RESOURCES MANAGEMENT FINANCE AND PURCHASING, STAFF, FACILITIES, ENVIRONMENTAL MANAGEMENT AND LEARNING AND RESEARCH INFORMATION SERVICES

Transcription

1 RESOURCES MANAGEMENT FINANCE AND PURCHASING, STAFF, FACILITIES, ENVIRONMENTAL MANAGEMENT AND LEARNING AND RESEARCH INFORMATION SERVICES Records about: Retention period Rationale Sector Function: Financial Management Activities include: developing and establishing the institution s finance strategy conducting and responding to internal and external audits of the institution s financial affairs preparing the institution s statutory accounts preparing and managing the institution s annual revenue and capital budgets administering the institution s employee payroll monitoring and controlling the use of the institution s financial resources managing the institution s tax affairs Notes Financial accounting: Includes - Sales invoices and processing of incoming payments. - Payment\ reimbursement of expenses, - Handling of petty cash CFY + 6 : 1970 c. 9 s c. 58 s c. 23 HMRC 700/21 para. 5.2

2 Administration of research and enterprise grants. grant c. 58 s 5 For European Grants, this will include any associated transactions (salary payment, expenses claims etc). European Funding Grants: End of Funding regime Some sources of European funding may specify the retention of records for longer periods Notes [European funding regime grant requirements are that all grant records must be retained in Hard Copy Format.] Planning & budgeting monitoring reports. CFY + 1 year Departments Purchase Orders Goods Received Notes/Goods Inwards Notes. Procedures relating to the management of equipment and consumables. CFY + 6 Current Version retained for c. 58 s 5 HMRC 700/21 para. 5.2, Departments Annual Accounts (including audit records). CFY c. 58 s 5

3 Records documenting the Final payment on EC No. administration of funding from the programme to 1260/1999 Article European Funds. the UK (The dates may be changed so it is advisable to retain all documents relating to EU funded projects until a Government Office advises that they may be destroyed). Notes Records documenting the administration of annual funding allocations from the appropriate statutory funding body. CFY + 10 Records documenting the monitoring of income and expenditure against annual operating budgets, and action taken to deal with variances. CFY + 1 year

4 Records documenting the Current tax year + MMU Practice administration of payments made 6 : under : Current tax year + - The Statutory Maternity Pay 3 scheme - The Statutory Sick Pay scheme. SI 1986/1960 Regulation 26 SI 1982/894 Regulation 13 Records documenting calculation and payment of employees' salaries and other payments. CTY + 6 Years MMU Practice Minimum: Current tax year + 3 Notes Records involved in administering payments of the institution's employers' and employees' contributions to pension schemes. employment c. 58 s 32 SI 1999/584 Regulation 38(7) SI 2003/2682 Regulation 97(8) Recommended: 1970 c. 9 s 34

5 The records involved in managing the Current tax year + institution's tax affairs c. 9 s c. 23 s 58 and Schedule 11, para. 6(3) SI 1995/2518 s 31 HMRC 700/21 para. 5.2 Records documenting routine bank account deposits/withdrawals/transfers (paying-in slips, transfer instructions, bank statements etc.). CFY c. 9 s c. 58 s 5 Notes Records documenting the purchase/sale of investments. Current financial year (of transaction) c. 9 s 34 Records documenting the overall management of the institution's financial investment portfolio. Divestment c. 58 s 5 Archive after an appropriate period of time. Records documenting the of the institution's capital assets. Current financial year c. 9 s 34 Archive after an appropriate period of time.

6 Records documenting decisions (and Current financial authorisations) to dispose of capital year (of disposal) assets c. 9 s c. 58 ss 2 and 5 Notes Archive after an appropriate period of time. Records of financial policy and procedures. Records documenting the process of determining tuition fees. Current Version + 10 Current + 5 MMU Practice Current Version + 10 Archive after an appropriate period of time. Fees Lists These are records documenting the collection/receipt of fees only. CAY + 1 year Records documenting the institution's relationships with pension schemes to which all or part of its workforce belongs. Internal audit reports and records (e.g. UNIAC). relationship + 6 Completion of audit + 6 MMU Practice : relationship + 5 & Legal Services (Payroll)

7 Notes TRAC Returns and supporting data (including Time Allocation Schedules CAY + 5 MMU Practice (Length of TRAC None completed by academic members of staff) cycle) Paper enrollment forms (i.e. before online enrolment) that form the basis of the billing document. CAY + 6 MMU Practice None

