UNIVERSITY OF ESSEX
RECORDS MANAGEMENT POLICY AND RECORDS RETENTION SCHEDULE
ACADEMIC DEPARTMENTS AND CENTRES
Prepared: Spring/Summer 2006
Effective from: October 2006
Due for Full Review: Summer 2011[1]
SCHEDULE OF CONTENTS
1. Records Management Policy: Academic Departments and Centres
2. Records Disposal Process
3. Archive and Storage
4. Records Retention Schedule
A: Student Administration
B: Staff Administration
C: Departmental Administration
D: Teaching
E: Student Assessment
F: Quality Assurance
G: Research
5. Policy Review
Appendix A: Policy Coverage
Appendix B: Undergraduate Exam Boards
Appendix C: Postgraduate Exam Boards
1. Records Management Policy: Academic Departments and Centres
1.1 The University Records Management Policy Statement requires significant units within the University to have in place a formal records management policy, a standard procedures document relating to the management and retention of each set of records relating to the core functions of that unit, a retention schedule setting out how long each set of records is retained, and an archive policy.
1.2 In its entirety, this document [“the policy”] constitutes for all relevant University Academic Departments and Centres[2] the elements of records management practice that are required by the University Records Management Policy Statement. Section 4 of the policy (Records Retention Schedule) and the related Appendices also provide procedural guidance where necessary. The absence of a specific, standard procedures document recognises the varying needs, functions and processes within each Department.
1.3 The policy covers records and information relating to a Department’s core functions only. As such, the policy’s principal aims are to define (via the Records Retention Schedule) what information is being held by a Department that relates to those core functions, how that information is managed, and how long it is retained for.
1.4 All Departments of the University (as defined by Appendix A) are required to manage their records in accordance with the policy.
1.5 The Records Management Office is responsible for the development and general promotion of the policy. Ultimate responsibility for records management within each Department, including the Data Protection and Freedom of Information obligations, lies with the Head of Department.
1.6 On the basis of the information and guidance provided by the Records Management Office, all staff within the Department must:
§ ensure records are held on the most appropriate medium for the task they perform;
§ identify those records that are vital to the operation of the University, and ensure they are preserved appropriately;
§ manage all records in accordance with the records retention schedule; and
§ dispose of and/or destroy confidentially those records that have reached the end of their retention period.
1.7 The policy is based on the premise that a record’s format does not affect its retention period or how it is managed, so does not distinguish between electronic and manual formats.
1.8 The policy is built around compliance with the Freedom of Information Act 2000 and the Data Protection Act 1998. Responses to requests for information under both pieces of legislation are made on the assumption that this policy is followed thoroughly.
1.9 Each Department nominates an individual to join the Records Management Network.
2. Records Disposal Process
2.1 All records within Departments are disposed of in accordance with the University Records Disposal Policy.
3. Archive and Storage
3.1 Non-electronic material identified for permanent retention, which forms part of the University archive is described as “archive material”. Such material is held within a designated area or space allocated for such use by each Department. Departments are free to use their space as appropriate. All archive material is subject to a five year review to ensure unnecessary material is not retained indefinitely, and is only stored within the designated area if accompanied by the following information:
§ Date of archive;
§ Individual responsible for archive;
§ Description of material;
§ Review date.
The Department is responsible for ensuring that archive material is stored appropriately and in a way which maximises the capacity of available space.
3.2 Non-electronic material that needs to be retained over a certain period but which is eventually destroyed is described as “storage material”. This includes both semi-current records (as defined under Section 4) and covered by the Records Retention Schedule, and other material held by the Department that is not covered by the Records Retention Schedule. Material in this category does not form part of the University archive and is retained for reference purposes until being destroyed, in accordance with the Records Retention Schedule where relevant. All storage material is only held within the designated area if accompanied by the following information:
§ Date of storage;
§ Individual responsible for storage;
§ Description of material;
§ Purpose of retention; and
§ A destroy date.
The Department is responsible for ensuring that material is destroyed appropriately and on time, either in accordance with the Records Retention Schedule or the specified date set when the storage period begins. The Department is responsible for ensuring that storage material is managed in a way which maximises the capacity of available space.
4. Records Retention Schedule
4.1 Records retention and disposal is the process by which the University decides whether records that are no longer current should be destroyed or transferred to the archive. All University records fall into three categories:
§ Current (when data may be added to the record);
§ Semi-current (when the record has been closed but is used as a reference tool for administrative purposes);
§ Archived (when it has been selected for permanent retention in the University archive).
4.2 The retention period refers to the life of the record as a “current” or “semi-current” record. When a record reaches the end of its retention period, it must be either destroyed or archived permanently.
4.3 The following Records Retention Schedule (RRS) provides retention periods for records managed by the University’s Departments (as defined by Appendix A). All such Departments are required by this policy to retain their records in accordance with these retention periods.
