Delivery of taught programmes including materials for teaching and assessment Life of programme JISC recommendation Schools Work submitted for assessment (including examination scripts) Stage 2, 3, 4 and postgraduate students Confirmation of marks/grades by Course Assessment Boards + 9 months after final degree classification has been ratified by the Board of Examiners JISC recommendation/ UoB Regulations Schools Work submitted for assessment (including examination scripts) Foundation and Stage 1 Students Confirmation of marks/grades by Course Examinations scripts and coursework assignments 9 months after ratification of marks by the Stage One Board of Examiners JISC recommendation/ UoB Regulations Schools STUDENT DEBTORS Work submitted for assessment (including examination scripts) CARE: 2 years after payment of the last debt UoB Regulations After this time the student will be informed the work will be disposed of
Practical assessments (e.g. Laboratory tests/clinical practicals) and oral presentations where tutor makes notes or compiles a report on which to base student’s mark and provide feedback 9 months after ratification of the marks by Foundation Year or Stage 1 Board of Examiners For Stage 2,3,4, and Foundation Degree and Postgraduate students 9 months after final award has been ratified by the Board of Examiners JISC recommendation/UoB Regulations Schools Feedback, guidance & support given by tutors to individual students Completion of student’s programme + 6 years 1980 c. 58 s 5 Schools Directorates See separate section for Academic Administration of . .
Research and enterprise projects – not undertaken Current academic year + 5 years JISC recommendation APO RKTS Schools Directorates Funding bids – not successful Receipt of notification + 1 year JISC recommendation Schools Directorates Funding bids – successful Completion of project + 6 years 1980 c. 58 s 5 Schools Directorates Conduct of research funded by the Medical Research Council Completion of project + 10 years Medical Research Council, Good Research Practice, section 5.2 Schools Directorates Conduct of clinical or public health studies funded by the Medical Research Council, except specific categories of records in studies for which consent was obtained. Completion of project + 20 years Medical Research Council, Good Research Practice, section 5.2 Medical Research Council, Personal Information in Medical Research, section 7.1.2 Schools Directorates
Records documenting the protocol, the consent procedure, the participants and adverse effects in all studies (for which consent was obtained) funded by the Medical Research Council. Completion of project + 30 years Medical Research Council, Personal Information in Medical Research, section 7.1.2 Schools Directorates Conduct of all other research funded by all organisations other than the Medical Research Council. Completion of project + 10 years Stated or implied requirements of UK Research Councils and other significant research sponsors. Schools Directorates Management of research and enterprise projects Completion of project + 6 years 1980 c. 58 s 5 RKTS Schools Directorates Design and development of research programmes Life of programme +10 years JISC recommendation AQU Schools Directorates External & internal review of taught research programmes Current academic year + 5 years JISC recommendation AQU Schools Directorates
First Aid (including appointment/training of First Aiders, assessment of equipment, training) Current + 5 years JISC recommendation H&S Schools Directorates General H&S training Superseded + 10 years JISC recommendation H&S Schools Directorates Accident investigations Closure of investigation + 40 years 1980 c. 58 s 11 H&S Schools Directorates Records about: Retention period Rationale Master held Reportable accidents – notification of Date of notification + 3 years In line with SI 1995/3163 Regulation 7(3) H&S Schools Directorates Expectant and new mothers (including risk assessments; information/instruction/training; maintenance/monitoring; incident reports) Date of notification of pregnancy + 22 years (unless exposure to hazardous substances and physical agents in which case + 40/50 years as specified below) 1980 c. 58 s 11 H&S Schools Directorates
Young persons at work (under 18) (including risk assessments; information/instruction/training; maintenance/monitoring; incident reports) Date joined + 8 years (unless exposure to hazardous substances and physical agents in which case + 40/50 years as specified below) 1980 c. 58 s 11 H&S Schools Directorates Hazardous substances - including biological agents, asbestos and lead (including risk assessments; information/instruction/training; maintenance/monitoring; incident reports) Superseded + 40 years SI 2002/2677 Regulation 7(10) and Policy 3, para. 4(3) SI 2002/2676 Regulation 10(5) SI 2006/2739 Regulation 19(4)(a) H&S Schools Records about: Retention period Rationale Master held Physical agents – ionising radiation (including risk assessments; information/instruction/training; maintenance/monitoring; incident reports) Superseded + 50 years SI 1999/3232 Regulation 21(3)(a) H&S Schools Physical agents - including noise, and whole-body vibration (including risk assessments; information/instruction/training; maintenance/monitoring; incident reports) Superseded + 40 years JISC recommendation H&S Schools Directorates
Resources management (finance and purchasing; staff; equipment) records See separate section for to cover Planning, performance, governance, management of risk, audit, legal affairs, equality & diversity, health & safety, environment/waste. Records about: Retention period Rationale Master held Financial Accounting Issue of sales invoices and the processing of incoming payments. Current financial year + 6 years 1970 c.9 1980 c.58 1994 c.23 HMCE 700/21 Finance Receipt and payment of purchase invoices. Current financial year + 6 years * 1970 c.9 1980 c.58 1994 c.23 HMCE 700/21 Finance Payment and/or reimbursement of employees' expenses. Current financial year + 6 years 1970 c.9 1980 c.58 Finance Payment of honoraria to third parties. * * Unless honoraria are administered through the payroll. financial year + 6 years 1980 c.58 Finance
