Research Council, except where other requirements are specified. longer required in department or faculty Records documenting the 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. Retain until completion of project + 20 years Transfer to Archive when no longer required in department or faculty 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. Retain until completion of project + 30 years Transfer to Archive when no longer required in department or faculty Records documenting the conduct of all research funded by all other organisations. Retain until completion of project + 10 years Transfer to Archive when no longer required in department or faculty Publications and presentations made to disseminate research results (NOT interim or final research reports). Retain until publication/delivery + 3 years Do not transfer Records documenting the management of internally-funded research projects. Retain completion of project + 3 years Do not transfer Records documenting the management of externally-funded research projects. Retain until completion of project + 6 years Do not transfer Research Programme Provision The function of delivering the University's postgraduate research programmes. RECORDS ACTION TO BE TAKEN IN DEPARTMENT/FACULTY ACTION IN ARCHIVES (PAPER RECORDS) Records documenting the development of the Univerrsity's research programmes. Retain for the life of programme + 10 years Transfer to Archive when no longer required in department or faculty Records documenting routine monitoring of external developments and trends to inform the development of the University's research programmes. Retain for current academic year + 1 year Do not transfer Records containing data on, and analyses of, student numbers and other programme statistics. Retain for current academic year + 3 years Do not transfer
Records containing the conduct, results, results responses and reports of reviews of research programmes. Retain for current academic year + 5 years Do not transfer Records documenting the conduct of formal assessments of work academic advice and guidance on the selection of research subjects and on the progress and standard of their work for individual research students. Retain completion of student's programme + 6 years Do not transfer Records documenting awards and classifications, including reviews in response to notifications of mitigating circumstances or academic appeals. Retain for current academic year + 6 years Do not transfer Records documenting the appointment of supervisors for research students. Retain until termination of appointment + 1 year Do not transfer Knowledge Transfer and Enterprise Intellectual Property Rights (IPR) Exploitation The function of commercially exploiting the University's intellectual property rights (IPR). RECORDS ACTION TO BE TAKEN IN DEPARTMENT/FACULTY ACTION IN ARCHIVES (PAPER RECORDS) Records documenting the development and establishment of the University's IPR exploitation strategies and policies: key records. Retain until superseded + 10 years Transfer to Archive when no longer required in department or faculty Records documenting the development and establishment of the University's IPR exploitation strategies, policies and procedures: working papers. Retain from the issue of strategy, policy or procedure + 1 year Do not transfer Master copies of procedures relating to IPR exploitation. Records documenting the development and establishment of the University's consultancy strategy: key records. Retain until superseded + 5 years Do not transfer Records documenting the negotiation and completion of IPR assignments to third parties. Retain for life of IPR + 6 years Do not transfer
proposals/tenders and contracts and variation of contracts: working papers. Records documenting the management of consultancy projects: key records. Records documenting substantive project work. Retain termination of contract + 3 years Do not transfer Records documenting: consultancy management working papers scheduling of meetings, interviews and other project work project deliverables and outcomes: versions and other working papers. Retain until termination of contract Do not transfer Education & Training The function of developing and delivering education and training programmes for external organisations, and for the public. RECORDS ACTION TO BE TAKEN IN DEPARTMENT/FACULTY ACTION IN ARCHIVES (PAPER RECORDS) Records documenting the development and establishment of the University's education and training strategy and policies: key records. Retain until superseded + 10 years Transfer to Archive when no longer required in department or faculty Records documenting the development and establishment of the University's education and training strategy, policies and procedures: working papers. Retain until issue of strategy, policy or procedure + 1 year Do not transfer Master copies of procedures relating to education and training. Retain superseded + 5 years Do not transfer Records documenting the development of education and training programmes. Retain for life of programme + 5 Do not transfer Records containing data on, and analyses of, student numbers and other programme statistics. Retain current academic year + 5 Do not transfer Records documenting: preparation of teaching and learning materials Retain current academic year + 1 year Do not transfer
services strategy and policies: key records. Records documenting the development and establishment of the University's commercial services strategy, policies on management and management procedures: working papers. Retain from the issue of strategy, policy or procedure + 1 year Do not transfer Master copies of procedures relating to the management of commercial services. Retain superseded + 3 years Do not transfer Academic Administration Student Administration The function of administering the University’s contractual relationships with its students. RECORDS ACTION TO BE TAKEN IN DEPARTMENT/FACULTY ACTION IN ARCHIVES (PAPER RECORDS) Records documenting the development and establishment of the University's student administration policies: key records. Master copies of procedures relating to student administration. Records documenting the development and establishment of the University's admission criteria. Retain until superseded + 10 years Transfer to Archive when no longer required in department or faculty Records documenting the development and establishment of the University's student administration policies and procedures: working papers. Retain from issue of policy or procedure + 1 year Do not transfer Records documenting the design, conduct, organisation and summary results of student recruitment campaigns and events. Retain completion of campaign or event + 5 years Do not transfer Records documenting the design, operation and summary results of student recruitment schemes. Retain for current academic year + 5 years OR Termination of scheme + 5 years Do not transfer Records documenting the issue of student recruitment materials in bulk to schools and other organisations. Retain for current academic year Do not transfer Records documenting the handling of enquiries from prospective students. Retain for current academic year + 1 year Do not transfer
