RECORDS RETENTION SCHEDULE 1

Transcription

1 RECORDS RETENTION SCHEDULE 1 INTRODUCTION AND GUIDANCE NOTES This Records Retention Schedule (Schedule) sets out the length of time that the records of Roehampton University (the University) should be retained to ensure the University s compliance with its legal and regulatory obligations under and statutes such as the Freedom of Information Act 2000 and the Limitations Act It is also designed to meet the University s operational requirements. In this Schedule, means the Data Protection Act 1998 (DPA) and from 25 May 2018, unless and until the GDPR is no longer directly applicable in the UK, the General Data Protection Regulation ((EU) 2016/679) and any national implementing laws, regulations and secondary legislation, as amended or updated from time to time, in the UK and then any successor legislation to the GDPR or the DPA. The terms Data Controller, Data Processor, Personal Data, Sensitive Personal Data and Special Categories of Personal Data have the same meaning as in the Data Protection Legislation. This Schedule should be read in conjunction with the University s Data Protection Policy. This Schedule has been prepared by the Legal Services Office in consultation with departments and offices across the University and in accordance with applicable legislation and with reference to the best practice recommendations contained in guidance issued by the Joint Information Systems Committee (). The University Secretariat has responsibility for the operation of the University s archives and together with the Legal Services Office will maintain this Schedule. Questions regarding the storage of hard copy records should be directed to the University Secretariat and questions regarding the electronic storage of records and archiving should be directed to the IT department. USER GUIDANCE NOTES The following guidance notes are designed to assist users of this Schedule. The Schedule is presented in the following format: Record Type Document owner Retention period Proposed Action Legal Requirement/ Best Practice Notes 1. Record type This column describes the type of record held (whether paper or electronic) which is created, received and/ or maintained by the University and its staff in the course of University business. 1 Revised April Approved by the Data Working Group on 17 April 2017 and subject to approval by the Audit Committee. 1

2 2. Document owner It is the responsibility of each department and office to ensure legal compliance of their record keeping and maintain an effective records management system for their area of work. The Schedule takes a functional approach based on record types but also follows the University s organisational structure. There may therefore be situations where some records are maintained by more than one department or office. 3. Retention Period This column shows the period for which the University s records should to be retained. The retention periods were determined based on factors including: - Statutory requirements such as: (i) the which makes provision for the length of time personal information can be held, the manner in which the University uses and stores personal information and grants individuals certain rights in relation to the access of and use/misuse of their personal information; (ii) The Freedom of Information Act 2000 ( FOIA ) which makes provision for access by the public to the University s records and the public have the right following a relevant request to be informed whether the University holds information and to receive that information (subject to certain exemptions) within 20 working days of making a request. The deliberate withholding or destruction of information to prevent disclosure constitutes and offence under both the FOIA and DPA; and (iii) The Limitation Act 1980 which sets out time periods during which individuals (for example former students, employees or third parties) can bring actions against the University. It also determines the period for which the University can retain and use files as evidence. - Guidance: The best practice recommendations have been used in instances where legal or regulatory requirements are not available. - The cost of storing and maintaining records. 4. Proposed Action The recommended subsequent action for records at the end of the designated retention period is set out under this column. This section does not deal with the method of storage of records. 5. Legal or Regulatory Requirement/ Best Practice This column cites the applicable legislation, regulation, other requirement or best practice, with reference to the Records Retention Schedule for Higher Education Institutions developed by. Please note that this schedule has been last updated in Where an act, statutory instrument, regulation or government requirement has been cited, the retention of the mentioned record for the relevant period of time is mandatory (if not otherwise stated in that piece of legislation). Where the period of time has been set following the model (cited ) or where the decision has been made by the University (cited ), the retention of that record for the relevant period of time is a recommendation only. Therefore each Document Owner can decide which period would be best suitable for their department but bearing in mind the best practice. 2

3 CONTENTS Records Retention Schedule 1 CORPORATE GOVERNANCE STRATEGIES, POLICIES AND PROCEDURES COMMITTEES, BOARDS, WORKING GROUPS GOVERNMENT AND HEFCE / OFS RELATIONS LEGAL SERVICES COLLABORATIVE PARTNERSHIPS FRANCHISE AND COLLABORATIONS PARTNERSHIPS PLANNING STUDENT ADMINISTRATION STUDENT RECITMENT AND ADMISSIONS STUDENT ASSESSMENT STUDENT COMPLAINTS STUDENT SUPPORT STUDENT ACCOMMODATION TEACHING PROGRAMME ADMINISTRATION MODULE ADMINISTRATION RESEARCH ALUMNI CAREERS FINANCE UNIVERSITY ACCOUNTING STUDENT FINANCE PAYROLL ADMINSITRATION FUNDING ADMINSITRATION CASH, INVESTMENT AND ASSET MANAGEMENT TAX INSURANCE PROCUREMENT PROPERTY MANAGEMENT PROPERTY MAINTENANCE EQUIPMENT MAINTENANCE SECURITY HEALTH AND SAFETY ENVIRONMENT RADIATION RECORDS CONFERENCES AND EVENTS HUMAN RESOURCES OCCUPATIONAL HEALTH EQUALITY AND DIVERSITY MARKETING AND COMMUNICATIONS INFORMATION TECHNOLOGY INFORMATION COMPLIANCE LIBRARY

