Records and Data Retention Schedule Student Records

Transcription

1 Records and Data Retention Schedule Student Records How to use the Schedule A seven column layout provides: - a description for each record - the name of the department with responsibility for the management of a record - the legal reference where applicable - the retention rule, that is the number of a record should be retained in a department before it is destroyed or deleted. For ease of reference this is given in a colour coded box with an additional number where appropriate Retain for up to 3 Retain for Retain for archive, a yes or no answer about whether the record should be transferred to the King s College London Archives. There is a default assumption that the transfer of a copy should take place on creation but the Notes field also indicates when deferred transfer is appropriate

2 - classification reflects intended dissemination of university information: External - information is intended to reach the widest possible audience Internal - information is intended to reach staff and students Restricted - information is intended for use by a limited group of users Highly restricted information for use by a strictly defined group of users, dealing with issues that are highly confidential or sensitive Record description Responsibility Legal reference 8.1 Purchasing regulations Purchasing Services College Financial s Retention Rule Archive Classification Notes Yes Restricted 8.5 Tender documentation successful supplier tenders Purchasing Services SEE NOTES No Highly restricted Retain for 6 after the termination of the contract Type of record Department or Service responsible for the record and action Legal or regulatory reason having a bearing on the proposed action The length of time to keep the record Whether the record should be sent to the College Archives on creation Level of accessibility Additional information on the retention period of the record The Schedule will adapt to reflect changes to the university structure and departments, new legal requirements as well as the creation of new records. For further information and to advise of changes in record keeping requirements, please contact our records management team records-management@kcl.ac.uk.

3 Contents Student recruitment Unsuccessful applications and non-responders Successful applications Student induction Student progression Student finance Programme and module administration Assessment and examinations Conferment of student awards Honorary awards Prize administration Scholarships and bursaries Student administration Student conduct, complaints and appeals Counselling and health services Student advice service Careers service Accommodation and residential services Diversity and inclusion Library services King s experience awards

4 Record Description Responsibility Legal Reference Retention Rule Archive Classification Notes Student recruitment 1.1 Management and organisations of student recruitment campaigns and events 1.2 Summaries and analysis of student enquiry and recruitment data 1.3 Enquiries from prospective students Marketing See Notes No Restricted Current + 5 Marketing See Notes No Restricted Current + 5 Marketing See Notes No Restricted Current + 1 Unsuccessful applications and non-responders 1.4 Unsuccessful applications King s Admissions Office 6 No Restricted Current No shows (Applicants who accepted offers but did not attend) King s Admissions Office 6 No Restricted Current Non-responders (Applicants who were made offers but did not accept or decline) King s Admissions Office 6 No Restricted Current Interview notes for unsuccessful applicants King s Admissions Office or Faculty/Department See Notes No Restricted Destroy 6 months after rejection notification

5 1.8 Complaints about admissions service King s Admission Office See Notes No Restricted Destroy 3 after last action 1.9 Appeals against nonadmission King s Admission Office Limitation Act 1980 See Notes No Restricted Destroy 6 after last action Successful applications 1.10 Online application form and related documentation King s Admissions Office See Notes Yes Restricted One copy to be retained 1.11 Interview notes for successful applicants King s Admissions Office or Faculty/Department See Notes Yes Restricted Retain until study 1.12 Offer of place and related correspondence Faculty/Department See Notes Yes Restricted Retain 1.13 Acceptance of place and related correspondence Faculty/Department See Notes Yes Restricted Retain 1.14 Supporting references Faculty/Department See Notes Yes Restricted Copies to be retained 1.15 Student photograph Faculty/Department See Notes Yes Restricted Retain

6 1.16 Student ID number Faculty/Department See Notes Yes Restricted Retain 1.17 Plagiarism statement Faculty/Department See Notes Yes Restricted Retain 1.18 Details of criminal convictions Faculty/Department Rehabilitation of Offenders Act 1974 See Notes No Highly Restricted Completion of study + 7, unless course relates to education, medicine or dentistry the conviction is not spent 1.19 Criminal Records Bureau (CRB) checks Faculty/Department See Notes No Highly Restricted Completion of study + 3 months College student record should note that check has been satisfactorily or unsatisfactorily completed. Student Induction 1.20 Review of induction programmes for new students Faculty/Department See Notes Life of programme + 5

7 1.21 Administration of programmes and events for new students Faculty/Department See Notes Current + 1 Student Progression 1.22 Module registration forms Faculty/Department See Notes Yes Restricted Retain 1.23 Change of course form Departments See Notes Yes Restricted Retain 1.24 Withdrawal / Interruption of studies form Departments See Notes Yes Restricted Retain 1.25 Clinical assessments Departments See Notes Yes Restricted Retain 1.26 Fitness to practice documentation Departments See Notes Yes Restricted Retain 1.27 Student exchanges / Junior Year Abroad Departments / Study Abroad Office See Notes Yes Restricted Retain 1.28 Medical exchanges and electives Electives and Exchanges Office See Notes Yes Restricted Retain

