DOCUMENT RETENTION AND DISPOSAL POLICY
This Retention and Disposal Policy is based on the model recommended for Higher Education Institutions by JISC. It sets out the length of time that the University’s business records should be kept in order to comply with legislation and to provide clarity for members of staff and external bodies.
DOCUMENT RETENTION AND DISPOSAL POLICY
Introduction
What is a retention and disposal Policy?
How are retention periods decided?
How is this Policy implemented?
Guidance Note for Use of the Policy
Teaching and learning support records
Research records
Academic administration records
Individual student records
Other academic administration records
Corporate management (performance, risk, audit, health & safety) records
Health & Safety
Resources management (finance and purchasing; staff; equipment) records
Individual staff records
Internal and external relations (including complaints and enquiries, events and visits)
Appendix: list of citations and abbreviations
Acts of the UK Parliament
Statutory Instruments of the UK Parliament
Other provisions
Abbreviations used in the Policy
Introduction
Records are generated as part of the business activity of the University. They may be in any format i.e.held in paper or electronic form, including:
- Electronic: records in databases, Excel , SAINT, Word documents, webpages, CDs, emails;
- Paper: letters, minutes, plans, blueprints;
- Audio-Visual: photographs, films, videos, DVDs ;
The retention and disposal periods prescribed in this Policy only apply to original documents.
What is a retention and disposal Policy?
A retention and disposal Policy promotes consistency by ensuring that the same type of record is kept for the same amount of time no matter where the record is held. ThisPolicy:
- promotes control over the University’s records;
- enables staff to dispose confidently of records which are no longer needed; ````
- ensures the retention of the minimum volume of records consistent with economy, efficiency and in compliance with legislation.
This Policy adopts a functional approach, as recommended by the International Standard on Records Management (ISO 15489:2001). Whilst it is recognised that some functions sit within Corporate Services, it is also likely that some of the activities will also be undertaken within other areas of the University (Schools/Departments).
The Retention and Disposal Policy will help Corporate Services Schools/Directorates and Departments to plan and focus their records management.
The retention of unnecessary records impacts on staff time, space and equipment. It also incurs liabilities in terms of the need to service information requests made under the Data Protection Act 1998, the Freedom of Information Act 2000 and the Environmental Information Regulations 2004.
The Data Protection Act requires records containing personal data to be kept for particular purposes and for no longer than is necessary and it is important that the prescribed dates in this Policy are followed because the University may be sued for retaining information if it is held unnecessarily and is causing someone distress. It is a criminal offence to destroy information after it has been requested under any of the Acts; the Retention and Disposal Policy will help the University to comply with the relevant legislation by demonstrating that destructions have been carried out in line within proper procedures. Destructions that are undertaken on an ad hoc basis without reference to the Retention and DisposalPolicycarries the risk of the University being accused of improper practice.
The Code of Practice issued by the Information Commissioner under s 46 of the Freedom of Information Act 2000 specifically requires organisations subject to this legislation to have a Retention and Disposal Policy. The compliance with the Code is not mandatory but the Information Commissioner would view this as good practice and indicative of whether or not an organisation has complied with the legislation.
How are retention periods decided?
Retention periods may be prescribed by Acts of Parliament, Statutory Instruments or as recommended in codes of practice and business regulations.
JISC has produced a comprehensive Records Retention Policy for HE institutions on which this Policy is based:
Regulatory/Statutory bodies and other external agencies:
It is important that the retention periods stated in this Policy areadhered tohowever, in limited circumstances extending a retention period beyond those prescribed in the Policy can be justified. This may be the case where an external partner requires University retention periods to map on to their own retention periods.
How is this Policy implemented?
This Policy represents normal practice and will help safeguard against the risk of any breaches of legislation relating to records management.
As the University’s academic and financial years are co-terminus, it is appropriate that disposals are systematically undertaken on an annual basis. It is recommended that a summary log be kept as a record of the disposals. Schools, Directorates and Departments are responsible for applying the retention periods to the records they own on their shared network drives and in hard copy.
Records of formal Committee meetings which form part of the University’s formal Committee structures e.g. Council/Senate are permanently preserved as a historic record. They should be transferred to the University Archive, which is managed by Special Collections in the J.B.Priestley Library. Please contact Special Collections Librarian to discuss and arrange transfer; she may also be able to assist with queries about records management. Special Collections prefers to accept born-digital records in that format for a number of reasons (including the University’s Ecoversity Policy.
Documents relating to Working Groups that have been formulated for a specific purpose/project should be retained for the current year plus 3 years after a Group has been disbanded or a project has been completed.
