Retention Timescale within Department/Division. Council and Senate, External Relationships and External Affairs, Information Compliance

Transcription

1 The following document explains the life cycle of many of the Universities central records. Some less formal items may not be listed here but will still be collected by the University Archive, please refer to their selection policy (link). If you cannot find an appropriate record series or are unsure which is correct please contact Information Assurance Services ( ). Contents Section 1: Governance Records Section 2: Student Records Section 3: Finance Records Section 4: HR Records Section 5: Estates Section 6: Research Records Section 7: Enterprise and Business Development Council and Senate, External Relationships and External Affairs, Information Compliance Student Recruitment, Successful and Unsuccessful Applications, Student Induction and Progression, Student Finance, Programme and Module Administration, Assessments and Examinations, Complaints and Appeals, Student and Honorary Awards, Prize Administration, Student Support and Development Service and International Student Office, Accommodation and Residential Services, Equality and Diversity, Library Services Administrative, Planning, Pension scheme administration, Purchasing, Payroll administration, Financial accounting, Accounting for expenditure, Investment management, Budget administration, Capital asset management, Tax management and returns, Insurance, Audit, Purchasing, Procurement Planning, HR policies, codes of practice, forms and procedures, Industrial relations, Staff training and development, Staff administration, Recruitment, Performance, Complaints, grievances and disciplinary issues, Staff health surveillance, Salary and payments, Counselling and support, Supervisory and excellence awards Strategy & Policy, Inspections, Tenders, Suppliers, Plant, equipment and premises maintenance, Estates and property management, Property Development, Environmental, Security, Health & Safety Strategy development, Policy development, Quality management, Performance management, Research Excellence Framework (REF) policy and management, Business management, Research funding, Successfully awarded grants and contracts, Research ethics, Applications for ethical approval, Research data, Research misconduct Enterprise Strategy Development, Enterprise Policy Management, HEIF, Enterprise awards and contracts - successful, Research (Enterprise) Contracts and Agreements Section 8: Nursery Records Retention Schedule - V7 Page 1 of 34

2 Section 1: Governance Records Council and Senate Agendas or agenda papers of Council, Senate or Court, or committees of Council, Senate or Court Minutes of Council, Senate or Court, or committees of Council, Senate or Court Agendas or agenda papers of Committees, groups, boards, working parties which report to committees of Council or Senate, disestablished committees, ad hoc groups and short lived working parties Minutes of Committees, groups, boards, working parties which report to committees of Council or Senate, disestablished committees, ad hoc groups and short lived working parties Academic year created + 6 years Recorded Destruction Copies to be retained by the designated Committee Secretary in the relevant servicing office Academic year created + 6 years For Permanent Preservation - Copies to be retained by the designated Committee Secretary in the relevant servicing office then bound and sent to archives. Academic year created + 6 years Recorded Destruction Copies to be retained by the designated Committee Secretary in the relevant servicing office Academic year created + 6 years Copies to be retained by the designated Committee Secretary in the relevant servicing office then bound and sent to archives. Governance policies Superseded + 10 years Recorded Destruction GOV005 Charter and Statutes, Ordinances and Regulations Superseded For Permanent Preservation - GOV006 GOV001 GOV002 GOV003 GOV004 Definition of the institution s overall strategic goals and objectives and associated plans includes strategic plan, corporate plan and mission statement Superseded For Permanent Preservation - GOV007 External Relationships and External Affairs Management of relationships with HEFCE and other Government bodies, including important correspondence Created + 6 years For Permanent Preservation - GOV008 Management of relationships with HEFCE and other Government bodies, low level admin and correspondence Interaction with Universities UK (UUK) including important correspondence Interaction with Universities UK (UUK), low level admin and correspondence Created + 6 years Recorded Destruction GOV009 Created + 6 years For Permanent Preservation - GOV010 Created + 6 years Recorded Destruction GOV011 Retention Schedule - V7 Page 2 of 34

3 Memoranda of Understanding between the University of Leicester and other institutions Memoranda of Understanding between the University of Leicester and overseas universities and the international recruitment strategy Created + 6 years For Permanent Preservation - Created + 6 years For Permanent Preservation - GOV012 GOV013 Information Compliance Statutory Access requests Data Protection Act 1998 Freedom of Information Act 2000 Data requests by police (and responses provided) where Data Protection Act 1998 information is held and the requester is a member of staff or student Data requests by police (and responses provided) where information is held Data requests by police (and responses provided) where information is not held Last action + 3 years Recorded Destruction GOV014 Last action + 6 years or the individual leaves the university, whichever is greater GOV015 Data Protection Act 1998 Last action + 3 years Recorded Destruction GOV016 Data Protection Act 1998 Last action + 1 year Recorded Destruction GOV017 Retention Schedule - V7 Page 3 of 34

