Docstoc

records_retention_schedule

Document Sample
records_retention_schedule Powered By Docstoc
					                                                                                                                        QMUL RRS Read me




                                          QMUL Records Retention Policy
                                             Records Retention Schedule
NB – users in the School of Medicine and Dentistry and Joint R&D Office should also refer to the BLT Retention Policy
available on the BLT intranet or from: catherine.redfern@bartsandthelondon.nhs.uk

Please also read the Records Retention Policy - General Principles & Responsibilities

Approved by QMSE on 19th October 2010

Retention guidelines and periods apply to records, regardless of their format, which are created, received
and/ or maintained by QMUL and its staff in the course of College business

This Records Retention Schedule documents the minimum retention periods for QMUL

These retention periods have been agreed in consultation with records owners to take account of relevant
compliance and operational requirements. If you have any queries on QMUL records management policy,
procedures or retention periods, including citations or proposals to make changes, please contact the
Records & Information Compliance Manager

At the end of the retention period records will be reviewed by the owner who will take a decision on
whether to destroy or retain any longer

Those records series marked (A) on the schedule are of value to The Archives (part of Library Services) and
should be transferred there once they have completed their retention or a copy sent at the time of creation.
The Archives will keep these records permanently

Retention periods will be in whole calendar, academic or financial years (unless <1 year). The academic and
financial years run from 1st August to 31st July. If the retention period does not specify one of these it
relates to the calendar year
   Last updated: July 2012                                           QMUL RECORDS RETENTION SCHEDULE




All retention periods should be in whole years (calendar, academic or financial)

I. Teaching and Research
I.(i) Teaching
Records Series                                     Retention Period                 Trigger                                                        Responsibility/Comments


Teaching
Records of academic progress                       6 years                          From academic year the student's relationship with QM
                                                                                    ceases
Records of meetings with personal and course       6 years                          From academic year the student's relationship with QM
tutors                                                                              ceases
Course Administration
Timetabling                                        1 academic year                  From academic year in which the event took place or to which
                                                                                    the record relates
Class and tutorial lists                           1 academic year                  From academic year in which the event took place or to which
                                                                                    the record relates
Attendance records                                 1 academic year                  From academic year to which attendance relates
Final versions of course materials (A)             Life of course                   Supersedure                                                  Transfer to Archives
Other course administration records                3 academic years                 From academic year in which the event took place or to which
                                                                                    the record relates
Course evaluation records                          5 academic years                 From date review completed
Assessments
Examination and assessment regulations             6 academic years                 From academic year to which they relate
Examination papers (A)                             1 academic year                  From academic year of assessment                               Transfer to Archives
Examination scripts / coursework / dissertations   1 academic year OR Award of      From academic year of assessment                               Exam scripts = Registry
                                                   degree + 1 year. Retain a sample                                                                Coursework = Departments (return
                                                   for quality & training                                                                          original to student; input marks to SIS).
                                                                                                                                                   Copies of dissertations may be retained
                                                                                                                                                   by the Library
Examination timetabling, attendance registers,     1 academic year                  From academic year in which the event took place or to which
appointment of invigilators, arrangements                                           the record relates
Mark sheets from all assessed work                 1 academic year                  From academic year the student's relationship with QM
                                                                                    ceases
Assessment offences (including appeals)            6 years                          From date of last action                                       See also under QA - Casework
Examination Board meeting papers
- SEB sub-boards                                   2 academic years                 From academic year student's relationship with QM ceases
                                                                                    From academic year course commenced
- subject exam boards                              7 academic years                 From academic year course commenced
- degree exam boards (A)                           7 academic years                                                                                Transfer to Archives




   Version 01.4
                                                                                                                                                                                    Page 2
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 3
   Last updated: July 2012                                            QMUL RECORDS RETENTION SCHEDULE




Extenuating circumstances forms
- centrally stored                                     same as Student Record          From academic year the student's relationship with QM
- in departments                                       2 academic years                ceases
I.(ii) Research
Records Series                                         Retention Period                Trigger                                                       Responsibility/Comments