If individuals prefer to retain a copy of a set of committee (or other) documents, is recommended that they are only retained for no longer than a year before they are disposed of.
HR Records held by School/department
Much information held in staff files in Schools and Departments will be copies of information generated by HR. When a member of staff leaves or moves to another departmentit is no longer necessary for the former department to retain the file. It is recommended that the file owner removes and confidentially destroys duplicate information. Any other material held on file and generated by the School/Department that has not been copied to HR should be forwarded to HR to store on the member of staff’s central HR file. Copies of sick/fit notes must not be retained on School/Departmental files.
Where records are held in University recordkeeping systems each system controller is responsible for undertaking disposal at the expiry of a retention period.
Guidance Note for Use of the Policy
The Records Retention and Disposal Policy covers a broad range of University records. The framework will assist Schools/Departments to develop their own systemsalongside this Policy thatfocus on their core business activities. The dates prescribed in this Policy apply to original records and should be adhered to unless there is an overriding external requirement to vary and extend the length of the retention period.
When records held reach the end of the retention period they should be confidentially destroyed, disposed of or shredded.Extra care should be taken when disposing of records identifying individuals as they may contain sensitive personal data.
Linda Binns-Hall
Legal and Governance Officer
Version 3 Updated March 141
Teaching and learning support records
Records about: / Retention period / Rationale / Master heldUniversity and Schools Teaching & Learning committee papers / Permanent / Of enduring value / AQU
Internal & external quality assurance and audits / Current academic year + 5 years / JISC recommendation / AQU
Design and development of (modules of) taught programmes – including module specifications, sample work / Life of programme / JISC recommendation / AQU
Schools
External accreditation/review of (modules of) taught programmes including external examiners’ reports. / Life of programme / JISC recommendation / AQU
Schools
ECDL/NVQs/Assessor Verified Awards / Completion of Course + 3 years / Awarding Body recommendation / IT Services
Internal review of taught programmes / Current academic year + 5 years / JISC recommendation / AQU
Schools
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 ofindividual student records.
Main contents list.
1
Research records
Records about: / Retention period / Rationale / Master heldUniversity and Schools Research Committees / Permanent / Of enduring value / RKTS
Internal & external quality assurance of research / Current academic year + 5 years / JISC recommendation / RKTS
Research and enterprise business development / Current academic year + 5 years / JISC recommendation / APO
RKTS
Research and enterprise partnerships – formation and management / Life of partnership or arrangement + 6 years / 1980 c. 58 s 5 / APO
RKTS
Schools
Directorates
Research and enterprise projects – undertaken / Completion of project + 10 years / JISC recommendation / Schools
Directorates
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
Conduct of formal assessments, awards/classifications including extenuating circumstances / Current academic year + 6 years / 1980 c. 58 s 5 / Schools
Directorates
Appointment of supervisors / Termination of appt. + 1 year / JISC recommendation / Schools
Directorates
Feedback, guidance & support given by tutors to individual students / Completion of student’s programme + 6 years / 1980 c. 58 s 5 / Schools
Postgraduate Theses/ / Permanent retention (1 copy) in the University Repository or, where necessary, in the library and any Collaborating Establishment unless any provisions regarding confidentiality as detailed in the Regulations for Awards apply / UoB Regulations / Learner Support Services
Hub
Masters Dissertations / Electronic copies held in the Library
5 years / Learner Support Services
Library
Main contents list.
1
Academic administration records
Individual student records
Records about: / Retention period / Rationale / Master heldIndividual applications for admissions – unsuccessful / Completion of admissions process + 1 year / SI 2006/1031 Regulations 23, 39 and 42
SI 2003/1660 Regulations 20, 31 and 34
SI 2003/1661 Regulations 20, 31 and 34 / Admissions
Schools Directorates
Individual applications for admissions – successful / End of student relationship + 6 years / 1980 c. 58 s 5 / Hub
Schools Directorates
Core student record: personal details, records allowing transcript to be provided, courses followed + grades, final degree, academic distinctions / Permanent / Enduring value / SAINT
Hub
Schools
Other administrative data including registration/enrolment onto programmes; academic progress; placements; formal/informal action or disciplinary; transfer to new programmes/courses; withdrawal/suspension / End of student relationship + 6 years / 1980 c. 58 s 5[1] / SAINT supported by student files in Schools, and the Hub
Formal Appeals & complaints(part 1 & 2) / Last action on case + 6 years / 1980 c. 58 s 5 / Appeals Office
Informal Complaints (handled by School/Directorate) / Last action on complaint + 1 year / UoB / School/Directorate
Attendance/submission of work; extenuating circumstances / Current academic year + 6 years / 1980 c. 58 s 5 / Schools
Hub
Provision of financial aid/bursaries/hardship funds/scholarships to individual students / Current financial/academic year + 6 years / 1980 c. 58 s 5 / Hub
Feedback, guidance & support given by tutors to individual students / Completion of student’s programme + 6 years / 1980 c. 58 s 5 / Schools
Use of support services by individual students (including disability support, careers advice, Library borrower record) / Completion of student’s programme + 6 years / 1980 c. 58 s 5 / Services
Essential Clinical Education training (including Moving and Handling, Basic Life Support, patient and student safety and breakaway training) / Permanent / Enduring Value / Schools
Use of Counselling service by individual student: case notes / Start date + 2 years / UoB / Student Services: Counselling team
Requests for transcripts, references etc. / Last action on request + 1 year / JISC recommendation / Schools
Directorates
Hub
M Drive/Novell / Completion of student’s programme + 1 year / UoB / ICT Services
DBS clearance documentation / Date of clearance + up to a maximum of 6 months / DBS code of practice / Admissions
Schools Directorates
See also Health & Safety section for H&S records relating to individual students eg. expectant mothers, young people.