8 Function: Human Resources and Individual Staff Records Action Activities include: developing the institution s personnel management procedures monitoring the performance of the institution s workforce as a basis for developing reward schemes and dealing with general performance issues providing support services (e.g. occupational health services) for staff The management of the institution s contractual relationships with individual employees Recruitment unsuccessful applications. Employee timesheets (required for payroll purposes or the administration of grants). Completion of recruitment process + 6 months CFY + 6 MMU Practice : 1970 c. 9 s 34 : Completion of recruitment process + 3 months 1975 c c c. 50 SI 2006/1031 HR Records documenting training requirements for the employee. Expiry of certification + 6 : 1980 c. 58 s 5 HR

9 Major injuries arising from workplace accidents. employment c. 58 s 11 H&S Action Archive after an appropriate period of time. Basic record of employment including post held and dates. Application forms + supporting documentation Contract(s) Terms & conditions incl. changes Special leave employment + 40 employment + 6 MMU Practice : 1980 c. 58 s 5 : employment c. 58 s 5 HR HR Archive after an appropriate period of time. The Disclosure of a Disability Record and Equality Monitoring form. Occupational health records. employment + 6 employment c. 58 s 5 None HR 1980 c. 58 s 5 None HR

10 Job descriptions of positions. Permanent MMU Practice [retained by the team, as part of the grading process, and not filed against employment + 6 individuals] 1980 c. 58 s 5 Contribution Zone Applications and Panel Papers. [Retained to enable the continued evaluation and running of the scheme] employment + 6 Reward & Planning MMU Practice None Reward & Planning Action Archive after an appropriate period of time. References provided in confidence in support of an employee s application(s) for employment by another organisation. employment c. 58 s 5 Held locally by line managers Return to work interviews. Professional Development Review (PDR) Records. employment + 6 Current Version c. 58 s 5 Held locally by line managers MMU Practice Held locally by line managers

11 Records of disciplinary MMU Practice\ proceedings against an ACAS Guidelines employee, where employment continues. Records of grievances raised by an employee and the outcome. Records documenting the employee's absence due to sickness. Statutory leave entitlement e.g. parental leave. Records documenting the issue of personal protective equipment/other special equipment to an employee. In accordance with time limits as contained in University disciplinary policies and procedures employment + 6 employment + 40 Completion of entitlement + 6 employment c. 58 s 5 Authority: IR CA30 SI 1999/ c. 58 s 5 : employment c. 58 s 5 HR HR HR HR Departments Action Personal Emergency Evacuation Plan (PEEPs) for staff. employment + 3 MMU Practice None Line Managers

12 Action CRB clearance documentation. Date of clearance CRB code of None HR + up to a maximum of 6 months practice Staff account. Date of leaving +3 months MMU practice None ICTS Professoriate Committee Papers. CAY + 6 MMU Practice None Deputy Vice Chancellor See also Health & Safety section for H&S records relating to individual staff

13 Action Activities include: Function: Facilities developing and establishing the institution s equipment and consumables management managing supply contracts with third parties for the supply of goods, works or services to the institution on a one-off basis or for a fixed period managing services operated by the institution to support its employees and, in some cases, its student (for e.g. catering services) conducting security inspections; conducting routine surveillance operations (e.g. CCTV surveillance) to prevent and detect unauthorised access to properties; responding to, and investigating, security breaches or incidents developing and establishing the institution s estate strategy acquiring ownership or use of properties by purchase, transfer, donation, lease or rental maintaining properties Food Safety Management Records [Records are held in paper format in a file which is reviewed annually] CAY + 1 year MMU Practice HACCP None held locally by catering mangers Training Records [These records are held on the NPOWER system] End of Contract MMU Practice None catering managers Internal audits of catering and remits. Completion of audit + 1 year MMU Practice None Catering Services