Records documenting the design, conduct and review of induction programmes for new students. Retain from completion of induction programme + 5 years Do not transfer Records documenting the handling of requests for: ad hoc analyses of data from individual students' records statements of results/transcripts from individual students confirmation of individual students' awards, attendance or conduct from employers and other educational institutions Retain from last action on request + 1 year Do not transfer Destination Surveys: individual responses Retain completion of analysis of responses Do not transfer Records documenting: the conduct and results of disciplinary proceedings against individual students the handling and results of academic appeals by individual students. the handling of formal complaints made by individual students against the University. Retain from last action on case + 6 Do not transfer Records documenting the handling of complaints by individual students where the formal complaints procedure is not initiated. Retain from last action on complaint + 3 years Do not transfer Academic Programme Administration The function of administering the delivery of the University's academic programmes. RECORDS ACTION TO BE TAKEN IN DEPARTMENT/FACULTY ACTION IN ARCHIVES (PAPER RECORDS) Records documenting the development and establishment of the University's academic programme administration policies: key records. Master copies of procedures relating to academic programme administration. Retain until superseded + 5 years Do not transfer Records documenting the development and establishment of the University's academic Retain from issue of policy + 1 year Do not transfer
programme administration policies and procedures: working papers. Master copies of procedures relating to academic programme administration. Retain superseded + 5 years Do not transfer Records documenting the administration of academic programmes. Retain from current academic year + 3 years Do not transfer Academic Award Administration The function of administering the conferment of the University's academic awards. RECORDS ACTION TO BE IN DEPARTMENT/FACULTY ACTION IN ARCHIVES (PAPER RECORDS) Records documenting the development and establishment of the University's academic administration policies: key records. Master copies of procedures relating to academic award administration. Retain superseded + 5 years Do not transfer Records documenting the development and establishment of the University's academic award administration policies and procedures: working papers. Retain from issue of policy or procedure + 1 year Do not transfer Records documenting: notification of awards to students and the issue of awards certificates the process of inviting, receiving and considering nominations for honorary awards offers of honorary awards and responses received Retain from conferment of award + 1 year Do not transfer Records documenting: organisation of ceremonies the production of certificates mailing certificates to students who do not attend ceremonies Retain from completion of ceremony + 1 year Do not transfer Student Assessment Administration The function of administering the conduct of student assessment.
policies or strategic plan: key records. Records documenting the development and establishment of the University's corporate planning and performance management policies, procedures or strategic plan: working papers. Retain from issue of policy, procedures or strategic plan + 1 year Do not transfer Master copies of procedures relating to corporate planning and performance management. Retain until superseded + 5 years Do not transfer Records containing data on, and analyses of, the University's performance against its strategic plan. Records documenting the conduct and results of audits and reviews of the strategic planning and performance management function, and responses to the results. Retain for current academic year + 5 Do not transfer Records containing reports on the University's performance against its strategic plan. Retain for current academic year + 10 years Transfer to Archive when no longer required in department or faculty Records documenting the development of the University's annual operating plans: key records. Retain for current calendar year + 5 years Do not transfer Records documenting the development of the University's annual operating plans: working papers. Records documenting benchmarking exercises with other comparable institutions. Records documenting performance monitoring and analysis. Retain for current calendar year + 1 year Do not transfer Records documenting the development of the University's key performance indicators. Retain until superseded Do not transfer Governance The function of developing and establishing the University's corporate governance structure and rules, and of conducting its business in accordance with its governance structure and rules.
parties : agreements and contracts under seal (by deed). department or faculty Records documenting the negotiation, establishment and review of contracts and agreements between the University and third parties: other contracts and agreements. Retain until termination of contract + 6 years Do not transfer Records documenting the provision of legal support and representation for the University in dealing with claims by or against the University which do not proceed to litigation or settlement by an agreement. Retain settlement of claim + 6 years OR Withdrawal of claim + 6 years Do not transfer Records documenting litigation between the University and third parties where legal precedents are set. Retain for life of University Transfer to Archive when no longer required in department or faculty Records documenting litigation between the University and third parties which does not set legal precedents. Retain until settlement of case + 6 years Do not transfer Records documenting legal advice requested by, and provided to, the University concerning e.g.: - interpretation of legislation affecting the University's framework, governance, responsibilities or operations - proposals for new legislation affecting the University's legal framework, governance, responsibilities or operations - the University's relationships with government bodies and HE regulators - industrial relations issues - health, safety and environmental issues Retain for life of University Transfer to Archive when no longer required in department or faculty Organisational Development The function of developing the University's organisational structure and culture. RECORDS ACTION TO BE TAKEN IN DEPARTMENT/FACULTY ACTION IN ARCHIVES (PAPER RECORDS) Records documenting the development and establishment of the University's organisational Retain until strategy or development policy is superseded + 5 years Do not transfer
