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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.

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DOCUMENT RETENTION AND DISPOSAL POLICY.............................................................1Introduction...........................................................................................................................3What is a retention and disposal Policy?..............................................................................3How are retention periods decided?.....................................................................................4How is this Policy implemented?..........................................................................................4Guidance Note for Use of the Policy.....................................................................................5Teaching and learning support records................................................................................6Research records.................................................................................................................9Academic administration records.......................................................................................13Individual student records..................................................................................................13Other academic administration records.............................................................................16Corporate management (performance, risk, audit, health & safety) records.....................19Health & Safety..................................................................................................................21Resources management (finance and purchasing; staff; equipment) records...................25Individual staff records.......................................................................................................35Internal and external relations (including complaints and enquiries, events and visits).....39Appendix: list of citations and abbreviations......................................................................42Acts of the UK Parliament..................................................................................................42Statutory Instruments of the UK Parliament.......................................................................42Other provisions.................................................................................................................42Abbreviations used in the Policy........................................................................................43

Version 3 Updated March 14 2

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. This Policy:

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 Disposal Policy carries 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:

http://bcs.jiscinfonet.ac.uk/he/

Regulatory/Statutory bodies and other external agencies:

It is important that the retention periods stated in this Policy are adhered to however, 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.


http://bcs.jiscinfonet.ac.uk/he/

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 department it 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 PolicyThe Records Retention and Disposal Policy covers a broad range of University records. The framework will assist Schools/Departments to develop their own systems alongside this Policy that focus 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


Teaching and learning support records

Records about: Retention period Rationale Master held

University 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

6


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


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


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

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Practical assessments (e.g. Laboratory tests/clinical practicals) and oral presentations where tutor makes notes or compiles a report on which to base student’s mark and provide feedback

9 months after ratification of the marks by Foundation Year or Stage 1 Board of Examiners

For Stage 2,3,4, and Foundation Degree and Postgraduate students 9 months after final award has been ratified by the Board of Examiners

JISC recommendation/UoB Regulations

Schools

Feedback, guidance & support given by tutors to individual students

Completion of student’s programme + 6 years

1980 c. 58 s 5 Schools

Directorates

See separate section for Academic Administration of individual student records.

Main contents list.

8

Research records


University 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

9


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

10


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

11


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




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.

12

Academic administration records

Individual student records


Individual 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


Admissions

Schools Directorates

Individual applications for admissions – successful

End of student relationship + 6 years 1980 c. 58 s 5 Hub


Core student record: personal details, records allowing transcript to be provided, courses followed + grades, final degree, academic distinctions

Permanent Enduring value SAINT

Hub

Schools

13


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 51 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




Use of support services by individual students (including disability support, careers advice, Library borrower record)


1980 c. 58 s 5 Services

1 Note that JISC advises it has checked specifically with external bodies (eg. Nursing & Midwifery Council) and they have no requirement for this information to be kept for longer than the institution decides

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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


See also Health & Safety section for H&S records relating to individual students eg. expectant mothers, young people.

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Other academic administration records


Academic 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

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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

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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.

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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.


Planning & 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

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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

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Health & Safety


Health & Safety strategy, policies & procedures

Permanent Enduring value H&S

H&S committees Permanent Enduring value Schools Directorates

H&S inspection and audits Current year + 5 years JISC recommendation H&S


Safety representatives – appointment, training, consultation

Current year + 50 years JISC recommendation Schools

Directorates

Display screen equipment (including risk assessments; information/instruction/training; maintenance/monitoring; incident reports)

Superseded + 10 years JISC recommendation H&S


21


Fire safety

(including risk assessments; information/instruction/training; maintenance/monitoring; incident reports; conduct of drills)



First Aid (including appointment/training of First Aiders, assessment of equipment, training)

Current + 5 years JISC recommendation H&S


General H&S training Superseded + 10 years JISC recommendation H&S


Accident investigations Closure of investigation + 40 years 1980 c. 58 s 11 H&S


22


Reportable accidents – notification of Date of notification + 3 years In line with SI 1995/3163 Regulation 7(3)

H&S

Schools

Directorates

Expectant and new mothers (including risk assessments; information/instruction/training; maintenance/monitoring; incident reports)

Date of notification of pregnancy + 22 years2 (unless exposure to hazardous substances and physical agents in which case + 40/50 years as specified below)

1980 c. 58 s 11 H&S


Young persons at work (under 18)

(including risk assessments; information/instruction/training; maintenance/monitoring; incident reports)

Date joined + 8 years3 (unless exposure to hazardous substances and physical agents in which case + 40/50 years as specified below)

1980 c. 58 s 11 H&S


Hazardous substances - including biological agents, asbestos and lead


Superseded + 40 years SI 2002/2677 Regulation 7(10) and Policy 3, para. 4(3)

SI 2002/2676 Regulation 10(5)

SI 2006/2739 Regulation 19(4)(a)

H&S

Schools

2 Applying the entitlement of a child to bring a claim up to 3 years after their 18th birthday; retention period includes the period of pregnancy.3 Applying the entitlement of a child to bring a claim up to 3 years after their 18th birthday, on the basis that children under 13 years of age are generally prohibited from employment.