4.4 The RRS covers records relating to the Departments’ core functions only and is divided into six categories: Student Administration; Staff Administration; Departmental Administration; Teaching; Student Assessment; Quality Assurance; Research.
4.5 The RRS acknowledges the varying needs and functions of each Department, and is designed to enable flexibility for certain sets of records. Where a set of records is underlined in the RRS, the retention period is categorised as “guidance-only”. Departments are free to manage “guidance-only” records in accordance with their own operational needs. It is a requirement of this policy, however, for each Department to report to the Records Management Office what specific records management practice is being followed for any set of records that has been designated as “guidance-only”, even if it is only to confirm that the guidance is being followed.
4.6 Where records listed in the RRS are not held by Departments, there is no requirement for them to be held.
4.7 The following key describes terms that are used throughout the RRS:
§ CAY = Current Academic Year
§ CFY = Current Financial Year
§ TofR = Termination of Relationship
4.8 Records relating to non-core functions are not subject to any specific guidelines and are not covered by this policy. It is expected that Departments manage such records according to their own operational requirements, but in conjunction with the Records Management Office as necessary. It is important that records not covered by the policy are managed in accordance with Section 3 (Archive and Storage).
A: Student Administration
Description of record / Category[3] / Retention Period / Action to be taken at the end of record lifecycle / Archive Details/NotesVisit Day applicants / B3.6 / CAY + 1 / Destroyed
Undergraduate and Graduate enquiries / B3.6 / CAY + 1 / Destroyed
Rejected/withdrawn applications / B3.7 / CAY + 1 / Destroyed
Individual Student Records[4]: / B3.10 / TofR + 3 / Destroyed / The Academic Section retains full individual student records for six academic years after a student graduates or leaves the University.
Progress/Attendance Records / B3.11 / Maintained in the relevant student file
Where held separately either:
TofR + 3
or
CAY + 6 / Destroyed
Undergraduate extenuating performance forms / B3.16 / Maintained in the relevant student file
Where held separately either:
TofR + 3
or
CAY + 6 / Destroyed / See reference to extenuating performance forms in Appendix B
Postgraduate extenuating performance forms / B3.16 / Maintained in the relevant student file
Where held separately either:
TofR + 3
or
CAY + 6 / Destroyed / See reference to extenuating performance forms in Appendix C
Extenuating lateness forms and accompanying paperwork / B3.16 / Maintained in the relevant student file
Where held separately either:
TofR + 3
or
CAY + 6 / Destroyed
Academic Offences / B3.12 / Maintained in the relevant student file
Where held separately either:
TofR + 3
or
CAY + 6 / Destroyed / A permanent record of an academic offence is retained by the Student Record Database (SRDB).
Student References provided by the Department:
Taught Students
Research Students / B3.10 / CAY + 3
CAY + 10 / Destroyed / Student references are managed in accordance with separate Guidelines and Procedures on the Provision of Student References. In order to comply with these guidelines, it is recommended that references provided by the Department, particularly those for research students, are retained separately from the student file.
Basic student record of study covering: name, period of study, results of study, including marks / B3.10 / Permanent / Permanent archive / For students registered from 2000 onwards, it is recommended, although not required, that Departments rely on the central SRDB rather than retaining a separate permanent record.
For students registered before 2000, Departments retain their own permanent basic record of study. This ensures that a full permanent record of a student’s name, period of study, and results of study, including marks, exists for students registered before the establishment of the SRDB. Up to and including the early to mid-1990s, central records on the SRDB are patchy, particularly in relation to marks attained. The 2000 cut off point is designed to ensure full coverage.
B: Staff Administration
Description of record / Category / Retention Period / Action to be taken at the end of record lifecycle / Archive Details/NotesAcademic staff files / F29.14 / Permanent / Permanent Archive / Held within the Department
Support staff files / F29.14 / TofR + 6 / Destroyed
Research staff files / F29.14 / TofR + 6 / Destroyed
Graduate Teaching Assistants/Part-time Teachers / F29.14 / TofR + 1 / Destroyed
Temporary Staff / F29.14 / TofR + 1 / Destroyed
Annual Review / F29.11 / Maintained in relevant staff file
Where held separately: CAY + 6 / Destroyed
Staff contact details / F29.14 / Maintained in relevant staff file
Where held separately: TofR / Destroyed
Notification of sickness absence reports to Finance / F29.14 / CAY + 2 / Destroyed
C: Departmental Administration
Departmental Meeting Papers / E16.4 / Permanent / Permanent Archive / Held within the Department
Senior Departmental Committee Meeting Papers[5] / E16.4 / Permanent / Permanent Archive / Held within the Department
Departmental Committee Meeting Papers / E16.4 / CAY + 6 / Destroyed
Purchase orders and invoices / F28.7 / CFY + 6 / Destroyed / It is recommended that financial records are retained for six years after the current financial year. Departments not wishing to retain the records for this length of time are required to ensure the central Finance Section is holding the information before deciding on a desired departmental retention period in accordance with section 4.5 of this policy.