4 Section 2: Student Records Student Recruitment Management and organisation of student recruitment campaigns Academic year created + 5 years Recorded Destruction STU001 and events. Summaries and analysis of student enquiry and recruitment data Academic year created + 5 years Recorded Destruction STU002 Enquiries from prospective students Academic year created + 1 year Recorded Destruction STU003 Unsuccessful Applications Unsuccessful applications Application received + 1 year Recorded Destruction STU004 Interview notes for unsuccessful applicants Rejection notification + 6 months Recorded Destruction STU005 Complaints regarding non acceptance Last action + 3 years Recorded Destruction STU006 Appeals against non acceptance Limitation Act 1980 Last action + 6 years Recorded Destruction STU007 Successful Applications UCAS form/ application form Completion of studies + 6 years Recorded Destruction STU008 Interview notes for successful applicants Completion of studies + 6 years Recorded Destruction STU009 Offer of place and related correspondence Completion of studies + 6 years Recorded Destruction STU010 Acceptance of place and related correspondence Completion of studies + 6 years Recorded Destruction STU011 Student ID number Created Corporate Student Record STU014 Details of criminal conviction Rehabilitation of Offenders Act 1974 Completion of studies + 6 years Unless Course relates to education, medicine or social work, or the conviction is not spent then retain permanently Recorded Destruction unless course relates to education, medicine or social work, or the conviction is not spent in which case retain as part of Corporate Student Record STU015 DBS (Disclosure and Barring Service) checks Completion of studies + 3 months unless - Course relates to education, medicine or social work, or the conviction is not spent then retain permanently Recorded Destruction unless Note if satisfactorily or course relates to education, unsatisfactorily completed in medicine or social work, or the Corporate Student Record conviction is not spent in which case retain as part of Corporate Student Record STU016 Retention Schedule - V7 Page 4 of 34

5 Student Induction Review of induction programmes for new students Life of programme + 5 years Recorded Destruction STU018 Administration of programmes and events for new students Academic year created + 1 year Recorded Destruction STU019 Student Progression Records of modules undertaken Permanent Corporate Student Record STU020 Change of course form Data Protection Act 1998 Permanent Corporate Student Record STU021 Withdrawal/ Interruption of studies form Data Protection Act 1998 Completion of studies + 6 years Recorded Destruction STU022 Clinical Assessments Data Protection Act 1998 Completion of studies + 6 years Recorded Destruction STU023 Fitness to practice documentation Data Protection Act 1998 Permanent Corporate Student Record STU024 Student exchanges/ junior year abroad Data Protection Act 1998 Permanent Corporate Student Record STU025 Medical exchanges and electives Data Protection Act 1998 Permanent Corporate Student Record STU026 Work placements that are a course requirement Data Protection Act 1998 Permanent Corporate Student Record STU027 Work placements that are not a course requirement Data Protection Act 1998 Completion of placement + 1 year Recorded Destruction STU027A Final transcript, including module results and final award Data Protection Act 1998 Permanent Corporate Student Record STU028 Student Finance Access to Learning Fund application and correspondence Value Added Tax Act 1994 Completion of studies + 6 years Recorded Destruction STU030 Paper copies of bursaries and scholarship applications, bursaries and scholarships maintenance grant requests, council tax exemption certificate, financial hardship/ problems correspondence and suspension for non-payment of fees Value Added Tax Act 1994 Completion of studies Recorded Destruction STU031 Financial record of bursaries and scholarship applications, bursaries and scholarships maintenance grant requests, council tax exemption certificate, financial hardship/ problems Value Added Tax Act 1995 Completion of studies + 6 years Recorded Destruction correspondence and suspension for non-payment of fees STU032 Grant cheques Value Added Tax Act 1994 Completion of studies + 6 years Recorded Destruction STU033 Fee debtors list Value Added Tax Act 1994 Completion of studies + 6 years Recorded Destruction STU036 Appeals Value Added Tax Act 1994 Last action + 6 years Recorded Destruction STU040 Disability allowance Value Added Tax Act 1994 Completion of studies + 6 years Recorded Destruction STU041 Programme and module administration Programme and module timetables Duration of programme or module Recorded Destruction STU042 Class/tutorial lists Data Protection Act 1998 Duration of programme or module Recorded Destruction STU043 Student attendance forms Data Protection Act 1998 Duration of programme or module Recorded Destruction STU044 Course assignment registers Data Protection Act 1998 Duration of programme or module Recorded Destruction STU046 Programme approval forms Created + 10 years Recorded Destruction STU047 Retention Schedule - V7 Page 5 of 34

6 Programme modification forms Created + 10 years Recorded Destruction STU048 Programme handbooks, 2 copies of each Superseded For Permanent Preservation - STU049 Assessments and examinations Candidate number Data Protection Act 1998 Permanent Corporate Student Record STU051 Examination attendance sheet Data Protection Act 1998 Completion of programme + 1 year Recorded Destruction STU052 Examination mark sheet Data Protection Act 1998 Completion of programme + 1 year Recorded Destruction STU053 Application for special examination arrangements Data Protection Act 1998 Completion of programme + 1 year Recorded Destruction STU054 Medical assessments for special arrangements Data Protection Act 1998 Completion of programme + 1 year Recorded Destruction STU055 Application to sit written examination overseas (distance learning Data Protection Act 1998 Completion of programme + 1 year Recorded Destruction STU056 students) Request for re-sit or replacement examination Data Protection Act 1998 Completion of programme + 1 year Recorded Destruction STU057 Extension request form (for assessed work) Data Protection Act 1998 Completion of programme + 1 year Recorded Destruction STU058 Assessed work including assignments and dissertations Data Protection Act 1998 Completion of programme + 1 year Return to student or Recorded STU059 Destruction Examination scripts Data Protection Act 1998 Completion of programme + 1 year Recorded Destruction STU060 Examiners notes Data Protection Act 1998 Completion of programme + 1 year Recorded Destruction STU061 Examiners reports and responses Data Protection Act 1998 Completion of programme + 1 year Recorded Destruction STU062 PhD theses Completion of programme + 1 year For Permanent Preservation STU063 Minutes of Panels and Boards of Examiners Academic year created + 6 years For Permanent Preservation - Copies to be retained by the designated Committee Secretary in the relevant servicing office Agendas of Panels and Boards of Examiners Academic year created + 6 years Recorded Destruction Copies to be retained by the designated Committee Secretary in the relevant servicing office Agenda papers of Panels and Boards of Examiners Academic year created + 6 years Recorded Destruction Copies to be retained by the designated Committee Secretary in the relevant servicing office STU063 STU063A STU063B Retention Schedule - V7 Page 6 of 34