4 1 CORPORATE GOVERNANCE 1.1 STRATEGIES, POLICIES AND PROCEDURES Governance documents University Secretariat Superseded + 5 Y Archive, Policies, Procedures and Regulations Working papers used in developing and updating policies, procedures and regulations University Secretariat, Finance, HR, Registry, Departments University Secretariat, Finance, HR, Registry, Departments Superseded + 5 Y Archive, Approval date + 1 Y, University Strategies University Secretariat Superseded + 5 Y Archive, 1.2 COMMITTEES, BOARDS, WORKING GROUPS Council and Senate: agenda, minutes and papers Statutory committees: agenda, minutes and papers Agendas, minutes and papers for all other committees and working groups Committee Secretary Current academic Y + 6 Y Archive Committee Secretary Current academic Y + 6 Y Archive Committee Secretary Current academic Y + 6 Y Archive Committee membership and appointment records Committee Secretary External committee papers Committee Secretary Current + 6 Y 1.3 GOVERNMENT AND HEFCE / OfS RELATIONS End of an individual s tenure + 6 Y Records relating to the management of relationships with HEFCE / OfS and other Government organisations Vice-Chancellor s Office Superseded + 6 Y Funding Agreements between HEFCE / OfS and Vice-Chancellor s Office End of agreement + 6 Y Archive Records of the University s formal participation in governmental or parliamentary or public inquiries Vice-Chancellor s Office Completion of inquiry + 10 Y Archive Records relating to the management of relationship with other institutions or sectorwide bodies Vice-Chancellor s Office Superseded + 6 Y Statutory reports to HEFCE / OfS Vice-Chancellor s Office Superseded + 6 Y Archive Prevent Policies and Procedures Pro Vice-Chancellor Superseded + 5 Y Archive Prevent Annual Return to HEFCE / OfS Pro Vice-Chancellor Submission of return + 6 Y Archive 2 LEGAL SERVICES Counter-Terrorism and Security Act 2015 Counter-Terrorism and Security Act 2015 This return is to demonstrate active and effective implementation of the Prevent duty in the previous years Records of legal support, representation and litigation regarding claims by or against Legal Services Office Settlement or withdrawal + 6 Y Limitation Act 1980 c 58 s 2, 5 4

5 Records of legal advice on interpretation of legislation affecting 's legal framework or responsibilities, relationship with central government or regulators, employee relations, or health, safety and environmental matters Legal Services Office Permanent Records of legal advice on other matters Legal Services Office Superseded + 5 Y Litigation files Legal Services Office Records setting precedents: Permanent Records not setting precedents: Settlement + 6 Y Arbitration/Settlement files Legal Services Office Last action on case + 6 Y Contracts and legal agreements (including supporting documents) Leases and lease agreements Deeds (excluding Title Deeds) Title Deeds Records relating to Trusts Legal Services Office/ Other Departments Legal Services Office/ Estates and Campus Services Legal Services Office/ Estates and Campus Services Legal Services Office/ Estates and Campus Services Legal Services Office Termination date + 6 Y Expiry of lease + 15 Y Termination date + 12 Y Disposal of property + 12 Y Until Trust wound up or subsumed - Archive Archive Limitation Act 1980 c 58 s 14B Limitation Act 1980 c 58 s 8 Limitation Act 1980 c 58 Roehampton University statutory registers University Secretariat Permanent - Subsidiary Companies statutory registers Legal Services Office Permanent - Subsidiary Companies files Legal Services Office Life of company + 10 Y Applications for patents and patent certificates. Legal Services Office Life of patent + 50 Y Applications for and certificates of registration of other forms of IPR protection (registered trademarks, registered designs) Legal Services Office End of registration + 6 Y 3 COLLABORATIVE PARTNERSHIPS 3.1 FRANCHISE AND COLLABORATIONS Collaboration Agreements including franchise and validation agreements, collaborative research degrees and joint taught degrees Franchise and Collaborations Deeds: Termination of contract + 12 Y Contracts: Termination of contract + 6 Y EU Grant Agreements Franchise and Collaborations Termination of contract + 6 Y Records and supporting documentation created as a result of or in relation to any of the EU Grant Agreements Partnerships Termination of contract + 6 Y The European Commission sets as a rule keeping original records and supporting documentation for a period of 5 years from the date of the payment of the balance for any grants offered by it, unless a longer duration is required by the national law. The period will be longer if there are any on-going 5

6 audits, appeals, litigation or pursuit of claims concerning the grant. A period of 6 years from the termination of the contract is compliant with both those requirements and the Limitation Act Operational Manuals Franchise and Collaborations Deeds: Termination of contract + 12 Y Contracts: Termination of contract + 6 Y Documents belonging to the other party and completed forms received following the due diligence process Franchise and Collaborations Termination of contract + 6 Y Due diligence working documents Franchise and Collaborations Termination of contract Programme Specifications Franchise and Collaborations Termination of contract + 3 Y Student applications for partnered programmes Admissions Successful applications: End of contract with student + 6 Y Unsuccessful applications: Submission date + 6 M Agreements with students Admissions End of contract with student + 6 Y Enrolment to courses data Admissions / Franchise and Collaborations End of programme + 3 Y Enrolment audit report Admissions / Franchise and Collaborations End of programme + 3 Y Student records containing personal data Admissions / Franchise and Collaborations End of contract with student Pass to Registry Please see section 5 Core student records for more information. Staff CVs Franchise and Collaborations End of contract + 6 Y Invoices Franchise and Collaborations End of contract + 6 Y 3.2 PARTNERSHIPS Study Abroad agreements, including EU Grant Agreements, student exchange agreements, Erasmus + agreements and direct enrol agreements Partnerships Deeds Termination of contract + 12 Y Contracts: Termination of contract + 6 Y Records and supporting documentation created as a result of or in relation to any of the Study Abroad agreements Partnerships Termination of contract + 6 Y The European Commission sets as a rule keeping original records and supporting documentation for a period of 5 years from the date of the payment of the balance for any grants offered by it, unless a longer duration is required by the national law. The period will be longer if there are any on-going audits, appeals, litigation or pursuit of claims concerning the grant. A period of 6 years from the termination of the contract is compliant with both those requirements and the Limitation Act Student applications for Study Abroad programmes Partnerships Successful applications: End of programme + 6 Y 6

