(England & Wales) Current academic year + 3 year. Current academic year + 3 years. Current academic year + 3 years

Transcription

1 Department Sub Department Description Responsible for Retention & Compliance Student Recruitment Student Recruitment Student Recruitment Student Recruitment Student Recruitment Student Recruitment handling of enquiries from prospective students. issue of student recruitment materials in bulk to schools and other organisations. Event registrations and attendees data. handling of student applications for admission on to courses. handling of financial support applications. Personal contact records of individuals on the College's student recruitment database. media consent, including photography, video and case studies, from individuals and employers. Retention Period 3 year 3 3 Academic year in which students completes (if applicable) + 6 Academic year in which students completes (if applicable) + 6 Academic year in which a customer + 6 Head of 6 Legal Reference (England & Wales) Notes All enquiries are recorded on the College's student recruitment database. School relations activities are recorded on the College's student recruitment database. All event registrations are recorded on the College's student recruitment database. All applications are recorded on the College's student recruitment database. All applications are recorded on the College's student recruitment database. Media consent is sought for 3, however records are kept for a further 3 in case of enquiries by individuals. & Fundraising & Fundraising & Fundraising Photographs and video content. Records containing personal details of individuals as part of direct marketing campaigns. Records containing details of individual responses to fundraising campaigns. Head of 3, and then archived Head of 3 5 Consent is sought for 3, and then archived for historical interest purposes. Where data is uploaded to and/or SMS management systems, this data is deleted on completion of activity. Retention must comply with the provisions of 1998 c.29 & Fundraising & Fundraising Records containing personal data on individual alumni and funders. 5 Retention must comply with the provisions of 1998 c.30

2 Research Research Research Research Apprenticeships & Employer Engagement Apprenticeships & Employer Engagement Apprenticeships & Employer Engagement Analysis of enquiry, events and recruitment data on the Group's recruitment and student databases. Analysis and results of stakeholder surveys and focus groups. Recordings of focus group and in-depth interviews. Transcripts of focus group and in-depth interviews. handling of enquiries from prospective apprentices and employers. handling of student applications for apprenticeship vacancies. Personal contact records of individuals and employers on the College's employer engagement database. Director of Business Development Director of Business Development Director of Business Development 3 3 The earlier of completion of transcript and 2 months from meeting 3 3 year 3 Academic year in which a customer + 3 Where data is collected using e-survey systems, this data is downloaded and deleted once survey is closed. All enquiries are recorded on the College's employer engagement database. All applications are recorded on the College's employer engagement database. All data is recorded on the employer CRM. Enrolment documentation; qualifications on entry form; fee remission evidence; apprentice start form; transfer and withdrawal forms, enrolment form, acceptance slips and contracts of employment forms. Progress reviews, reports and records for apprentices. Attendance registers, student and staff timetables. ISR/ILRs Director of CIS Current year + 11 Indefinately ESFA funding document; ESF funding rules document; ESFA performance management rules; ESFA QSR Business Rules; ESFA post-16 intervention and accountability document ESF requirements supersede any other requirements noted in this document. Prior to 17/18 records held in Document management system or archived to DVD ROM. From 17/18 documents scanned into EBS against the student's record. Includes data in Onefile. This applies to Treshan College pre-merger data. Funding reports from the HUB/FIS Current year + 6

3 Examination Certificates Current year +1 year Sent back to awarding body if not collected after two. Documents relating to Current year + 3 access arrangements Correspondence with awarding organisations Current year + 2 Achievement records; Current year + 2 porfolios, assessment plans, action plans and feedback reports. IQA sampling plans, reocrds and feedback reports. Record of achievement/tracking documents. Student Destinations Current year + 6 ILR specification and Annexes; Provider support manual Data received in spread sheet format and updated into the ILR. PROACHIEVE data summaries current year + 5 Data based on imported FIS MDBs and monthly apprenticeship report PROMETRIX data reports current year + 5 PROMONITOR records of achievement tracking and progress, student disciplinaries, work experience, enrichment activities and tutorial records. current year + 2 EBS system backups 1 week Data backed up to server folder. Copy taken daily to encypted memory stick and stored in fireproof safe. Server folders are backed up daily. CORE Health/Needs current year + 3 application CORE Bursaries application Class list/data clensing records Withdrawl forms kept in teaching areas current year + 6 current year + 1 year current year + 1 year

