Records Management: Records Retention Schedule

Records Management: Records Retention Schedule
Work is currently under-way to produce policy for all the major types of records created and used in the University. The University Records Retention Schedule has grouped documents into 9 main categories:
1. Governance and Management / Pages 2-4
2. Financial Resources / Pages 5-8
3. Human Resources / Pages 9-13
4. Estates / Pages 14-15
5. Student Administration and Support / Pages 16-20
6. Information Services / Pages 21-22
7. Learning and Teaching / Pages 23-24
8. Research and Development / Pages 25-26
9. External Relations / Pages 27-28
If you have any questions about implementing the policy or would like additional advice please contact Hannah Robinson, Academic Administration Manager (; tel: 0115 9515949)

Records retention schedule: governance and management

Audit

Record series / Summary retention policy
Audit Files / Retain until maximum of:

Completion of next audit of the topic;
3 years, unless sound reasons for retaining longer

Audit Investigations / 3 years after completion of investigation, unless sound reasons for retaining longer
Audit Reports / Permanent retention

Decision-making and management

Record series / Summary retention policy
Academic Boards / End of the current academic year + 6 years
Ad hoc working groups not reporting to a University committee / For the lifetime of the working group
Ad hoc working groups reporting to a University committee / For the retention period of the Committee the group reports to.
Audit Committee / Permanent retention
Boards of Studies (faculties/schools) / Permanent retention
Careers Advisory Board / End of the current academic year + 6 years
Committee for Special Appointments / Permanent retention
Consultative Committee for Support Staff / Permanent retention
Council / Permanent retention
Council declaration of interests forms / End of the current academic year + 10 years
Court / Permanent retention
e-Learning/e-Knowledge Committee / Current academic year + 6 years
Environment Committee / Current academic year + 15 years
Equalities and Diversity Committee / End of the current academic year + 15 years
Ethics Committee / End of the current academic year + 15 years
Finance Committee / Permanent retention
Honorary Degrees Sifting Committee / End of the current academic year + 15 years
Information Services Strategy Board / End of the current academic year + 15 years
Joint Consultative Committee / End of the current academic year + 15 years
Learning and Teaching Committee / End of the current academic year + 15 years
Management Board / Permanent retention
Military Education Committee / Current academic year + 6 years
Nominations Committee / Current academic year + 6 years
Postgraduate Strategy Committee / Current academic year + 6 years
Promotions Committee / Permanent retention
Remuneration Committee / End of the current academic year + 15 years
Research Committee / End of the current academic year + 15 years
Salary Review Committees / End of the current academic year + 15 years
Safety Committee / Permanent retention
Senate / Permanent retention
Space Management Committee / End of the current academic year + 15 years
Staff Equality and Diversity Advisory Group / End of the current academic year + 15 years
Statutory Safety Committee / End of the current academic year + 15 years
Strategy and Planning Committee / Permanent retention
Strategy Groups / Current academic year + 6 years
Student Affairs Committee / End of the current academic year + 15 years
Student Equality and Diversity Advisory Group / End of the current academic year + 15 years
Student Support Funds Committee / End of the current academic year + 15 years

Legal and policy framework

Record series / Summary retention policy
Calendar / Permanent retention
Charter and Statutes / Permanent retention
University Regulations / Permanent retention

Planning and strategy

Record series / Summary retention policy
University annual reports / Permanent retention
University financial statements / Permanent retention
Records retention schedule: financial resources
Introduction l 1. Governance & management| 2. Financial resources | 3. Human resources
4. Estates | 5. Student administration & support | 6. Information services
7. Learning & teaching | 8. Research & development| 9. External relations
In financial resources:Commercial Services l Chief Financial Officer’s Office l Financial Reporting l Payments Centre l Payroll administration l pension Contributions Administration l Tax Management

