedule: There is a brief introductory paragraph at the beginning of each section which gives you information of the types of records in that particular section. You can use the Contents table below to navigate to a particular section, or use the bookmarks bar to the left. Contents Introductory Notes... 3 A. Administration... 5 B. Committee Records C. Course and Programme Records D. Facilities Management E. Financial Management F. Safety G. People Management H. Information and Collections Management I. Legal and Compliance J. Medical, Other Specialist K. Procurement L. Public Relations, Fundraising and Events Management M. Research N. Strategy, Policy, Audit and Review O. Administration and Glossary and Abbreviations U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 4

5 Approved by: Deputy Vice-Chancellor N.B. Before using the schedule, read the information at the top of page 3 carefully. A. Administration What this section covers: Records relating to general office administrative tasks including correspondence, subject, project and personal files, mailings, surveys, booking forms, stock ordering and also enquiries and complaints. Other related sections: B. Committee Records C. Course/ Program Records covers records relating to courses and programmes, including their design and development, their delivery including assessments, the results and graduation records as well as feedback, review and audit es. E. Financial Management G. People Management I. Legal and Compliance covers records relating to legal matters, including deeds contracts, insurance, compliance and intellectual property rights. K. Procurement L. Public Relations, Fundraising and Events Management M. Research Other guidance or policies: Management Guidance can be found here Reference Writing Guidance Note can be found here A.1 Correspondence files, subject files and other filing systems containing a mixture of record types Office Weed regularly (at least annually) and keep up-todate in line with the relevant recommendations in this schedule. Notify Records Management about records of potential historic value. Data Protection Act 1998; Freedom of Information Act 2000; Potential historic value U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 5

6 A.2 Personal files belonging to individual staff members N.B. Before using the schedule, read the information at the top of page 3 carefully. Office A.3 Project files Various A.4 Enquiries and responses Customer service A.5 Complaints and other feedback Office Weed regularly (at least annually) and keep up-todate in line with the relevant recommendations in this schedule; check if any records should be transferred to a formal filing system, e.g. a central office filing cabinet or a shared drive. If the files are inherited from someone else do an initial review using the schedule and review the remainder again after 6 years. Legacy Records Guidance Note can be found here. Notify Records Management about records of potential historic value. Normally review after a minimum of 6 years but it depends on the type of project. Notify Records Management about records of potential historic value. For research project records see Section M. Review after end of correspondence + 1 year. For media enquiries see L.6. Review after last action on case + 6 years. For student complaints see O.19. For staff complaints see G.35. Data Protection Act 1998; Freedom of Information Act 2000; Potential historic value Data Protection Act 1998; Freedom of Information Act 2000; Potential historic value Limitation Act 1980 U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 6

7 N.B. Before using the schedule, read the information at the top of page 3 carefully. A.6 Publications, including annual reports Publishing A.7 Records documenting the design, commissioning, editing and production of publications A.8 References provided by University staff for current or previous staff or students A.9 Records documenting the formulation, testing and maintenance of disaster response and recovery, and continuity plans A.10 General bulk s or mailings to internal and external audiences A.11 Records documenting work allocation/ scheduling e.g. duty rosters, work planning and progress of this work Publishing Office Office Office Office If external, destroy when no longer needed. If internal, review after publication date + 10 years. Notify Records Management about records of potential historic value. For research publications see M.18 and M.19. Review after publication date + 1 year. Destroy after provision of reference + 6 years. For incoming references see G.13. Reference Writing Guidance Note can be found here. Review once superseded + 1 year. For records documenting risks (e.g. risk registers, disaster response recovery plans) see I.33. Review once sent + 1 year. Review after completion + 1 year. Potential historic value. A set of copies of all principal publications of the University, including the Guild of s, is retained in the University Archives. This includes prospectuses, calendars, annual reports, research reports, accounts, examination papers and newsletters (including those of alumni and friends' associations). Data Protection Act 1998 U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 7

8 A.12 Office diaries (paper or electronic, e.g. Outlook entries) N.B. Before using the schedule, read the information at the top of page 3 carefully. Office A.13 Document templates Office A.14 Room, equipment, and refreshments booking arrangements A.15 Stationery requisition and supplies records Office Office A.16 Recorded delivery post receipts Office A.17 Records documenting routine stocktaking, stock checking and movement of stock into and from storage A.18 Records documenting authorisation for the disposal of equipment, consumables, and the evaluation of alternative methods of disposal A.19 Records documenting the design and conduct of monitoring and surveys and the analyses and summaries of them Office Office Office Destroy after current year + 1 year. This is a minimum period but be aware of data protection issues if keeping longer. Review after superseded + 1 year. Destroy after completion of function + 1 year. For room bookings for teaching see C.3. Destroy after completion of transaction + 18 months. Destroy after current year + 1 year minimum. If required to hold on file as evidence of delivery normally retain for a maximum of 6 years after graduation. Destroy after current year + 1 year. Destroy after disposal of item + 1 year. Review after last action on survey + 6 years. Data Protection Act 1998; U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 8