Research
Research procedures, policies, codes of practice       10 years                        From date superseded                                          Transfer to Archives
(A)
Research committees' records                           See under Council Secretariat
Research strategy (A)                                  10 years                        From date superseded                                          Transfer to Archives
Records documenting the conduct and results of         5 academic years OR next audit, From date of creation                                         Review by Archivist: results
external reviews and audits of research (A)            whichever comes first
Liaison with sponsors                                  5 academic years                From academic year of creation
Interim reports of research projects                   3 years                         From year of dissemination
Primary research data                                  10 years                        From year project ends OR from year of publication of paper   Check requirements of funder
                                                                                       on which data is based                                        If IPR have been generated retention
                                                                                                                                                     may need to be extended
Non-clinical research projects and final reports (A)   5 years                         From date project ends                                        Review by Archivist

Research Funding                                       See under Finance - Research Support Services
Joint R&D Office                                       Refer to BLT Retention Policy
Clinical (or public health) research                   Refer to BLT Retention Policy
Lab books                                                                                                                                            Check requirements of funder and any
- clinical trials samples                              20 years                        From date trial completed                                     regulatory authority
- biological services                                  5 years                         From date book completed
- others                                               5 years                         From date book completed
Protocol, consent procedure, record of people who      30 years                        From date trial completed
consented and adverse effects
Research Degrees Office
Student Record                                         See under Registry
Studentship records                                    Current                         Destroy when student's relationship with QM ceases
External Examiner personal details                     1 month                         From date last payment made
Code of Practice (A)                                   7 academic years                From academic year of creation                                Transfer to Archives
Regulations for research degrees                       7 academic years                From academic year of creation
Research degree examination procedures                 10 academic years               From date superseded
Research degree de-registration procedures             10 academic years               From date superseded
Reports and upgrade procedures                         10 academic years               From date superseded
Complaints procedure                                   10 academic years               From date superseded




   Version 01.4
                                                                                                                                                                                    Page 4
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 5
   Last updated: July 2012                                          QMUL RECORDS RETENTION SCHEDULE




Grant applications (e.g. ORSAS)                   See under Research Support                                                                  Usually run for 3 academic years from
                                                  Services below                                                                              award
Theses
- successful / awarded (sent to Library)          Permanent                    From date of award
- uncorrected / not awarded                       1 month                      From date of examination
Spare copies of theses                            1 month                      From date original sent to The Library
Research Assessment Exercise
Final reports (A)                                 8 years                      From date of last entry, as long as next exercise has taken    Transfer to Archives
                                                                               place
Other RAE records                                 8 years                      From date of last entry, as long as next exercise has taken
                                                                               place
Research Excellence Framework
Final reports (A)                                 8 years                      From date of last entry, as long as next exercise has taken    Transfer to Archives
                                                                               place
Submissions and other evidence                    8 years                      From date of last entry, as long as next exercise has taken
                                                                               place
Intellectual Property                             See under Queen Mary Innovation Ltd.

II. Student Administration and Support Services
Records Series                          Retention Period                       Trigger                                                        Responsibility/Comments


Registry
Student Record (this will include the non-core data 3 academic years           From academic year the student's relationship with QM          Master copy with Registry. If local
on SIS and any hard-copy file)                                                 ceases e.g. student leaves 2009, review in January 2014        copies of student files are held in
                                                                                                                                              department, these must not exceed 6
                                                                                                                                              academic years
Core Student Record (on SIS, see other worksheet 70 years                      From academic year the student's relationship with QM          70 years because most students aged
) (A)                                                                          ceases                                                         90+ when data is deleted
Enquiries from / about students                   1 academic year              From date of enquiry
Design, conduct and review of enrolment process   5 academic years             From academic year in which the event took place or to which
                                                                               the record relates
Student induction records                         1 academic year              From academic year in which the event took place or to which
                                                                               the record relates
Admissions
Admissions Policy (A)                             5 academic years             From date superseded                                           Transfer to Archives
Admission criteria                                10 academic years            From date superseded
Procedures                                        Current                      Revision
Guides                                            1 academic year              From academic year of creation or to which it relates