4 Systems initial assessment of Students. Director of CIS Termination of student relationship Student Qualifications on Entry 2. Key Skills Assessments 3.Care Student Assessments Employee Personnel and training files advertising of vacancies. enquiries about vacancies and requests for application forms. handling of applications for vacancies: unsuccessful applications. handling of applications for vacancies: successful applications. Records containing summary statistical information about job applicants e.g. ethnicity/gender analyses. an employee's absence due to sickness. preemployment health screening of an employee: employees exposed to hazardous substances during employment. Completion of appointment + 6 months Completion of appointment + 6 months Completion of appointment Completion of appointment + 1 year Termination of employment + 6 Current year + 1 year Termination of employment + 40 Termination of employment + 40 Limitation Act 1975 c.65 Sex Discrimination Act c.74 Race Relations Act c.50 Disability Discrimination Act 1995 (Health and Safety Records may need to be kept longer (see below) 1975 c.65 Sex Discrimination Act C.74 Race Relations Act c50 Disability Discrimination Act c.65 Sex Discrimination Act C.74 Race Relations Act c50 Disability Discrimination Act c.23 Value Added Tax Act 1994 S.I / 2675 The Control of Asbestos at Work Regulations 2002 S.I / 2676 The Control of Lead at Work Regulations 2002

5 major injuries to an employee arising from accidents in the workplace. an employee's termination of employment by voluntary resignation, redundancy, retirement (including on medical grounds) or dismissal. references provided in confidence in support of an employee's application(s) for employment by another organisation. institution's relationships with pension schemes to which all or part of its workforce belong. routine communications with the pension schemes. For administration of individual employees' relationships with the pension schemes, use Employee Contract Management. institutional recognition/derecognition of trades unions. agreements with trades unions. routine communications with trade union representatives, including minutes of meetings. Termination of employment + 40 Termination of employment + 6 Provision of reference + 1 year Termination of relationship + 5 Current year + 5 Derecognition + 6 Termination of agreement + 10 Current year + 20 S.I / 2677 The Control of Substances Hazardous to Health Regulations 2002 (Note: CIPD = Chartered Institute of Personnel & Development)

6 consultations/negotiations with trades unions on specific issues. operation of the Statutory Sick Pay scheme. operation of the Statutory Maternity Pay scheme. payments of the institution's employers' contributions to pensions schemes for its employees. payments of the institution's employees' contributions to pension schemes. payment and/or reimbursement of employees' expenses. Last action on issue + 20 Director of Current tax year + 3 * Director of Current tax year + 3 * Director of Director of Termination of employment + 75 Termination of employment + 75 Current financial year + 6 * S.I / 894 * The Statutory Sick Pay (General) Regulations 1982 (Amended by SI ) S.I / 1960 * The Statutory Maternity Pay (General) Regulations 1986 (Amended by SI ) 1970 c.9 * 1970 c.9 Taxes Management Act 1970 Student academic progress of individual students and formal action taken by the institution to deal with unsatisfactory progress. Student Records relating to Meetings of Staff /Student Bodies. Student Records relating to the operation and activities of the Students Union, and other clubs, associations and non-academic activities organised by students. Student Disciplinary records - misconduct Student Disciplinary records - academic performance Director of Student Director of Student Director of Student Director of Student Director of Student Termination of relationship with student + 6 Date of meeting plus 6 Minutes of Meetings permanent Rag Week activities. Constitution of S.U., and other clubs etc. Codes of Practice. Lists of Officers. Central record 3 Student's file for 1 year 1 year