strategy and development policies: key records. Records documenting the development and establishment of the University's organisational strategy, development policies and procedures: working papers. Retain from issue of strategy, development policy or procedure + 1 year Do not transfer Master copies of procedures relating to organisational development. Retain until superseded + 3 years Do not transfer Records documenting the management of individual organisational restructuring processes. Retain until completion of process + 5 years Do not transfer Equality & Diversity Management The function of managing the University's compliance with legislation on opportunities. RECORDS ACTION TO BE IN DEPARTMENT/FACULTY ACTION IN ARCHIVES RECORDS) Records documenting the development and establishment of the University's equality and diversity strategy and policies: key records. Retain until strategy or policy superseded + 5 years Do not transfer Records documenting the development and establishment of the University's equality and diversity strategy, policies and procedures: working papers. Retain from of strategy, policy or procedure + 1 year Do not transfer Master copies of procedures relating to the management of equality and diversity. Retain superseded + 3 years Do not transfer Records containing summary statistical information resulting from equality monitoring. Records documenting the development and delivery of training on equality and diversity issues and procedures. Retain current calendar year + 5 Do not transfer Records documenting the handling of formal complaints discrimination by or within the University. Retain from last action on case + 6 years Do not transfer Records documenting the handling of individual applications for the Scheme and monitoring of the Retain from completion of the Scheme + 1 year Do not transfer
Records documenting to detect leakage from articles containing or embodying radioactive substances, to fulfil the University's duties under Regulation 27 of the Ionising Radiations Regulations 1999 (SI 1999/3232). Retain from completion of subsequent test on article OR Disposal of article + 2 years. Do not transfer Records of the quantity and location of radioactive substances, to fulfil the University's duties under Regulation 28 of the Ionising Radiations Regulations 1999 (SI 1999/3232). Retain from disposal of radioactive substance + 2 years OR Date of record + 2 years, whichever is the longer. Do not transfer Records documenting immediate investigations into possible accidental release or theft of radioactive substances, where no release or theft was found to have occurred, to fulfil the University's duties under Regulation 30 of the Ionising Radiations Regulations 1999 (SI 1999/3232). Retain from date of report + 2 years Do not transfer Records documenting immediate investigations into possible accidental release or theft of radioactive substances, where accidental release or theft was found to have occurred, to fulfil the University's duties under Regulation 30 of the Ionising Radiations Regulations 1999 (SI 1999/3232). Retain from date of report + 50 years Transfer to Archive when no longer required in department or faculty Records of injuries, dangerous occurrences and outbreaks of notifiable diseases on the University's premises, to fulfil the University's duties Regulation 7 of the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (SI 1995/3163). Retain from date of recording + 3 Records documenting the investigation of accidents, dangerous occurrences and outbreaks of notifiable diseases on the University's premises. Retain from closure of investigation + 40 years Transfer to Archive when no longer required in department or faculty
of requirements for first aid facilities, equipment and trained personnel to fulfil the University's duties under Regulation 3 of the Health and Safety (First Aid) Regulations 1981 (SI 1981/917). Environmental Management The function of managing the impact of the University and its business on the environment, and of ensuring compliance with legislation on environmental matters. RECORDS ACTION TO BE TAKEN IN DEPARTMENT/FACULTY ACTION IN ARCHIVES (PAPER RECORDS) Records documenting the development and establishment of the University's environmental management strategy and policies: key records. Master copies of procedures relating to environmental management. Retain superseded + 10 years Transfer to Archive when no longer required in department or faculty Records documenting the development and establishment of the University's environmental management strategy, policies and procedures: working papers. Retain from of strategy, policy or procedure + 1 year Do not transfer Records documenting the conduct and results of environmental audits, and action taken to address issues raised. Retain from completion of audit + 5 years Do not transfer Records documenting identified environmental hazards to the University, or created by its operations, and the conduct and results of risk assessments. Retain from the elimination of risk + 5 years OR Updating of risk assessment + 5 years Do not transfer Records documenting the attainment and maintenance of the University's accreditation established environmental management schemes. Retain from termination of accreditation + 1 year Do not transfer
Records documenting action taken by the University to raise awareness of environmental issues among its employees, other staff and students. Records documenting routine monitoring of the University's use and consumption of energy. Retain current calendar year+ 5 years Do not transfer Records documenting the recording of environmental incidents on the University's premises or caused by its operations. Retain from last action on incident + 40 years Transfer to Archive when no longer required in department or faculty Records documenting the investigation of environmental incidents on the University's premises or caused by its operations. Retain until closure of investigation + 40 years Transfer to Archive when no longer required in department or faculty Records documenting the notification and reporting of reportable environmental incidents to enforcing authorities. Retain from date of notification + 5 Do not transfer Records documenting the conduct and results of formal reviews of the University's use and consumption of energy, and action to address issues raised. Retain from completion of review + 5 years Do not transfer Register of 'special waste' removed from the premises for disposal by registered/licensed contractors, as required by Regulation 15 of the Special Waste Regulations 1996 (SI 1996/972). Retain from removal of waste consignment + 3 years Do not transfer Records documenting hazardous waste to be disposed of, as required by Regulation 49 of the Hazardous Waste (England and Wales) Regulations 2005 (SI 2005/894). Retain from removal of waste + 3 years Do not transfer Corporate Resources Estate Management The function of managing the University’s estate. RECORDS ACTION TO BE TAKEN IN DEPARTMENT/FACULTY ACTION IN ARCHIVES RECORDS)
