Records Management: Records Retention Schedule

Records Management: Records Retention Schedule Retention schedules are used to determine how long records should be kept. The University Records Retention Schedule has grouped documents into 9 main categories: 1. Governance and Management 2. Financial Resources 3. Human Resources 4. Estates 5. Information Services 6. Student Administration and Support 7. Learning and Teaching 8. Research and Development 9. External Relations This is not an exhaustive list, but is meant to cover the basic types of records stored by the University. In general, the Limitations Act (1980 c.58) sets a time limit of current year plus 6 years for seeking legal redress and this informs the retention schedule. If you aren t certain about a group of records or they aren t listed here, keep them 6 years from the time they were created, or contact the Records Manager. The Schedule gives the expected final record holder for each record type listed. For administrative reasons, one unit may need to keep duplicates of records held by another unit (e.g. s may wish to keep copies of correspondence relating to academic appeals). These duplicates should not be kept for longer than the retention period listed in the schedule. To use the Retention Schedule effectively it is essential that records are dated and that they are filed or stored in some manner that identifies the date or (at a minimum) the year of creation. There can be some confusion as to whether year relates to the UK fiscal year, the University financial year, the academic year or the calendar year. Some record sequences relate directly to an academic year, in the event of the schedule stating that the (academic year) records can be disposed of after (for example) three years it is advisable to take this to be after the end of the calendar year, three years after the end of the academic year. For example, a record created on 5 November 2012 in the academic year 2012/13 with a three-year retention period could be considered for disposal after 31 December 2016. It is suggested that users read the additional guidance on the records retention schedule in conjunction with this document. If you have any questions about implementing the policy or would like additional advice please contact Jenny Rochfort, Academic Governance Manager (jennifer.rochfort@nottingham.ac.uk; tel: 0115 7484017) 1

Records retention schedule: governance and management Introduction 1. Structure & management 2. Financial resources 3. Human resources 4. Physical resources 5. Information Services 6. Student administration & support 7. Learning & teaching 8. Research & development 9. External relations In governance & management: Audit Decision-making and management Legal and policy framework Planning and strategy Campuses in Asia Audit Audit Files Audit Investigations Audit Reports Retain until maximum of: Completion of next audit of the topic; 3 years, unless sound reasons for retaining longer Internal Audit Service 3 years after completion of investigation, unless sound reasons for retaining longer Internal Audit Service Internal Audit Service Decision-making and management Academic Boards End of the current academic year + 6 years Ad hoc working groups not reporting to a University committee Ad hoc working groups reporting to a University committee Academic Services Division For the lifetime of the working group Secretary to the working group For the retention period of the Committee the group reports to. Committee Secretary 2

Audit Committee Retained by Registrar s Office for 15 years then transferred to University Archives Boards of Studies (faculties) Retained by Registrar s Office for 15 years then transferred to University Archives Careers Advisory Board Permanent Retention Retained by Registrar s Office for 15 years then transferred to University Archives Committee for Special Appointments Retained by HR for 15 years then transferred to University Archives Consultative Committee for Support Staff Retained by HR for 15 years then transferred to University Archives Council Retained by Registrar s Office for 15 years then transferred to University Archives Council declaration of interests forms End of the current academic year + 10 years Court RIS Retained by Registrar s Office for 15 years then transferred to University Archives e-learning/e-knowledge Committee Permanent Retention Retained by IS for 15 years then transferred to University Archives Environment Committee Permanent Retention Retained by Registrar s Office for 15 years then transferred to University Archives 3

4 Equalities and Diversity Committee Permanent Retention Retained by Registrar s Office for 15 years then transferred to University Archives Ethics Committee Permanent Retention Retained by Registrar s Office for 15 years then transferred to University Archives Committee Honorary Degrees Sifting Committee Permanent Retention Retained by Registrar s Office for 15 years then transferred to University Archives Information Services Strategy Board Permanent Retention Retained by IS for 15 years then transferred to University Archives Joint Consultative Committee Permanent Retention Retained by Registrar s Office for 15 years then transferred to University Archives Learning and Teaching Committee Management Board Permanent Retention Retained by Registrar s Office for 15 years then transferred to University Archives Permanent Retention Retained by Registrar s Office for 15 years then transferred to University Archives Military Education Committee Nominations Committee Permanent Retention Retained by Registrar s Office for 15 years then transferred to University Archives Permanent Retention Retained by HR for 15 years then transferred to Special Collections