7 Student Child protection/sova Director of Student Student Next Step Director of Student Student Careers interview records Director of Student Student Counselling records Director of Student Student Student Information Files Director of Student Student Bursaries EFA/SFA Director of Student Student Access to Learning Fund Director of Student Student Care to Learn Director of Student Student Student finance service Director of Student records Student Emergency loans Director of Student Student TIER 4/CAS Director of Student Student Criminal record Director of Student declarations Student Enrichment records Director of Student Student LRC loan records Director of Student Student LRC issues Director of Student CP - until student's 26th birthday CP - LAC until student's 75th birthday CP files for concerns regarding an adults behaviour towards a child or around children, keep the file until retirement or for 10, whichever is longest SOVA Current and previous year 3 after year in which counselling commenced One year after a student leaves Intuition (for duration of EBS record) Current and previous year 3 3 Intuition (for duration of EBS record) Current and 2 previous Current and 2 previous Results of user/customer surveys: individual responses. Results of student surveys: summaries and analyses of responses. Head of Completion of analysis of survey responses Head of Completion of survey + 3 handling of formal complaints made by individual students against the institution. Head of Last action on case + 6

8 handling of complaints by individual students where the formal complaints procedure is not initiated. Head of Last action on complaint + 3 Records detailing information available about current courses, programmes, Departments, Schools, for Students institution's teaching strategy. institution's teaching policies. institution's teaching procedures. development of taught course assessment procedures. Head of Superseded +2 Course handbooks, Term Dates, Structure of Courses, Qualifications gained, Work Experience, List of Validating Bodies. Head of Superseded + 10 Head of Superseded + 10 Head of Superseded + 5 Head of Life of course Final versions of taught course assessment procedures. development of the institution's internal quality assurance processes. Head of Life of course Head of While current conduct and results of formal internal reviews of teaching quality, and responses to the results. Head of 5 conduct and results of external reviews and audits of teaching quality and standards. Head of Next Review completed + 5

9 development of the institution's programmes. Head of Superseded + 10 Programme/Course specifications. Qualifications. Key Outcomes. Assessment Procedures/Appeals. Periodic Reports of departmental programme reviews. monitoring of external developments and trends to inform the development of the institution's programmes. Head of 5 conduct and results of formal reviews of the institution's programmes and courses and responses to the results. Head of 10 Roles, Responsibilities and Authority of bodies involved in monitoring and review processes. Accreditation and monitoring reports. monitoring of programme developments in other FE institutions. Head of 1 year process of obtaining approval and/or accreditation for taught programmes from Records containing data on, and analyses of, student numbers and other programme statistics. routine solicited feedback on taught programmes from staff and examiners: individual feedback. Head of Life of programme Head of 5 Head of 5 OR Life of course + 1 year development of the institution's courses. Final versions of taught course materials. Working papers documenting the planning and conduct of teaching events. Records containing data on, and analyses of, student numbers and other taught course statistics. Head of Life of course + 10 Head of Head of Head of 1 year Head of Life of course 5

10 routine solicited feedback on taught courses from staff and examiners: individual feedback. Head of 5 OR Life of course + 1 year routine solicited feedback on taught courses from students: individual feedback. Records containing (anonymised) summaries and analyses of routine solicited feedback on taught courses from staff, examiners and students. Records containing reports of routine internal reviews of taught courses. Head of Head of Head of Head of Head of Completion of analysis of feedback 5 OR Life of course + 1 year 5 conduct and results of Head of Head of 5 formal reviews of taught courses, and the responses to the results. Head of Timetabling of Courses Head of Current year + 1 year Assignment of students to classes/groups Head of Current year + 1 year Course Assignment Registers Head of Current year + 1 year Records detailing the Head of Master copy kept Course Prospectuses, Structure and Content of permanently Qualifications offered each programme. Records of Tuition and Head of Length of course +6 other course fees. Records containing Head of standard analyses of data 5 from individual students' records. Head of Last action on request + handling of requests for ad 1 year hoc analyses of data from individual students' records. First Destination Surveys: Head of Completion of analysis of individual responses. responses termination of individual students' programmes. Head of Termination of student relationship + 6