7 Unsuccessful applications: Submission date + 6 M Study abroad agreements with students Partnerships End of contract with student + 6 Y Student records containing personal data Partnerships End of contract with student Pass to Registry Invoices Partnerships End of contract + 6 Y Documents belonging to the partner and completed forms received following the due diligence process (where applicable) 4 PLANNING Partnerships End of contract + 6 Y Strategic Plan, including Mission Statement Planning Superseded + 5 Y Archive Statutory returns, such as: Higher Education Student Early Statistics (HESES); Provider Profile; HESA Student record; HESA Initial Teacher Training ITT; HESA Aggregate Offshore return; Unistats; DLHE and DLHE longitudinal. Access Agreement and Access Agreement Monitoring Return Planning Submission of report + 3 Y Archive Planning Submission of return + 3 Y Archive Planning Process documents and risk registers, such as: High Level RR; Academic RR; Professional Services RR. Planning Superseded + 3 Y Teaching Excellence Framework (TEF) metrics, underlying data and submission Planning Superseded + 3 Y Taught programmes statistics Planning Life of programme + 10 Y Student survey results, analysis and reports Planning Completion of analysis of feedback First Destination Surveys Planning Individual responses: Completion of analysis of responses summaries and analysis: Current academic Y + 5 Y Records containing data on, and analyses of, student numbers and other programme statistics Planning Current academic Y + 5 Y 5 STUDENT ADMINISTRATION Student files, including core student records: (a) basic personal details; (b) information gathered at application and registration; Registry Records containing personal data on individual students: Electronic records: See Guidance on Retention of Student Records. 7

8 (d) degree courses and papers undertaken, including relevant dates of teaching and assessment; (e) information on academic progress and performance, including assessment outcomes; (f) summary information on academic appeals, complaints, discipline and academic misconduct; (g) transcript; (h) reference(s) from the University. Tier 4 Visa Holders Recruitment records (ie identity details, contact details, applications, recruitment decision summary grid etc), and documents relating to sponsorship application Policies, procedures and regulations HR 5.1 STUDENT RECITMENT AND ADMISSIONS Design, conduct and summary results of student recruitment campaigns, events and schemes Recruitment, International and Admissions Office Recruitment Recommended maximum retention: Termination of relationship with student + 6 Y Paper records: - 1 Y from the date the sponsorship of the migrant has ended or - if the migrant is no longer sponsored by, the point at which a compliance officer has examined and approved them, whichever period is shorter Current academic Y + 5 Y Archive Current academic Y + 5 Y Admissions Criteria Admissions Superseded + 10 Y Enquiries from prospective students Recruitment Current academic Y + 3 Y Student applications Summaries and analyses of data on registration of students on programmes 5.2 STUDENT ASSESSMENT Admissions Registry/Academic Departments / Academic Office Successful applications: Held as part of Core Student records Unsuccessful applications: Completion of admissions process + 6 M minimum and + 1 Y recommended Current academic Y + 5 Y Home Office requirement ; Some documents kept as part of the sponsorship duties may also need to be kept for other purposes and for longer periods of time. must ensure that it meets any other legal requirements for record keeping, such as ones set by UKVI or another government department. Please see UKVI guidance -Appendix D: keeping documents guidance for sponsors. Minimum: Actions under discrimination legislation must usually be brought within 6 Ms. All grades records Registry Board of Examiners meeting + 1 Y Archive Pass lists Registry / Academic departments Board of Examiners meeting + 1 Y Archive Graduation lists Registry Board of Examiners meeting + 1 Y Archive Formative assessments, essays Summative assessments Exam Papers and Scripts Academic Departments / Digital Learning Services Academic Departments / Digital Learning Services Registry/Academic Departments / Academic Office Board of Examiners meeting + 1 Y Board of Examiners meeting + 1 Y Board of Examiners meeting + 1 Y Archive,, 8

9 External Examiner s reports Academic Departments/ Academic Office Academic Departments: Current academic Y + 3 Y Mitigating Circumstances records Academic Departments Current academic Y + 6 Y Dissertations PhD theses Award of bursaries, scholarships and fellowships to individual students. 5.3 STUDENT COMPLAINTS Registry/Academic Departments / Academic Office Registry/Academic Departments / Academic Office / Library Board of Examiners meeting + 1 Y Archive Board of Examiners meeting + 1 Y Archive Registry/ Academic Office/ Finance Current financial/academic Y + 6 Y Archive Records documenting the conduct and results of formal disciplinary proceedings against individual students. University Secretariat Last action on case + 6 Y Other departments: Last action on case then pass to Secretariat Any documents relating to the case and any correspondence involving other members of staff/ students should be passed to the University Secretariat at the end of the case and any copy deleted from personal records. Records documenting the conduct and results of informal disciplinary proceedings against individual students. Academic Departments / Student Development and Support Last action on case + 3 Y Student fitness to study / fitness to practice case files that have reached a final stage of consideration (i.e. a hearing) University Secretariat Last action on case + 6 Y Other departments: Last action on case then pass to Secretariat Any documents relating to the case and any correspondence involving other members of staff/ students should be passed to the University Secretariat at the end of the case and any copy deleted from personal records. Student fitness to study / fitness to practice case files that have not reached a final stage of consideration (i.e. a hearing) Academic Departments / Student Development and Support Last action on case + 3 Y Student complaints University Secretariat Formal complaints: Last action on case + 6 Y Informal complaints: Last action on complaint + 3 Y Any documents relating to the case and any correspondence involving other members of staff/ students should be passed to the University Secretariat at the end of the case and any copy deleted from personal records. Academic appeal files University Secretariat Formal complaints: Last action on case + 6 Y Any documents relating to the case and any correspondence involving other members of staff/ students should be passed to the University Secretariat at the end of the case and any copy deleted from personal records. 5.4 STUDENT SUPPORT Counselling students, key documents and files Student Counselling Service Current academic Y + 6 Y s Student Counselling Service Current academic Y + 1 Y Learning support including procedures and delivery Student Counselling Service Current academic Y + 5 Y Disability support for individual students Disability Services Current academic Y + 6 Y 5.5 STUDENT ACCOMMODATION BACP recommendation Accommodation booking forms Accommodation Office Retain until termination of agreement + 1 Y 9