7 Complaints and appeals regarding examination procedures and results Mitigating circumstances form Data Protection Act 1998 Completion of programme + 6 years Recorded Destruction STU064 Subject access request to view student file or examination scripts Data Protection Act 1998 Completion of request + 2 years Recorded Destruction STU065 Student appeals file Data Protection Act 1998 Last action + 6 years Recorded Destruction STU066 Conferment of student awards Pass lists Data Protection Act 1998 Permanent Corporate Student Record STU067 Graduation ceremonies programme Permanent For Permanent Preservation - STU069 Prize book Permanent For Permanent Preservation - STU070 Travel awards including final student report Data Protection Act 1998 Created + 1 year STU071 Debtors listing Data Protection Act 1998 Debt is resolved Recorded Destruction STU072 Honorary awards Honorary Degrees Board records Data Protection Act 1998 Created + 6 years For Permanent Preservation - Fellowship Award records Data Protection Act 1998 Created + 6 years For Permanent Preservation - STU074 STU075 Prize administration Unsuccessful prize applications or nominations Application received + 1 year Recorded Destruction STU076 Successful prize applications or nominations Academic year created + 6 years Recorded Destruction STU077 Formal letter confirming prize award Academic year created + 6 years Corporate Student Record STU078 Copy of prize certificate Academic year created + 6 years Recorded Destruction STU079 Letter to prize donor confirming recipient Academic year created + 6 years Recorded Destruction STU080 Retention Schedule - V7 Page 7 of 34

8 Scholarships and bursaries Successful scholarship or bursary application form Academic year created + 6 years Recorded Destruction STU081 Scholarship or bursary selection panel papers, i.e. student Academic year created + 6 years Recorded Destruction STU082 nomination, mark sheets, statements from schools etc. Final scholarship or bursary offer letter. Academic year created + 6 years Recorded Destruction STU083 Unsuccessful scholarship/bursary applications Application received + 1 year Recorded Destruction STU084 Student maintenance grant forms Completion of studies + 6 years Recorded Destruction STU085 Expense claims Completion of studies + 6 years Recorded Destruction STU086 Documentation relating to charges and fees Completion of studies + 6 years Recorded Destruction STU087 Invoices to external bodies Created + 2 years Recorded Destruction STU088 Invoices to external bodies - original invoices in Finance Office Created + 6 years Recorded Destruction STU088A Student administration Core student record. Includes chosen programme of study, registration of modules, results, prizes and final award. Data Protection Act 1998 Completion of programme + 1 year. Retain digital information on SITS database in perpetuity Corporate Student Record, If No Electronic Record Contact Archivist Where a former student is considered noteworthy for any reason it may be appropriate for their student record to be retained in its entirety. In such instances the department should contact the University Archivist who will make a decision as to whether there is historical value in doing so STU089 Departmental student file. Includes information on student attendance and submission of coursework. Data Protection Act 1998 Completion of programme + 6 years if student information is on SITS. For students predating SITS retain in perpetuity Registry are planning to resolve the issue of Pre-SITS information. STU090 Disciplinary proceedings Student disciplinary or misconduct case files Data Protection Act 1998 Last action + 6 years Recorded Destruction STU091 Counselling and Health Services Student case files Data Protection Act 1998 Last action + 6 years Recorded Destruction STU092 Patient records Data Protection Act 1998 Refer to NHS Records Management Code of Practice These records are owned and STU093 managed by the NHS Medical certificates Data Protection Act 1998 Completion of studies + 6 years Recorded Destruction STU094 Retention Schedule - V7 Page 8 of 34

9 Student Support Service Student case files Data Protection Act 1998 Last action + 6 years Recorded Destruction STU095 Destination of leavers from Higher Education survey Collected by Careers Service then returned to the Higher Education STU096 Statistics Agency (HESA) for ratification Career discussion records Data Protection Act 1998 Created + 3 years Recorded Destruction STU097 Practice interview records Data Protection Act 1998 Created + 1 year Recorded Destruction STU098 Event sign up Data Protection Act 1998 Completion of studies + 2 years Recorded Destruction STU099 Practice aptitude test records Data Protection Act 1998 Created + 1 year Recorded Destruction STU100 Diary entries for appointment Data Protection Act 1998 Created + 1 year Recorded Destruction STU101 E-guidance Q&A Data Protection Act 1998 Created + 3 years Recorded Destruction STU102 Accommodation and Residential Services Residence registration forms Created + 2 years Recorded Destruction STU103 Student self assessment form and supporting documentation Data Protection Act 1998 Created + 2 years Recorded Destruction STU104 Accommodation allocation and occupancy lists Data Protection Act 1998 Created + 2 years Recorded Destruction STU105 Fees and charges information. Includes deposit details, invoices, Data Protection Act 1998 Created + 6 years Recorded Destruction STU106 swap forms etc. Student file- non confidential information Data Protection Act 1998 Completion of studies + 1 year Recorded Destruction STU107 Student file- confidential information, including medical records Data Protection Act 1998 Completion of studies + 1 year Recorded Destruction STU108 and disciplinary information as relevant Student disciplinary, complaint or appeal information Data Protection Act 1998 Completion of studies + 1 year Recorded Destruction STU109 Records relating to student s guests or visitors Data Protection Act 1998 Completion of studies + 1 year Recorded Destruction STU110 Equality and Diversity Student case files Data Protection Act 1998 Completion of studies + 6 years Recorded Destruction STU111 Library Services Inter-library loan forms Created + 6 years Recorded Destruction STU112 User loan records Created + 4 years Recorded Destruction STU113 Users with no outstanding fines Created + 4 years Recorded Destruction STU114 Users with outstanding fines Payment of fine Recorded Destruction STU115 Medical certificates relating to credit fines Completion of crediting Recorded Destruction STU116 Applications for library membership from intercollegiate students Created + 2 years Recorded Destruction STU117 Applications for library membership from SCONUL Access scheme Created + 2 years Recorded Destruction STU118 members Disability support forms Completion of studies Recorded Destruction STU119 Retention Schedule - V7 Page 9 of 34