14 Contracts with external suppliers. CAY + 3 MMU Practice None Procurement Business Continuity Planning including formulation/testing/maintenance of disaster response/recovery plans. CCTV Images Permanent MMU Practice : Current version + 1 year 31 Days (longer if required for a criminal or civil investigation) MMU Practice Data Commissioners Guidelines Security Policy and Procedures. Permanent MMU Practice Of enduring : Creation + 1 month Security Security Archive after an appropriate period of time. None Security Archive after an appropriate period of time. Internal and External Incident Reports. Staff and Student IDs; HR- manage staff IDs - Expiry of pass + 1 year Last action on case + 1 year End of Relationship\ Contract + 1 year Security HR F/C SAS Facilities F/C SAS- manage student IDs Expiry of pass + 1 year Facilities- manage visitors & contractors passes - Expiry of pass + 1 month Monitoring of the condition of stored equipment/consumables. Current year + 1 year Departments

15 Estate Management: MMU records documenting routine inspections of property. Date of inspection + 5 Property Services Estate Management: Asbestos records including records documenting assessments made to determine the presence (or likely presence) of asbestos in premises, as required by Regulation 4(3) of the Control of Asbestos Regulations 2006 (SI 2006/2739). Review of assessment + 10 Property Services Estate Management: Legal documents including records documenting the negotiation of leases and original lease agreements. Expiry of lease + 15 Property Services Archive after an appropriate period of time. Estate Management: Records documenting major maintenance works on property. Disposal of property Property Services Estate Management: Records documenting the conduct and outcomes of space audits. Completion of subsequent audit + 5 Property Services Estate Management: Records documenting the disposal of properties by sale, transfer or donation. Disposal of property c. 58 s 8 Property Services Archive after an appropriate period of time.

16 House Services: Records on materials used by the cleaner. Conference Records: Records documenting the design and implementation of promotional events. Last action on event + 5 Select key records of significant events for permanent retention.

17 Action Function: Environmental Management Activities include: developing and establishing the institution s environmental management strategy developing performance indicators and measurement mechanisms and reporting on performance to statutory authorities and to internal and external stakeholders. raising awareness of environmental issues among the institution s staff and students, to improve the institution s overall environmental performance monitoring and controlling the institution s use and consumption of energy collecting, classifying, storing and disposing of the institution s waste Records documenting the development and establishment of the institution's environmental management strategy. Current version + 10 Facilities Archive after an appropriate period of time. Energy Information records: Including records documenting routine monitoring of the institution's use and consumption of energy. Includes: Renewable energy records for Feed in Tariff. Display Energy Certificates Energy Performance Certificates for new buildings (lighting and heating). Current year + 5 Facilities

18 Waste Information: Removal of waste Records documenting the consignment + 3 classification, collection and storage of SI 1996/972 'special waste' prior to removal from Regulation 15(4) the premises for disposal. For practical purposes, these categories include: office waste; catering waste; redundant equipment and consumables; redundant records; clinical waste; other hazardous waste. Facilities Action Carbon Information records. Current year + 5 Carbon Audit reports required by Completion of UNIAC. audit + 5 MMU Practice None Facilities Facilities Carbon Reduction Commitment Energy Efficiency Scheme. Evidence packs, internal audits, annual reports, footprint reports, other records as required by the legislation. Permanent MMU Practice None Facilities Archive after an appropriate period of time. New all records are retained (retention date to be reviewed in 2014)

19 Action Water Abstraction and Discharge Licences and Consents. Current year + 5 MMU Practice None Facilities Archive after an appropriate period of time. Water consumption data: To include abstraction and discharge data as require by licences. Facilities supplier agreements relating to utilities. Current year + 5 Current year + 5 MMU Practice None Facilities Archive after an appropriate period of time. MMU Practice None Facilities Records documenting the recording of environmental incidents on the institution's premises or caused by its operations. Last action on incident + 40 Facilities Archive after an appropriate period of time. Potential long-term liability Records documenting the attainment and maintenance of the institution's accreditation under established environmental management schemes. accreditation + 1 year Facilities Archive after an appropriate period of time.

20 Records documenting identified Elimination of risk environmental hazards to the + 5 institution, or created by its operations, and the conduct and results of risk assessments. Facilities Action

21 Learning and Research Information Services Records about: Retention period Rationale Sector Action Function: Library Services Activities include: managing collections of artefacts, specimens, manuscripts or other items owned or otherwise held by the institution managing collections of publications acquired or assembled by the institution to support its work managing library services including it s assets (e.g. book stock, furniture, equipment) ISBNs issued on behalf of MMU. Permanent MMU Practice None Library Services Archive after an appropriate period of time. University research (e-space). Permanent MMU Practice None Library Services Archive after an appropriate period of time. Master copies of procedures relating to Collections management. CAY + 3 Library Services Master copies of procedures relating to publications management. CAY + 3 Library Services Records documenting the process of selecting publications to purchase. Completion of purchase Library Services