11 institution's assessment and examination rules and procedures. feedback on academic progress, and general academic guidance and support, given to individual taught students. Head of Superseded + 10 Head of Completion of student's programme + 6 Records of administration of Student Financial and employment support. preparation of annual accounts. Direcotr of Student Director of Current financial year + 6 * Annual Accounts. Director of Current financial year + 6 * Primary Financial Records including Orders, Invoices, Bank statements, reconciliations, journal transfer authorisations and Funding Body records Secondary Financial records including paying in slips, petty cash vouchers, duplicate vouchers and refund authorisations handling of petty cash. preparation and filing of the institution's tax returns. Director of Current financial year + 6 * Director of Current financial year + 6 * Director of Current financial year + 6 * 1970 c.9 * 1970 c.9 Taxes Management Act c.23 Value Added Tax Act 1994 HMCE 700/21 * HM Customs & Excise Notice 700/21: Keeping [VAT] records and accounts 1970 c.9 * 1970 c.9 Taxes Management Act c.23 Value Added Tax Act 1994 HMCE 700/21 Current + 6 Years New Deal Records. Modern Apprenticeship Records. Access Fund Applications. Individualised Student Record (ISRS). Individualised Learner Records 1994 c.23 Value Added Tax Act c.9 * 1970 c.9 Taxes Management Act c.9 * 1970 c.9 Taxes Management Act 1970 Director of Current tax year + 6 * 1970 c.9 * 1970 c.9 Taxes Management Act 1970

12 administration of annual funding allocations from Director of Current financial year + 10 ESF Project Funding. Director of Funding Period+ 6 ESF Rules opening, closure and routine administration of bank accounts. standing orders, direct debits etc. value of the institution's capital assets. decisions (and authorisations) to dispose of capital assets. Records in support of tender exercises evaluation of applications for approval from prospective suppliers, and notification of the outcome: approved suppliers. Statistical reports to HM Treasury on contracts awarded (as required by the regulations cited). variations to contracts (e.g. revisions, extensions). monitoring of supplier performance and action taken regarding underperformance. Director of Closure of account + 6 Director of Life of instruction + 6 Director of Current financial year + 6 * 1970 c.9 * 1970 c.9 Taxes Management Act Director of c.9 * 1970 c.9 Taxes Management Act 1970 Director of Superseded + 5 Compliance with The Public Contracts Regulations and other relevant guidance Director of Termination of approval Director of Current financial year (of disposal) + 6 * Current year + 3 Director of Termination of contract + 6 Director of Termination of contract + 6 S.I / 2680 The Public Works Contracts Regulations 1991 S.I / 3228 The Public Contracts Regulations 1993 S.I / 201 The Public Supply Contracts Regulations 1995

13 purchasing authorisation limits. internal authorisation for procurement. institution's insurance management policies. development of the institution's insurance management procedures. Director of Superseded + 1 year Director of Current financial year + 1 year Purchase Orders. Director of Current financial year + 6 year * Goods Received Notes / Goods Inwards Notes. Director of Current financial year + 6 year * Director of Superseded + 5 Director of Superseded + 3 HMCE 700/21 * HM Customs & Excise Notice 700/21: Keeping [VAT] records and accounts HMCE 700/21 * HM Customs & Excise Notice 700/21: Keeping [VAT] records and accounts Director of arrangement and renewal of insurance policies to meet defined requirements and legal obligations: employers' liability insurance. arrangement and renewal of insurance policies to meet defined requirements and legal obligations: all other insurance. claims made under insurance policies. Commencement of policy + 40 OR Renewal of policy + 40 * Expiry of policy + 6 Settlement of claim + 6 OR Withdrawal of claim c.57 S.I / 2573 * The Employers' Liability (Compulsory Insurance) Regulations 1998 institution's estate strategy. Superseded + 5 Review for archive value