   Version 01.4
                                                                                                                                                                             Page 6
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 7
   Last updated: July 2012                                                QMUL RECORDS RETENTION SCHEDULE




Student admission records:
- successful                                          Passed to Registry to form part of                                                                   UCAS keeps applications for 3 years
                                                      Student Record                       From date admissions cycle completed
- unsuccessful                                        1 academic year
Selectors lists                                       Current                              Supersedure
Analysis of admission data (A)                        10 academic years                    From academic year of creation or to which it relates           Transfer to Archives
Correspondence with UCAS and other bodies             5 academic years                     From academic year of creation or to which it relates
Tier 4 Sponsorship
Records documenting Tier 4 migrants' entitlement      Length of sponsorship OR                                                                             These records may reside in ARCS and
to study, evidence of attendance and engagement       until a compliance officer has                                                                       Schools
with studies, history of contact details, ATAS        examined and approved them
certificate (where applicable) and evidence
assessed to make offer (study duration of less than
one year)
Records documenting Tier 4 migrants' entitlement      1 academic year OR until a From academic year the student's relationship with QM                     These records may reside in ARCS and
to study, evidence of attendance and engagement       compliance officer has     ceases                                                                    Schools
with studies, history of contact details, ATAS        examined and approved them
certificate (where applicable) and evidence
assessed to make an offer (study duration of one
year or more)
Bursaries, Grants & Scholarships
Bursaries Policy                                      6 financial years                    From date of creation                                           Revised annually
Procedures                                            1 academic year                      From date superseded                                            Revised annually
Records documenting the award of bursaries,           6 financial years                    From financial year in which the transaction took place or to
scholarships, fellowships, other funds                                                     which it relates
Erasmus and U.S. loans student files and              6 financial years                    From date of last payment
documentation
British Council funding records                       6 financial years                    From financial year in which the transaction took place or to
                                                                                           which it relates
Information, leaflets                                 1 academic year                      From academic year of creation or to which it relates
Application forms                                     1 academic year                      From academic year of application
Prize nominations and notifications (A)               6 financial years                    From year of nomination or award                                Transfer to Archives
Student Discipline, Complaints & Appeals - see under Quality Assurance
Conferment of Awards
Pass lists                                            Permanent
Graduation lists (A)                                  Permanent                                                                                            Transfer to Archives
List of prize winners (A)                             Current                              Until prize is no longer awarded                                Transfer to Archives
List of unclassified students                         TBC
Award ceremony administration                         1 academic year                      From academic year ceremony took place
Advice & Counselling




   Version 01.4
                                                                                                                                                                                         Page 8
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 9
   Last updated: July 2012                                           QMUL RECORDS RETENTION SCHEDULE




Registration cards:
- welfare advice                                     6 academic years          From date of last contact
- counselling                                        5 academic years
Student files and personal data:                                                                                                               This encompasses the paper file and
- welfare advice                                     6 academic years          From date of last contact                                       any data in Inform or the Welfare
- counselling                                        5 academic years                                                                          Advice client database
E-mail enquiries (one-off contact)                   6 academic years          From date of last contact
Psychiatrist files                                   5 academic years          From date of last contact
Feedback survey details (anonymous data)             10 years                  From date of survey
Annual service statistics (anonymous data)           10 years                  From year of creation
Disability & Dyslexia Service
Student files and personal data                      2 academic years          From academic year the student's relationship with QM
                                                                               ceases
UCAS forms of unsuccessful applicants                2 academic years          From academic year of application
Invoices                                             6 financial years         From financial year in which the transaction took place or to
                                                                               which it relates
Records monitoring equipment loans (either in the    2 academic years          From academic year the student's relationship with QM
database or if this can be done through SITS in                                ceases
future then the database could be deleted)

Personnel files of casual workers                    6 years                   From date employee leaves QM
Careers
Note: also refer to The Careers Group's retention schedule
Interfase database (student data)                    3 academic years (TBC)    From academic year the student's relationship with QM
                                                                               ceases
Student interviews                                   3 academic years          From academic year in which the interview took place
Quick queries (short appointments)                   3 academic years          From academic year in which the appointment took place