Records documenting the development and establishment of the institution's estate strategy, policies and procedures: key records. Retain until superseded + 10 years Transfer to Archive when no longer required in department or faculty Records documenting the development and establishment of the institution's estate strategy, policies and procedures: working papers. Retain from issue of strategy, policy or procedure + 1 year Do not transfer Records documenting the acquisition of ownership of properties. Retain from disposal of property + 12 years Transfer to Archive when no longer required in department or faculty Deeds of title for properties owned by the institution. Retain from disposal of property Transfer to Archive when no longer required in department or faculty Records documenting negotiations for properties where the property was not acquired. Retain from closure of negotiations + 6 years Do not transfer Records documenting the negotiation of leases and original lease agreements. Retain from expiry of lease + 15 years Transfer to Archive when no longer required in department or faculty Records documenting the development of properties. Records documenting major maintenance works on property. Retain from disposal of property Transfer to Archive when no longer required in department or faculty Health and Safety File for a structure, as required by Regulation 14(d) of the Construction (Design and Management) Regulations 1994 (SI 1994/3140) Retain from demolition of property OR Disposal of interest in property Transfer to Archive when no longer required in department or faculty Records documenting applications for planning consents required to (re)develop property and consents granted. Retain from disposal of property or expiry of consent. Transfer to Archive when no longer required in department or faculty
Records documenting routine inspections of property. Retain from date of inspection + 5 years Do not transfer Records documenting minor maintenance works on property. Retain from completion of works + 15 years Transfer to Archive when no longer required in department or faculty 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). Retain from review of assessment + 10 years Transfer to Archive when no longer required in department or faculty Records documenting the monitoring of the condition of asbestos in premises, and of maintaining or removing it. Retain from removal of asbestos + 10 years OR Subsequent inspection + 10 years Transfer to Archive when no longer required in department or faculty Records documenting the disposal of properties by sale, transfer or donation. Retain from disposal of property + 12 years Transfer to Archive when no longer required in department or faculty Records documenting the conduct and results of security inspections of properties, and action taken to address issued raised. Retain from completion of subsequent inspection Do not transfer Records documenting property access controls to secure areas (e.g. access registers, key registers, security data logs). Retain from creation + 2 years Do not transfer Records of security passes issued to visitors Retain from expiry of pass + 1 month Do not transfer Records of security passes issued to employees, other staff and students. Retain from expiry of pass + 1 year Do not transfer Records documenting the conduct of routine security surveillance of properties. Retain from creation + 1 month Do not transfer
Records documenting calculation and payment of employees' salaries and payments. Records documenting the preparation and filing of the institution's tax returns. Records documenting the institution's accounting for VAT. Records documenting the employee's remuneration and rewards (e.g. bonuses, merit awards, long service awards). Employer's PAYE records are not required to be sent to the Inland Revenue (under the provisions of the Income Tax (Pay As You Earn) Regulations 2003. Records documenting the administration of payments made the Statutory Sick Pay scheme. Records documenting the administration of payments made under the Statutory Maternity Pay scheme. Retain for current tax year + 3 years Do not transfer Records documenting payments of the institution's employers' contributions to pensions schemes for its employees. Records documenting payments of the institution's employees' contributions to pension schemes. Retain from termination of employment + 75 years Transfer to Archive when no longer required in department or faculty Records documenting the opening, closure and routine administration of bank accounts. Retain from closure of account + 6 years Do not transfer Records documenting standing orders, direct debits etc. Retain for life of instruction + 6 years Do not transfer Records documenting routine bank account deposits/withdrawals/transfers (paying-in slips, transfer instructions, bank statements etc.) Retain for current financial year + 6 years Do not transfer Records documenting the overall management of the institution's financial investment portfolio. Retain until divestment + 6 years Do not transfer
Records documenting the employee's training and development needs, and the action taken to meet these needs. Retain from completion of actions + 5 Do not transfer Records documenting job-specific statutory/regulatory training requirements for the employee, and the training provided to meet these requirements. Retail expiry of certification + 6 years OR Superseded + 6 years Do not transfer Records documenting routine assessments/reviews of the employee's performance, and any consequent action taken. Retain until superseded + 3 years Do not transfer Records documenting disciplinary proceedings against the employee, where employment continues. Records documenting grievances raised by the employee which relate directly to his/her own contract of employment, the institution's response, action taken and the outcome. Retain until closure of case + 6 years Do not transfer Records documenting the employee's absence due to sickness. Retain until termination of employment + 40 years Transfer to Archive when no longer required in department or faculty Records documenting the authorisation and administration of statutory leave entitlements, e.g. parental leave. Retain completion of entitlement + 6 years Do not transfer Records documenting entitlements to, and calculations of, Statutory Maternity Pay. Retain for current Tax Year + 3 years Do not transfer Records containing employee's personal details (e.g. address, next of kin, emergency contacts). Retain until superseded Do not transfer Records documenting health screening of an employee: employees exposed to hazardous substances during employment. See HEALTH & SAFETY MANAGEMENT - HAZARDOUS SUBSTANCE EXPOSURE CONTROL.
