CORPORATE GOVERNANCE AND MANAGEMENT- PERFORMANCE, RISK AUDIT, HEALTH & SAFETY, INTERNAL AND EXTERNAL RELATIONS, LEGAL MATTERS

Transcription

1 CORPORATE GOVERNANCE AND MANAGEMENT- PERFORMANCE, RISK AUDIT, HEALTH & SAFETY, INTERNAL AND EXTERNAL RELATIONS, LEGAL MATTERS Records about: Retention period Rationale Sector Official Copy Holder Action Function: Corporate Governance and Management Activities include: managing the work of the institution s governing body establishing terms of reference, membership and mode of operation of committees; appointing members of committees; providing members with opportunities for training and development; conducting meetings of executive committees; servicing meetings of executive committees managing the work of the executive committees that support the institution s governing body Board of Governors Meeting Papers (Including Committee and Advisory Group papers). Permanent MMU Practice : Life of institution Governance & Secretariat Team Archive after an appropriate period of time. Executive and Directorate Meeting Papers. Permanent MMU Practice None Governance & Secretariat Team Archive after an appropriate period of time. Directorate Sub-Committee Meeting Papers. Faculty Executive Group Meeting Papers. CAY + 10 MMU Practice None Governance & Secretariat Team CAY + 10 MMU Practice None F/C SAS

2 Records about: Retention period Rationale Sector Function: Risk Audit Official Copy Holder Action Activities include: managing identified risks to the viability or success of the institution developing performance indicators and measurement mechanisms; measuring, monitoring and analysing performance; conducting formal reviews of performance and responding to the results, including preparing and implementing action plans to address under-performance or other issues raised Performance and Risk Audit: Planning & performance management, including Performance monitoring and analysis. CAY + 10 PMI Risk Management & Reporting, including identification/assessment of risk. (non-health & Safety risks) CAY + 5 PMI Records documenting the conduct and results of audits and reviews of the strategic planning and performance management function, and responses to the results. CAY + 5 PMI

3 Data on overall student numbers including key external student data returns (HESA, HEFCE, TDA, SHA and LSC, as well as a range of other stakeholders and opinion formers). CAY + 5 PMI

4 Records about: Retention period Rationale Sector Official Copy Holder Action Function: Health & Safety The function of managing the impact of the institution s operations on the health and safety of its staff, students and others, and ensuring compliance with health and safety legislation, regulations and standards. Activities include: developing the institution s health and safety management procedures conducting health and safety audits of the institution s activities and operations providing information, instruction and training on health and safety matters to staff, students and others who use the University s facilities controlling the exposure of staff, students and others to hazardous substances on the University s premises or in other places affected by its operations recording and investigating accidents on the University s premises, and the reporting of reportable incidents to the enforcing authorities. Health & Safety strategy, policies & procedures. These records 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 Practice 5(2) of the Management of Health and Safety at Work Practices 1999 (SI 1999/3242). Permanent MMU Practice : Current Version + 50 H&S Archive after an appropriate period of time.

5 University Health & Safety Committee papers including agenda and minutes. Records documenting the proceedings and decisions of a safety committee formed under the Safety Representatives and Safety Committees Regulations 1977 (SI 1977/500). Permanent MMU Practice : Current Version + 50 Governance & Secretariat Team Archive after an appropriate period of time. Local site health & safety panels Local site health & safety panels are serviced by F/C SAS Management Services Groups. CAY + 5 MMU Practice None F/C SAS Safety representatives appointment, training, consultation CAY + 50 HR Records documenting consultations and other communications with representatives of employee safety elected under the Health and Safety (Consultation with Employees) Regulations 1996 (SI 1996/1513), or with all employees directly.

6 These records provide information /instruction and training on health and safety matters to staff, students and others who use the institution s facilities. CAY + 5 HR (health and safety unit) Academic Dpts hold academic staff H&S records. Display screen equipment (including risk assessments; information/instruction/training; maintenance/monitoring; incident reports). Eye test records. Current Version + 5 H&S Fire safety (including risk assessments; information/instruction/training; incident reports; conduct of drills). Current Year + 5 H&S Fire safety Maintenance and monitoring. Current Version + 5 Facilities First Aid (including appointment/training of First Aiders, assessment of equipment). CAY + 5 H&S

7 Internal accident report forms relating to accidents and near misses. The record is held by line managers. Some are kept by H&S depending on the accident. Date of notification + 3 : In line with SI 1995/3163 Practice 7(3) H&S, s Expectant and new mothers (including risk assessments; information/instruction/training; maintenance/monitoring; incident reports) Health & Safety provide guidance and advice The record is held by the line managers. Date of notification of pregnancy + 22 (unless exposure to hazardous substances and physical agents in which case + 40/50 as specified below) 1980 c. 58 s 11 H&S level line managers Occupational Health Records ref: Hazardous substances including biological agents, asbestos and lead (including risk assessments; information/instruction/training; maintenance/monitoring; incident reports). Last entry + 40 SI 2002/2677 Practice 7(10) and Schedule 3, para. 4(3) SI 2002/2676 Practice 10(5) SI 2006/2739 Practice 19(4)(a) HR Operational Team