23


Physical agents – ionising radiation


Superseded + 50 years SI 1999/3232 Regulation 21(3)(a)

H&S

Schools

Physical agents - including noise, hand-arm and whole-body vibration



Schools

Directorates

General H&S risk assessments (other than specific topics above)


Schools

Directorates

General H&S incident reports (other than for specific topics listed above)

Closure + 3 years In line with SI 1995/3163 Regulation 7(3)

H&S

Directorates

All other H&S matters (eg. health surveillance): please consult the University Legal and Governance Officer and the Office of Health & Safety for guidance

For H&S equipment, see section for Resources Management.

Main contents list.

24

Resources management (finance and purchasing; staff; equipment) records

See separate section for Corporate Management to cover Planning, performance, governance, management of risk, audit, legal affairs, equality & diversity, health & safety, environment/waste.


Financial Accounting

Issue of sales invoices and the processing of incoming payments.

Current financial year + 6 years 1970 c.9 1980 c.58 1994 c.23 HMCE 700/21

Finance

Receipt and payment of purchase invoices. Current financial year + 6 years *

1970 c.9 1980 c.58 1994 c.23 HMCE 700/21

Finance

Payment and/or reimbursement of employees' expenses.

Current financial year + 6 years1970 c.91980 c.58

Finance

Payment of honoraria to third parties. ** Unless honoraria are administered through the payroll.

financial year + 6 years 1980 c.58 Finance

25


Payment of expenses to third parties (e.g. honorary appointees).

Current financial year + 6 years 1970 c.9 1980 c.58

Finance

The handling of petty cash. Current financial year + 6 years 1980 c.58 1994 c.23HMCE 700/21

Finance

Receipt and processing of students' fees. Current financial year + 6 years 1970 c.9 1980 c.58

Finance

Administration of annual funding allocations from the appropriate statutory funding body.

Current financial year + 6 years NA Finance

Administration of scholarship funds. Current financial year + 6 years 1980 c.58 Finance

Administration of research grants provided by research councils or corporate sponsors

Termination of grant + 6 years 1980 c.58 Finance

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http://www.jisc.ac.uk/index.cfm?name=srl_rrs_apdx_a#apdxA_act1980c58


Implementation and financing of ERDF/EST (e.g. External) grants. Original or verified true copies required.

Note: there may be circumstances where a retention period is prescribed as a requirement by a Funding Provider in a contract and these should override the normal periods. Files must be clearly marked to ensure compliance with periods described in the contract.

All original documentation (or certified true copies) relating to the implementation of the project and its financing should be retained until.. 3 years AFTER the EC has made the Final Payment in respect of the programme under which the project was funded

Grant

offer letters

Finance

Preparation of the statutory annual accounts

Current financial year + 6 years1970 c.9

1980 c.58

Finance

Annual Accounts Keep in perpetuity 1970 c.9Review for archival value

payments/expenditure including expenses, tuition fees, petty cash

Current financial year + 6 years 1970 c. 9 s 34

1980 c. 58 s 5

1994 c. 23

HMRC 700/21 para. 5.2

Finance

27


Financial Audit

Conduct and results of financial audits, and action taken to address issues raised.

Last action on audit + 6 years 1980 c.58Finance

Financial Management / Management Accounting

Finance

Analyses of, performance against the plans for the implementation of the institution's finance strategy.

Current financial year + 1 year NA Finance

Analyses of the internal deployment of the institution's financial resources.

Current financial year + 1 year NAFinance

Preparation of annual operating budgets. Current financial year + 1 year NA Finance

Monitoring of income and expenditure against annual operating budgets, and action taken to deal with variances.


Internal Accounting

Processing of internal accounting transactions between operating units (i.e. cross-charges).


28


Negotiation and administration of formal contracts between operating units (e.g. for the provision of services.)