Records documenting health screening of an employee: other employees. Records documenting the issue of personal protective equipment/other special equipment to an employee. Records documenting the employee's termination of employment by voluntary resignation, redundancy, retirement (including on medical grounds) or dismissal. Retain until termination of employment + 6 years Do not transfer Records documenting major injuries to an employee arising from accidents in the workplace. Retain until termination of employment + 40 years Transfer to Archive when no longer required in department or faculty Records documenting references provided in confidence in support of the employee's application(s) for employment by another organisation. Retain from provision of reference + 1 year Do not transfer Records documenting institutional recognition/derecognition of trades unions. Retain from derecognition + 6 years Do not transfer Records documenting agreements with trade unions. Retain from termination of agreement + 10 years Transfer to Archive when no longer required in department or faculty Records documenting routine communications with trade union representatives, including minutes of meetings. Retain for current calendar year + 20 Transfer to Archive when no longer required in department or faculty Records documenting consultations/negotiations with trade unions on specific issues. Retain from last action on issue + 20 years Transfer to Archive when no longer required in department or faculty Records documenting the institution's relationships with pension schemes to which all or part of its workforce belongs. Retain from termination of relationship + 5 years Do not transfer Information Compliance Management The function of ensuring that the University complies with
materials to raise awareness and encourage use of (items in) the archives. Records documenting enquiries (items in) the archives, and the responses provided. Note: key information from substantive enquiries may be extracted and indexed to avoid repetitive research. Last action on enquiry + 1 year Do not transfer Records documenting the selection and use of items from the archives by institutional staff (e.g. for teaching events, publications, exhibitions). Retain for current calendar year + 5 years Do not transfer Records documenting the selection and use of items from the archives by third parties (e.g. for exhibitions, publications, television programmes). Retain from last action on project + 5 years Do not transfer Records documenting loans of items from the archives to third parties. Retain from termination of loan + 6 years Do not transfer Collections Management The function of managing the University's collections of artworks, artefacts and manuscripts. RECORDS ACTION TO BE IN DEPARTMENT/FACULTY ACTION IN ARCHIVES RECORDS) Records documenting the development and establishment of the institution's collections strategy and policies: key records. Retain until superseded + 5 years Do not transfer Records documenting the development and establishment of the institution's collections strategy, policies and procedures: working papers. Retain from issue of strategy, policy or procedure + 1 year Do not transfer Master copies of procedures relating to collections management. Retain until superseded + 3 years Do not transfer
SPECTRUM: Location and Movement Records Records documenting key information about objects in the institution's collections. SPECTRUM: Catalogue records Retain permanently Transfer to Archive when no longer required in department or faculty Records documenting objects which have left the institution's premises. SPECTRUM: Object Exit Records Retain from return of item + 10 years Transfer to Archive when no longer required in department or faculty Records documenting loans of objects to other organisations or to individuals. SPECTRUM: Loan Out records Retain from return of loaned item + 10 years Transfer to Archive when no longer required in department or faculty Publications Management The function of managing the University's collections of publications acquired or assembled to support its work. RECORDS ACTION TO BE TAKEN IN DEPARTMENT/FACULTY ACTION IN ARCHIVES (PAPER RECORDS) Records documenting the development and establishment of the institution's publications strategy and policies: key records. Retain until superseded + 5 years Do not transfer Records documenting the development and establishment of the institution's publications strategy, policies and procedures: working papers. Retain from issue of strategy, policy or procedure + 1 year Do not transfer Master copies of procedures relating to publications management. Retain until superseded + 3 years Do not transfer Records documenting the process of selecting publications to purchase. Retain completion of purchase Do not transfer Records documenting decisions to (dis)continue purchase of publications. Retain from last action on issue + 1 year Do not transfer Records documenting the institution's scheme(s) for Retain all catalogues based on the scheme are superseded Do not transfer
classifying and cataloguing publications. Catalogues/indexes Retain until superseded Do not transfer Records documenting the monitoring and control of storage conditions. Retain current calendar year + 1 year Do not transfer Records documenting the movement of items from/to storage. Return of + 1 year Do not transfer Records documenting conservation work undertaken on publications. Retain for life of Do not transfer Records documenting the authorisation for the disposal of redundant publications. Retain until disposal of publications + 1 year Do not transfer Records documenting applications for permission to copy from published works which are not covered by Copyright Licensing Agency licences, where permission is not granted. Retain from last action on application + 1 year Do not transfer Records documenting applications for permission to copy from published which are not covered by Copyright Licensing Agency licences, where permission is granted. Retain for period for permission is granted + 6 years Do not transfer Records documenting the compilation of statistical and other data required by the Copyright Licensing Agency, and the submission of this data to the Agency. Retain current calendar year + 1 year Do not transfer Records documenting the institution's participation in surveys / audits undertaken by the Copyright Licensing Agency. Retain until completion of survey/audit Do not transfer Records documenting the results of surveys / audits undertaken by the Copyright Licensing Agency (provided to the institution by the Agency). Retain current calendar year + 5 years Do not transfer