14 conduct and results of audits and reviews of the estate management function, and responses to the results. institution's estate management policies. acquisition of ownership of properties. Deeds and certificates of title for properties owned by the institution. negotiations for properties where the property was not acquired. Current year + 5 Superseded + 5 Ownership of property Ownership of property Closure of negotiations + 2 acquisition of use of properties by lease or rental. Disposal of property + 3 Note: For retention of formal legal agreements, see Legal Affairs Management - Contracts & Agreements Management. development of properties. restoration of contaminated land. inspection, maintenance and repair of properties. history of major maintenance works on properties. inspections undertaken to assess whether asbestos is (or is liable to be) present in a building or on land. removal of hazardous materials from properties. Review for archive value Review for archive value Transfer to new owner when property is disposed of Ownership of property Transfer to new owner when property is disposed of Ownership of land Transfer to new owner when property is disposed of Completion of work + 2 Ownership of property Ownership of property Ownership of property S.I / 1840 The Fire Precautions (Workplace) Regulations 1997 S.I / 2675 The Control of Asbestos at Work Regulations 2002 Transfer to new owner when property is disposed of

15 disposal of properties. conduct and results of security inspections of properties, and action taken to address issued raised. property access controls to secure areas (e.g. access registers, key registers, security data logs). CCTV Recordings. security breaches or incidents, and action taken. leasing-out arrangements for properties. specification of requirements for facilities. carrying out of interior decoration and fitting-out works. conduct and results of inspections of facilities, and action taken to address issues raised. carrying out of repairs to interior decoration, fixtures and fittings. conduct and results of inspections of facilities by enforcing authorities, and action taken to address issues raised. plans for the relocation of facilities within buildings or to other buildings. Disposal of property + 3 Completion of subsequent inspections Creation + 2 Creation +1 Month Result of Risk Assessment and local advice Last action on incident + 1 year Termination of lease + 3 Next fit-out + 1 year Next fit-out + 1 year Completion of subsequent inspection Current year + 1 year Completion of subsequent inspection Completion of relocation + 2 Longer retention periods may be required by enforcing authorities concerned with particular types of facilities

16 physical relocation of facilities. Reports of precommissioning examinations of lifting equipment, as required by the Regulations cited. Reports of post-installation examinations of lifting equipment, as required by the Regulations cited. inspection and testing of equipment/consumables. inspection and testing of equipment/consumables: items which are safety critical or are associated with hazardous operations. examination, testing and repair of equipment/consumables provided to control exposure to hazardous substances. examination, testing and repair of equipment/consumables provided to control exposure to asbestos. 'inspection' of lifting equipment, as defined in the Regulations cited. Reports of inspection and 'thorough examination' of lifting equipment, as required by the Regulations cited. maintenance of equipment / consumables: major items. maintenance of equipment Completion of relocation + 2 kept until Decommissioning * Decommissioning * Completion of subsequent inspection record OR Disposal of item + 1 year Disposal of item + 5 Date of action + 5 * Creation + 5 * Completion of subsequent inspection record * Completion of subsequent report OR Issue of report + 2, whichever is the longer Decommissioning removal + 6 Decommissioning S.I / 2307 * The Lifting Operations and Lifting Equipment Regulations 1998 S.I / 2307 * The Lifting Operations and Lifting Equipment Regulations 1998 S.I / 2306 The Provision and Use of Work Equipment Regulations 1998 S.I / 1840 The Fire Precautions (Workplace) Regulations 1997 S.I / 2677 * The Control of Substances Hazardous to Health Regulations 2002 S.I / 2675 * The Control of Asbestos at Work Regulations 2002 S.I / 2307 * The Lifting Operations and Lifting Equipment Regulations 1998 S.I / 2307 * The Lifting Operations and Lifting Equipment Regulations 1998 S.I / 2306 The Provision and Use of Work Equipment Regulations 1998 Potential long-term liability Potential long-term liability