Termination of contract + 1 year NAFinance

29


Payroll Administration

Employees' authorisation for non-statutory payroll deductions.

Current tax year + 6 years 1980 c.58Finance

Calculation and payment of payroll payments to employees.

Current tax year + 6 years 1970 c.9 1980 c.58 S.I.1993/744 S.I.1999/584

Finance

Operation of the Statutory Sick Pay scheme Current tax year + 3 years S.I.1982/894 Finance

Operation of the Statutory Maternity Pay scheme.

Current tax year + 3 years S.I.1986/1960Finance

Pension Contributions Administration

Payments of the institution's employers' contributions to pensions schemes for its employees.

Termination of employment + 75 years 1980 c.58Finance

Payments of the institution's employees' contributions to pension schemes.

Termination of employment + 75 years 1980 c.58Finance

Tax Management

Preparation and filing of the institution's tax returns.

Current tax year + 6 years 1970 c.9Finance

Cash Management

30


Opening, closure and routine administration of bank accounts.

Closure of account + 6 years 1980 c.58Finance

Administration of Standing orders, direct debits etc.

Life of instruction + 6 years 1980 c.58Finance

Bank account deposits / withdrawals / transfers (paying-in slips, transfer instructions, bank statements etc.)

Current financial year + 6 years1970 c.9 1980 c.58

Finance

Investment Management

Management of the institution's financial investment portfolio.

Divestment + 6 years 1980 c.58Finance

Purchase / sale of investments.Current financial year (of transaction) + 6 years

1970 c.9Finance

Asset Management

Administration relating to value of the institution's capital assets.

Current financial year + 6 years * 1970 c.9Review for archival value

Administration of additions and source of funding

Life of asset + 6 yearsFinance

Record of Decisions (and authorisations) to dispose of capital assets.

Current financial year (of disposal) + 6 years1970 c.9 1980 c.58

Finance

31


Administration of research and enterprise grants

Termination of grant + 6 years

NB some sources of European funding may specify the retention of records for a longer period. Please consult Financial Services for advice.

1980 c. 58 s 5 Finance

Master copies of procedures relating to the management of equipment and consumables.

Superseded + 3 years JISC recommendation Finance

32


Purchase Orders

Goods Received Notes/Goods Inwards Notes

Current financial year + 6 years 1980 c. 58 s 5

HMRC 700/21 para. 5.2

Finance

Employee timesheets (required for payroll purposes or the administration of grants)

Current financial year + 6 years 1970 c. 9 s 34 HR

Planning & budgeting – monitoring reports Current financial year + 1 years JISC recommendation Planning

Major items

Specifications for, selection, development & installation, testing, inspection & maintenance of equipment/consumables for.

Life of item + 6 years 1980 c.58 s 5 Units

Items which are safety critical or associated with hazardous operations

Specifications for, selection, development & installation, testing, inspection & maintenance of equipment/consumables:

Life of item + 40 years JISC recommendation Schools, Directorates

Work equipment, including lifting equipment and pressure systems

Life of item + 6 yearsJISC recommendation Schools,

Directorates

33

Specifications for, selection, development & installation, testing, inspection & maintenance of equipment/consumables: other items

Life of item JISC recommendation Schools, Directorates

Stock inventory, stocktaking/checking for equipment/consumables.

Superseded JISC recommendation Finance

Monitoring of the condition of stored equipment/consumables.

Current year + 1 year JISC recommendation Schools, Directorates

34

Individual staff records


Recruitment –

unsuccessful applications

Completion of recruitment process + 6 months

1975 c. 65

1976 c. 74

1995 c. 50




HR

Individual staff:

Records documenting job-specific statutory/regulatory training requirements for the employee, and the training provided to meet these requirements.

Expiry of certification + 6 years OR termination of employment + 6 years

1980 c. 58 s 5 HR

35


Major injuries arising from workplace accidents

Termination of employment + 40 years 1980 c. 58 s 11 H&S,

HR

Application forms + supporting documentation

Contract(s)

Terms & conditions incl. changes

Holiday entitlement

Special leave

Termination of employment by resignation, redundancy, retirement, dismissal

Disciplinary proceedings and grievances raised by staff, the institution's response, action taken and the outcome.