10 Accommodation lists Accommodation Office Retain until termination of agreement + 1 Y Student accommodation files Accommodation Office Retain until termination of agreement + 6 Y Kinetics records Accommodation Office Retain until termination of agreement + 6 Y 6 TEACHING 6.1 PROGRAMME ADMINISTRATION Academic administration policies, procedures and key documents Teaching and Learning Strategy and procedures Registry/Academic Office Superseded + 5 Y Archive Academic Office Superseded + 5 Y Archive Design of new curricula Reports and other key documents Registry/Academic Office Life of programme + 10 Y Monitoring, evaluations and development of existing curricula Reports and key documents Registry/Academic Office Life of programme + 10 Y Identification of accreditation requirements for courses and obtaining accreditation and reaccreditation Registry/Academic Office Retain for the life of the programme Programme specifications Registry Current academic Y + 6 Y Course timetables Academic Services Current academic Y + 1 Y Programme Validation documents and Review Reports Teaching Quality Assessments Final Reports Records documenting the design and development of assessments 6.2 MODULE ADMINISTRATION Registry/Academic Office Registry/Academic Office Registry/Academic Office Current + 5 Y Current + 5 Y Life of programme Design and development of taught modules Academic Departments Life of programme + 10 Y Archive Creation of new modules and development of current modules Academic Departments Life of programme + 10 Y Archive Subject Review Final report and other significant records Registry/Academic Office Current + 5 Y Archive Modules guides Academic Departments / Digital Learning Services Current academic Y + 6 Y Prospectuses (Undergraduate and Postgraduate) Academic Departments / Digital Learning Services Completion of programme + 5 Y Student Handbooks Academic Departments / Digital Learning Services Current academic Y + 2 Y 10

11 Teaching materials (including tutorial materials) Module assignment registers Academic Departments / Digital Learning Services Academic Departments / Digital Learning Services Life of course Current academic Y + 2 Y Module attendance registers Academic Services Current academic Y + 3 Y Tutorial attendance registers Registry Current academic Y + 3 Y Module examination Regulations Registry Current + 10 Y External Examiner Membership records Registry/Academic Office Termination of appointment + 1 Y 7 RESEARCH Research Committee Agendas, Minutes and Papers Research Policies. Procedures and regulations Secretary to Research Committee Current academic Y + 6 Y Archive Research Office Superseded + 5 Y Archive Research Grant Proposals / Applications Records documenting the design and planning of research projects which are undertaken Research Office Research Office Successful proposals: Completion of project + 6 Y Unsuccessful proposals: Abandonment of plans + 1 Y Completion of project + 6 Y or longer if required by funder / sponsor / regulatory body Research contracts Research Office Termination of contract + 6 Y Research Grant Agreements offered by the ERC Records and supporting documentation created as a result of or in relation to any of the Research Grant Agreements Research Office Research Office Termination of contract + 6 Y Termination of contract + 6 Y Archive / Retain Archive / Retain Formal reports to sponsors Research Office Current Y + 5 Y Archive Formal reports to ethics and regulatory bodies Research Office Current Y + 5 Y Archive The European Commission sets as a rule keeping original records and supporting documentation for a period of 5 years from the date of the payment of the balance for any grants offered by it, unless a longer duration is required by the national law. The period will be longer if there are any on-going audits, appeals, litigation or pursuit of claims concerning the grant. A period of 6 years from the termination of the contract is compliant with both those requirements and the Limitation Act The European Commission sets as a rule keeping original records and supporting documentation for a period of 5 years from the date of the payment of the balance for any grants offered by it, unless a longer duration is required by the national law. The period will be longer if there are any on-going audits, appeals, litigation or pursuit of claims concerning the grant. A period of 6 years from the termination of the contract is compliant with both those requirements and the Limitation Act