Finance : Commercial Services

Record series / Summary retention policy
Closed tender files / Termination of supply contract awarded + 6 years
Contracts/ Agreements / Length of contract/agreement awarded + 6 years
E-tender Correspondence / Termination of supply contract awarded + 6 years
E-Auction Correspondence / Termination of supply contract awarded + 6 years
New supplier request forms / While current-supplier database
Rejected suppliers-rejection + 1 year
Approved suppliers-Termination of approval
Race Relations Questionnaires / Length of contract/agreement + 5 years
Budget Management Records / Current financial year + 6 years
Purchase card statements / 3 months
Purchase card correspondence/application / Length of card holder maintaining card
Personal Purchase Card Monthly Log / Current financial year + 6 years
Purchase orders / Current financial year + 6 years
Lodge Card statements / Current financial year + 1 year
Strategy, policy and procedure documentation / Superseded + 5 years
Leases / Length term of lease can be minimum 7 years or lease term + 3 years (35 yr plus)
Outsourcing / 3 years
Treasury Documents / Current financial year + 6 years
Insurance Claims
Liability/Personal injury/nurture claims
Property and other claims / Permanent retention
Completion of claim + 6 years
Insurance Policies / Employers Liability policies should be retained and records kept of insurers to enable claims to be passed to the correct insurer. Policies are written on the basis that they are handled by the insurers for the year when the incident happened, with long-tail claims such as deafness there is a long discovery period.
Public liability as above with the student exposure as liability
General Correspondence for insurance / Various depending on reason for correspondence
Accident/incident reports where reported to HSE / Permanent retention of copy
Crime Reports / One year

Finance: Chief Financial Officer’s Office

Record series / Summary retention policy
Finance committee papers / Permanent retention
Records documenting litigation between the institution and third parties where legal precedents are set / Permanent retention
Records documenting litigation between the institution and third parties where legal precedents are not set / Settlement of case + 6 years (review for archival value)
Records documenting the provision of legal support and representation for the institution in dealing with claims by or against the institution which do not proceed to litigation or settlement by agreement / Settlement of case+ 6 years, or withdrawal of claim + 6 years, after which review for archival value
Records documenting legal advice requested by, and provided to, the institution / Permanent retention OR superseded + 5 years depending on the subject
Conveyances and deeds / Retained indefinitely or until property is sold
Leases / Retained until lease is renewed/expired
Share certificates / Retained until sold

Finance: Financial Reporting

Record series / Summary retention policy
Budget and management accounts working papers / Current financial year + 1 year
Financial statements working papers / Current financial year + 12 years
Subsidiary companies-statutory records / Permanent retention
Project records- HEFCE, UE etc. / Current financial year + 5 years
Financial Systems documentation / Life of system
Journals and other prime documents for financial transactions / Current financial year + 1 year

Finance: Payments Centre

Record series / Summary retention policy
BACS/Bankline reports / Current financial year + 2 years
Cheque reports / Current financial year + 2 years
CITS tax returns / Current financial year + 6 years
Duplicate payment reports / Current financial year + 2 years
Invoices / Current financial year + 6 years
Journals / Current financial year + 2 years or Current financial year + 6 years where VAT involved
Lodge Card reports
Paper
Electronic / Current financial year + 1 year
Current financial year + 6 years
Purchase card reports
Paper
Electronic / Current financial year + 1 year
Current financial year + 6 years
Pensions documentation / Termination of employment + 75 years
Reconciliations:
Supplier statements / Current financial year + 1 year
Reconciliations:
Control accounts / Current financial year + 2 years
Supplier Master file changes / Current financial year + 2 years
Used cheque books / Current financial year + 2 years

Finance: Payroll administration

Record series / Summary retention policy
Records documenting employees’ authorisation for non-statutory payroll deductions / Current tax year + 6 years
Records documenting calculation and payment of payroll payments to employees / Current tax year + 6 years
Records documenting the operation of the Statutory Sick Pay Scheme / Current tax year + 3 years
Records documenting the operation of the Statutory Maternity Pay Scheme / Current tax + 3 years
Records documenting the operation of the Nursery Schemes / Current tax year + 6 years
Records documenting the operation of the ECP vouchers scheme / Current tax year + 6 years
Records documenting the operation of the Sports centre Scheme / Current tax year + 6 years
Records documenting the operation of the Fitness Centre Scheme / Current tax year + 6 years