Termination of employment + 6 years 1980 c. 58 s 5 HR

Statutory leave entitlement eg. parental leave

Completion of entitlement + 6 years SI 1999/3312 HR

36


Induction

Training & development

Personal protective/special equipment issued to employee

Termination of employment + 6 years 1980 c. 58 s 5 HR

Schools, Directorates

Income Tax and NI; correspondence with HMRC

Current tax year + 6 years E11 (2008) HR

Statutory sick pay and statutory maternity pay

Current tax year + 3 years E14 (2008) HR

Pensions Termination of employment + 6 years 1980 c. 58 s 5 HR

Provision of references Provision of reference + 1 year JISC recommendation HR

Schools, Directorates,

DBS clearance documentation Date of clearance + up to a maximum of 6 months

DBS code of practice HR

37


Individual staff email

g/h drive, email

*n.b. local department may have a view of how long to retain file access based on business need

Date of leaving + 2 months

see Note *

UoB recommendation ICT

Schools

Directorates

Individual ex-staff now pensioners Cessation of benefits + 12 years CIPD recommendation HR

See also Health & Safety section for H&S records relating to individual staff eg. expectant mothers.

Main contents list.

38

Internal and external relations (including complaints and enquiries, events and visits)


Complaints from members of the public, the internal handling of these complaints and the responses provided.

Last action on complaint + 1 year JISC recommendation Schools/

Directorates

OVC

Planning and evaluation of events. Completion of event + 3 years JISC recommendation MCC,

Schools

Organisation and administration of events. Completion of event + 1 year JISC recommendation MCC,

Schools

Formal communications with other HE/FE institutions, other educational institutions, professional associations and learned bodies.

Current year + 5 years JISC recommendation Planning

Directorates

Schools

39


Formal enquiries from institutions and other bodies in the sector, the internal handling of these enquiries and the responses given.

Last action of enquiry + 1 year JISC recommendation Schools

Directorates

Formal responses to consultations conducted by HE/FE sector organisations.

Last action on consultation + 3 years JISC recommendation Planning

Preparation and submission of reports to HE/FE regulatory bodies.

Submission of report + 3 years JISC recommendation Planning

Membership of & participation in local community organisations.

Termination of membership + 1 year JISC recommendation Schools

Directorates

Establishment and operation of Student Appeal Panels.

Permanent Enduring value OVC

Schools, Directorates

Market research data: data relating to identifiable individuals.

Completion of analysis of data JISC recommendation MCC,

Market research data: aggregated data and analyses.

Completion of research + 5 years JISC recommendation MCC,

Design, implementation and review of marketing campaigns.

Completion of campaign + 3 years JISC recommendation MCC

40


Marketing materials Permanent (1 copy)

Otherwise completion of campaign or superseded

UoB MCC

Publications Permanent Enduring value MCC

Main contents list.

41

Appendix: list of citations and abbreviations

Acts of the UK Parliament

1970 c. 9 Taxes Management Act 1970

1975 c. 65 Sex Discrimination Act 1975

1976 c. 74 Race Relations Act 1976

1980 c. 58 Limitation Act 1980

1994 c. 23 Value Added Tax Act 1994

1995 c. 50 Disability Discrimination Act 1995

Statutory Instruments of the UK Parliament

SI 1995/3163 The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995

SI 1998/1833 The Working Time Regulations 1998

SI 1999/3232 The Ionising Radiations Regulations 1999

SI 1999/3312 The Maternity and Parental Leave etc. Regulations 1999

SI 2002/2676 The Control of Lead at Work Regulations 2002

SI 2002/2677 The Control of Substances Hazardous to Health Regulations 2002

SI 2003/1660 The Employment Equality (Religion or Belief) Regulations 2003

SI 2003/1661 The Employment Equality (Sexual Orientation) Regulations 2003

SI 2006/1031 The Employment Equality (Age) Regulations 2006

SI 2006/2739 The Control of Asbestos Regulations 2006

Other provisions

HMRC 700/21 Keeping VAT records (2007)

HMRC E11 Starting the tax year from 6 April 2008: Employer Helpbook

42

(2008)

HMRC E14 (2008)

Statutory Sick Pay: Employer Helpbook

Abbreviations used in the Policy

ADU Academic Development Unit

APO Academic Partnerships Office

CIPD Chartered Institute of Personnel and Development

DBS Disclosure and Barring Service

DPA Data Protection Act

EIR Environmental Information Regulations

FE Further Education

FOI Freedom of Information Act

H&S Health and Safety (department); health and safety (function)

HE Higher Education

HR Human Resources (department); human resources (function)

ICT Information and communications technology

Int. Office International Office

IPR Intellectual property rights

JISC Joint Information Systems Committee

MCC Marketing and Corporate Communications

PINS Planning and Information Systems

p/t Part-time

SAINT Student Records

UoB University of Bradford

OVC Offices of the Vice-Chancellor

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