12 Formal assessments of work undertaken by research students Formal external reviews (e.g. REF) of general University research quality and standards: final reports and core working papers Data subject consent forms for trials and studies Research Office Completion of student's programme + 6 Y Research Office Current + 10 Y Archive Research Office MRC funded research: Completion of project + 30 Y Other: Completion of project + 6 Y Limitation Act 1980 c.58 s 5 Medical Research Council, Personal Information in Medical Research, section Research data produced through the life of the project Records containing data on, and analyses of, student numbers and other programme statistics relating to research projects Case files relating to allegations of research misconduct Individual Researcher/ Research Office Research Office Research Office / University Secretariat Completion of the project + 10 Y (or longer if required by funder / sponsor / regulatory body) MRC: Completion of project + 10 Y but research records relating to clinical or public health studies should be retained for 20 Y. Current academic Y + 3 Y End of research contract + 6 Y Archive Closed research account project files Research Office Current financial Y + 6 Y Archive 8 ALUMNI Stated or implied requirements of UK Research Councils and other significant research sponsors. Medical Research Council, Good Research Practice, section 5.2 Medical Research Council, Personal Information in Medical Research, section Limitation Act 1980 c.58 s 5 Retention periods may vary according to specific contractual requirements. Ensure that MRC-specific retention periods are in line with the funder's current requirements Reports of major fundraising campaigns Alumni Last action on campaign + 5 Y Reports of Alumni events and associated ephemera Records documenting the organisation and administration of official visits. Records documenting the organisation and administration of graduation ceremonies Alumni Alumni Development and Careers Alumni Development and Careers Completion of event + 3 Y Completion of visit + 1 Y (transfer any significant records, ephemera or photographs to Archive) Completion of ceremony + 1 Y Graduation Programme / DVD Alumni Development and Careers Completion of ceremony + 1 Y Archive Records documenting the organisation of special events (e.g.. opening of new buildings / facilities) Records containing personal data on individual alumni. Summary (anonymised) statistical records of alumni Alumni Development and Careers Alumni Alumni Completion of visit + 1 Y (transfer any significant records, ephemera or photographs to Archives) Indefinitely provided that full consent is given Current Y + 10 Y - Prize lists Alumni Current Y + 3 Y Archive 12

13 Alumni surveys Alumni Individual responses: Completion of analysis of survey responses Summaries: Completion of survey + 3 Y Records documenting requests for contact details for alumni, action taken and the responses Alumni Last action on request + 1 Y Progress reports to sponsors Alumni Current Y + 5 Y Donors / sponsors surveys Alumni Current Y + 3 Y Donation Forms Alumni Current Y + 5 Y A shorter/longer period may be appropriate for small/substantial donations. Donor agreements / contracts Alumni By deed: Termination of contract + 12 Y Other contracts: Termination of contract + 6 Y A shorter/longer period may be appropriate for small/substantial donations. Gift aid completed forms Alumni Current Y + 6 Y 9 CAREERS Policies and Procedures Careers Superseded + 5 Y Archive Careers related publications (e.g. leaflets / booklets) Careers Superseded + 1 Y Records documenting career advice to individual students Careers Current + 6 Y Careers events Careers Current + 3 Y 10 FINANCE Finance and Estates Committee Agenda, Minutes and Papers Finance/ Secretary to Finance and Estates Committee Superseded + 5 Y Archive Financial Regulations Finance Superseded + 5 Y Archive Financial forecasts Finance Current Y + 1 Y Annual reports Finance Current Y + 1 Y Archive Audit reports Finance Completion of audit + 5 Y HESA Finance returns Finance Submission of report + 3 Y Archive 11.1 UNIVERSITY ACCOUNTING Purchase orders, purchase invoices, sales invoices, credit card records, expenses payments, petty cash handling, retail sales Finance / Procurement Current financial Y + 6 Y VAT Act 1994 c 23, Limitation Act 1980 c 58 s 5 Tax Act 1970 c. 9 s 34 HMRC 700/21 para. 2 13

14 transactions and other transaction records Monitoring of income and expenditure against annual operating budgets, and action taken to deal with variances Finance / Procurement Current financial Y + 1 Y To be retained while necessary for future planning Preparation of annual operating budgets. Finance / Procurement Current financial Y + 1 Y To be retained while necessary for future planning Preparation of annual accounts Finance Current financial Y + 6 Y Annual accounts Finance Current financial Y + 6 Y 11.2 STUDENT FINANCE Receipt and processing of tuition fees. Finance End of student contract + 6 Y Limitation Act 1980; Tax Act 1970 c. 9 s 34 Records documenting the handling of applications for remission of tuition fees: successful applications. Finance Determination of application + 6 Y General administration of financial aid, emergency or hardship funds, scholarships and bursaries Finance Current financial Y + 6 Y Destroy/ Retain Tax Act 1970 c. 9 s PAYROLL ADMINSITRATION Processing of non-statutory deductions from salaries, deduction authorisations, tax code notices Finance Current tax Y + 6 Y Payroll Payments, salary advises, bank transfer reports Finance Minimum: Current tax Y + 3 Y Recommended: Current tax Y + 4 Y Minimum: SI 2003/2682 Regulation 97(8) Recommended: Tax Act 1970 c. 9 s 34 Reports and payments to HMRC Finance Current tax Y + 3 Y Employee leave and sickness absences Finance Current tax Y + 3 Y Tax code notices Finance Current tax Y + 3 Y Taxable expenses or benefits Finance Current tax Y + 3 Y Payroll Giving Scheme documents, including the agency contract and employee authorisation forms Staff pension records Notifications to staff of their employment relations tax liabilities 11.4 FUNDING ADMINSITRATION Finance HR / Pensions Finance Current tax Y + 3 Y Retain until termination of employment/ retirement + 75 Y Current tax Y + 6 Y SI 2003/2682 Regulation 97(8) SI 2003/2682 Regulation 97(8) SI 2003/2682 Regulation 97(8) SI 2003/2682 Regulation 97(8) SI 2003/2682 Regulation 97(8) Limitation Act 1980 c. 58 s 32 14