8 1.29 Work placements Careers Office / Departments placement + 1 If placement is a course requirement, retain permanently as part of corporate student record 1.30 Final transcript, including module results and final award Examinations Office See Notes Yes Highly restricted Retain Student Finance 1.31 Fee payment Finance Value Added Tax Act 1994 study Access to Learning Fund application and correspondence Student Funding Office Value Added Tax Act 1994 study Bursaries and scholarships applications Student Funding Office Value Added Tax Act 1994 See Notes No Restricted Financial record for be retained for study + 7. Paper copies to be removed and destroyed from student file on

9 study 1.34 Bursaries and scholarships maintenance grant requests Student Funding Office Value Added Tax Act 1994 See Notes No Restricted Financial record for be retained for study + 7. Paper copies to be removed and destroyed from student file on study 1.35 Grant cheques Finance Value Added Tax Act 1994 study Council tax exemption certificate Student Funding Office Value Added Tax Act 1994 See Notes No Restricted Financial record for be retained for study + 7. Paper copies to be removed and destroyed from student file on study 1.37 Financial hardship/problems correspondence Finance/Student Funding Office Value Added Tax Act 1994 See Notes No Restricted Financial record for be retained for study + 7. Paper copies to be removed and destroyed from student file on

10 study 1.38 Fee debtors list Finance Value Added Tax Act 1994 See Notes No Highly Restricted Completion of study Suspension for nonpayment of fees Students and Education Value Added Tax Act 1994 See Notes No Restricted Financial record for be retained for study + 7. Paper copies to be removed and destroyed from student file on study 1.40 Appeals Students and Education Value Added Tax Act Disability allowance Student Funding Office Value Added Tax Act 1994 See Notes No Restricted Last action on record + 7. study + 7 Programme and module administration 1.42 Programme and module timetables Departments See Notes No Internal Retain for duration of programme or module, for instance 3 for a 3 programme 1.43 Class lists Departments 4 No Restricted Contains personal data

11 1.44 Tutorial lists Departments 1.45 Student attendance forms Departments 4 No Restricted Contains personal data 4 No Restricted Contains personal data 1.46 Course assignment registers Departments See Notes No Restricted Retain for duration of programme 1.47 Programme and module approval forms 1.48 Programme and module modification forms 1.49 Programme and module evaluation forms 1.50 Programme and module handbooks Faculty/Department 10 No Restricted As approved by Faculty Education Committee Faculty/Department 10 No Restricted As approved by Faculty Education Committee Faculty/Department 7 Faculty/Department Yes External Retain until superseded then transfer copy to Archives Services Assessment and examinations 1.51 Communication of assessment methods and standards to students, for example student handbooks Departments Yes External

12 1.52 Registration form Faculty/Department 1.53 Candidate number Examinations Office See Notes No Restricted Retain See Notes No Restricted Retain 1.54 Examination attendance sheet Examinations Office 1.55 Examination mark sheet Examinations Office 1.56 Application for special examination arrangements Examinations Office / Special Examinations Arrangements Committee 1.57 Medical assessment for special arrangements Examinations Office / Special Examinations Arrangements Committee 1.58 Application to sit written examination overseas (distance learning students) Examinations Office / Special Examinations Arrangements Committee 1.59 Request for re-sit or replacement examination Faculty/Department/ Examinations Office See Notes No Restricted Retain

13 1.60 Extension request form (for assessed work) 1.61 Mitigating circumstances form Faculty/Department Departments No Restricted Completion of See Notes No Highly restricted Last action on case Assessed work including assignments and dissertations Departments Return to student on request or destroy 1.63 Examination scripts Departments/ Examinations Office Contact Corporate Records Management for storage assistance 1.64 Examiners notes Departments See Notes No Highly restricted Completion of 1.65 Examiners reports and responses Quality & Academic Support See Notes No Highly restricted Completion of 1.66 PhD theses Examinations Office See Notes No Internal, though some theses may be restricted, Bound copies are retained by

14 either for a period of or indefinitely Library Services and e-theses are made available via King s Research Portal and EThOS Associate of King s College (AKC) Diploma / Certificate Dean s Office See Notes No Restricted Retain Conferment of student awards 1.68 Pass lists Examinations Office Yes Restricted Examination results available in SITS 1.69 Graduation list Ceremonies & Events Team 2 No Internal 1.70 Graduation ceremonies programme Ceremonies & Events Team Yes Internal 1.71 Prize book Ceremonies & Events Team Yes External 1.72 Travel awards including final student report Ceremonies & Events Team See Notes Yes Restricted Retain for 1 locally then transfer to Archives Services

15 1.73 Debtors listing Student Funding Office 1.74 Transcript requests Examinations Office 1 No Highly restricted Information on individual debtors to be retained as until debt has been resolved See Notes No Highly restricted Retain until business or reference use has ceased Honorary awards 1.75 Fellowship and Honorary Degrees Committee records Governance & Legal Services See Notes Yes Highly restricted Retain for 7 locally then transfer to Archives Services Prize administration 1.76 Unsuccessful prize applications or nominations Ceremonies & Events Team See Notes No Highly restricted Destroy 1 after application received 1.77 Successful prize applications or nominations Ceremonies & Events Team See Notes No Highly restricted Current Formal letter confirming prize award Ceremonies & Events Team See Notes No Highly restricted Current + 6. Copy passed to Faculty or Department for permanent