22 Records documenting decisions to (dis)continue publications. Last action on issue + 1 year Library Services Records documenting the institution's scheme(s) for classifying and cataloguing publications. Records documenting conservation work undertaken on items in MMU Special Collections. Until all catalogues based on the scheme are superseded Life of items Library Services Library Services Archive after an appropriate period of time. Records documenting the disposal of redundant publications. Records documenting the compilation of statistical and other data required by the Copyright Licensing Agency, and the submission of this data to the Agency. Disposal of publications + 1 year Current year + 1 year Library Services Library Services Records documenting the institution's participation in surveys / audits undertaken by the Copyright Licensing Agency. Completion of survey/audit Library Services

23 Records documenting the institution's participation in inspections undertaken by copyright owners or their representatives to check the institution's compliance with legal / contractual requirements. Last action on case + 1 year Library Services Licences and correspondence relating to licences. Inter library loan records (includes copyright signature, but also represents financial transaction). End of subscription + 1 year MMU Practice None Library Services CAY + 6 British Library Library Services Library Records includes -FIN90, monthly cash returns -lost books, bank statements, catalogue sales etc. CFY + 6 (CFY + 4 for copies of invoices) MMU Practice None Library Services Student PLPs. Incident report forms (exit barrier, student disciplinary issues, etc). External readers records (application forms). CAY + 3 max MMU Practice None Library Services if student leaves before. CAY + 6 Library Services Last action on case + 6, 1980 c. 58 s 5 CAY + 6 MMU Practice None Library Services

24 Asset records Working records (e.g. furniture and equipment) kept locally to feed into central register kept by ; catalogue records detail bookstock etc at any point in time. Current financial year + 6 Library Services

25 Learning and Research Information Services Records about: Retention period Rationale Sector Action Function: ICTS Activities include: developing plans to implement the institution s ICT systems strategy developing new ICT systems and re-developing existing systems providing support to users of the institution s ICT systems Master copies of procedures and strategy relating to the management of ICT systems. Current version + 5 ICTS Records of sale of Graduation DVDs. CAY + 6 Years MMU Practice None ICTS Records documenting the management of system data storage, including the operation of routine data backup, archiving and deletion routines. CAY + 1 year ICTS Records documenting the maintenance of appropriate software licences for live ICT systems. Issue of new licence ICTS Records documenting the management of ICT systems development projects (i.e. project management records). project + 5 ICTS

26 Records documenting the development of technical and application training for ICT system users. Current version + 1 year ICTS Records documenting the security arrangements for ICT systems. Decommissioning of system + 5 ICTS Records documenting routine monitoring of the use of ICT systems to ensure compliance with legal requirements and institutional policies. Current year + 1 year ICTS Purchase Orders for goods and services procured by ICTS Services. Current + 6 MMU Practice None ICTS Good and Services includes computer hardware, software, telephones, a/v equipment, licences, maintenance, paper, toner, stationery, agency staff, water etc.

27 Learning and Research Information Services Records about: Retention period Rationale Sector Action Function: Project Management and Business Improvement The retention of project records depends on the nature of the project, its impact on the University and if there is any legislation or other requirement governing the retention of particular project documents. Activities include: Project Proposals Project Initiation Documents Project Management Templates

28 Project records, including: Business case PID Risk Log Issue Log Lessons Log Project reports Closure report s Current Version MMU Practice None Business Improvement Team Business Owner [Retention date depends on project some can be discarded at end of project, others are needed for related or follow-up projects. Project documentation kept after the end of a project can help with setting up future projects of similar type.]

29 Business improvement records, including: Process maps Journey maps Requirements engineering reports MoSCoW analyses Current Version MMU Practice [Generally to be process map should be retained for the life of the process. Information about past processes, etc. can be discarded when the new process comes into operation.] None Business Owner [BI Team retains some maps as exemplars for training purposes.] Project management framework and associated templates and toolkits. Specific papers and reports, e.g. Funding applications Reports to CIS SG Papers recommending new / updated processes Current Version MMU Practice None Business Improvement Team : Submission of report + 3 Business Improvement Team Training records. Current Version MMU Practice Business Improvement Team