Postgraduate Strategy Committee Permanent Retention Retained by Registrar s Office for 15 years then transferred to Special Collections Promotions Committee Retained by HR for 15 years then transferred to University Archives Remuneration Committee Permanent Retention Retained by HR for 15 years then transferred to University Archives Research Committee Permanent Retention Retained by Registrar s Office for 15 years then transferred to Special Collections Salary Review Committees Permanent Retention Retained by HR for 15 years then transferred to University Archives Safety Committee Retained by for 15 years then transferred to University Archives Senate Permanent Retention Retained by Registrar s Office for 15 years then transferred to University Archives Space Management Committee Permanent Retention Retained by Estates for 15 years then transferred to University Archives Staff Equality and Diversity Advisory Group Permanent Retention Retained by HR for 15 years then transferred to University Archives Statutory Safety Committee Permanent Retention Retained by for 15 years then transferred to University Archives 5

Strategy and Planning Committee Retained by Registrar s Office for 15 years then transferred to University Archives Strategy Groups Student Affairs Committee Current academic year + 6 years Secretary to group Permanent Retention Retained by Registrar s Office for 15 years then transferred to University Archives Transnational Education Committee Permanent Retention Retained by Registrar s Office for 15 years then transferred to University Archives Student Equality and Diversity Advisory Group End of the current academic year + 15 years SSC Student Support Funds Committee End of the current academic year + 15 years SSC Unit Level Committees End of the current academic year + 6 years Unit servicing the Committee Legal and policy framework Calendar Retained by Registrar s Office for 15 years, copy for permanent retention sent to University Archives on publication Charter and Statutes Amended versions retained by Registrar s Office for 15 years from amendment; copy for permanent retention sent to University Archives on publication University Regulations 6

Amended versions retained by Registrar s Office for 15 years from amendment; copy for permanent retention sent to University Archives on publication Planning and strategy University annual reports University financial statements Retained by Registrar s Office for 15 years then transferred to University Archives ; copy to University Archives on publication Campuses in Asia Management Board (UNNC and UNMC) Annual Financial Statements (UNNC and UNMC) Teaching and Learning Committee (UNNC and UNMC) Research Committee (UNNC) These records will be transferred electronically and retained by Registrar s Office These records will be transferred electronically and retained by Chief Financial Officer s Office These records will be transferred electronically and retained by Registrar s Office These records will be transferred electronically and retained by Registrar s Office Research Strategy Committee (UNMC) These records will be transferred electronically and retained by Registrar s Office Student Affairs Committee (UNNC) 7

Student Services Committee (UNMC) These records will be transferred electronically and retained by Registrar s Office These records will be transferred electronically and retained by Registrar s Office Operations Group (UNMC) These records will be transferred electronically and retained by Registrar s Office Marketing Committee (UNMC) These records will be transferred electronically and retained by Registrar s Office 8

Records retention schedule: financial resources Introduction l 1. Governance & management 2. Financial resources 3. Human resources 4. Estates 5. Student administration & support 6. Information services 7. Learning & teaching 8. Research & development 9. External relations In financial resources: Commercial Services l Chief Financial Officer s Office l Financial Reporting l Payments Centre l Payroll & Pensions l Tax Commercial Services Closed tender files Termination of supply contract awarded + 6 years Commercial Services Contracts/ Agreements Length of contract/agreement awarded + 6 years Commercial Services E-tender Correspondence Termination of supply contract awarded + 6 years Commercial Services E-Auction Correspondence Termination of supply contract awarded + 6 years New supplier request forms Commercial Services While current-supplier database Rejected suppliers-rejection + 1 year Approved suppliers-termination of approval Commercial Services Race Relations Questionnaires Budget Management Records Purchase card statements Length of contract/agreement + 5 years Commercial Services Current financial year + 6 years 3 months Cardholder 9