Departmental budget information / F28.12 / CFY + 6 / Destroyed
Departmental Handbook / E14.6 / Permanent / Permanent Archive / Held within the Department
Paperwork relating to production of Departmental Handbooks / E14.6 / Up to three years after CAY / Destroyed
General Departmental files / N/A / Pruned at least every three years
Relevant information retained / Destroyed
Accident/dangerous incidents:
Report forms
Generic incident data (non-personal) / E25.12 / AY of incident + 6
Permanent / Destroyed
Permanent Archive / Where relevant, generic non-personal data are retained permanently in order to measure incident patterns over time.
D: Teaching
Description of record / Category / Retention Period / Action to be taken at the end of record lifecycle / Archive Details/NotesClass attendance lists / B3.15 / CAY / Destroyed
Class Lists / B3.15 / CAY / Destroyed
Course Information:
Course Catalogue
Syllabus Information
Coursework Titles/Reading Lists / B3.15 / Permanent / Permanent archive / Most Course Information is retained electronically via the SRDB and published online from the Database, although some of the information is held by departments in other forms.
Observation of Teaching Reports/Peer Review / A1.3 / CAY + 6 / Destroyed
Course Timetables / B3.15 / CAY + 1 / Destroyed / Accessible via CMIS
E: Student Assessment
Degree Scheme Structures and Rules of Assessment (part of Programme Specifications) / B3.16 / Permanent / Permanent Archive / Aside from retention via the SRDB (see Programme Specification under E: Quality Assurance), extracts from Programme Specifications may be published as Degree Scheme Structures and Rules of Assessment in the Departmental Handbook
Past Examination papers / B3.16 / Permanent / Permanent archive / Permanent retention of past examination papers happens in hard copy or electronic formats. Where relevant, Departments are responsible for the electronic archive of material via the centrally-managed Course Materials Repository. The Albert Sloman Library may also hold some copies.
Undergraduate Board of Examiner Papers / B3.16 / CAY + 6 / Destroyed / See Appendix B
Postgraduate Board of Examiner Papers / B3.16 / Permanent / Permanent archive / See Appendix C
Examination grids / B3.16 / CAY + 1 / Destroyed / A permanent record is retained by the Academic Section. Beyond the year following the current academic year, departments are required to rely on the central SRDB.
Undergraduate Pass lists / B3.16 / Permanent / Permanent archive / The Academic Section creates and retains permanently the definitive pass list, which acts as the formal record. The data is also held permanently on the SRDB.
Pass lists created, managed and held by Departments should be used for reference purposes only. In all cases, departmental pass lists must match information held centrally.
Postgraduate Pass lists / B3.16 / Permanent / Permanent archive / Pass lists for Masters students are retained permanently in the Department and the Academic Section.
Examination marks / B3.16 / Permanent via SRDB / Permanent archive via SRDB / Examination marks and overall aggregate marks for each course are retained permanently on the SRDB.
Coursework marks / B3.16 / Permanent via SRDB / Permanent archive via SRDB / Marks both for individual items of coursework and coursework aggregate marks for each course are retained permanently on the SRDB.
Examination scripts – First Year Undergraduate / B3.16 / CAY + 1 / Destroyed
Examination Scripts – all types other than First Year Undergraduate / B3.16 / Either:
TofR + 1
or
CAY + 4 / Destroyed
Coursework submission records and correspondence relating to non-submission of coursework / B3.15 / Maintained in relevant student file
Where held separately:
CAY + 1 / Destroyed
Coursework – First Year Undergraduate / B3.16 / When uncollected by student:
CAY + 1 / Destroyed / The policy also applies to coursework submitted electronically via, and held by, the centrally-managed Online Submission of Coursework System.
Coursework – all types other than First Year Undergraduate / B3.16 / When uncollected by student either:
TofR + 1
or
CAY + 4 / Destroyed / The policy also applies to coursework submitted electronically via, and held by, the centrally-managed Online Submission of Coursework System.
Undergraduate dissertations/projects / B3.16 / When uncollected by student either:
TofR + 1
or
CAY + 4 / Destroyed / The policy also applies to dissertations/projects submitted electronically via, and held by, the centrally-managed Online Submission of Coursework System.
Postgraduate dissertations/projects / A1.15
A2.10 / When uncollected by student:
TofR + 1
or
CAY + 4 / Destroyed / The policy also applies to dissertations/projects submitted electronically via, and held by, the centrally-managed Online Submission of Coursework System.
PhD theses / A2.10 / Permanent / Permanent Archive / Library holds permanent copy. Departments also hold copies where desired
Student Prizes / B3.16 / Permanent / Permanent Archive / The SRDB holds permanent records of student prizes. Departments also hold records of these prizes, as well as any departmental-level prizes.
E: Quality Assurance