10 Documents related to gifts (including depositor agreements), bequests and accessions to special collections (including all correspondence) Retain while in use For Permanent Preservation - Printed material including Guides, catalogues and annual reports Created For Permanent Preservation - Minutes and select supporting papers of senior management team Created + 1 year For Permanent Preservation - STU120 STU121 STU122 Retention Schedule - V7 Page 10 of 34

11 Section 3: Financial Records Administrative Finance Committee agendas Academic year created + 6 years Recorded Destruction FIN001 Finance Committee agenda papers Academic year created + 6 years Recorded Destruction FIN001A Finance Committee minutes Academic year created + 6 years For Permanent Preservation - FIN001B Financial Regulations Academic year created + 6 years Recorded Destruction FIN002 Planning Financial forecasts Academic year created + 2 years Recorded Destruction FIN003 Capital and revenue budgets Academic year created + 2 years Recorded Destruction FIN004 Pension scheme administration Records documenting payments of the institution s employers contributions to the pension schemes for its employees or payments of the institution s employees contributions to the pension schemes. Data Protection Act 1998 Termination of employment +75 years Recorded Destruction FIN005 Purchasing Authorisation of purchasing purchasing requisitions Academic year created + 6 years Recorded Destruction FIN006 Placing of orders purchase orders Academic year created + 6 years Recorded Destruction FIN007 Taking delivery of goods delivery notes Completion of internal audit + 3 years Recorded Destruction FIN008 Payroll administration Processing of non-statutory deductions from salaries deduction Limitation Act 1980 authorities, tax code notices Data Protection Act 1998 Payroll payments salary advances, bank transfer reports Limitation Act 1980 Income Tax (Employment) Regulations 1993 Data Protection Act 1998 Notifying staff of their employment related tax liabilities P11d Limitation Act 1980 Data Protection Act 1998 Academic year created + 6 years Recorded Destruction Held electronically FIN009 Academic year created + 6 years Recorded Destruction Held electronically FIN010 Academic year created + 6 years Recorded Destruction FIN011 Retention Schedule - V7 Page 11 of 34

12 Financial accounting Academic year created + 6 years Sales invoices Value Added Tax Act 1994 Academic year created + 6 years Recorded Destruction FIN012 Limitation Act 1980 Credit notes Value Added Tax Act 1994 Academic year created + 6 years Recorded Destruction FIN013 Limitation Act 1980 Till Rolls Value Added Tax Act 1994 Academic year created + 6 years Recorded Destruction FIN014 Limitation Act 1980 Remittance advice Value Added Tax Act 1994 Academic year created + 6 years Recorded Destruction FIN015 Limitation Act 1980 Annual accounts working papers Value Added Tax Act 1994 Academic year created + 11 years Recorded Destruction FIN016 Limitation Act 1980 Original annual accounts signed copies Value Added Tax Act 1994 Academic year created + 11 years Recorded Destruction FIN017 Limitation Act 1980 Higher Education Statistics Agency (HESA) returns Academic year created + 11 years Recorded Destruction FIN018 Accounting for expenditure Original purchase invoices Value Added Tax Act 1994 Limitation Act 1980 Original credit notes Value Added Tax Act 1994 Limitation Act 1980 BACS reports Value Added Tax Act 1994 Limitation Act 1980 Original staff expense claims Value Added Tax Act 1994 Limitation Act 1980 Original petty cash claims Value Added Tax Act 1994 Limitation Act 1980 Journal vouchers Value Added Tax Act 1994 Limitation Act 1980 Academic year created + 6 years Recorded Destruction FIN019 Academic year created + 6 years Recorded Destruction FIN020 Academic year created + 6 years Recorded Destruction FIN021 Academic year created + 6 years Recorded Destruction FIN022 Academic year created + 6 years Recorded Destruction FIN023 Academic year created + 6 years Recorded Destruction FIN024 Investment management Treasury Management Sub-Committee agendas, papers, minutes Academic year created + 6 years Recorded Destruction FIN025 Acquisition and disposal of investments Academic year created + 6 years Recorded Destruction FIN026 Investment instructions Limitation Act 1980 Academic year created + 6 years Recorded Destruction FIN027 Crest share certificates Limitation Act 1980 Academic year created + 6 years Recorded Destruction FIN028 Budget administration Monitoring of actual against planned expenditure Academic year created + 2 years Recorded Destruction FIN029 Budget reports Academic year created + 2 years Recorded Destruction FIN030 Retention Schedule - V7 Page 12 of 34