9 A.20 Individual responses to monitoring and surveys N.B. Before using the schedule, read the information at the top of page 3 carefully. Office Destroy once analysis of responses complete. U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 9

10 B. Committee Records Approved by: Head of Corporate Governance & Support What this section covers: Records relating to committee ; this includes committee minutes, agendas, supporting papers and other associated documentation. There will be committees relating to topics covered elsewhere in the retention schedule and, where necessary, these will be cross-referenced. Other related sections: A. Administration covers records relating to general office administrative tasks including correspondence, subject, project and personal files, mailings, surveys, booking forms, stock ordering and also enquiries and complaints. Other guidance or policies: Committee Records Guidance Note is available here. Committee procedures can be found here. B.1 All records, including: Minutes Papers and agendas Development and establishment papers including constitutions, terms of reference, rules, procedures of these key central University committees and their successors: Corporate and Facilities Committee Council Court Heritage, Arts & Culture Committee Planning & Resources Committee Research & Impact Exchange Committee Senate Education Committee Also minute books and development papers of other central committees (use B.3 for papers/ agendas) Committee Corporate Governance & Support, Transfer the master electronic version to the University Archives for permanent retention as soon as possible after the record has been captured as the master version. Transfer any paper records as soon as they are no longer required in the office. N.B. The Corporate Governance and Support Office will archive the master version of the papers for all committees that they service so other departments should destroy duplicate copies when they are no longer needed. Data Protection Act 1998; Freedom of Information Act 2000; Limitation Act 1980; Potential historic value U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 10

11 B.2 Records documenting the development and establishment of committees not listed in B.1 above, including constitutions, terms of reference, rules, procedures, and any subsequent changes to these B.3 Minutes, papers and agendas of other committees plus papers and agendas of the other central committees referenced in B.1 B.4 Minutes, papers and agendas of faculty, school and departmental committees including -Module Review Boards -Mitigating Circumstances Committees -Final Boards of Examiners -Local Health & Safety meetings B.5 Minutes, papers and agendas of committees, boards or other groups set up specifically to manage a project B.6 Sub committees and other working groups, informal staff meetings N.B. Before using the schedule, read the information at the top of page 3 carefully. Committee Committee Committee Committee Project Committee Corporate Governance & Support, Corporate Governance and Support Office, Review after end of life of committee + 6 years. Notify Records Management about records of potential historic value. Review after current year + 6 years. Notify Records Management about records of potential historic value. Note that boards set up to hear individual student cases such as Board of Appeal or Board of Discipline should not be treated as committee records under section B. See O.19 for this type of record. Review after current year + 6 years. Notify Records Management about records of potential historic value. See B.5 for project committees. See also Section C. For the University Safety Committee requirements see F.3 to F.6. Review full set of records after the project completion date + 6 years. Notify Records Management about records of potential historic value. Destroy once no longer required for reference. Data Protection Act 1998; Freedom of Information Act 2000; Limitation Act 1980; Potential historic value Data Protection Act 1998; Freedom of Information Act 2000; Limitation Act 1980; Potential historic value Data Protection Act 1998; Freedom of Information Act 2000; Limitation Act 1980; Potential historic value Data Protection Act 1998; Freedom of Information Act 2000; Limitation Act 1980; Potential historic value Data Protection Act 1998; Freedom of Information Act 2000; Limitation Act 1980; Potential historic value U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 11

12 B.7 Records documenting the arrangements for committee meetings e.g. room bookings, and associated correspondence B.8 Working papers, action sheets, correspondence and personal notes B.9 Records documenting the appointment, election, designation of committee members B.10 Register of interests of members of the institution's governing body (Statutory Committees) N.B. Before using the schedule, read the information at the top of page 3 carefully. Committee Committee Committee Committee Destroy after current year +1 year. Data Protection Act 1998; Freedom of Information Act 2000; Destroy once no longer required for reference. Destroy after termination of membership + 6 years. Destroy/Review after termination of appointment + 6 years. Data Protection Act 1998; Freedom of Information Act 2000; Limitation Act 1980; Potential historic value Data Protection Act 1998; Freedom of Information Act 2000; Limitation Act 1980 Data Protection Act 1998; Freedom of Information Act 2000; Limitation Act 1980; U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 12