Career discussion appointments                       3 academic years          From academic year in which the appointment took place

Psychometric tests                                   3 academic years          From academic year in which the test took place
Occupational records (job descriptions)              2 academic years          From academic year of creation
Events records including student sign-up details     3 academic years          From academic year in which the event took place

Contact details of speakers                          3 academic years          Supersedure
Annual report (A)                                    5 academic years          From academic year to which the report relates                  Transfer to Archives
Adviser feedback forms                               1 academic year           From academic year in which the service was delivered
Feedback database                                    5 academic years          From academic year in which the service was delivered
Destination survey returns (with personal data)      2 academic years          From academic year the survey was carried out
Destination survey returns (without personal data)   20 academic years         From academic year the survey was carried out




   Version 01.4
                                                                                                                                                                            Page 10
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 11
   Last updated: July 2012                                               QMUL RECORDS RETENTION SCHEDULE




Residential Services
Publications (Residents' handbook, Residences        6 academic years              From academic year to which publication relates                 Transfer to Archives
Guide) (A)
Student files                                        6 academic years              From academic year the student's relationship with QM
                                                                                   ceases
Landlord details                                     6 academic years              From academic year landlord last registered
Financial records                                    6 financial years             From financial year in which the transaction took place or to
                                                                                   which it relates
Red Book                                             6 academic years              From academic year the student's relationship with QM
                                                                                   ceases


III. Resources Management
III.(i) Finance
Records Series                                       Retention Period              Trigger                                                         Responsibility/Comments


Procurement
Purchasing strategy (A)                              Current and previous          Supersedure                                                     Transfer to Archives
Value for Money performance report                   4 years                       From year of creation
Purchase requisitions                                6 financial years             From financial year in which the record was created or
                                                                                   received or to which it relates
Goods received notes                                 6 financial years             From financial year in which the record was created or          Departments
                                                                                   received or to which it relates
Invitations to tender and tender criteria and OJEU   6 years                       From date contract terminated
contract award notices
Quotations and tenders records including rejected    1 year                        From date contract awarded
tenders
Purchasing card records                              6 financial years             From financial year in which the record was created or          Originals of receipts etc. must be
                                                                                   received or to which it relates                                 retained for 6 financial years whether in
                                                                                                                                                   Departments or centrally
Contracts and key records relating to contract       10 years                      From date of termination
initiation, renewal, performance and termination

Statistical returns                                  3 financial years             From financial year in which the record was created or
                                                                                   received or to which it relates
Records documenting purchasing authorisation         1 financial year              From date superseded
limits
Financial Planning
Resource allocation models                           3 financial years             From financial year in which the record was created or
                                                                                   received or to which it relates




   Version 01.4
                                                                                                                                                                                   Page 12
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 13
   Last updated: July 2012                                                 QMUL RECORDS RETENTION SCHEDULE




Annual operating plans
- key records                                          5 academic years              From academic year of creation
- working papers                                       1 academic year
Records containing data on, and analyses of, the       5 academic years              From academic year of creation
institution's performance against its strategic plan