13 Capital asset management Buildings (land) Retain while in use Recorded Destruction FIN031 Land and buildings (refurbishment) Retain while in use Recorded Destruction FIN032 Equipment over Retain while in use Recorded Destruction FIN033 Tax management and returns Assessment of tax liabilities Value Added Tax Act 1994 Academic year created + 6 years Recorded Destruction FIN034 VAT return Value Added Tax Act 1994 Academic year created + 6 years Recorded Destruction FIN035 Corporation tax returns and assessments Value Added Tax Act 1994 Academic year created + 6 years Recorded Destruction FIN036 Other tax returns Value Added Tax Act 1994 Academic year created + 6 years Recorded Destruction FIN037 Insurance Insurance policies Limitation Act 1980 Expiry of insurance + 6 years Recorded Destruction FIN038 Insurance claims Limitation Act 1980 Settlement of claim + 6 years Recorded Destruction FIN039 Insurance reports Limitation Act 1980 Settlement of claim + 6 years Recorded Destruction FIN040 Certificate of employers liability insurance The Employers Liability (Compulsory Insurance) (Amendment) Regulations 2008 Expiry of insurance + 40 years Recorded Destruction FIN041 Audit Audit Committee agendas Academic year created + 6 years Recorded Destruction FIN042 Audit Committee agenda papers Academic year created + 6 years Recorded Destruction FIN042A Audit Committee minutes Academic year created + 6 years For Permanent Preservation - FIN042B Internal Audit Reports Academic year created + 6 years Recorded Destruction FIN043 Purchasing Purchasing regulations Created For Permanent Preservation - Purchasing annual report Created For Permanent Preservation - FIN044 FIN045 Quotations successful Award of contract + 15 months Recorded Destruction FIN046 Quotations unsuccessful Award of contract + 3 months Recorded Destruction FIN047 Tender documents successful tenders executed as deeds Limitation Act 1980 Completion of contract + 12 years Recorded Destruction FIN048 Retention Schedule - V7 Page 13 of 34

14 Tender documents successful tenders not executed as deeds Limitation Act 1980 Completion of contract + 6 years Recorded Destruction FIN048A Tender documents unsuccessful tenders Created + 2 years Recorded Destruction FIN049 Contract specification Limitation Act 1980 Completion of contract + 6 years Recorded Destruction FIN050 Contract amendments Limitation Act 1980 Completion of contract + 6 years Recorded Destruction FIN051 Purchase orders retained in an electronic procurement system or Created + 7 years Recorded Destruction FIN052 placed directly with supplier Supplier invoices and credit notes Created + 6 years Recorded Destruction FIN053 Supplier delivery notes Created + 2 years Recorded Destruction FIN054 Register of contracts Retain while current Recorded Destruction FIN055 Pre-qualification & supplementary questionnaires and results Created + 3 years Recorded Destruction FIN056 Standard terms & conditions of purchase Created For Permanent Preservation - FIN057 Procurement Pre-procurement advice - relating to the application of Expiration of contract + 12 years Recorded Destruction FIN058 procurement law and the procurement strategy, including the evaluation criteria/methodology, Contracts under seal Retain with the contract documentation Pre-procurement advice - Contracts not under seal Expiration of contract + 6 years Recorded Destruction FIN059 Prior Information Notice (PIN) - Contracts under seal Expiration of contract + 12 years Recorded Destruction FIN060 Prior Information Notice (PIN) - Contracts not under seal Expiration of contract + 6 years Recorded Destruction FIN061 Official Journal of the European Union (OJEU) Notice - Contracts Expiration of contract + 12 years Recorded Destruction FIN062 under seal An electronic copy will suffice Official Journal of the European Union (OJEU) Notice - Contracts Expiration of contract + 6 years Recorded Destruction FIN063 not under seal Specification and contract development documentation - Expiration of contract + 12 years Recorded Destruction Working documents do not FIN064 produced in the process of working-up the specification and the contract, Contracts under seal Specification and contract development documentation - Expiration of contract + 6 years Recorded Destruction need to be kept if the final version of the specification/ conditions of the contract are FIN065 Contracts not under seal embodied in the signed/sealed Pre-Qualification Questionnaire (PQQ) / Invitation to Tender (ITT) / Start of contract + 3 years Recorded Destruction FIN066 Request for Quotation (RfQ) documentation PQQ / Tender submission / Quotation from the successful Expiration of contract + 12 years Recorded Destruction FIN067 applicant(s) and tenderer(s) - Contracts under seal PQQ / Tender submission / Quotation from the successful applicant(s) and tenderer(s) - Contracts not under seal Expiration of contract + 6 years Recorded Destruction FIN068 Retention Schedule - V7 Page 14 of 34

15 PQQ / Tender submissions / Quotation from the unsuccessful applicants / tenderers, and the evaluation thereof Start of contract + 6 months Recorded Destruction If the exercise relates to a dynamic/ competitive supply market may keep 2nd and 3rd ranked bidders for 12 months as emergency replacements FIN069 Post-tender clarification and negotiation records Start of contract + 1 year Recorded Destruction FIN070 Contract award - Contract under seal Expiration of contract + 12 years Recorded Destruction FIN071 Contract award - Contract not under seal Expiration of contract + 6 years Recorded Destruction FIN072 Contract management documentation, including contract review meeting minutes and performance monitoring records Expiration of contract + 2 years or after all post contract activities Recorded Destruction FIN073 Retention Schedule - V7 Page 15 of 34

16 Section 4: HR Records Planning Major restructuring plans, consultation documents, meeting records. Created + 4 years For Permanent Preservation - HR001 HR policies, codes of practice, forms and procedures All HR Policy and Strategy documents Superseded + 10 years Recorded Destruction HR002 Summary of harmonised terms and conditions of employment Superseded For Permanent Preservation - HR003 Industrial relations Records of regular Trade Union liaison meetings and of joint project groups. Created For Permanent Preservation - HR004 Staff training and development Annual programme of training courses Created + 1 year Recorded Destruction HR005 Records of staff attendance at internal training courses Data Protection Act 1998 Created + 5 years Recorded Destruction HR006 Job evaluation criteria grading schemes Superseded + 7 years Recorded Destruction HR007 Staff administration Personnel files, including; Application form/cv, References, Letter of appointment, Contract of employment, Terms & conditions, Job description and personal specification, Staff registration form, Variation of hours /extension of contract, Promotion/secondment etc., Letter of resignation or termination of contract, Notification of staff leaving form. Data Protection Act 1998 Termination of employment + 6 years For Permanent Preservation Where a former staff member is considered noteworthy for any reason it may be appropriate for their record to be retained. In such instances the department should contact the University Archivist who will make a decision as to whether there is historical value in doing so Departmental personnel files Data Protection Act 1998 Termination of employment + 1 year Corporate Staff Record HR009 Records of contractual holiday entitlement Data Protection Act 1998 Academic year created + 1 year Recorded Destruction HR010 Records of special leave, i.e. compassionate/study etc. Data Protection Act 1998 Termination of employment + 1 year Recorded Destruction HR011 HR008 Retention Schedule - V7 Page 16 of 34