13 C. Course and Programme Records Approved by: Director of Administration & Support What this section covers: Records relating to courses and programmes including their design and development; their delivery including assessments, the results and graduation records; feedback, review and audit es. If academic departments have the same information as that held on the central student record then it can be destroyed. If the information is more detailed however then it should be treated as part of O.2 and managed accordingly. Other related sections: A. Administration covers records relating to general office administrative tasks including correspondence, subject, project and personal files, mailings, surveys, booking forms, stock ordering and also enquiries and complaints. B. Committee Records M. Research O. Administration and covers records relating to the students, including es around application, registration, progression, assessment and support. N. Strategy, Policy, Audit and Review All areas will have these types of records and many will be of value for the lifetime of the University, for example its legal framework and governance structure. Many of the records will also have historic value. Other guidance or policies: The Code of Practice on Assessment can be found here. Name of record series C.1 Design and development of taught programmes and modules including module specifications and assessments, Teaching Quality & Support Division Review after life of the programme + 6 years. Notify Records Management about records of potential historic value. Note that there are increasing numbers of graduates requiring detailed information about modules. Potential historic value; U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 13

14 Name of record series C.2 Records documenting the of obtaining approval and/ or accreditation for (modules of) taught programmes from professional, statutory or other accreditation bodies C.3 Administration of programmes, timetabling, room allocation, class assessments, work placements, scheduling for submission and return of assessed work C.4 Delivery of taught programmes, including teaching and assessment materials C.5 Assessment submission records C.6 Examination papers (i.e. the blank question papers) assessment For examination scripts see O.24 C.7 Records documenting the selection and appointment of internal and external examiners and independent chairs, including the design and delivery of training C.8 Examination timetables, records documenting liaison with examiners on administrative matters, records documenting the selection and appointment of examination invigilators and records concerning the control of examination papers and scripts Teaching Quality & Support Division, Administration & Support Administration & Support, Administration & Support, Review after life of programme + 6 years. Review after current academic year + 3 years. Review after life of the programme. Destroy after student leaves the University/ graduates + 1 year. Destroy after examination + 6 years. A copy of every examination paper is deposited with the University Archives. For those dealing with PGR students destroy after student leaves the University/ graduates + 6 years. For others destroy after the end of appointment + 10 years. Destroy after current academic year + 1 year. Potential historic value; U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 14

15 Name of record series C.9 Records documenting individual students' attendance at examinations C.10 Records documenting the handling of reports of mitigating circumstances including submission of mitigating circumstances C.11 External Examiner reports (and Internal Examiner reports for postgraduate research students) C.12 Records documenting the collation of examination results and compilation of pass lists and individual notifications of results C.13 Signed Board of Examiners pass lists and Committee For The Award Of Degrees, Diplomas & Certificates (CADDAC) award lists Audit Administration & Support, Administration & Support, Administration & Support, Administration & Support, Administration & Support, Destroy after current academic year + 1 year. Destroy after current academic year + 1 year. For the mitigating circumstances records themselves see O.19. In the case of postgraduate research students this goes onto their student file. All other records review after assessment + 6 years. Destroy after current academic year + 1 year. N.B. Administration & Support, Records Management and Legal, Risk & Compliance strongly discourage the practice of making student results public, e.g. by putting pass lists on noticeboards. If this is done then students must be given the opportunity to opt out. Review after issue of list + 10 years. Limitation Act 1980; Data Protection Act 1998 Data Protection Act 1998; U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 15

16 Name of record series C.14 Marks/ grades/ classifications awarded to students including reviews in response to notifications of mitigating circumstances or academic appeals C.15 Prize nomination and recipient records including scholarship/ bursary awards records C.16 List of prize winners C.17 Formal record of degree ceremonies C.18 Records relating to graduation ceremonies including: the of inviting, receiving and considering nominations for honorary awards, production of certificates, responses to offers, organisation of award ceremonies and mailing of certificates to students who did not attend Administration & Support, Administration & Support, Administration & Support, Administration & Support, Secretary, Administration & Support Core student record is retained permanently, including assessment and module marks and classifications. If University departments have more detailed information than that on the central electronic record it should be treated as part of the student file, particularly for postgraduate students (see section O). Review after current financial/ academic year + 6 years. Notify Records Management about records of potential historic value. Some information will be added to the core student record which is retained permanently (see section O). Review after prize stops being awarded. Notify Records Management about records of potential historic value. Retain permanently. A copy should be sent to the University Archives. Destroy after conferment of award OR completion of ceremony + 1 year. Data Protection Act 1998; Freedom of Information Act 2000; Limitation Act 1980 Data Protection Act 1998; Freedom of Information Act 2000; Limitation Act 1980; Potential historic value Data Protection Act 1998; Freedom of Information Act 2000; Potential historic value; Data Protection Act 1998; Freedom of Information Act 2000; Potential historic value Data Protection Act 1998; Freedom of Information Act 2000; U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 16