Reports on the institution's performance against its 10 academic years               From academic year of creation                           Review by Archivist
strategic plan (A)
Development of key performance indicators            Current                         Supersedure
Performance monitoring, analysis and                 1 academic year                 From academic year of creation
benchmarking
Accounts Payable
Foreign payments forms / invoices                      6 financial years             From financial year in which the record was created or
                                                                                     received or to which it relates
Employee expenses records                              6 financial years             From financial year in which the record was created or   Originals of receipts etc. must be
                                                                                     received or to which it relates                          retained for 6 financial years whether in
                                                                                                                                              Departments or centrally
Expenses and purchasing cards statements and           6 financial years             From financial year in which the record was created or   Originals of receipts etc. must be
original receipts                                                                    received or to which it relates                          retained for 6 financial years whether in
                                                                                                                                              Departments or centrally
Purchase invoices                                      6 financial years             From financial year in which the record was created or
                                                                                     received or to which it relates
Research Support Services
Note: for Joint R&D Office also refer to BLT Retention Policy
Research Grants records (A)                                                                                                                   Transfer to Archives
- successful applications                              6 years                       From termination of grant
- unsuccessful applications                            6 years                       From year in which the application was turned down
Administration of research grants                      6 years                       From date project completed
Administration of scholarship funds                    6 financial years             From financial year in which the record was created or
                                                                                     received or to which it relates
Administration of funding from European Structural 6 financial years                 From financial year in which the record was created or
Funds                                                                                received or to which it relates
Statistics and reports                             3 financial years                 From financial year of creation
Journals                                           6 financial years                 From financial year in which the record was created or
                                                                                     received or to which it relates
Forms                                                  Current                       Supersedure
Income & Credit Control
Records documenting the administration of annual 10 financial years                  From financial year in which the record was created or
funding allocations from the appropriate statutory                                   received or to which it relates
funding body
Sales invoices                                     6 financial years                 From financial year in which the record was created or
                                                                                     received or to which it relates




   Version 01.4
                                                                                                                                                                              Page 14
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 15
   Last updated: July 2012                                          QMUL RECORDS RETENTION SCHEDULE




Tuition fees                                    6 financial years                   From financial year in which the record was created or
                                                                                    received or to which it relates
Invoice request forms                           2 financial years                   From financial year in which the record was created or
                                                                                    received or to which it relates
Direct Debit mandates                           6 financial years                   From financial year in which the record was created or
                                                                                    received or to which it relates
Debtor agreements                               Do not retain                       Destroyed once paid
Staff re-charge invoices
Financial Accounting
Annual Statutory accounts
Bank statements, advices and correspondence     6 financial years                   From financial year in which the record was created or
                                                                                    received or to which it relates
Standing order mandate                          6 financial years                   From date mandate expires
Credit card statements                          6 financial years                   From financial year in which the record was created or
                                                                                    received or to which it relates
Invoices for payments made by direct debit      6 financial years                   From financial year in which the record was created or
                                                                                    received or to which it relates
Authority to make payments and invoices         6 financial years                   From financial year in which the record was created or
                                                                                    received or to which it relates
Foreign payment forms and invoices              6 financial years                   From financial year in which the record was created or
                                                                                    received or to which it relates
Newtons Asset Management transaction and        6 financial years                   From financial year in which the record was created or
valuation reports                                                                   received or to which it relates
Details of restrictive nature of funds          6 financial years                   From date fund expires
Details of usage (endowments)                   6 financial years                   From financial year in which the record was created or
                                                                                    received or to which it relates
Correspondence with and returns to HMRC: CIS,   6 financial years                   From financial year in which the record was created or
VAT, S16, corporation tax                                                           received or to which it relates
Capital Goods Scheme records                    10 financial years OR 6 financial   From financial year in which the record was created or
                                                years from last adjustment          received or to which it relates

Other government returns                        6 financial years                   From financial year in which the record was created or
                                                                                    received or to which it relates
Year end reconciliations                        6 financial years                   From financial year in which the record was created or
                                                                                    received or to which it relates
Journals raised                                 6 financial years                   From financial year in which the record was created or
                                                                                    received or to which it relates
Salary posting documents                        6 financial years                   From financial year in which the record was created or
                                                                                    received or to which it relates
JIDOs                                           3 financial years                   From financial year in which the record was created or
                                                                                    received or to which it relates
Postal and phone recharges                      3 financial years                   From financial year in which the record was created or
                                                                                    received or to which it relates




   Version 01.4
                                                                                                                                             Page 16
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 17
   Last updated: July 2012                                               QMUL RECORDS RETENTION SCHEDULE