17 Records of statutory leave entitlements, i.e. parental leave or leave taken for dependants Data Protection Act 1998 Termination of employment + 6 years Recorded Destruction HR012 Recruitment Authorisation to recruit form Termination of employment Corporate Staff Record HR013 Advert, recruitment agency brief Vacancy filled + 6 months Recorded Destruction Where a non-eea national is HR014 Unsuccessful application forms and CVs Data Protection Act 1998 Vacancy filled + 6 months Recorded Destruction recruited UK Border Agency HR015 Successful application form and CV Data Protection Act 1998 Termination of employment Corporate Staff Record legislation requires that HR016 Short listing notes, interview notes and test results Data Protection Act 1998 Vacancy filled + 6 months Recorded Destruction information regarding the HR017 advert further particulars and Performance Annual appraisal records Data Protection Act 1998 Academic year created + 4 years Recorded Destruction HR018 Appraisal summary forms Academic year created + 4 years Recorded Destruction HR019 Complaints, grievances and disciplinary issues Tribunal case files Limitation Act 1980 Closure of case + 6 years For Permanent Preservation - HR020 Grievance records Limitation Act 1980 Data Protection Act 1998 Capability and disciplinary records Limitation Act 1980 Data Protection Act 1998 Closure of case + 6 years Recorded Destruction HR022 Closure of case + 6 years Recorded Destruction HR023 Staff health surveillance Pre-employment health declaration Data Protection Act 1998 Termination of employment Corporate Staff Record HR024 HR025 Medical records and details of assessments Data Protection Act 1998 Termination of employment Recorded Destruction HR026 Occupational health reports Limitation Act 1980 Termination of employment + 6 years Recorded Destruction HR027 Data Protection Act 1998 Sickness records unrelated to industrial injury Limitation Act 1980 Termination of employment + 6 years Recorded Destruction HR028 Data Protection Act 1998 Records of major injuries arising from workplace accidents Limitation Act 1980 Termination of employment + 40 Recorded Destruction HR029 Medical records under the Ionising Radiation (Medical) Exposure Act 2000 Data Protection Act 1998 Ionising Radiation (Medical) Exposure Act 2000 Data Protection Act 1998 years Termination of employment + 6 years Recorded Destruction HR030 Retention Schedule - V7 Page 17 of 34

18 Salary and payments Statutory maternity pay calculations, certificates and medical Termination of employment + 6 Corporate Staff Record? HR031 evidence - HR months Statutory maternity pay calculations, certificates and medical Created + 1 year Corporate Staff Record? HR031A evidence - Finance Statutory sick pay calculations and certificates Termination of employment + 6 Recorded Destruction HR032 months Salary records including overtime, bonuses and expenses Academic year created + 6 years Recorded Destruction HR033 Redundancy records calculations, refunds Created Corporate Staff Record HR034 Counselling and support Staff case files Last action + 6 years Recorded Destruction HR035 Supervisory and excellence awards Supervisor nominations Academic year created + 5 years Recorded Destruction HR036 Statements and supporting documents from schools Academic year created + 5 years Recorded Destruction HR037 Formal letter confirming award Academic year created + 5 years Recorded Destruction HR038 Retention Schedule - V7 Page 18 of 34

19 Section 5: Estates and Facilities Records Strategy & Policy Estates and Infrastructure Strategy Committee agendas Academic year created + 6 years Recorded Destruction EST001 Estates and Infrastructure Strategy Committee papers Academic year created + 6 years Recorded Destruction EST001A Estates and Infrastructure Strategy Committee minutes Academic year created + 6 years For Permanent Preservation- EST001B All Estates and Facilities policy and strategy documents Superseded + 10 years Recorded Destruction EST002 Inspections Disability inspection records Date of inspection + 5 years Recorded Destruction EST003 Routine property inspections Date of inspection + 5 years Recorded Destruction EST004 Tenders Tender documents successful tenders executed as deeds Limitation Act 1980 Completion of contract + 12 years Recorded Destruction EST005 Tender documents successful tenders not executed as deeds Limitation Act 1980 Completion of contract + 6 years Recorded Destruction EST005A Tender documents EU unsuccessful tenders Limitation Act 1980 Life of project Recorded Destruction EST006 Tender documents other unsuccessful tenders Limitation Act 1980 Created + 2 years Recorded Destruction EST006A Suppliers Register of approved suppliers Consumer Protection Act Retain while current Recorded Destruction EST Identification and vetting of potential suppliers Created + 5 years Recorded Destruction EST008 Supplier evaluation forms Created + 5 years Recorded Destruction EST009 Requests for proposals successful Limitation Act 1980 Termination of supply contract + 6 Recorded Destruction EST010 years Requests for proposals unsuccessful Created + 2 years Recorded Destruction EST011 Supplies and services Limitation Act 1980 Completion of work + 6 years Recorded Destruction EST012 Supplier files record of works Created + 6 years Recorded Destruction EST013 Monitoring of supplier performance Limitation Act 1980 Termination of supply contract + 6 Recorded Destruction EST014 years Conductor review reports Limitation Act 1980 Termination of supply contract + 6 years Recorded Destruction EST015 Retention Schedule - V7 Page 19 of 34