1
Other academic administration records
Records about: / Retention period / Rationale / Master heldAcademic administration policies and procedures / Superseded + 10 years / JISC recommendation / AQU
Hub
Recruitment campaigns / Completion + 5 years / JISC recommendation / MCC
Enquiries from prospective students / Current academic year + 1 year / JISC recommendation / Admissions
SAINT
Int’l Office
Reports/statistical analysis of enquiries / Current academic year + 5 years / JISC recommendation / SAINT
Planning
Clearing administration / Current academic year + 1 year / JISC recommendation / Hub
Schools
SAINT
Statistical summaries/reports – overall numbers etc / Permanent / Enduring value / Hub
Planning
Induction programmes/events / Current academic year + 1 year / JISC recommendation / Hub
Schools
Destination of Leavers/First Destination surveys – conduct, design, reporting / Current academic year + 5 years / JISC recommendation / ADU
Destination of Leavers/First Destination surveys – individual responses / Completion of analysis / JISC recommendation / ADU
Careers information, advice and guidance projects / Completion + 7 years (11 years may be required in some cases) / HESA audit requirement / ADU
Statistical & anonymised summaries/reports for Counselling service / Current year + 6 years / UoB / Counselling
Administration of programmes: including timetabling; compiling class and tutorial lists; scheduling submission/ marking/ return of assessed work; class attendance lists; organising required work placements; issuing attendance certificates for postgraduate research students. / Current academic year + 3 years / JISC recommendation / Schools
Hub
Awards ceremonies administration policies / Permanent / Enduring value / Hub
Notification of awards & issuing of certificates / Conferment + 1 year / JISC recommendation / Hub
Inviting/receiving/considering nominations for honorary awards; responses received. / Conferment + 1 year / JISC recommendation / Hub
Organisation of award ceremonies. / Completion of ceremony + 1 year / JISC recommendation / Hub
Academic assessment policies/regulations. / Permanent / Enduring value / Hub
Selection/appointment of external examiners / Termination of appointment + 1 year / JISC recommendation / AQU
Hub
Administration of examinations, including selection/appointment of invigilators; control of papers & scripts; timetabling; special arrangements / Current academic year + 1 year / JISC recommendation / AQU
Schools
Financial support policies & procedures / Superseded + 5 years / JISC recommendation / Hub
Main contents list.
1
Corporate management (performance, risk, audit, health & safety) records
See separate section for Resource Management to cover estate/facilities, finances, HR, IPR, ICT, equipment, insurance, and procurement.
Records about: / Retention period / Rationale / MasterheldPlanning & performance management, including risk management / Permanent / Enduring value / Finance
Schools
Identification/assessment of risk (non-Health & Safety risks) / Superseded + 1 year / JISC recommendation / Schools
Directorates
Formulation/testing/maintenance of disaster response/recovery plans / Superseded + 1 year / JISC recommendation / Schools Directorates
Quality audit strategy & procedures / Superseded + 5 years / JISC recommendation / Schools Directorates
Quality audit conduct, results and action reporting / Completion of audit + 3 years / JISC recommendation / Schools Directorates
Environmental hazard identification/risk assessment / Assessment updated + 5 years / JISC recommendation / Estates
H&S
Schools
Environmental incident investigations / Closure of investigation + 40 years / JISC recommendation / Estates
H&S
Notification/reporting of reportable environmental incidents / Date of notification + 5 years / JISC recommendation / Estates
H&S
1