Purchase card correspondence/application Personal Purchase Card Monthly Log Purchase orders Lodge Card statements Strategy, policy and procedure documentation Length of card holder maintaining card Current financial year + 6 years Cardholder Current financial year + 6 years Local Team Current financial year + 1 year Cardholder Superseded + 5 years Unit creating the documentation Leases Length term of lease can be minimum 7 years or lease term + 3 years (35 yr plus) Outsourcing Treasury Documents Insurance Claims Liability/Personal injury/nurture claims Property and other claims Commercial Services 3 years Commercial Services Current financial year + 6 years Commercial Services Completion of claim + 6 years Commercial Services Insurance Policies Employers Liability policies should be retained and records kept of insurers to enable claims to be passed to the correct insurer. Policies are written on the basis that they are handled by the insurers for the year when the incident happened, with long-tail claims such as deafness there is a long discovery period. Public liability as above with the student exposure as liability Commercial Services 10

General Correspondence for insurance Accident/incident reports where reported to HSE Crime Reports Various depending on reason for correspondence Commercial Services of copy One year Security : Chief Financial Officer s Office committee papers Records documenting litigation between the institution and third parties where legal precedents are set Records documenting litigation between the institution and third parties where legal precedents are not set Records documenting the provision of legal support and representation for the institution in dealing with claims by or against the institution which do not proceed to litigation or settlement by agreement Records documenting legal advice requested by, and provided to, the institution Conveyances and deeds Leases Share certificates Settlement of case + 6 years (review for archival value) Settlement of case+ 6 years, or withdrawal of claim + 6 years, after which review for archival value OR superseded + 5 years depending on the subject Retained indefinitely or until property is sold Retained until lease is renewed/expired Retained until sold 11

: Financial Reporting Budget and management accounts working papers Current financial year + 1 year Financial statements working papers Subsidiary companies-statutory records Project records- HEFCE, UE etc. Financial Systems documentation Journals and other prime documents for financial transactions Current financial year + 12 years Current financial year + 5 years Life of system Current financial year + 1 year : Payments Centre BACS/Bankline reports Cheque reports CITS tax returns Duplicate payment reports Invoices Journals Current financial year + 2 years Current financial year + 2 years Current financial year + 6 years Current financial year + 2 years Current financial year + 6 years Current financial year + 2 years or Current financial year + 6 years where VAT involved 12

Lodge Card reports Paper Electronic Purchase card reports Paper Electronic Pensions documentation move to Payroll & Pensions Reconciliations: Supplier statements Current financial year + 1 year Current financial year + 6 years Current financial year + 1 year Current financial year + 6 years Termination of employment + 75 years Current financial year + 1 year Reconciliations: Control accounts Current financial year + 2 years Supplier Master file changes Current financial year + 2 years Used cheque books Current financial year + 2 years : Payroll & Pensions Records documenting employees authorisation for non-statutory payroll deductions Records documenting calculation and payment of payroll payments to employees Records documenting the operation of the Statutory Sick Pay Scheme Records documenting the operation of the Statutory Maternity Pay Scheme Current tax year + 6 years Current tax year + 6 years Current tax year + 6 years Current tax + 6 years 13

Records documenting the operation of the Nursery Schemes Records documenting the operation of the ECP vouchers scheme Records documenting the operation of the Sports Centre Scheme Records documenting the operation of the Fitness Centre Scheme Records documenting payments of the institution s employers contributions to pension schemes for its employees Records documenting payments of the institution s employees contributions to pension schemes Current tax year + 6 years Current tax year + 6 years Current tax year + 6 years Current tax year + 6 years Termination of employment + 75 years Termination of employment + 75 years : Tax Records documenting the preparation and filing of the institution s tax returns Current tax year + 6 years Records retention schedule: human resources 14

Introduction 1. Structure & management 2. Financial resources 3. Human resources 4. Physical resources 5. Information Services 6. Student administration & support 7. Learning & teaching 8. Research & development 9. External relations In human resources: Employment and employee relations Health and safety Staff training and development Employment and employee relations Activity/Performance Review Paperwork including notes from Performance Review Committee Promotions/Regrading Current academic year + 6 years. Outcome letters placed on individuals files HR Papers from relevant committees kept for current academic year + 6 years. Outcome letters placed on individuals files. HR Recruitment Job Boxes and on-line job applications (includes details of adverts, job description, applications etc.) Chairs All other posts Date of interview+ 3 years Date of interview + 9 months HR Staff files: staff APM and R&T 7 Weed at termination of employment to remove all transient material of no lasting value and retain weeded files for 40 years HR Staff files: All other grades Termination of employment + 6 years HR Health and safety: Health and safety audit 15