8 Occupational Health Records ref: Physical agents ionising radiation (including risk assessments; information/instruction/training; maintenance/monitoring; incident reports). Occupational Health Records ref: Physical agents including noise, hand-arm and whole-body vibration (including risk assessments; information/instruction/training; maintenance/monitoring; incident reports). Current version + 10 [In the case of an accident, date of accident + 50.] Current version retained for 40 : SI 1999/3232 Practice 21(3)(a) SI 2010/1140 Practice 3(6 and 7) and Practice 6 (3 and 5) HR Operational Team HR Operational Team General H&S Risk Assessments; Risk Assessments include: COSHH, Radiation, Working at height, Confined spaces, machinery, manual handling, DSE, Office, electrical etc. Current version retained for 5 H&S, s General H&S incident reports (other than for specific topics listed above). Includes Notification/reporting of reportable incidents of injuries, disease and dangerous occurrences. Date of notification + 3 : In line with SI 1995/3163 Practice 7(3) H&S, s

9 Audit protocols, audit reports and associated management action plans including the conduct and results of health & safety audits. audit + 5 H&S Records documenting the investigation of accidents, dangerous occurrences and outbreaks of notifiable diseases on the institution s premises. Closure of investigation + 40 : 1980 c. 58 s 11 H&S Archive after an appropriate period of time. For H&S equipment, see section for Resources Management.

10 Records about: Retention period Rationale Sector Official Copy Holder Action Function: Internal and External relations including complaints & enquiries, events & visits records Complaints from members of the public, the internal handling of these complaints and the responses provided. Last action on complaint + 1 year Planning and evaluation of events. event + 3 Organisation and administration of events. event + 1 year Formal communications with other HE/FE institutions, other educational institutions, professional associations and learned bodies. CAY + 5 Publications Permanent Of enduring : While current + 1 year Formal enquiries from institutions and other bodies in the sector, the internal handling of these enquiries and the responses given. Last action on enquiry + 1 year Archive after an appropriate period of time.

11 Formal responses to consultations conducted by HE/FE sector organisations. Last action on consultation + 3 Preparation and submission of reports to HE/FE regulatory bodies. Submission of report + 3 Community relations, inc. Membership of & participation in local community organisations. Termination of membership + 1 year Market research data: data relating to identifiable individuals. analysis of data Market research data: aggregated data and analyses. Design, implementation and review of marketing campaigns. Marketing materials: Includes market research data, aggregated data and analyses. research + 5 campaign + 3 research + 5 Alumni relations & fundraising. Includes records documenting the planning and impact/results of institutional events for alumni. event + 3

12 Student relations, Students Union relation records. Current Version + 5 Records documenting requests for information from parliamentary bodies, the consideration of the requests, preparation of responses and the responses provided. Last action on request + 5

13 Records about: Retention period Rationale Sector Function: Matters Official Copy Holder Action Activities include: The provision of legal advice and support to the University, its management and staff, in relation to University matters, including: progressing projects, maximising revenue, managing risks and preventing or dealing with disputes; managing the legal aspects of contracts/agreements, including negotiating, establishing, maintaining and reviewing; raising awareness and knowledge of relevant legal matters throughout the University; engaging and managing external lawyers; advising subsidiary companies and joint ventures (in which the University has a majority interest and there is no risk of a conflict of interest); management of the University s obligations under specific legislation, including the Freedom of Information Act 2000, the University s Publication Scheme and the Data Protection Act University insurance related matters Collaborative partnership agreements Termination of contract + 6 (unless contract says otherwise) MMU Practice None Collaborative Partnership Office (CPO) Records documenting the negotiation, establishment and review of contracts and agreements between the institution and third parties: other contracts and agreements. Termination of contract c. 58 s 5

14 Records documenting the negotiation, establishment and review of contracts and agreements between the institution and third parties: agreements and contracts under seal (by deed). Termination of contract c. 58 s 8 Records associated with providing legal opinions and advice to the institution. File close date + 6 MMU Practice : Life of Institution or CAY + 5 Requests for access to personal information held by the University under the Data Protection Act 1998 Last action on request + 1 year Requests for information held by the University, made under the Freedom of Information Act 2000 and/or the Environmental Information Regulations request handling process + 3 Records documenting the University s annual notification of data controller details to the Information Commissioner s Office, as required by s2 Data Protection Act 1998 Current year + 1 year

15 Records containing (anonymised) statistics, analyses and reports of requests for information held by the University under the Data Protection Act 1998, the Freedom of Information Act 2000 and/or the Environmental Information Regulations 2004 Current year + 10 Records documenting the development and maintenance of the University s Publication Scheme, as required by the Freedom of Information Act revision of Publication Scheme + 5