17 Name of record series C.19 Taught programme feedback records from students, staff and examiners C.20 Teaching standard and quality review and audit records internal and external C.21 Summaries and standard analyses of enquiry, recruitment, retention and registration data C.22 Lists of students who have graduated which are sent to the various registrable bodies recruitment Administration Teaching Quality & Support Division, Marketing and Communicatio ns Administration and Support Review after current academic year + 6 years OR life of course + 1 year. Review after current academic year + 6 years. For other audit records see section N. Review after analysis + 6 years. For ad-hoc analyses of data from individual student records review after graduation + 1 year. Data Protection Act 1998; Freedom of Information Act 2000; Data Protection Act 1998; Freedom of Information Act 2000; Audit and/ or review requirements; Data Protection Act 1998; Freedom of Information Act 2000; Review after graduation + 6 years. Data Protection Act 1998; Freedom of Information Act 2000; Limitation Act 1980; Best Practice U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 17

18 Approved by: D. Facilities Management Director of Commercial What this section covers: Records relating to buildings, facilities and equipment, including some health and records plus records relating to security, sustainability and transport. Other related sections: A. Administration covers records relating to general office administrative tasks including correspondence, subject, project and personal files, mailings, surveys, booking forms, stock ordering and also enquiries and complaints. E. Financial Management F. Safety I. Legal and Compliance covers records relating to legal matters, including deeds contracts, insurance, compliance and intellectual property rights. K. Procurement N. Strategy, Policy, Audit and Review covers policy records, for example the University Travel Plan, car park strategy, vehicle parking policy, space policy, electrical works policy and sustainability policies. Other guidance or policies: Facilities Management policies and procedures can be found here. Name of record series D.1 Property title deeds and lease agreements D.2 Property purchase and sale of investment records Capital projects and estates strategy Capital projects and estates strategy Commercial Commercial Review after life of lease/ disposal of property + 15 years. Notify Records Management about records of potential historic value. Review after current financial year (of transaction) + 6 years. Limitation Act 1980; Potential historic value Taxes Management Act 1970 c.9 s34 U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 18

19 Name of record series D.3 Property files containing correspondence, of leases, tenancies, property inspections, valuations, disposal of properties by sale, transfer or donation, land registry information, planning, negotiation of leases and original lease agreements, other deeds or properties where the property was not acquired Capital projects and estates strategy Commercial Review after life of lease/ disposal of property + 15 years. Notify Records Management about records of potential historic value. Limitation Act 1980; Potential historic value U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 19

20 Name of record series D.4 FM Project Works Folders including the following: -Planning permission -Building Regulations approval -Contract (building) documents -Disabled access survey design schemes -Deeds of appointments -Design supporting notes -Building design specifications -Mechanical design specifications -Design correspondence -Design drawings -Scheme project reports -Drawings schedule\register -Bill of quantities -Fee information -Maintenance and construction correspondence -Responsive repairs records -Works completion reports -Air conditioning inspection records and reports -Decoration and fitting out works records -Electrical design specifications Capital projects and estates strategy Commercial Relating to major works (under seal): destroy after completion of works + 15 years. Relating to minor works (under hand): destroy after completion of works + 6 years. Limitation Act 1980; ; 17 th Ed IEE regulations; Gas Safety (Installation and Use) Regulations 1998 Approved Code of Practice and guidance U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 20

21 Name of record series D.5 Operations and Maintenance (O&M) Manuals/ Health & Safety Files D.6 Building records such as: -Planning and building regulations -Floor plans, master copies -Drawings, copies of floor plans -Enhancement records -Asbestos location plans and register -High voltage maintenance records -Legionella location plans, reports and risk assessments Estates Capital projects and estates strategy; Estates Commercial Commercial Destroy after disposal of property/ life of lease SI 1994/3140, Regulation 14(d) does not prescribe a retention period for these records. However, Regulation 12(2) requires that a Safety File is transferred to the new owner when ownership transfers. This implies that the Safety File for a structure should be retained for the life of the structure by the person responsible for the property. These are generally captured as scanned documents wherever possible. Destroy after disposal of property OR hand over with property as appropriate. Records should be offered to HSE or the individual concerned should the cease trading. N.B. Asbestos and CoSHH records need to be retained for 40 years; see also D.16 and J.2. Construction (Design and Management) Regulations 2015 (from 6 th April 2015, prior to that the 2012 Regulations apply); Control of Asbestos Regulations 2012; Electricity at Work Regulations 1989; Control of Substances Hazardous to Health Regulations (CoSHH) 2012; Evidential purposes; D.7 Building surveys Capital projects and estates strategy; Estates D.8 Condition surveys Capital projects and estates strategy Commercial Commercial Destroy after disposal of property + 6 years. Limitation Act 1980 Destroy after completion of subsequent audit + 5 years. Best Practice U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 21