Monthly balance sheet reconciliations                3 financial years              From financial year in which the record was created or
                                                                                    received or to which it relates
Daily cashflow and investment reports                3 financial years              From financial year in which the record was created or
                                                                                    received or to which it relates
Reports                                              3 financial years              From financial year in which the record was created or
                                                                                    received or to which it relates
Financial Management
Insurance policies and related documentation         6 years                        From date policy expired
Records documenting claims against insurance         6 years                        From date claim settled
policies and their outcomes
Employers' Liability Insurance Certificates          40 years                       From date policy commenced
Equipment loan / removal forms                       3 months                       From date equipment returned
Budget statements                                    3 financial years              From financial year in which the record was created or
                                                                                    received or to which it relates
Journal transfer forms                               6 financial years              From financial year in which the record was created or
                                                                                    received or to which it relates
Forecasts                                            3 financial years              From financial year in which the record was created or
                                                                                    received or to which it relates
HESA returns (A)                                     3 financial years              From financial year in which the record was created or   Transfer to Archives
                                                                                    received or to which it relates
Administration and Management
Finance Department strategy (A)                      Current                        Supersedure                                              Transfer to Archives
Financial regulations / procedures                   Current                        Supersedure
Departmental budgets                                 3 financial years              From financial year in which the record was created or
                                                                                    received or to which it relates
Departmental copies of financial records e.g. copy   1 financial year               From financial year in which the record was created or   Departments, on the assumption that
invoices, purchase orders, delivery notes, phone                                    received or to which it relates                          the master copy is held by the Finance
bills                                                                                                                                        department
III.(ii) Estates
Records Series                                       Retention Period               Trigger                                                  Responsibility/Comments


Projects & Maintenance (Built
Environment)
Capital project works records (A)                    12 years when contracts        From date project ends                                   Review by Archivist
                                                     executed under seal, 6 years
                                                     when under hand
Tender records                                       see above under Procurement

Maintenance, call-out and repair records (contract   2 years                        From date of job
and in-house)




   Version 01.4
                                                                                                                                                                           Page 18
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 19
   Last updated: July 2012                                         QMUL RECORDS RETENTION SCHEDULE




Pressure vessel testing                            Life of equipment
Electrical testing records:
- building fixed wiring                            Current                             Supersedure
- Estates portable appliances (PAT)                5 years                             From date of test
Fire alarm system testing                          2 years                             From date of test
Maintaining / removal of asbestos                  40 years                            From date of removal OR from date of subsequent inspection

Records documenting the installation of equipment:
- safety critical items
- other items                                      40 years                            From decommissioning/removal
                                                   Until decommissioning / removal

Lift and lifting equipment testing                 Life of equipment
Pre-commissioning examination of lifting           Life of equipment
equipment
Supplier records                                   Life of equipment supplied
Time sheets                                        See under Human Resources -
                                                   Administration
Planning & Property
Property acquisition and disposal records (A)      6 years                             From disposal of property                                    Transfer to Archives
Title Deeds (A)                                    Do not retain                       Disposal of property                                         Transfer to Archives
Negotiations records where property not acquired   6 years                             From closure of negotiations

Property development records                       Do not retain                       Disposal of property
Major maintenance works                            Do not retain                       Disposal of property
Leasing records (QM as lessee)                     6 years                             From disposal of lease
Leasing records (QM as lessor)                     6 years                             From expiry of lease
Building consents / planning applications          Disposal of property OR expiry of
                                                   consent
Building Plans                                     Do not retain                       Disposal of property
Administration and Management
Estates strategy (A)                               10 years                            From date superseded                                         Transfer to Archives
Estates strategy development                       1 year                              From date strategy issued
Procedures                                         1 year                              From date superseded
III.(iii) Human Resources
Records Series                                     Retention Period                    Trigger                                                      Responsibility/Comments


Payroll




   Version 01.4
                                                                                                                                                                           Page 20
   Last updated: July 2012         QMUL RECORDS RETENTION SCHEDULE




HR records are mostly held
centrally, therefore departments
do not need to hold duplicates




  Version 01.4
                                                                     Page 21
   Last updated: July 2012                                              QMUL RECORDS RETENTION SCHEDULE