Records of the conduct & results of health & safety audits, & action taken to address issues raised Completion of audit +5 years Health and safety: Health and safety management University policies and guidance including the Safety Handbook Superseded + 50 years Minutes and associated papers of Faculty, and Departmental safety committees. Life of committee +50 years Committee Secretary Health and safety: Health and safety consultation Notifications of appointments of safety representatives by trade unions under the Safety Representatives & Safety Committees Regulations 1977 Records of the provision of time off, & other facilities & assistance, for Safety representatives under the Safety Representatives & Safety Committees Regulations 1977 Records of the formation of a safety committee under the Safety Representatives & Safety Committees Regulations 1977, including records of the objectives, role, functions, composition & administration of the committee End of appointment +1 year Current year +5 years Current year +5 years 16

Health and safety: Health and safety information, instruction and training provision Records of the provision of information, instruction & training for employees, students & others on health & safety in University premises. For role specific training for fire wardens & first-aiders, see Emergency Planning below Records of the content of information & instruction on health & safety matters provided for members of the public & others with legitimate access to premises, & other methods of delivery Records of appointment of persons to health and safety roles. Termination of employment or study +5 years Local r Superseded +5 years Termination of appointment to the role +5 years Health and safety: Health and safety hazard identification and risk assessment Records of the identification of general health & safety hazards to employees & others on the premises. The conduct & results of risk assessments in relation to plant, equipment, machinery & processes Records of health and safety arrangements for the planning, organisation, control, monitoring and review of preventative and protective measures. Records of monitoring exposure to physical agents with the potential for long term health effects (including full methodology). Current year +5 years Local r Current year +5 years Local r Current year +40 years 17

Health and safety: Health and safety hazardous substance exposure control Records of use of hazardous substances with the potential to cause long term health effects Records of users and usage of high classification biological agents. List of employees exposed to Group 3 or Group 4 biological agents (defined in the Regulations). Risk Assessments for use of hazardous substances (All Risk Assessments that are over 4 years old to be re-assessed unless the issue is now irrelevant) Records of testing, repair, examination or maintenance of equipment provided to control identified hazards / risks (including methodology where appropriate) Creation +40 years Local r Last entry +40 years Local r Current year +5 years Local r Current year +5 years Local r Environmental exposure monitoring (general) (including full methodology) Monitoring of environmental or personal exposure for individual or where a person is identified (including full methodology) Health Surveillance or medical certification records for individuals Records relating to asbestos: Medical records, training records, suspected incidents of potential exposure Record relating to monitoring of exposure to ionising radiation Current year +5 years Local r Creation +40 years Local r Date of monitoring +40 years Creation +40 years Current year +40 years Local r 18

Health and safety: Health and safety inspection Records of the conduct & results of health & safety inspections of University land, buildings, facilities or operations, & action taken to address issues raised Current year +5 years Health and Safety: incident recording, reporting and investigation Records of accidents, dangerous occurrences & outbreaks of notifiable diseases on University premises or affecting University staff or students. Records of investigations of accidents, dangerous occurrences & outbreaks of notifiable diseases on University premises or affecting University staff or students. Current year +40 years Current year +40 years Health and Safety: emergency planning Nominations/appointments of fire wardens Records of the provision of role-specific training for fire wardens Records of the assessment of requirements for fire-fighting systems & equipment Appointments of official first-aiders Records of the provision of approved training for first aiders (specifically related to their functions as first aiders) Records of the assessment of requirements for first aid facilities & equipment End of appointment +5 years End of appointment +5 years Review of assessment +5 years End of appointment +5 years End of appointment +5 years Reassessment +5 years 19