20 Plant, equipment and premises maintenance Testing, maintenance and statutory inspections, including Limitation Act 1980 Life of plant/equipment + 6 years Recorded Destruction EST016 certificates, repair reports, maintenance logs and other records of corrective actions Operations & maintenance manuals Life of plant/equipment Recorded Destruction EST017 Major property maintenance works, including refurbishments Disposal or demolition of property Recorded Destruction EST018 Minor property maintenance works, including refurbishments Limitation Act 1980 Completion of works + 15 years Recorded Destruction EST019 Major maintenance works within facilities Limitation Act 1980 Completion of works + 15 years Recorded Destruction EST020 Minor maintenance works within facilities Limitation Act 1980 Completion of works + 5 years Recorded Destruction EST021 Estates and property management Property acquisition and supporting documentation Limitation Act 1980 Disposal of property + 12 years Recorded Destruction EST022 Negotiations for properties (where property is not acquired) Limitation Act 1980 Closure of negotiations + 6 years Recorded Destruction EST023 Title deeds Expiry or disposal of property For Permanent Preservation - Leases Expiry or disposal of property For Permanent Preservation - EST024 EST025 Negotiation of leases Limitation Act 1980 Expiry of lease Recorded Destruction EST026 Mortgage deeds Expiry or disposal of property For Permanent Preservation - EST027 Disposal of property by sale, transfer or donation Limitation Act 1980 Disposal of property + 12 years For Permanent Preservation - - EST028 Space audits Completion of subsequent audit + 5 years Recorded Destruction EST029 Property Development Planning application supporting documentation Retain while current For Permanent Preservation - EST030 Major works building drawings, photographs or other architectural related media Retain while current For Permanent Preservation - EST031 Health and safety files for properties and premises Management of Health and Safety at Work Regulations 1999 Disposal or demolition of property Recorded Destruction EST032 Retention Schedule - V7 Page 20 of 34

21 Environmental Routine monitoring of University energy use Academic year created + 5 years Recorded Destruction EST033 Formal reviews of University energy use, including conduct, results Completion of review + 5 years Recorded Destruction EST034 and actions Environmental audits, including conduct, results and actions Completion of audit + 5 years Recorded Destruction EST035 Promotion of environmental best practice within the University Academic year created + 5 years Recorded Destruction EST036 Attainment and maintenance of University accreditation under environmental management schemes Termination of accreditation + 1 year Recorded Destruction EST037 Security Key issue and return logs Created + 2 years Recorded Destruction EST038 Visitor logs Created + 2 years Recorded Destruction EST039 Access logs Created + 2 years Recorded Destruction EST040 Incident logs Created + 2 years Recorded Destruction EST041 Fire inspection logs Created + 31 days Recorded Destruction EST042 Lost Property Logs Created + 2 years Recorded Destruction EST042A CCTV recordings Data Protection Act 1998 Created + 14 days Recorded Destruction EST043 Security inspections of properties Completion of subsequent inspection Recorded Destruction EST044 Security breaches or incidents, including theft reports Last action + 4 years Recorded Destruction EST045 Health & Safety Estates and Infrastructure Strategy Committee agendas Academic year created + 6 years Recorded Destruction EST046 Estates and Infrastructure Strategy Committee agenda papers Safety Representatives & Safety Committees Regs Academic year created + 6 years For Permanent Preservation - EST046A Estates and Infrastructure Strategy Committee minutes Academic year created + 50 years For Permanent Preservation - EST046B Development of Health and Safety Policy Health & Safety at Work etc. Act Created + 50 years For Permanent Preservation - EST047 Records of accidents, dangerous occurrences and outbreaks of notifiable diseases on University premises Reporting of Injuries, Diseases and Dangerous Occurrences(RIDDOR) Regulations Created + 5 years EST048 Retention Schedule - V7 Page 21 of 34

22 Records of investigations of accidents, dangerous occurrences and outbreaks of notifiable diseases on University premises None (Potential long term liability ) Created + 40 years EST049 Records of identification of general health and safety hazards to employees and others on premises. The conduct and results of risk assessments in relation to buildings, plant, equipment, machinery and processes Records of health and safety arrangements for the planning, organisation, control, monitoring and review of preventive and protective measures as required by regulations Management of Health & Safety at Work Regulations Management of Health & Safety at Work Regulations Superseded + 5 years Recorded Destruction EST050 Superseded + 5 years For Permanent Preservation - EST051 Manual Handling Assessments Limitations Act Superseded or activity terminated + 6 Recorded Destruction EST052 years DSE self and desk side assessments Limitations Act Employment terminated + 6 years Recorded Destruction EST053 Examination, testing and repair of plant and equipment provided Control of Asbestos at Work Created + 5 years Recorded Destruction EST054 to control asbestos levels Regulations Identifying the presence of Asbestos Control of Asbestos at Work Created + 5 years Recorded Destruction EST055 Regulations Written plans of work for undertaking work with Asbestos Control of Asbestos at Work Created + 5 years Recorded Destruction EST056 Regulations Medical records re details of employees exposure to Asbestos Control of Asbestos at Work Created + 40 years Recorded Destruction EST057 Regulations Medical examination certificates Control of Asbestos at Work Created + 40 years Recorded Destruction EST058 Regulations Records of the use of hazardous substances with the potential to cause long term health effects COSHH Created + 40 years Recorded Destruction EST059 Retention Schedule - V7 Page 22 of 34