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. Retain from last action on case + 1 year Do not transfer Intellectual Property Rights (IPR) Management RECORDS ACTION TO BE IN DEPARTMENT/FACULTY ACTION IN ARCHIVES (PAPER RECORDS) Records documenting the development and establishment of the institution's IPR management policies and procedures: working papers. Retain from issue of policy or procedure + 1 year Do not transfer Master copies of procedures relating to IPR management. Retain until superseded + 3 years Do not transfer Records documenting the institution's applications for patents and patent certificates. Retain for life of patent + 50 years Transfer to Archive when no longer required in department or faculty Records documenting the institution's applications for other forms of IPR protection (registered trade marks, registered designs) and certificates of registration Retain from end of registration + 6 years Do not transfer Records documenting applications for renewal of IPR protection, up to the maximum period permitted. Retain for life of patent/End of registration Do not transfer Records documenting routine monitoring of third party activity to detect infringements of the institution's IPR. Retain for current calendar year + 5 Do not transfer Records documenting identified infringements of the institution's IPR, and action taken other than litigation. Retain from last action on case + 6 years Do not transfer Information & Communications Technology (ICT) Systems Management The function of managing the University's information and communications technology (ICT) systems. RECORDS ACTION TO BE TAKEN IN DEPARTMENT/FACULTY ACTION IN ARCHIVES
(PAPER RECORDS) Records documenting the development and establishment of the institution's ICT systems strategy and policies: key records. Retain until superseded + 5 years Do not transfer Records documenting the development and establishment of the institution's ICT systems strategy, policies and procedures: working papers. Retain from issue of strategy, policy or procedure + 1 year Do not transfer Master copies of procedures relating to the management of ICT systems. Retain until superseded + 3 years Do not transfer Records documenting the initial development and modification and maintenance of ICT systems. Records documenting the security arrangements for ICT systems. Retain from decommissioning of system + 5 years Do not transfer Records documenting the initial development of ICT systems which are not implemented. Retain from last action on development + 5 years Do not transfer Records documenting the management of ICT systems development projects (i.e. project management records). Retain from termination of project + 5 years Do not transfer Records documenting the routine monitoring and testing of the operation of ICT systems, and action to rectify problems and optimise performance. Records documenting the management of system data storage, including the operation of routine data backup, archiving and deletion routines. Records documenting routine monitoring of the use of ICT systems to ensure compliance with requirements and institutional policies. Retain from current calendar year + 1 year Do not transfer
RECORDS ACTION TO BE TAKEN IN DEPARTMENT/FACULTY ACTION IN ARCHIVES (PAPER RECORDS) Records documenting the development and establishment of the institution's equipment and consumables strategy and policies: key records. Retain until superseded + 5 years Do not transfer Records documenting the development and establishment of the institution's equipment and consumables strategy, policies and procedures: working papers. Retain from issue of strategy, policy or procedure + 1 year Do not transfer Master copies of procedures relating to the management of equipment and consumables. Retain until superseded + 3 years Do not transfer Records documenting the development of specifications for, and the selection of, equipment/consumables: major items Maintenance logs for equipment Retain for life of item or equipment + 6 years Do not transfer Records documenting the development of specifications for, and the selection of, equipment/consumables: items which are safety critical or associated with hazardous operations Retain for life of item + 40 years Transfer to Archive when no longer required in department or faculty Records documenting the development of specifications for, and the selection of, equipment/consumables: other items Retain for life of item Do not transfer Records documenting the monitoring of the condition of stored equipment/consumables. Records documenting routine stocktaking and stock checking. Records documenting the movement of stock into and from storage. Retain for current calendar year + 1 year Do not transfer
Records documenting the stock inventory for equipment/consumables. Retain until superseded Do not transfer Records documenting the installation of equipment: items. Records documenting the inspection, testing and maintenance of equipment: major items other than those specified elsewhere. Retain until decommissioning/removal + 6 years Do not transfer Records documenting the installation of equipment: items which are safety critical or associated with hazardous operations. Retain decommissioning/removal + 40 years Transfer to Archive when no longer required in department or faculty Records documenting the installation of equipment: other items. Retain until decommissioning/removal Do not transfer Health and Safety File for fixed plant which is a 'structure' as defined in Regulation 2 of the Construction (Design and Management) Regulations 1994 (SI 1994/3140). Retain decommissioning/removal of plant Do not transfer Reports of pre-commissioning examinations of lifting equipment, as required by Regulation 9(1) and 9(2) of the Lifting Operations and Lifting Equipment Regulations 1998 (SI 1998/2307). Retain until decommissioning Do not transfer Reports of pre-commissioning examinations of accessories for lifting, as required Regulation 9(1) of the Lifting Operations and Lifting Equipment Regulations 1998 (SI 1998/2307). Retain from date of report + 2 years Do not transfer Records documenting the inspection, testing and maintenance of equipment, except as specified elsewhere. Records documenting authorisation for the disposal of equipment/consumables, and the Retain from disposal of item + 1 year Do not transfer
Records documenting the development and establishment of the institution's publishing strategy: key records. Records documenting the development and establishment of the institution's publishing policies: key records. Retain until superseded + 5 years Do not transfer Records documenting the development and establishment of the institution's publishing strategy, policies and procedures: working papers. Retain from issue of strategy, policy or procedure + 1 year Do not transfer Master copies of procedures relating to the management of publishing. Retain until superseded + 3 years Do not transfer Records documenting the design, commissioning, editing and production of publications. Retain from issue of publication + 1 year Do not transfer Records documenting the distribution of publications. Retain for current calendar year + 1 year Do not transfer Records documenting the development of marketing plans for publications. Retain for life of publication Do not transfer Management Information Collection, Analysis & Reporting The function of collecting and maintaining management information and of producing management information reports for internal use. RECORDS ACTION TO BE TAKEN IN DEPARTMENT/FACULTY ACTION IN ARCHIVES (PAPER RECORDS) Dataset specifications and protocols for submission and collation of data. Retain until superseded Do not transfer Management information reports Retain for current calendar year + 3 years Do not transfer Corporate Relations Public Relations Management The function of raising and maintaining the University's public profile, and of managing its relationships with the public. RECORDS ACTION TO BE TAKEN IN DEPARTMENT/FACULTY ACTION IN ARCHIVES (PAPER RECORDS)