Specifications for first aid facilities & equipment Records of arrangements with external emergency service organisations Superseded +5 years Review of arrangements +5 years Health and Safety: employee health surveillance All records relating to occupational health screening and health surveillance Records creation +40 years Staff training and development Applications for financial assistance from Individual Development Fund End of the current financial year + 1 year Professional Development Unit Staff Educational appraisal forms Development Unit End of the current academic year + 1 year Professional Development Unit Staff Educational Development Unit evaluation forms Completion of course + 3 months Professional Development Unit 20

Records retention schedule: Physical Resources Introduction 1. Structure & management 2. Financial resources 3. Human resources 4. Physical resources 5. Information Services 6. Student administration & support 7. Learning & teaching 8. Research & development 9. External relations In Estates: Maintenance, grounds and developments l Security Services Maintenance, grounds and developments Architectural drawings and plans (electronic-cad) Architectural drawings and plans (paper) Asbestos files Asset database Building files Building information system Concept database (facilities management system) Continuum database (building heating and ventilation information) Contracts under seal Sample of 'historic' drawings and plans to be retained permanently after demolition of building or transfer of ownership University Archives Sample of 'historic' drawings and plans to be retained permanently after digitization University Archives Until asset is disposed of Life of building + 5 years (heating logs truncated every 48 hours) 12 years 21

Electrical test certificates Energy bills Energy database Gas test certificates Job tickets Helpdesk voice recorder Ladder inspection record Legionella test certificates Lifts-insurance inspections Metering database PAT testing Pesticides database Pressure systems (insurance inspections) boiler plant Pressure systems (insurance inspections) Retain for lifetime of building 10 years, truncate records at 2GB 5 years 10 years 1 year For lifetime of ladder + 3 years 5 years 6 years 10 years, then truncated For lifetime of the appliance Local r Current year only Current year only 22

Project files Project Portal database Safety harness, PPE and Access systems Space Management documents Stores requisition forms Tree survey database University Houses building files Waste transfer certificate 7 years, unless EU funded, in which case permission is required before destruction 1 year Until tree is removed Life of building + 5 years 3 years Security Services Associate Card Application Forms CCTV Video Key card application forms Lost Property forms Whilst card is active 21 days, then overwritten unless there is management intervention Security Whilst card is active 1 year 23

Lost Property forms Nedap access control database Parking permit application form Staff Students 1 year, logs may be truncated every 10 years. Snapshot every 3 months. 2 years 1 year 24

Records retention schedule: information services Introduction 1. Structure & management 2. Financial resources 3. Human resources 4. Physical resources 5. Information Services 6. Student administration & support 7. Learning & teaching 8. Research & development 9. External relations In information services: Archives Business systems Library Archives Accessions register Depositor/donor agreements Locations database Manuscripts and Special Collections; transferred to University Archives Manuscripts and Special Collections; transferred to University Archives Keep while current + 5 years Manuscripts and Special Collections; transferred to University Archives Promotion of archives Guides Catalogues Exhibition guides Exhibition materials reports Provision of access to the records Registration file Enquiry records Loan records Production Reprographics orders Copyright forms Conservation records including policies and standards Manuscripts and Special Collections; transferred to University Archives Weeded after 1 year Whilst current + 5 years Current year + 3 years Current year + 3 years Current year + 5 years Manuscripts and Special Collections; Registration File transferred to University Archives Manuscripts and Special Collections; transferred to University Archives 25

Acquisition of collections Manuscripts and Special Collections; transferred to University Archives Catalogues and indexes of collections in archives Manuscripts and Special Collections; transferred to University Archives Business Systems Agresso, Resourcelink, SATURN Full back up every night; tapes kept for 6 weeks. Data retention controlled by clients. Legacy data from previous systems also retained and controlled by clients Other business systems Systematic back up. Data retained in consultation with clients IS IS Contents of email servers Email server logs and contents of Exchange post office mail logs Backups of exchange email servers performed weekly with daily incrementals. Emails cannot be deleted to a set timescale as contents vary and some are records of business activity IS Generated daily and retained for 1 year IS Library Inter-library loan request forms User records End of the current academic year Library handling request 2 years after expiry unless outstanding debts Library handling request 26