15 Administration of annual funding allocations from HEFCE / OfS and other funding bodies Administration of research grants from Funding Research Councils, the EU or other funders Finance Finance End of current financial Y + 10 Y End of grant + 6 Y (or longer if required by the funding agreement) Administration of scholarship funds Finance Current financial Y + 6 Y 11.5 CASH, INVESTMENT AND ASSET MANAGEMENT Credit share certificates Finance Current tax Y + 6 Y Capital asset register Valuations of capital assets Finance Current financial Y + 6 Y Superseded + 6 Y Opening and closing of bank accounts Finance Closure of account + 6 Y Standing order and direct debit instructions Finance End of instruction + 6 Y Bank statements and associated documentation Purchase and sale of investments Finance Finance End of current financial Y + 6 Y Date of transaction + 6 Y Investment instructions Finance Current tax Y + 6 Y 11.6 TAX Assessment of VAT liabilities Finance Current tax Y + 6 Y VAT return Finance Current tax Y + 6 Y Corporation tax returns and assessments Finance Current tax Y + 6 Y Other tax returns Finance Current tax Y + 6 Y 11.7 INSURANCE Limitation Act 1980 c.58 s 5 Limitation Act 1980 c.58 s 5 Limitation Act 1980 c 58 s Tax Act 1970 c. 9 s 34 Limitation Act 1980 c 58 s Tax Act 1970 c. 9 s 34 VAT Act 1994 VAT Act 1994, c. 23 s 58 and Schedule 11, para 6(3) SI 1995/2518 s 31 HMRC 700/21 para. 2 Tax Act 1970 c. 9 s 34 Tax Act 1970 c. 9 s 34 Liability Insurance Certificates Finance Commencement/Renewal of policy + 40 Y SI 1998/2573 Regulation 4(4) Insurance policies Insurance Retain until policy terminated + 6 Y Destroy/ Retain Limitation Act 1980 c.58 s 5 Insurance claims Insurance Retain until settlement of claim + 6 Y Limitation Act 1980 c.58 s 5 Insurance reports Insurance Retain until settlement of claim + 6 Y Limitation Act 1980 c.58 s 5 15

16 Insurance inspection reports for equipment Insurance Retain for life of equipment + 6 Y 11 PROCUREMENT Contract Documents / Orders Procurement, Legal Services Office Retain until end of project + 12 Y Tender Invite Documents Tender Evaluation, Return and Report Tender received (Successful Contractor) Procurement Procurement Procurement Termination of supply contract awarded + 6 Y Termination of supply contract awarded + 6 Y Termination of contract + 6 Y Unsuccessful tenders Procurement Award of supply contract + 1 Y SI 1998/2306 Regulation 5(2) Limitation Act 1980 s 5 Consumer Protection Act 1987 Contract award notices sent to the Official Journal Procurement Termination of contract + 6 Y SI 2006/5 does not prescribe a retention period for these records. Internal authorisation for procurement Procurement Current financial Y + 1 Y Supplier evaluation reports, Procurement Date of inspection + 5 Y Retaining inspection records provides evidence of effective property management. Register of approved suppliers Procurement Current Y + 5 Y Framework Supplier files Framework Supplier performance reviews Requests for proposals / Proposal evaluation documentation Procurement Procurement Procurement Retain until termination of relationship + 2 Y Retain until termination of supply contract + 6 Y Successful proposals: Retain until termination of supply contract + 6 Y Unsuccessful proposals: 1 Y Consultant Fee Proposals / Appointment Procurement Retain until end of project + 12 Y 12 PROPERTY MANAGEMENT Consumer Protection Act 1987,, Consumer Protection Act 1987 Title deeds Leases Mortgage deeds Planning Applications and Consents Legal Services Office / Estates and Campus Services Legal Services Office / Estates and Campus Services Legal Services Office / Estates and Campus Services Legal Services Office / Estates and Campus Services Disposal of property + 12 Y Archive Limitation Act 1980 c. 58 s 8; Expiry of lease + 15 Y Termination of contract + 12 Y Disposal of property or expiry of consent. Building Plans / drawings Disposal of property + 12 Y Archive Collateral Warranties By deed: Limitation Act 1980 c. 58 s 14B Limitation Act 1980 c. 58 s 8 Limitation Act 1980 c. 58 s 8 Limitation Act 1980 c. 58 s 8 Planning consents which are valid when a property is sold are transferred to the new owner. 16

17 Termination of contract + 12 Y Other contracts: Termination of contract + 6 Y Novation Agreements / Legal Services Office By deed: Termination of contract + 12 Y Other contracts: Termination of contract + 6 Y Limitation Act 1980 c. 58 s PROPERTY MAINTENANCE Health and Safety File for a structure, as required by Regulation 12 of Construction (Design and Management) Regulations 2015/51 Demolition of property or Disposal of interest in property Construction (Design and Management) Regulations 2015/51 Regulation 12 Construction (Design and Management) Regulations 2015/51 does not prescribe a retention period for these records Manuals (digital and hard copy), policies and procedures Superseded + 10 Y Acquisition of objects for the institution's collections; Accession records / University Secretariat Disposal of object + 12 Y Archive, SPECTM Version 3.1 Acquisition Procedure, para. 12 Loan records including loans of objects to the institution by other organisations or by individuals. /University Secretariat Disposal of object + 12 Y Archive, SPECTM Version 3.1 Loans In Procedure, para. 25 Handover Certificates Retain until end of project + 12 Y Limitation Act 1980 c. 58 s 8 Final Accounts / Finance Retain until end of project + 12 Y Limitation Act 1980 c. 58 s 8 Practical Completion Certificates Retain until end of project + 12 Y Limitation Act 1980 c. 58 s 8 Project Filing Current Y + 6 Y Limitation Act 1980 c. 58 s 8 Building Reg. Approval Disposal of property or expiry of approval Plant maintenance, tests, statutory inspections and corrective action Retain for life of equipment + 6 Y SI 1998/2306 Regulation 5(2) 12.2 EQUIPMENT MAINTENANCE Inspection, testing and maintenance of equipment: items which are safety critical or are associated with hazardous operations ; Health & Safety and Environment Decommissioning/Disposal + 15 Y Limitation Act 1980 c.58 s 14 SI 1997/1840 Regulation 6 requires the maintenance of fire detection and fire-fighting equipment but does not prescribe a retention period for records in relation to this activity. Inspections of equipment, under Regulation 6 of the Provision and Use of Work Equipment Regulations 1998 (SI 1998/2306)., Departments Completion of subsequent inspection SI 1998/2306 Regulation 6(3) Inspection, testing and maintenance of pressure systems equipment under Reg 14 of the Pressure Systems Safety Regulations 2000, Departments Date of examination/test/repair + 5 Y Inspection, testing and maintenance of any gas appliance, installation pipework or flue, Departments Date of examination/test/repair + 5 Y Reg 36 of the Gas Safety (Installation and Use) Regulations 1998 Reg 36 places a duty on landlords to keep a record in respect of any appliance or flue checked for a period of 2 years from the date of that check. 17