Records documenting the development and establishment of the institution's public relations strategy and policies: key records. Retain until superseded + 5 years Do not transfer Records documenting the development and establishment of the institution's public relations strategy, policies and procedures: working papers. Retain from issue of strategy, policy or procedure + 1 year Do not transfer Master copies of procedures relating to public relations. Retain until superseded + 3 years Do not transfer Records documenting enquiries from members of the public and the responses provided. Retain from last action on enquiry + 1 year Do not transfer Records documenting unsolicited feedback from members of the public, the internal handling of this feedback and the responses provided. Retain from last action on feedback + 1 year Do not transfer Records documenting the design and conduct of public surveys. Results of public surveys: summaries and analyses of responses Retain from completion of survey + 3 Do not transfer Results of public surveys: individual responses Retain from completion of analysis of survey responses Do not transfer Records documenting complaints from members of the public, the internal handling of these complaints and the responses provided. Retain from last action on complaint + 1 year Do not transfer Records documenting the planning and impact/results of public events. Retain from completion of + 3 years Do not transfer Records documenting the organisation and administration of public events. Retain from completion of event + 1 year Do not transfer Records documenting the organisation and administration of official visits. Retain from completion of visit + 1 year Do not transfer Records documenting the arrangements for corporate sponsorship of public events by the institution. Retain until termination of sponsorship + 6 years Do not transfer
Records documenting the preparation of the institution's formal responses to consultations conducted by HE/FE sector organisations (including records of internal consultation processes). Retain from last action on consultation + 1 year Do not transfer Records documenting the institution's formal responses to consultations conducted by HE/FE sector organisations. Retain from last action on consultation + 3 years Do not transfer Records documenting the preparation and submission of reports to HE/FE regulatory bodies. Retain from submission of report + 3 Do not transfer Records documenting the planning and impact/results of events for the HE sector. Retain from completion of event + 3 years Do not transfer Records documenting the organisation and administration of events for the HE sector. Retain from completion of event + 1 year Do not transfer Records documenting the institution's membership of organisations. Retain from termination of membership + 1 year Do not transfer Records documenting the institution's participation in the activities of external organisations (including committees). Retain from termination of involvement + 1 year Do not transfer Records documenting the establishment of formal contractual relationships between the institution and other HE/FE institutions. Retain from termination of contractual relationship + 6 years Do not transfer Community Relations Management The function of managing the University's relationship with its local community. RECORDS ACTION TO BE TAKEN IN DEPARTMENT/FACULTY ACTION IN ARCHIVES (PAPER RECORDS) Records documenting the development and establishment of the institution's community relations strategy, policies and procedures: working papers. Retain from issue of strategy, policy or procedure + 1 year Do not transfer Records documenting the development and establishment of the institution's community relations policies: key records. Retain until superseded + 5 years Do not transfer Master copies of procedures relating to community relations. Retain until superseded + 3 years Do not transfer
Records documenting enquiries from members of the community and the responses provided. Retain from last action of enquiry + 1 year Do not transfer Records documenting unsolicited feedback from members of the local community, the internal handling of this feedback and the responses provided. Retain from last action on feedback + 1 year Do not transfer Records documenting the design and conduct of community surveys. Retain from completion of survey + 3 years Do not transfer Results of community surveys: individual responses Retain from completion of analysis of survey responses Do not transfer Results of community surveys: summaries and analyses of responses Retain from completion of survey + 3 years Do not transfer Records documenting complaints from members of the local community, the internal handling of these complaints and the responses provided. Retain from last action on complaint + 1 year Do not transfer Records documenting the planning and impact/results of community events. Retain from completion of event + 3 years Do not transfer Records documenting the organisation and administration of community events. Retain from completion of event + 1 year Do not transfer Records documenting the institution's membership of local community organisations. Retain from termination of membership + 1 year Do not transfer Records documenting the institution's participation in the activities of local community organisations (including committees). Retain from termination of involvement + 1 year Do not transfer Alumni Relations Management The function of managing the University's relationship with its alumni. RECORDS ACTION TO BE TAKEN IN DEPARTMENT/FACULTY ACTION IN ARCHIVES (PAPER RECORDS) Records documenting the development and establishment of the institution's alumni relations strategy and policies: key records. Retain until superseded + 5 years Do not transfer