Records retention schedule: student administration & support Introduction 1. Structure & management 2. Financial resources 3. Human resources 4. Physical resources 5. Information Services 6. Student administration & support 7. Learning & teaching 8. Research & development 9. External relations In student administration & support: Student admission Student fees Student accommodation Student registration and administration Student discipline Student services to support learning Student liaison Student welfare Student associations Student admission UCAS application forms for successful applicants to undergraduate courses leading to professional registration in the Faculty of Medicine and Health Sciences who register UCAS application forms for successful applicants to undergraduate courses (courses not leading to professional registration) who register UCAS application forms for unsuccessful applicants to undergraduate courses and successful applicants who fail to register Interview notes for successful applicants to undergraduate courses who register Interview notes for unsuccessful applicants to undergraduate courses and successful applicants who fail to register Offer letters and acceptances for applicants to undergraduate courses Graduation/leaving + 50 years Registry Registry End of applications cycle + 1 year Admissions Graduation/leaving End of applications cycle + 1 year Registry applicants who register Admissions applicants who don t register Application forms and supporting documentation for successful applicants to postgraduate courses who register including TOEFL/IELTS and financial guarantees Application forms and supporting documentation for unsuccessful applicants to postgraduate courses and successful applicants who fail to register Registry End of applications cycle + 1 year Admissions 27

Offer letters and acceptances for applicants to postgraduate courses Registry applicants who register Admissions applicants who don t register Interview notes for successful applicants to postgraduate courses who register Interview notes for unsuccessful applicants to postgraduate courses and successful applicants who fail to register Fees status questionnaires Registry End of applications cycle + 1 year Registry applicants who register Admissions applicants who don t register Correspondence and documentation relating to PBS for international students Parental consent Duration that the migrant is sponsored International Office Registry applicants who register Admissions applicants who don t register CRB Checks CRB Issue number and date Six Months Unit requesting check Graduation/leaving + 50 years Unit requesting check 28

Student fees Undergraduate grant cheques Student Loans (student tuition fee record) Student Loans (information from SLC) Current financial year + 6 years Retain for administrative purposes and destroy when no longer current (tuition fees) SSC (payment to student) Bursaries (cheques from bursary funds) Bursaries (graduate school scholarships for conferences/travel paid into project codes) Bursaries (new university core bursaries) Bursaries (undergraduate fee reduction scholarships) Bursaries (travel scholarships awarded by Student Services) Bursaries/scholarships (awarded by ) Debts (debt information Debts (debtors list and write-off list) Funding applications (graduate school applications to research councils) Current financial year + 6 years SSC Current financial year + 6 years RIS SSC Current financial year + 6 years Office delivering the scholarship Current financial year + 6 years SSC Current financial year + 6 years (no need to retain unsuccessful applications) RIS Funding applications (international office) End of funding + 6 years (no need to retain unsuccessful applications) International Office 29

Hardship fund documentation SSC Postgraduate stipends/sponsorship agreement/award letters (e-works, grant requests, and authorisations) RIS Student accommodation Accommodation application forms Accommodation residency offer and payment schedule Accommodation residency contracts Accommodation personal details form Accommodation termination notifications Retain for administrative purposes and destroy when no longer current Accommodation Accommodation End of contract + 6 years Accommodation Retain for administrative purposes and destroy when no longer current Accommodation Retain for administrative purposes and destroy when no longer current Accommodation 30

Student registration and administration New students personal details Returning students personal details (including name change information) Student declaration of acceptance of terms and conditions of registration Student fitness to practice declarations Module content information including module learning resources in Moodle(1) Module content information for courses leading to professional qualifications in the Faculty of Medicine and Health Sciences Module entry form enrolments/ exam entry forms Module enrolments Module enrolments for courses leading to professional qualifications in the Faculty of Medicine and Health Sciences Exchanges Retain for administrative purposes and destroy when no longer current Registry Retain for administrative purposes and destroy when information is no longer current Registry Registry Graduation/leaving + 50 years Current academic year + 6 years & LRLR (for records in Moodle) Current academic year + 50 years Retain for administrative purposes and destroy when no longer current ASD Graduation/leaving + 50 years ASD and/or International Office Prizes awarded by s Supervision records 31

Transfers/change of course (database record) Attendance monitoring school reports Attendance monitoring SAMS snapshots Graduation/leaving + 50 years Registry Current period + 6 years Current period + 6 years Student Administration (1) No records are being retained by the University in WebCT 32