23 Records of users and usage of high classification biological agents. List of employees exposed to group 3 and 4 biological agents. * COSHH Last entry + 40 years Recorded Destruction *Hazard Group 3: A biological agent that can cause severe human disease and presents a serious hazard to employees; it may present a risk of spreading to the community, but there is usually effective prophylaxis or effective treatment available.*hazard Group 4: A biological agent that causes severe human disease and is a serious hazard to employees; it is likely to spread to the community, and there is usually no effective prophylaxis or effective treatment available. EST060 Records of examination, maintenance and testing of plant and COSHH Created + 5 years Recorded Destruction EST061 equipment provided to control exposure to substances hazardous to health and repairs carried out as a result Exposure to hazardous substance at the workplace: a) COSHH a) Last entry + 5 years b) Recorded Destruction EST062 general exposure b) personal exposure Last entry + 40 years Records relating to health surveillance and occupational health COSHH Created + 40 years Recorded Destruction EST063 screening, including medical reports COSHH Assessments and recommended actions COSHH Superseded or activity/use terminated Recorded Destruction EST064 Monitoring of exposure of employees to substances hazardous to COSHH Created + 5 years Recorded Destruction EST065 health Hazardous Substances present/in use COSHH Created + 5 years Recorded Destruction EST066 Records of GM work including risk assessments and GM subcommittee comments Genetic Modification (Contained Use) Regulations Completion of project + 10 years For Permanent Preservation - EST067 Air Monitoring Health surveillance and monitoring where exposure requires individual employees to be under surveillance Examination, testing and repair of plant and equipment provided to control exposure to lead Risk Assessments of employees exposed to lead Accident and Classified Worker records Control of Lead at work regulations Control of Lead at work regulations Control of Lead at work regulations Control of Lead at work regulations The Ionising Radiation Regulations Created + 5 years Recorded Destruction EST068 Created + 40 years Recorded Destruction EST069 Created + 5 years Recorded Destruction EST070 Created + 5 years Recorded Destruction EST071 Employment terminated + 50 years Recorded Destruction EST072 Retention Schedule - V7 Page 23 of 34

24 Summary disposal records Environmental Permitting Regulations Created For Permanent Preservation - EST073 Detailed compliance records Environmental Permitting Created or modified + 4 years Recorded Destruction EST074 Regulations Examination of respiratory protective equipment The Ionising Radiation Created + 2 years Recorded Destruction EST075 Regulations Consignment notes Special Waste Regulations Last entry + 3 years Recorded Destruction EST076 Consignment notes (Controlled waste) Environment Protection (Duty of Care) Regulations Last entry + 3 years Recorded Destruction EST077 Records of the conduct and results of health and safety audits, and actions taken to address issues raised Records of conduct and results of H & S inspections of University land, buildings, facilities and operations and action taken to address issues raised. Records documenting the provision of information, instruction and training for employees, students and others on health and safety in the University's premises. Records documenting the content of information and instruction on health and safety matters provided for members of the public and others who have legitimate access to the premises, and the methods of delivery. H & S at Work Act - Management of H & S at Work Regulations H & S at Work Act - Management of H & S at Work Regulations H & S at Work Act - Management of H & S at Work Regulations; Requirements in a wide range of additional regs H & S at Work Act - Management of H & S at Work Regulations Completion of audit + 5 years For Permanent Preservation - EST078 Completion of inspection + 5 years Recorded Destruction EST079 Created + 5 years Recorded Destruction EST080 Superseded + 5 years Recorded Destruction EST081 Records of appointment of person to safety roles Created + 5 years Recorded Destruction EST082 Records documenting notifications of appointments of safety Safety Representatives & Termination of appointment + 1 year Recorded Destruction EST083 representatives by trade unions Safety Committees Regs Records documenting the provision of time off, and other facilities Safety Representatives & Created + 5 years Recorded Destruction EST084 and assistance, for safety representatives Safety Committees Regs Records documenting consultations and other communications with representatives of employee safety, or with all employees directly. H & S (Consultation with Employees) Regulations Created + 50 years EST085 Retention Schedule - V7 Page 24 of 34

25 Section 6: Research Records Research strategy development Research Policy Committee correspondence and consultations Academic year created + 6 years Recorded Destruction RES002 Graduate School agendas Academic year created + 6 years Recorded Destruction Copies to be retained by the designated Committee Secretary in the relevant servicing office Graduate School agenda papers Academic year created + 6 years Recorded Destruction Copies to be retained by the designated Committee Secretary in the relevant servicing office Graduate School minutes Academic year created + 6 years For Permanent Preservation - Copies to be retained by the designated Committee Secretary in the relevant servicing office then bound and sent to archives. Postgraduate Research Students Committee agendas Academic year created + 6 years Recorded Destruction Copies to be retained by the designated Committee Secretary in the relevant servicing office Postgraduate Research Students Committee agenda papers Academic year created + 6 years Recorded Destruction Copies to be retained by the designated Committee Secretary in the relevant RES003 RES003A RES003B RES004 RES004A servicing office Copies to be retained by the RES004B designated Committee Secretary in the relevant servicing office then bound and sent to archives Superseded + 10 years Recorded Destruction RES005 Postgraduate Research Students Committee minutes Academic year created + 6 years For Permanent Preservation - Postgraduate Research processes - Master copies of procedures relating to research Research policy development Records relating to the development and establishment of University research policies and the policies themselves Working documents relating to the development and establishment of University research policies Superseded + 10 years Recorded Destruction RES006 Publication of policy + 1 year Recorded Destruction RES007 Research quality management University quality assurance processes Retain while current Recorded Destruction RES008 Retention Schedule - V7 Page 25 of 34