Records documenting requests from alumni associations for financial or support, the internal handling of these requests and the responses provided. Retain last action on request + 1 year Do not transfer Records documenting the administration of financial and other support to alumni organisations. Retain for current financial year +1 year Do not transfer Records documenting requests for contact details for alumni, action taken and the responses provided. Retain from last action on request + 1 year Do not transfer Fundraising The function of soliciting funds directly from organisations and individuals, and of managing relationships with donors. RECORDS ACTION TO BE IN DEPARTMENT/FACULTY ACTION IN ARCHIVES (PAPER RECORDS) Records documenting the development and establishment of the institution's fundraising strategy and policies: key records. Retain until superseded + 5 years Do not transfer Records documenting the development and establishment of the institution's fundraising strategy, policies and procedures: working papers. Retain from issue of strategy, policy or procedure + 1 year Do not transfer Master copies of procedures relating to fundraising. Retain until superseded + 3 years Do not transfer Records documenting the design, conduct and summary results of fundraising campaigns. Retain from last action on campaign + 5 years Do not transfer Records containing details of individual responses to fundraising campaigns. Retain until completion of analysis of data Do not transfer Records documenting the handling of enquiries about making donations to the institution. Retain from last action on enquiry + 1 year Do not transfer Records documenting donations to the institution. Retain for current calendar year + 5 years Do not transfer Student Relations Management The function of managing the University's relationship with its student body. RECORDS ACTION TO BE TAKEN IN DEPARTMENT/FACULTY ACTION IN ARCHIVES (PAPER RECORDS)
Records documenting the development and establishment of the institution's student relations strategy and policies: key records. Retain until superseded + 5 years Do not transfer Records documenting the development and establishment of the institution's student relations strategy, policies and procedures: working papers. Retain from issue of strategy, policy or procedure + 1 year Do not transfer Master copies of procedures relating to student relations. Retain until superseded + 3 years Do not transfer Records documenting the establishment and operation of staff-student liaison committees. Retain for life of committee + 3 years Do not transfer Records documenting the operation of staff-student liaison committees. Retain for current academic year + 3 years Do not transfer Records documenting the design and conduct of student surveys. Results of student surveys: summaries and analyses of responses Retain until completion of survey + 5 years Do not transfer Results of student surveys: individual responses Retain completion of analysis of survey responses Do not transfer Records documenting the design of, and overall response to, student suggestion schemes. Retain until closure of scheme + 5 years Do not transfer Records documenting the handling of suggestions from individual students. Retain from last action on suggestion + 1 year Do not transfer Government Relations Management The function of managing the University's relationships with government bodies. RECORDS ACTION TO BE TAKEN IN DEPARTMENT/FACULTY ACTION IN ARCHIVES (PAPER RECORDS) Records documenting the development and establishment of the institution's government relations strategy and policies: key records. Retain until superseded + 5 years Do not transfer
Records documenting the development and establishment of the institution's parliamentary relations strategy, policies and proceudres: working papers. Retain from of strategy, policy or procedure + 1 year Do not transfer Master copies of procedures relating to parliamentary relations. Retain until superseded + 3 years Do not transfer Records documenting general correspondence with parliamentary bodies. Retain current calendar year + 5 years Do not transfer Records documenting requests for information from parliamentary bodies, the consideration of the requests, preparation of responses and the responses provided. Retain from last action on request + 5 years Do not transfer Records documenting the preparation of the institution's formal responses to consultations conducted by parliamentary bodies (including records of internal consultation processes). Retain from last action on consultation + 1 year Do not transfer Records documenting the institution's formal responses to consultations conducted by parliamentary bodies. Retain from last action on consultation + 3 years Do not transfer Records documenting the institution's participation in formal parliamentary inquiries. Retain from last action on inquiry + 10 years Transfer to Archive when no longer required in department or faculty Students’ Relations Management The function of managing the University’s relationship with its students’ union, including fulfilling its responsibilities under the Education Act 1994. RECORDS ACTION TO BE TAKEN IN DEPARTMENT/FACULTY ACTION IN ARCHIVES (PAPER RECORDS)
Records documenting enquiries about the [corporate service] and the responses provided. Retain from last action on enquiry + 1 year Do not transfer Records documenting the handling of complaints from customers of the [corporate service]. Retain from last action on complaint + 3 years Do not transfer Records documenting unsolicited customer feedback on the [corporate service] and the responses provided. Retain from last action on feedback + 3 years Do not transfer Records documenting the design of [corporate service] customer surveys and the (anonymised, if necessary) analysis of responses. Retain from last action on survey + 3 years Do not transfer Individual responses to [corporate service] customer surveys. Retain until completion of analysis of responses Do not transfer Student Service Management RECORDS ACTION TO BE TAKEN IN DEPARTMENT/FACULTY ACTION IN ARCHIVES (PAPER RECORDS) Records documenting the development and establishment of the institution's [student service] strategy, policies and procedures: key records. Retain until superseded + 3 years Do not transfer Records documenting the development and establishment of the institution's [student service] strategy, policies and procedures: working papers. Retain from issue of strategy, policy or procedure + 1 year Do not transfer Records documenting enquiries about the [student service] and the responses provided. Retain from last action on enquiry + 1 year Do not transfer Records documenting the handling of complaints from customers of the [student service]. Retain from last action on complaint + 3 Do not transfer Records documenting unsolicited customer feedback on the [student service] and the responses provided. Retain from last action on feedback + 3 years Do not transfer Records documenting the design of [student service] customer surveys and the (anonymised, if necessary) analysis of responses. Retain from last action on survey + 3 years Do not transfer Individual responses to [student service] customer surveys. Retain until completion of analysis of responses Do not transfer Business Unit Management