18 under Reg 35 and 36 of the Gas Safety (Installation and Use) Regulations 1998 All reports of statutory examinations of lifting equipment, as required by Regulation 9(1) and 9(2) of the Lifting Operations and Lifting Equipment Regulations 1998 (SI 1998/2307)., Departments Decommissioning SI 1998/2307 Regulation 11(2)(a)(i) and 11(2)(a)(iii) Maintenance logs for equipment Retain for life of equipment + 6 Y SI 1998/2306 Regulation 5(2) Corrective action schedules Current + 2 Y Inspection certificates Retain for life of equipment + 6 Y Maintenance certificates Retain for life of equipment + 6 Y General repair reports Retain for life of equipment + 6 Y 13 SECURITY SI 1998/2306 Regulation 5(2) SI 1998/2306 Regulation 6(3) SI 1998/2306 Regulation 5(2) Courier logs Security - Post Current + 1 Y Postage logs Security - Post Current + 1 Y Key issue / return logs Security Current + 1 Y Visitor logs Access logs Incident logs 14 HEALTH AND SAFETY / Security / Security / Security Current + 1 Y Current + 1 Y Last action on incident + 1 Y Health and Safety policy Health & Safety and Environment Superseded + 5 Y Archive Health and Safety Committee agendas, minutes and papers Departmental Health and Safety Committee Minutes University Secretariat / Health and Safety Committee Chair and Secretary Current academic Y + 6 Y Archive All Departments Current academic Y + 6 Y Archive, "The Health and Safety at Work etc. Act 1974 (c.37), s 2(3) requires every employer to have '... a written statement of his general policy with respect to the health and safety at work of his employees and the organisation and arrangements for carrying out that policy'. These records also meet the requirement to document the institution's health and safety arrangements for the planning, organisation, control, monitoring and review of preventive and protective measures, as set out by Regulation 5(2) of the Management of Health and Safety at Work Regulations 1999 (SI 1999/3242). 18

19 Limitation Act 1980 c. 58 s 11 Records of injuries, dangerous occurrences and notifiable diseases to meet statutory duties under SI 2013/1471, Health & Safety and Environment, Occupational Health Date of notification + 3 Y The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations SI 2013/1471 Formal investigations and reports into injuries, dangerous occurrences, accidents, incidents involving hazardous substances, environmental incidents and outbreaks of notifiable diseases on University premises / Health & Safety and Environment/ Occupational Health Closure of investigation + 40Y SI 2002/2677 regs 10(5)(a), 11(3), Sch 3 para 4(3) SI 2012/632 regs 19(4)(a), 2(1)(b) Documentation of training and instruction carried out to meet statutory duties under SI 2005/1643, 2002/2677, 2012/632, 1999/3242 Health & Safety and Environment/ Occupational Health End of employment + 40 years SI 2002/2677 SI 2005/1643 SI 2012/632 SI 1999/3242 Accident Report Form F2508 / Health & Safety and Environment Retain from date of entry + 3 Y Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995; In line with Regulation 7(3) Conduct, review and revision of fire safety risk assessments under Article 9 of the Regulatory Reform (Fire Safety) Order 2005 (SI 2005/1541) or Section 53 and/or Section 54 of the Fire (Scotland) Act 2005 (asp 5). / Health & Safety and Environment Superseded + 5 Y Neither SI 2005/1541 nor 2005 asp 5 prescribes a retention period for these records. Fire safety arrangements including PEEP procedures / Health & Safety and Environment Superseded + 5 Y SI 2005/1541 does not prescribe a retention period for these records. Conduct, review and revision of assessments of requirements for first aid facilities, equipment and trained personnel under Regulation 3 of the Health and Safety (First Aid) Regulations 1981 (SI 1981/917). Health and Safety, Occupational Health Superseded + 3 Y SI 1981/917 does not prescribe a retention period for these records. Conduct, review and revision of assessments of the risks to health created by work with substances hazardous to health, under Regulation 6 of the Control of Substances Hazardous to Health (COSHH) Regulations 2002 (SI 2002/2677). / Health & Safety and Environment / Departments Regulation 6 (assessments): Current + 10 Y Regulation 10 (personal exposures): Current + 40 Y Archive Control of Substances Hazardous to Health Regulations 1994 Health and Safety Display Regulations 1992 Health and Safety at Work Act SI 2002/2677 does not prescribe a retention period for these records. Conduct, review and revision of assessments of the risks to health and safety created by exposure to noise, made under Regulation 5 of the Control of Noise at Work Regulations 2005 (SI 2005/1643). Health & Safety and Environment Superseded + 10 Y SI 2005/1643 does not prescribe a retention period for these records. Conduct and results of examinations to prevent exposure to lead under Regulations 8, 9 and 10 of the Control of Lead at Work Regulations 2002 (SI 2002/2676). Health & Safety and Environment Superseded + 10 Y SI 2002/2676, Regulations 8(4), 9(4) and 9(5) 19