22 Name of record series D.9 Records documenting routine inspections of facilities Estates D.10 CAD standards Capital projects and estates strategy D.11 Bill of reduction records Capital projects and estates strategy D.12 Maintenance planning records and Estates works records D.13 Work orders Estates D.14 Permits to work Estates Commercial Commercial Commercial Commercial Commercial Commercial Destroy after completion of two subsequent inspections. Once replaced by new standard retain permanently, transfer to archive folder. Destroy after current financial year + 6 years. - retaining inspection records provides evidence of effective property over time Best Practice Limitation Act 1980 Destroy after completion of works + 5 years. Limitation Act 1980; Destroy when no longer current + 2 years. Destroy when no longer current + 3 years. Management of Health and Safety at Work Regulations 1999 D.15 Air conditioning inspection certificates and CHPQA reports (and certification CRC Energy Efficiency Scheme) D.16 Asbestos Records including remediation works records and reports, asbestos works framework, Asbestos Abatement work, Completion/ Air Monitoring Certification, writing plans of work, and notifications to enforcing authorities Estates Estates Commercial Commercial Review after completion of two subsequent inspections or reports. Destroy after completion of work to which the monitoring relates +40 years OR removal of asbestos + 40 years OR subsequent inspection + 40 years OR disposal of building OR abatement + 40 years. Records should be offered to HSE or the individual concerned should the cease trading. See also D.6. Provision and Use of Work Equipment Regulations 1998; Limitation Act 1980; Control of Asbestos Regulations 2012); U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 22

23 Name of record series Estates D.17 European Emissions Trading Scheme (EU ETS) D.18 Meter readings Estates D.19 Electrical certificates Estates Commercial Commercial Commercial Destroy after current year + 5 years. Destroy after current year + 5 years. Destroy once superseded + 5 years. 17 th Ed IEE regulations; D.20 Gas asset register Estates D.21 Gas inspection report Estates D.22 Gas testing certificates Estates D.23 High voltage access records Capital projects and estates strategy Commercial Commercial Commercial Commercial Retain permanently. Destroy after completion of inspection + 5 years. Destroy once superseded + 5 years. Review after access + 7 years. Gas appliances, Building Regulations Compliance Certificate; Gas Safety (Installation and Use) Regulations 1998 Approved Code of Practice and guidance Gas appliances, Building Regulations Compliance Certificate; Gas Safety (Installation and Use) Regulations 1998 Approved Code of Practice and guidance Gas appliances, Building Regulations Compliance Certificate; Gas Safety (Installation and Use) Regulations 1998 Approved Code of Practice and guidance U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 23

24 Name of record series D.24 Legionella maintenance records, planned preventative maintenance works and temperature reading records Estates D.25 Lift inspection records Estates D.26 Pest control records Estates D.27 Pressure system inspection Estates records D.28 Fire equipment maintenance Estates checks and fire suppression systems records D.29 Educational Maintenance Statistics Estates reports D.30 Inspection and maintenance records for equipment inside buildings including microwave ovens and PAT testing Estates Commercial Commercial Commercial Commercial Commercial Commercial Commercial ; Radiation Protection Office Review after creation of records + 7 years. Destroy after inspection + 6 years. Destroy after current year + 2 years. Destroy after completion of two subsequent inspections. Review after current year + 5 years. Destroy after collation + 1 year. Destroy after disposal of equipment + 6 years. ; Control of Substances Hazardous to Health Regulations (CoSHH) 2012; Legionnaires' disease: The control of legionella bacteria in water systems Approved Code of Practice and guidance Lifting Operations and Lifting Equipment Regulations (LOLER) 1998; Limitation Act 1980 Prevention of Damage by Pests Act 1949 Required by the Regulatory Reform (Fire Safety) Order (2005) Electricity at Work Regulations 1998 and 17 th Edition Wiring Regulations; Radiation regulations; Regulatory Reform (Fire Safety) Order (2005); Limitation Act 1980 U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 24