Finance: Pensions Contributions Administration

Record series / Summary retention policy
Records documenting payments of the institution’s employers’ contributions to pension schemes for its employees / Termination of employment + 75 years
Records documenting payments of the institution’s employees’ contributions to pension schemes / Termination of employment + 75 years

Finance: Tax Management

Record series / Summary retention policy
Records documenting the preparation and filing of the institution’s tax returns / Current tax year + 6 years

Records retention schedule: human resources

Employment and employee relations

Record series / Summary retention policy
Activity/Performance Review
Paperwork including notes from Performance Review Committee / Current academic year + 6 years. Outcome letters placed on individuals’ files
Promotions/Regrading / Papers from relevant committees kept for current academic year + 6 years. Outcome letters placed on individuals’ files.
Recruitment Job Boxes and on-line job applications (includes details of adverts, job description, applications etc.)
Chairs
All other posts / Date of interview+ 3 years
Date of interview + 9 months
Staff files: staff APM and R&T 7 / Weed at termination of employment to remove all transient material of no lasting value and retain weeded files for 40 years
Staff files: All other grades / Termination of employment + 6 years

Health and safety: Health and safety audit

Record series / Summary retention policy
Records of the conduct & results of health & safety audits, & action taken to address issues raised / Completion of audit +5 years

Health and safety: Health and safety management

Record series / Summary retention policy

Minutes and associated papers from the University Safety Committee and committees established under the Safety Representatives and Safety Committees Regulations 1977.

/ Superseded +50 years

University policies and guidance including the Safety Handbook

/ Superseded + 50 years

Minutes and associated papers of Faculty, School and Departmental safety committees.

/ Life of committee +50 years

Health and safety: Health and safety consultation

Record series / Summary retention policy
Notifications of appointments of safety representatives by trade unions under the Safety Representatives & Safety Committees Regulations 1977 / End of appointment +1 year
Records of the provision of time off, & other facilities & assistance, for Safety representatives under the Safety Representatives & Safety Committees Regulations 1977 / Current year +5 years
Records of the formation of a safety committee under the Safety Representatives & Safety Committees Regulations 1977, including records of the objectives, role, functions, composition & administration of the committee / Current year +5 years

Health and safety: Health and safety information, instruction and training provision

Record series / Summary retention policy
Records of the provision of information, instruction & training for employees, students & others on health & safety in University premises.
For role specific training for fire wardens & first-aiders, see Emergency Planning below / Termination of employment or study +5 years
Records of the content of information & instruction on health & safety matters provided for members of the public & others with legitimate access to premises, & other methods of delivery / Superseded +5 years
Records of appointment of persons to health and safety roles. / Termination of appointment to the role +5 years

Health and safety: Health and safety hazard identification and risk assessment

Record series / Summary retention policy
Records of the identification of general health & safety hazards to employees & others on the premises. The conduct & results of risk assessments in relation to plant, equipment, machinery & processes / Current year +5 years
Records of health and safety arrangements for the planning, organisation, control, monitoring and review of preventative and protective measures. / Current year +5 years
Records of monitoring exposure to physical agents with the potential for long term health effects (including full methodology). / Current year +40 years