20 Conduct and results of examinations to prevent exposure to asbestos, under Regulations 6(4), 7(2), 13(3), 19(4), and 22(4) of the Control of Asbestos Regulations 2012 (SI 2012/632). / Health & Safety and Environment Subsequent + 10 Y Archive SI 2012/632 Regulations 6(4), 7(2), 13(3), 19(4), and 22(4) SI 2012/632 Regulations 6(4), 7(2) and 9(4), do not specify a retention period for these records. recommends a period of at least 10 years. Conduct, review and revision of assessments of the risks to health and safety created by working with Genetically Modified Organisms Department of Life Sciences Completion of work + 10 Y Genetically Modified Organisms (Contained Use) Regulations 2014 ( the GMO (CU) Regulations ). Display Screen Equipment (DSE) Health & Safety and Environment Superseded + 5 Y SI 1992/2792 does not prescribe a retention period for these records. As a minimum, risk assessments should be retained until they are superseded. Risk Assessments and health and safety inspections All Departments Superseded + 5 Y COSSHH: Regulation 10 (personal exposures): Current + 40 Y Archive Management of H & S at Work Regulations 1992 Workplace H, S & Welfare Regulations 1992 Health and safety training records, including fire safety training and first aid training records All Departments, Health & Safety and Environment Superseded + 5 Y The following regulations require information, instction and training to be provided but do not prescribe retention periods for records relating to this activity: SI 1989/635; SI 1989/682; SI 1992/2792; SI 1992/2793; SI 1996/341; SI 1998/2306; SI 1999/3242; SI 1981/917. Permit to work / Health & Safety and Environment Current Y + 3 Y, Limitation Act ENVIRONMENT Attainment and maintenance of under established environmental management schemes. Health & Safety and Environment Termination/ expiry of certification + 1 Y Environmental incidents/ accidents and investigation of those incidents Health & Safety and Environment Last action on incident + 40 Y Environmental audits, and action taken to address issues raised. Health & Safety and Environment Completion of audit + 5 Y Reviews of the use and consumption of energy. Energy Manager, Current Y + 5 Y Records documenting non-hazardous waste disposal Removal of waste + 2 Y Records documenting hazardous waste disposal (clinical and chemical) in accordance with Regulations 47, 48, 49 and 51 of the Hazardous Waste Regulations SI 2005/894 / / Department of Life Sciences Removal of waste + 3 Y Hazardous Waste Regulations SI 2005/894 Regulations 47, 48, 49 and 51. SI 2005/894 Regulation 49(1) specifies the content of these records. Register of 'special waste' removed from the premises for disposal by registered/licensed contractors, as required by Regulation 15 of / Department of Life Sciences Removal of waste consignment + 3 Y SI 1996/972 Regulation 15(4) SI 2005/894 repealed SI 1996/972 but SI 2005/894 Regulation 51(4) requires registers made under SI 20

21 the Special Waste Regulations 1996 (SI 1996/972). Records documenting historic occurrences, management and removal of invasive plants listed in schedule 9 of the Wildlife and Countryside Act 1981 e.g. Japanese Knotweed Records documenting evidence of vehicle service records and MOT certificates for ECS Vehicle fleet Records documenting drain types and location e.g. surface water and foul drains (Grounds) Permanent Duration of vehicle ownership Permanent - Wildlife and Countryside Act 1981 Road Traffic (Vehicle Emissions) (Fixed Penalty) (England) Regulations SI 2002/1808 Water Resources Act 1991 SI 1991/57 control of pollution of water resources Control of Pollution (Oil Storage) (England) Regulations /972 Regulation 15(4) to be retained for the period specified here. Records documenting the energy performance of buildings Duration of validity + 2Y SI 2015/609 The Energy Performance of Building Regulations 2015 Records documenting Fluorinated Gases and Ozone Depleting Substances in air conditioning and refrigeration equipment, records of equipment tests and competency records of those testing equipment Date of test + 5 Y SI 2015/310 Fluorinated Greenhouse Gases Regulations 2015 SI 2015/168 Ozone Depleting Substances Regulations RADIATION RECORDS Environmental Permit Open sources (to keep/use radioactive substances) Department of Education Retain until notified to the contrary by an authorised person / auditor. The Environmental Permitting (England and Wales) Regulations 2016 Display only in areas used by radiation workers and give access to all radiation workers. Environmental Permit Accumulate and dispose of radioactive waste. Department of Education Retain until notified to the contrary by an authorised person / auditor. The Environmental Permitting (England and Wales) Regulations 2016 Display only in areas used by radiation workers and give access to all radiation workers. Enforcement notices Department of Education Retain until notified to the contrary by an authorised person / auditor. The Environmental Permitting (England and Wales) Regulations 2016 Records required by EPR2016 or the Environment Agency, including decommissioning. Department of Education For anything pertaining to the permit(s): Retain until notified to the contrary by an authorised person / auditor. For records relating to Exemption i.e. Department of Education: Retain at least 2 Y but advised to keep indefinitely. The Environmental Permitting (England and Wales) Regulations 2016 Building histories Department of Education / Estates and Campus Services Life of building for Permit work. The Environmental Permitting (England and Wales) Regulations 2016 Keep records in building safety file of services of the history of use of radionuclides and evidence of survey and decommissioning to show that all contamination has been removed. Evidence must be kept to show that no contamination was left behind. Authorisation of specific practices (e.g. use of radiation generators) Department of Education / Estates and Campus Services Retain indefinitely. - The Ionising Radiations Regulations 1999 (SI 1999/3232). Regulation 5. Authorisation (IRR99 Reg 5) is generic but evidence that the employer has authorised use of 21