16 retention as part of core student record 1.79 Copy of prize certificate Ceremonies & Events Team See Notes No Highly restricted Current Letter to prize donor confirming recipient Ceremonies & Events Team See Notes No Highly restricted Current + 6 Scholarships and bursaries 1.81 Successful scholarship or bursary application form Graduate School See Notes No Highly restricted Current Scholarship or bursary selection panel papers, i.e. student nomination, mark sheets, statements from Schools, etc Graduate School See Notes No Highly restricted Current Final scholarship or bursary offer letter Graduate School See Notes No Highly restricted Current Unsuccessful scholarship or bursary applications Graduate School See Notes No Highly restricted Destroy 1 after application received 1.85 Student maintenance grant forms Graduate School study + 7

17 1.86 Expense claims Graduate School study Documentation relating to charges and fees 1.88 Invoices to external bodies Graduate School study + 7 Graduate School 2 No Restricted Retain locally for 2. Original invoices to be retained by Finance for 7 Student administration 1.89 Core Includes application and enrolment data, fee status, chosen programme of study, registration of modules, results, prizes and final award Registry Services (Arts & Sciences) or Faculty Office or Academic Centre (Health Faculties) or Student Support Centre (Nursing & Midwifery) or Education Support Team (Institute of Psychiatry) See Notes Yes Restricted Retain until then transfer paper file to Corporate Records Management Retain digital student information on the SITS database 1.90 Departmental student file Includes information on student attendance and submission of coursework Departments See Notes Yes Restricted Retain until then transfer paper file to Corporate

18 Records Management Retain digital student information on the SITS database Student conduct, complaints and appeals 1.91 Student disciplinary or misconduct case files Student Conduct & Appeals Office See Notes No Highly restricted Last action on case Formal complaints (Stage Two and Three) by students against the university Student Conduct & Appeals Office See Notes No Highly restricted Last action on case Informal complaints (Stage One) by students against the university Student Conduct & Appeals Office See Notes No Highly restricted Last action on complaint Subject access requests (requests for personal information) from students Information Compliance See Notes No Highly restricted Completion of request + 2 Counselling and health services 1.95 Student case files Counselling Services See Notes No Highly restricted Last action on case + 6

19 1.96 Patient records Health Centre See Notes No Highly restricted These records are owned and managed by the NHS. Records retention is governed by NHS Records Management Code of Practice for Health and Social Care (2016) 1.97 Medical certificates Faculty/Department See Notes No Highly restricted Completion of study + 7 Student Advice Service 1.98 Student case files Student Advice Service 6 No Highly restricted Careers Service 1.99 Destination of Leavers from Higher Education survey Careers Service See Notes No Restricted Collected by the Careers Service then returned to the Higher Education Statistics Agency (HESA) for ratification Results of past surveys are

20 published on the HESA website Records of interaction between the Careers Service and the University of London Careers Group including current contract Careers Service No Restricted One-to-one career appointment records and discussion notes Careers Service See Notes No Restricted Handled via TargetConnect, the Careers Service Management System (CSMS). Retain for graduation Event sign up and attendance records Careers Service See Notes No Restricted Handled via TargetConnect, the Careers Service Management System (CSMS). Retain for graduation Practice aptitude test records Accommodation and Residential Services Careers Service 1 No Restricted

21 1.104 Residence registration forms Residence Office 2 No Restricted Student self assessment form and supporting documentation Accommodation Services 2 No Highly restricted Accommodation allocation and occupancy lists Accommodation Services/ Residence Office 2 No Restricted Fees and charges information Includes deposit details, invoice, swap forms etc Accommodation Services/ Residence Office 7 No Highly restricted Data held in the Residential Management System (RMS) Student file - non confidential information Residence Office Student file - confidential information Includes medical records and disciplinary information as relevant Residence Office See Notes No Highly restricted Completion of Student disciplinary, complaint or appeal information Accommodation Services/Services for Students See Notes No Highly restricted Completion of Records relating to student s guests or visitors Residence Office

22 Diversity and inclusion Student case files Diversity and Inclusion See Notes No Highly restricted Completion of programme + 7 Library Services Inter-library loan forms Library Services User loan records Library Services 7 No Restricted British Library requirement 4 No Restricted Users with no outstanding fines Library Services 4 No Restricted Users with outstanding fines Library Services See Notes No Highly restricted Retain until fine has been paid Medical certificates relating to credit fines Library Services See Notes No Highly restricted Destroy after crediting

23 1.118 Applications for library membership from Intercollegiate students Library Services 2 No Restricted Applications for library membership from SCONUL Access scheme members Library Services 2 No Restricted Disability support forms Library Services See Notes No Highly restricted Retain until study King s Experience Awards Successful application for King s Experience Award King s Experience Office study Unsuccessful application for King s Experience Award King s Experience Office 1 No Restricted Notification of outcome Assessment or submissions for King s Experience Award Notification of King s Experience Award outcome King s Experience Office study + 1 King s Experience Office No Restricted Retain permanently on SITS and as part of HEAR