25 Name of record series D.31 Records documenting the inspection, testing and maintenance of equipment: items which are critical or are associated with hazardous operations D.32 Records documenting the installation of equipment: items which are critical or associated with hazardous operations D.33 Records documenting the cleaning/ sanitisation of equipment/ consumables prior to disposal: items used in connection with operations involving substances hazardous to health D.34 Records documenting the cleaning/ sanitisation of equipment/ consumables prior to disposal: other items Estates Estates ; Estates ; Estates D.35 Security Industry Authority license records Estates D.36 Emergency procedures Estates D.37 Building alarm records Estates Commercial Commercial Commercial Commercial Commercial Commercial Commercial Review after decommissioning/ disposal + 15 years. The Regulatory Reform Order requires the maintenance of fire detection and firefighting equipment but does not prescribe a retention period for records in relation to this activity. Retaining a maintenance history provides evidence of compliance and effective of health and over time. Review after decommissioning/ removal of equipment + 40 years. Review after disposal of item + 40 years. Review after disposal of item + 6 years. Destroy after renewal. Review after superseded + 10 years. Notify Records Management about records of potential historic value. Destroy once equipment is removed. Regulatory Reform (Fire Safety) Order (2005); Limitation Act 1980; Control of Substances Hazardous to Health Regulations (CoSHH) 2012; Control of Substances Hazardous to Health Regulations (CoSHH) 2012; Limitation Act 1980 Control of Substances Hazardous to Health (CoSHH) 2012; Limitation Act 1980 Potential historic value; U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 25

26 Name of record series Estates D.38 Building alarm personal code records D.39 Building alarm signal records Estates D.40 CCTV records Estates D.41 Records relating to security arrangements for events D.42 Records documenting property access controls to secure areas (e.g. access registers, key registers, security data logs) D.43 Records of security passes issued to visitors D.44 Records of security passes issued to employees, other staff and students Estates Estates Estates Estates Commercial Commercial Commercial Commercial Commercial, Commercial, Commercial, Destroy after expiry. Destroy after creation + 2 years. Destroy after creation + 30 days (analogue is currently held for 5 or 7 days but is being reviewed to be brought into line with the IP cameras) UNLESS in a card payment area in which case destroy after creation + 3 months NB Should an incident occur then review after last action on incident + 2 years. If a recurring event: review once superseded. If a one off event: review after event + 2 years. Retain live accessible record for 3 months. Destroy archived record after creation + 1 year. Retain live accessible record for duration of visit. Destroy archived record after expiry of pass + 1 year. Retain live accessible record for duration of visit. Destroy archived record after expiry of pass + 1 year. Payment Card Industry Data Security Standards; U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 26

27 Name of record series D.45 Records documenting the conduct of routine security surveillance of properties D.46 Records documenting security breaches or incidents, and action taken Estates Estates D.47 Crime reports Estates D.48 Crime logs Estates D.49 Security occurrence investigation Estates records and reports D.50 Facilities security insecure reports Estates D.51 Security risk assessments and Estates security occurrence reports D.52 Monthly security reports Estates D.53 Final space project reports Capital Projects Space data and audit records & Estates D.54 Project schematics and room data sheets Strategy Capital Projects & Estates Strategy Commercial, Commercial, Commercial Commercial Commercial Commercial Commercial Commercial Commercial Commercial Destroy after creation + 1 year. Retain live accessible record for 3 months. Review archived record after last action on incident + 6 years. Review after current year + 1 year. Review after last action on incident + 1 year. Review after last action on incident + 1 year. Review after completion + 1 year. Review after superseded + 6 years. For health and risk assessments see F and for risk assessments relating to specific events see L.16. There are also some very specific types of risk assessment in Sections D and F. Review after current year + 6 years. Review after completion of subsequent audit + 5 years. Destroy after completion of project + 1 year. U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 27

28 Name of record series D.55 Space requests from departments D.56 Sustainability and environmental procedures D.57 Accreditation by environmental schemes Capital Projects & Estates Strategy Sustainability Sustainability Commercial Commercial, Commercial Destroy once superseded + 6 years. Review once superseded + 10 years. Destroy after termination of accreditation + 1 year. D.58 Records documenting action taken by the institution to raise awareness of environmental issues among its employees, other staff and students Sustainability D.59 Records documenting the Sustainability recording of environmental incidents on the institution's premises or caused by its operations D.60 Records documenting the Sustainability notification and reporting of reportable environmental incidents to enforcing authorities D.61 Travel insurance applications Transport D.62 Parking policy Transport D.63 Car parking/ fixed penalty ticket records Estates Commercial Commercial Commercial Legal, Risk & Compliance Commercial Commercial Review after current year + 5 years. Review after last action on incident + 40 years. Review after date of notification + 5 years. Destroy after creation + 6 years. Destroy once superseded + 1 year. Notify Records Management about records of potential historic value. Destroy after last action on incident + 2 years. Potential historic value; U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 28