Transfers/change of course (form confirming change to LEA and Student Loans Company) Transfers/change of course (authorisation form)/upgrades and change to thesis pending Work placements Fieldwork/Study Abroad documentation Withdrawal/interruption of studies incl. request from student, authorisation and confirmation letters (courses leading to professional registration in the Faculty of medicine and Health Sciences)) Withdrawal/interruption of studies incl. request from student, authorisation and confirmation letters (courses not leading to professional registration) General correspondence with student (including thesis pending information, notice of intent to submit etc) Registry Registry (weeded to remove personal information 12 months after completion of trip) Graduation/leaving + 50 years Registry Registry Originator of correspondence Student discipline Offences dealt with by Security (except traffic offences) Traffic offences Minor offences relating to IS Minor offences relating to accommodation Settlement of case + 6 years Security Settlement of case + 3 years SSC Settlement of case + 3 years SSC Settlement of case + 3 years SSC 33

Documentation relating to academic offences (except outcome letters) Academic offences outcome letters Settlement of case + 6 years -first offences ASD- further offences Settlement of case + 50 years -first offences ASD- further offences Documentation relating to appeals (courses leading to professional registration) Documentation relating to appeals (courses not leading to professional registration) Documentation referred to by Fitness to Practice committees Offences dealt with by Senate Disciplinary Committee Offences dealt with by PVC for Student Experience Suspensions Settlement of case + 50 years ASD Settlement of case + 6 years ASD Settlement of case + 50 years Secretary to the Medical Settlement of case + 6 years SSC Settlement of case + 6 years SSC Settlement of case + 6 years SSC Student services to support learning Special arrangements for teaching and learning (applications) Special arrangements for teaching and learning (medical assessment) Special arrangements for teaching and learning (academic referral) Academic Support Academic Support Academic Support 34

Student liaison Careers advice (tracking student use of service) Careers advice (notes on meetings with students) Support for failing students (in s/departments with formal process for this) Staff Student Consultative Committees CCD CCD Current academic year + 5 years Student welfare Counselling service (notes relating to student clients) Disability issues incl. disclosure form and DSA (courses leading to professional registration in the Faculty of Medicine and Health Sciences) Disability issues incl. disclosure form and DSA (courses not leading to professional registration) Records of informal pastoral care Completion of casework + 5 years University Counselling Service Graduation/leaving + 50 years Academic Support Academic Support Graduation/leaving + 1 year Member of UoN staff offering support (e.g. Hall Warden, Personal Tutor) Student associations Students' Union constitution (yearly 'snapshot') Students' Union Students' Union handbooks and guides Students' Union Students' Union magazine (Impact) Students' Union 35

Records retention schedule: learning & teaching Introduction 1. Structure & management 2. Financial resources 3. Human resources 4. Physical resources 5. Information Services 6. Student administration & support 7. Learning & teaching 8. Research & development 9. External relations In learning & teaching: Academic quality and standards Graduation Programme development and delivery Student assessment & academic progress Academic quality and standards Minutes of exam boards meetings exam board papers (courses leading to professional registration) exam board papers(courses not leading to professional registration) Graduation/leaving + 50 years Graduation Award ceremony invitation forms Degree ceremony proceedings Award certificates Retain for administrative purposes and destroy when no longer current Registry Exams Office when not collected by student Exams Office 36

Student assessment & academic progress Assignments/coursework/projects Attendance registers (when needed for assessment purposes) Clinical assessment notes (Faculty of Medicine & Health Sciences) Summative examination question papers Examination scripts Exam registers Research theses/dissertations End of the academic session following the session in which the work was submitted End of the academic session following the session to which the register relates Graduation/leaving + 1 year End of the academic session + 5 years ; copies may be sent to University Archives End of the academic session following the session in which the exam was sat. Anonymised samples may be kept for quality assurance purposes Retain for administrative purposes and destroy when no longer current Exams Office Theses Library Dissertations - Taught masters dissertations Undergraduate dissertations Annual student reviews Documentation relating to attendance problems Records relating to examination invigilators Graduation/leaving + 5 years Graduation/leaving + 1 year Retain for administrative purposes and destroy when no longer current Exams Office/s if exams not centrally invigilated 37