17 / consumables: items which are safety critical or are associated with hazardous operations. authorisation for the disposal of equipment / consumables, and the evaluation of alternative methods of disposal. institution's environmental management strategy. conduct and results of audits and reviews of the environmental management function, and responses to the results. institution's environmental management policies. development of the institution's environmental management procedures. removal + 40 S.I / 2306 The Provision and Use of Work Equipment Regulations 1998 Disposal of item + 1 year Superseded Superseded + 5 Superseded + 5 Review for archive value Review for archive value Review for archive value conduct and results of environmental audits, and action taken to address issues raised. action taken by the institution to raise awareness of environmental issues among its employees, other staff and students. recording of environmental incidents on the institution's premises or caused by its operations. Completion of audit + 5 Current year + 3 Last action on incident + 10 Review for archive value

18 investigation of environmental incidents on the institution's premises or caused by its operations. notification and reporting of reportable environmental incidents to enforcing authorities. routine monitoring of the institution's use and consumption of energy. conduct and results of formal reviews of the institution's use and consumption of energy, and action taken to address issues raised. classification, collection and storage of 'controlled waste' prior to removal from the premises for disposal. Register of 'controlled waste' removed from the premises for disposal by registered/licensed contractors. classification, collection and storage of 'special waste' prior to removal from the premises for disposal. Register of 'special waste' removed from the premises for disposal by registered/licensed contractors. Closure of investigation + 40 Date of notification + 5 Current year + 5 Completion of review + 5 Removal of waste consignment + 2 S.I / 2839 Environmental Protection (Duty of Care) Regulations 1991 Removal of waste consignment + 2 * S.I / 2839 * Environmental Protection (Duty of Care) Regulations 1991 Removal of waste consignment + 3 Removal of waste consignment + 3 * S.I / 972 * The Special Waste Regulations 1996 S.I / 972 * The Special Waste Regulations 1996 Information Information institution's intellectual property management strategy. institution's intellectual property management policies Superseded Superseded + 5

19 Information Information Information Information Information institution's intellectual property management procedures Superseded + 3 Original patent documents Life of patent assignment of institutional patents to third parties. licensing of institutional patents to third parties. administration of patent licensing agreements and collection of fees Termination of assignment + 6 OR Life of patent Termination of license + 6 OR Life of patent Termination of licence + 6 External Relations Inspection Reports permanent OFSTED Reviews and follow-up reports. Subject Reviews and follow up reports External Relations Reports/Returns made to standards bodies, professional bodies, other government departments. permanent External Relations External Relations External Relations Governance Governance Records dealing with the management of relationships with regulatory bodies Monitoring of and participation in the development of policies which will affect the institution institution's sector relations strategy. establishment and development of the institution's legal framework. Current Year c.58 Instructions. Correspondence. Negotiations. Copy minutes of meetings. permanent 10.1 Superseded + 5 Clerk to the Corporation Life of institution Clerk to the Corporation Termination of appointment of members appointment + 6 of the institution's governing body not within the formal Corporation and Committee papers Northern Ireland Act c. 13 Further and Higher Education Act Articles of Government Charter, Act of Parliament Standing Orders for Appointments

20 provision of training and development for members of the institution's governing body. Clerk to the Corporation Current year + 3 Governance Register of Interests of Clerk to the Corporation Termination of members of the Governing appointment + 6 Body, senior staff and others covered by conflict of interest policies. Codes of Conduct governing conflict of interest. Governance Governance Governance Governance conduct and proceedings of meetings of the Corporation and its committees conduct and proceedings of meetings of the institution's executive committees. Complaints under the Raising Concerns procedure Clerk to the Corporation Current year + 50 Clerk to the Corporation Current year + 50 Clerk to the Corporation 3 Governance Governance Governance Register of Sealed Contracts Clerk to the Corporation Termination of contract + 12 Director of Termination of contract + legal support for the 6 negotiation, establishment and review of contracts and agreements between the institution and others: - other contracts and agreements. provision of legal support and representation for the institution in dealing with claims by or against the institution which do not proceed to litigation or settlement by an agreement. Director of Settlement of claim + 6 OR Withdrawal of claim + 6