29 Name of record series D.64 Recording of security and car park barrier phone calls D.65 Door and car park access requirement records/ access records Estates Estates D.66 Transport assessments driver Transport D.67 Travel scheme applications Transport Commercial Commercial Commercial Commercial Destroy after 3 months OR should a copy be made in event of an incident, review after last action on incident + 1 year. Retain live accessible record for 3 months. Destroy archived record after end of access need + 1 year. Destroy after current year + 6 years. Limitation Act 1980 Destroy after withdrawal from scheme + 1 year. U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 29

30 E. Financial Management Approved by: Director of Finance and Director of Resources What this section covers: Records relating to financial transactions. Many of these will be held in Finance but original financial documentation and copies of the originals are widely held in other areas of the University. If copies are held it is important to make sure that they are also managed in line with the schedule. This section also includes some payroll and pension records plus records relating to the payment of tuition fees and of funding. For records relating to tuition fee applications see Section O. Administration and Support. The official retention for many finance records is current year (financial or tax) plus 6 years. In practice, especially as the University s financial year is different to the standard financial year, it often makes practical sense to round this up to 7 years, as indicated below. Other related sections: A. Administration covers records relating to general office administrative tasks including correspondence, subject, project and personal files, mailings, surveys, booking forms, stock ordering and also enquiries and complaints. G. People Management K. Procurement M. Research N. Strategy, Policy, Audit and Review covers records relating to strategy, policy, audit and review. All areas will have these types of records and many will be of value for the lifetime of the University, for example its legal framework and governance structure. Many of the records will also have historic value. O. Administration and covers records relating to the students, including es around application, registration, progression, assessment and support. Other guidance or policies: Finance policies and procedures can be found here. E.1 Finance procedures Finance E.2 Finance procedures development and supporting records Finance Finance Review after superseded + 10 years (note that this is longer than the standard retention suggested for procedural records in section N). Finance Destroy after issue of procedures + 1 year. U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 30

31 E.3 Capital/ Investment Plan Finance E.4 Records documenting the value and disposal of capital assets Asset E.5 Financial investment portfolio overall Investment records E.6 Purchase/ sale of investment records Investment E.7 Tax returns, preparation and filing Tax records E.8 VAT accounting records Tax E.9 Annual Accounts, Statutory Accounts, and Management Accounts, and the preparation of Annual and Statutory Accounts records including drafts and discussions Finance E.10 Sales and Purchase Invoices Finance Finance, Facilities Management Finance Review after current financial year + 6 years (round up to 7). Notify Records Management about records of potential historic value. Review after current financial year + 6 years (round up to 7). Taxes Management Act 1970 c.9 s34; Potential historic value Limitation Act 1980 Finance Destroy after divestment + 6 years. Limitation Act 1980 Finance Finance Finance Finance Finance, Review after current financial year (of transaction) + 6 years (round up to 7). Destroy after current tax year + 6 years (round up to 7). Destroy after current tax year + 6 years (round up to 7). Destroy after current financial year + 6 years (round up to 7). Destroy after current financial year + 6 years (round up to 7). Limitation Act 1980 Taxes Management Act 1970 c.9 s34 Value Added Tax Act 1994 c. 23 s 58 and Schedule 11, para. 6(3); Value Added Tax Regulations 1995 s 31; HM Revenue and Customs 700/21 para. 5.2 Limitation Act 1980 Taxes Management Act 1970 c. 9 s 34; Limitation Act 1980; Value Added Tax Act 1994 c. 23; HM Revenue and Customs 700/21 para. 5.2 U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 31

32 E.11 Purchase orders Finance E.12 Goods received notes Finance E.13 Utility and other bills Finance E.14 Payment certificates Finance E.15 Departmental and divisional budget records Finance E.16 Purchasing authorisation limit records Finance Finance, Finance, Finance, Finance, Finance, Finance, Destroy after current financial year + 6 years (round up to 7). Destroy after current financial year + 6 years (round up to 7). Destroy after current financial year + 6 years (round up to 7). Destroy after current financial year + 6 years (round up to 7). Review after current financial year + 6 years (round up to 7). Destroy after superseded + 1 year. Limitation Act 1980; HM Revenue and Customs 700/21 para. 5.2 Limitation Act 1980; HM Revenue and Customs 700/21 para. 5.2 Limitation Act 1980 ; University budget cycle U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 32