Records about: Retention period Rationale Master held Payment of expenses to third parties (e.g. honorary appointees). Current financial year + 6 years 1970 c.9 1980 c.58 Finance The handling of petty cash. Current financial year + 6 years 1994 c.23 HMCE 700/21 Finance Receipt and processing of students' fees. Current financial year + 6 years 1970 c.9 1980 c.58 Finance Administration of annual funding allocations from the appropriate statutory funding body. Current financial year + 6 years NA Finance Administration of scholarship funds. Current financial year + 6 years 1980 c.58 Finance Administration of research grants provided by research councils or corporate sponsors Termination of grant + 6 years 1980 c.58 Finance
Records about: Retention period Rationale Master held Financial Audit Conduct and results of financial audits, and action taken to address issues raised. Last action on audit + 6 years 1980 c.58 Finance Financial Management / Management Accounting Finance Analyses of, performance against the plans for the implementation of the institution's finance strategy. Current financial year + 1 year NA Finance Analyses of the internal deployment of the institution's financial resources. Current financial year + 1 year NA Finance Preparation of annual operating budgets. Current financial year + 1 year NA Finance Monitoring of income and expenditure against annual operating budgets, and action taken to deal with variances. Current financial year + 1 year NA Finance Internal Accounting Processing of internal accounting transactions between operating units (i.e. cross-charges). Current financial year + 1 year NA Finance
Payments of the institution's employees' contributions to pension schemes. Termination of employment + 75 years 1980 c.58 Finance Tax Management Preparation and filing of the institution's tax returns. Current tax year + 6 years 1970 c.9 Finance Cash Management Opening, closure and routine administration of bank accounts. Closure of account + 6 years 1980 c.58 Finance Administration of Standing orders, direct debits etc. Life of instruction + 6 years 1980 c.58 Finance Bank account deposits / withdrawals / transfers (paying-in slips, transfer instructions, bank statements etc.) Current financial year + 6 years 1970 c.9 1980 c.58 Finance Investment Management Management of the institution's financial investment portfolio. Divestment + 6 years 1980 c.58 Finance Purchase / sale of investments. Current financial year (of transaction) + 6 years 1970 c.9 Finance Asset Management
Administration relating to value of the institution's capital assets. Current financial year + 6 years * 1970 c.9 Review for archival value Administration of additions and source of funding Life of asset + 6 years Finance Record of Decisions (and authorisations) to dispose of capital assets. Current financial year (of disposal) + 6 years 1970 c.9 1980 c.58 Finance Administration of research and enterprise grants Termination of grant + 6 years NB some sources of European funding may specify the retention of records for a longer period. Please consult Financial Services for advice. 1980 c. 58 s 5 Finance Master copies of procedures relating to the management of equipment and consumables. Superseded + 3 years JISC recommendation Finance Records about: Retention period Rationale Master held
Purchase Orders Goods Received Notes/Goods Inwards Notes Current financial year + 6 years 1980 c. 58 s 5 HMRC 700/21 para. 5.2 Finance Employee timesheets (required for payroll purposes or the administration of grants) Current financial year + 6 years 1970 c. 9 s 34 HR Planning & budgeting – monitoring reports Current financial year + 1 years JISC recommendation Planning Major items Specifications for, selection, development & installation, testing, inspection & maintenance of equipment/consumables for. Life of item + 6 years 1980 c.58 s 5 Units Items which are safety critical or associated with hazardous operations Specifications for, selection, development & installation, testing, inspection & maintenance of equipment/consumables: Life of item + 40 years JISC recommendation Schools, Directorates Work equipment, including lifting equipment and pressure systems Life of item + 6 years JISC recommendation Schools, Directorates Specifications for, selection, development & installation, testing, inspection & maintenance of equipment/consumables: other items Life of item JISC recommendation Schools, Directorates
Individual staff records Records about: Retention period Rationale Master held Recruitment – unsuccessful applications Completion of recruitment process + 6 months 1975 c. 65 1976 c. 74 1995 c. 50 SI 2006/1031 Regulations 7, 36 and 42 SI 2003/1660 Regulations 6, 28 and 34 SI 2003/1661 Regulations 6, 28 and 34 HR Individual staff: Records documenting job-specific statutory/regulatory training requirements for the employee, and the training provided to meet these requirements. Expiry of certification + 6 years OR termination of employment + 6 years 1980 c. 58 s 5 HR
Induction Training & development Personal protective/special equipment issued to employee Termination of employment + 6 years 1980 c. 58 s 5 HR Schools, Directorates Income Tax and NI; correspondence with HMRC Current tax year + 6 years E11 (2008) HR Statutory sick pay and statutory maternity pay Current tax year + 3 years E14 (2008) HR Pensions Termination of employment + 6 years 1980 c. 58 s 5 HR Provision of references Provision of reference + 1 year JISC recommendation HR Schools, Directorates, DBS clearance documentation Date of clearance + up to a maximum of 6 months DBS code of practice HR
Internal and external relations (including complaints and enquiries, events and visits) Records about: Retention period Rationale Master held Complaints from members of the public, the internal handling of these complaints and the responses provided. Last action on complaint + 1 year JISC recommendation Schools/ Directorates OVC Planning and evaluation of events. Completion of event + 3 years JISC recommendation MCC, Schools Organisation and administration of events. Completion of event + 1 year JISC recommendation MCC, Schools Formal communications with other HE/FE institutions, other educational institutions, professional associations and learned bodies. Current year + 5 years JISC recommendation Planning Directorates Schools Formal enquiries from institutions and other bodies in the sector, the internal handling of these enquiries and the responses given. Last action of enquiry + 1 year JISC recommendation Schools Directorates