Applications for overseas examinations Alternative examination arrangement recommendations Extenuating circumstances submissions Marks Official finalists pass lists Transcripts Examiners notes PhD Examiners reports Thesis restriction requests External Examiners (including appointment information) Retain for administrative purposes and destroy when no longer current Exams Office Retain for administrative purposes and destroy when no longer current Academic Support Graduation/leaving + 50 years s current students ASD post-graduation Registry Produced to order, no copies are kept SSC Current students ASD post-graduation End of the academic session following the session in which the exam was sat Graduation/leaving + 50 years Registry For period of restriction + 12 months Registry Reports should be kept for the current academic year and previous 5 years. ASD 38

Records retention schedule: research & development Introduction 1. Structure & management 2. Financial resources 3. Human resources 4. Physical resources 5. Information Services 6. Student administration & support 7. Learning & teaching 8. Research & development 9. External relations In research & development: Development Funding and administration Intellectual Property Rights (IPR) management Knowledge transfer and enterprise Development Research project files Research project files for European projects Minimum of 7 years after closure and up to 25 years. US Federal Department requirement minimum of 12 years Principal Investigator Minimum of 7 years after closure and up to 25 years. Principal Investigator Funding and administration Individuals/companies correspondence Financial information Systems-configurations and invoices Systems-project management and reporting material On-going Principal Investigator 7 years RIS Lifetime of systems RIS Duration of development programme RIS 39

ESF, ERDF, KTP, Medici, EMDA, GOEM and 10 years for ESF, ERDF, innovation and EU funding Medici fellowships. Up to 25 years for KTP Prior to the destruction of any documentation relating to projects supported by the 1994-96, 1997-99 and 2000 06 ERDF Programmes, confirmation must be sought from the Government Office East Midlands Documentation relating to the 2007-13 ERDF Programme must be retained until at least 31 December 2023. Prior to the destruction of any documentation relating to this programme, confirmation must be sought from the European Programme Secretariat at the East Midlands Development Agency. RIS Intellectual Property Rights (IPR) management Contracts and agreements (intellectual property management)) Intellectual Property Rights (IPR) correspondence Patents applications and renewals Patents correspondence Termination of contract/agreement + 20 years RIS End of the current financial year + 6 years RIS Life of patent + 6 years RIS End of the current financial year + 6 years RIS Knowledge transfer and enterprise 40

Consultancy documentation (Research and Innovation Services) Knowledge transfer partnership (KTP) programme files Completion of consultancy project + 6 years RIS Completion of programme + 6 years RIS 41

Records retention schedule: external relations Introduction 1. Structure & management 2. Financial resources 3. Human resources 4. Physical resources 5. Information Services 6. Student administration & support 7. Learning & teaching 8. Research & development 9. External relations In external relations: Alumni Government and regulator relations Marketing Public relations l Freedom of information and data protection Alumni Alumni membership records Alumni details Alumni correspondence Alumni donations records unless individual requests their details are removed Alumni Office Destroy/remove when no longer valid Alumni Office Destroy/remove when no longer valid Alumni Office Current financial year + 6 years Alumni Office Government and regulator relations HEFCE circulars HEFCE correspondence HESA Individual Student Record (ISR) returns Quality Assurance Agency (QAA) correspondence End of the current calendar year + 3 years PMID End of the current academic year + 6 years PMID PMID End of the current academic year + 6 years PMID 42

Training and Development Agency for s (TDA) correspondence Universities UK circulars and correspondence End of the current academic year + 6 years of Education End of the current calendar year + 3 years PMID Marketing University prospectuses (undergraduate and postgraduate) Copy sent to University Archives on publication Public relations Press cuttings Press releases Copy sent to University Archives on publication Copy sent to University Archives on publication Publications (e.g. the Hub) Copy sent to University Archives on publication Freedom of Information and Data Protection Freedom of information requests Data Protection Subject Access Requests Guidance from the Information Commissioner s Office Close of query + 6 years Unit responding to the request Close of query + 6 years Unit responding to the request Until superseded Academic Services Division 43