33 E.17 Purchase card statements, receipts, and other evidence of purchases (this category covers both incoming and outgoing transactions) Finance E.18 Petty cash records Finance E.19 Journals including Internal Supply Forms (ISF) and Intra-Departmental Journals (IDJ) E.20 Bank account, including opening, closure, standing orders, direct debits, deposits, withdrawals, and account statements Finance Finance Finance, Finance,, Finance Finance Destroy after current financial year + 6 years (round up to 7). Destroy after current financial year + 6 years (round up to 7). Destroy after current financial year + 6 years (round up to 7). Destroy after closure of account + 6 years OR life of instruction + 6 years (round up to 7). Limitation Act 1980; Value Added Tax Act 1994 c.23; HM Revenue and Customs 700/21 para. 5.2 Limitation Act 1980; Value Added Tax Act 1994 c.23; HM Revenue and Customs 700/21 para. 5.2 Audit purposes Limitation Act 1980; Taxes Management Act 1970 c.9 s34 E.21 Records of employee authorisation for non-statutory payroll deductions Payroll E.22 Employee salary payment calculations Payroll Resources/ Payroll Resources/ Payroll Destroy after current tax year + 6 years (round up to 7). Destroy after current tax year + 7 years. The new CORE HR system is still under development. Resources and Records Management will be looking at retention issues as part of the roll out and provide detailed guidance on the retention of records held in CORE. Limitation Act 1980 The National Minimum Wage Regulations 1999, Regulation 38(7); The Income Tax (Pay As You Earn) Regulations Regulation 97(8); Taxes Management Act 1970 c.9 s34 U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 33

34 E.23 Employer's PAYE records which are not required to be sent to the Inland Revenue under the provisions of the Income Tax (Pay As You Earn) Regulations 2003 E.24 Statutory sick pay scheme records E.25 Statutory maternity pay scheme records E.26 Employer and Employee contribution to pension scheme records for employees records Payroll Payroll Payroll resources Resources/ Payroll Resources/ Payroll Resources/ Payroll Resources/ Payroll Destroy after current tax year + 6 years (round up to 7). The new CORE HR system is still under development. Resources and Records Management will be looking at retention issues as part of the roll out and provide detailed guidance on the retention of records held in CORE. Destroy after current tax year + 6 years (round up to 7). The new CORE HR system is still under development. Resources and Records Management will be looking at retention issues as part of the roll out and provide detailed guidance on the retention of records held in CORE. Destroy after current tax year + 6 years (round up to 7). The new CORE HR system is still under development. Resources and Records Management will be looking at retention issues as part of the roll out and provide detailed guidance on the retention of records held in CORE. Review after termination of employment + 75 years. The Income Tax (Pay As You Earn); Regulations Regulation 97(8) Statutory Sick Pay (General); Regulations 1982 Regulation 13 Statutory Maternity Pay (General); Regulations 1986 Regulation 26 Limitation Act 1980 U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 34

35 E.27 Employee and Third party (e.g. Honorary appointees) expenses payment and reimbursement records resources E.28 Tuition fees Finance E.29 Scholarship fund Funding E.30 Endowed Funds: Chairs, prizes, scholarships, fellowships, medals, bequests, lectureships, labs and departments, donated awards E.31 Annual funding allocation records E.32 European structural funding Investment/ Funding Funding Funding Resources, Finance, Administration & Support Administration & Support, Finance, Finance Research Support Office; Department Destroy after current financial year + 6 years (round up to 7). The new CORE HR system is still under development. Resources and Records Management will be looking at retention issues as part of the roll out and provide detailed guidance on the retention of records held in CORE. Destroy after student leaves the University/ graduates + 6 years. Destroy after current financial year + 6 years (round up to 7). Minimum recommendation is to review after current tax year + 6 years. Some records may need to be retained longer, for example for the lifetime of the fund. Notify Records Management about records of potential historic value. Review after current financial year + 10 years (round up to 11). Depends on project. Be particularly careful of EU funded projects which may require longer retention periods and/or insist on original hard copies. Note that dates may be changed so it is advisable to double check before destroying ESF records. Minimum recommendation: review at the end of grant + 6 years. Taxes Management Act 1970 c.9 s34; Limitation Act 1980 Taxes Management Act 1970 c.9 s34; Limitation Act 1980 Limitation Act 1980 Potential historic value; EC 1260/1999 Article 38; Stated or implied requirements of UK Research Councils and other research sponsors U n i v e r s i t y o f L i v e r p o o l R e c o r d s R e t e n t i o n S c h e d u l e ( V e r s i o n 2. 0 ) Page 35