Health and safety: Health and safety hazardous substance exposure control

Record series / Summary retention policy
Records of use of hazardous substances with the potential to cause long term health effects / Creation +40 years
Records of users and usage of high classification biological agents. List of employees exposed to Group 3 or Group 4 biological agents (defined in the Regulations). / Last entry +40 years
Risk Assessments for use of hazardous substances (All Risk Assessments that are over 4 years old to be re-assessed unless the issue is now irrelevant) / Current year +5 years
Records of testing, repair, examination or maintenance of equipment provided to control identified hazards / risks (including methodology where appropriate) / Current year +5 years
Environmental exposure monitoring (general) (including full methodology) / Current year +5 years
Monitoring of environmental or personal exposure for individual or where a person is identified (including full methodology) / Creation +40 years
Health Surveillance or medical certification records for individuals / Date of monitoring +40 years*
Records relating to asbestos: Medical records, training records, suspected incidents of potential exposure / Creation +40 years
Record relating to monitoring of exposure to ionising radiation / Current year +40 years

Health and safety: Health and safety inspection

Record series / Summary retention policy
Records of the conduct & results of health & safety inspections of University land, buildings, facilities or operations, & action taken to address issues raised / Current year +5 years

Health and Safety: incident recording, reporting and investigation

Record series / Summary retention policy
Records of accidents, dangerous occurrences & outbreaks of notifiable diseases on University premises or affecting University staff or students. / Current year +40 years
Records of investigations of accidents, dangerous occurrences & outbreaks of notifiable diseases on University premises or affecting University staff or students. / Current year +40 years

Health and Safety: emergency planning

Record series / Summary retention policy
Nominations/appointments of fire wardens / End of appointment +5 years
Records of the provision of role-specific training for fire wardens / End of appointment +5 years
Records of the assessment of requirements for fire-fighting systems & equipment / Review of assessment +5 years
Appointments of official first-aiders / End of appointment +5 years
Records of the provision of approved training for first aiders (specifically related to their functions as first aiders) / End of appointment +5 years
Records of the assessment of requirements for first aid facilities & equipment / Reassessment +5 years
Specifications for first aid facilities & equipment / Superseded +5 years
Records of arrangements with external emergency service organisations / Review of arrangements +5 years

Health and Safety: employee health surveillance

Record series / Summary retention policy
All records relating to occupational health screening and health surveillance / Records creation +40 years

Staff training and development

Record series / Summary retention policy
Applications for financial assistance from Individual Development Fund / End of the current financial year + 1 year
Staff Educational Development Unit appraisal forms / End of the current academic year + 1 year
Staff Educational Development Unit evaluation forms / Completion of course + 3 months

Records retention schedule: Estates

Maintenance, grounds and developments

Record series / Summary retention policy
Architectural drawings and plans (electronic-CAD) / Sample of 'historic' drawings and plans to be retained permanently after demolition of building or transfer of ownership
Architectural drawings and plans (paper) / Sample of 'historic' drawings and plans to be retained permanently after digitization
Asbestos files / Permanent retention
Asset database / Until asset is disposed of
Building files / Life of building + 5 years
Building information system / Permanent retention
Concept database (facilities management system) / Permanent retention
Continuum database (building heating and ventilation information) / Permanent retention (heating logs truncated every 48 hours)
Contracts under seal / 12 years
Electrical test certificates / Retain for lifetime of building
Energy bills / 10 years
Energy database / Permanent retention, truncate records at 2GB
Gas test certificates / 5 years
Job tickets / 10 years
Helpdesk voice recorder / 1 year
Ladder inspection record / For lifetime of ladder + 3 years
Legionella test certificates / 5 years
Lifts-insurance inspections / 6 years
Metering database / 10 years, then truncated
New supplier application forms / Until supplier is removed
PAT testing / For lifetime of the appliance
Pesticides database / Permanent retention
Pressure systems (insurance inspections) boiler plant / Current year only
Pressure systems (insurance inspections) / Current year only
Project files / 7 years, unless EU funded, in which case permission is required before destruction
Project Portal database / Permanent retention
Safety harness, PPE and Access systems / Permanent retention
Space Management documents / Permanent retention
Stores requisition forms / 1 year
Tree survey database / Until tree is removed
University Houses building files / Life of building + 5 years
Waste transfer certificate / 3 years

Security Services