Payslips
- hard copies and for non-USS members                  6 tax years                        From tax year in which payment was made
- for pensioners                                       40 years
Time Sheets / Overtime sheets for tax purposes         3 tax years                        From tax year in which payment was made e.g. if pay relates
                                                                                          to 2009/10 tax year, destroy in May 2013
Statutory Sick and Maternity Pay records (on           3 tax years                        From tax year in which payment was made
Personal file)
Employees' Authorisations for non-statutory            6 tax years                        From tax year in which payment was made e.g. if pay relates
deductions (on Personal file)                                                             to 2009/10 tax year, destroy in May 2016
PAYE records                                           6 tax years                        From tax year in which payment was made
P11Ds and year-end return to HMRC                      6 tax years                        From tax year in which payment was made
Pensions
Employee Pension files                                 40 years                           From year employee leaves QM e.g. if employee leaves in
                                                                                          2011, review in 2052
Routine communications with external pension           5 years                            From year of creation
schemes
Payments file                                          6 years                            From year in which transaction is made or to which it relates

Recruitment
Job files (advert, application forms, CVs, interview   6 months                           From month of appointment to post
notes, test results, correspondence, data in
IGRASP, unsuccessful candidates’ applications)

Successful candidates’ records                         Place on central Personal file -   See below                                                       If recruitment is done locally, records for
                                                       see under Administration                                                                           successful candidates must be sent to
                                                                                                                                                          HR
Authorisation to recruit                               1 year                             From date of authorisation                                      Departments
Work permits / certificates of sponsorship             Place on central Personal file -   See below
                                                       see under Administration
CRB checks (disclosure forms)                          6 months                           From date of relevant decision
Unsolicited applications and response                  Do not retain                      From date reply sent
Employee Relations
Industrial relations: trade union negotiations (A)     20 years                           From date of last action                                        Review by Archivist

Meetings and communications with trade unions          20 years                           From year of creation                                           Review by Archivist
(A)
Agreements with trade unions (A)                       10 years                           From year of termination of agreement                           Review by Archivist
Recognition / derecognition of trade unions            6 years                            From date of derecognition
Employment Tribunal records and staff grievances       6 years                            From date case closed / last action
and disciplinaries
Records of unfounded disciplinaries                    Do not retain                      From conclusion of investigation
Departmental investigations                            6 years                            From date case closed / last action                             HoDs




   Version 01.4
                                                                                                                                                                                           Page 22
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 23
   Last updated: July 2012                                              QMUL RECORDS RETENTION SCHEDULE




Anonymised mediation reports                           5 academic years                   From year of creation
List of mediators                                      Current                            Supersedure
Staff surveys and consultations: anonymous             Current and previous               From date new survey completed                            Transfer to Archives
reports (A)
Equality & Diversity
Equality policies (A)                                  5 years                            From date superseded                                      Transfer to Archives
Race, Disability and Gender Equality Schemes           5 years                            From date superseded
Annual reports on Race, Disability and Gender          5 years                            From year of creation                                     Transfer to Archives
Equality Schemes (A)
Annual equalities reports                              5 years                            From year of creation
Equalities impact assessments                          10 years                           From date superseded
EO forms                                               Do not retain                      From date data collated in database
Anonymous EO data                                      10 years                           From date collected
Monitoring statistics and reports                      5 years                            From year of creation
Training course materials                              Current and previous               Supersedure
Disabled staff handbook                                3 years                            From date superseded
Pay, Grades and Benefits
Job evaluation project                                 5 academic years                   From date process superseded
Individual job evaluations                             Place on central Personal file -   See below
                                                       see under Administration
Records documenting the development of                 5 academic years                   From date project ends
workforce performance assessment systems
Contribution reward scheme                             6 academic years                   From date scheme cycle ends
Equal pay audit / pay reviews                          5 academic years                   From date project ends
Restructuring projects                                 5 academic years                   From date project ends
Promotion boards                                       6 years                            From year of creation
Reporting
Statutory returns (e.g. HESA)                          6 years                            From date return closed
Skeletal staff data for:                                                                  From date exercise completed
- RAE / REF                                            6 years
- other reporting (inc. HESA)                          40 years
Staff reports for internal use                         6 years                            From year of creation
Staff reports supplied for tribunals, grievances and   Do not retain                      From date supplied to manager                             Check with manager that the report has
disciplinaries                                                                                                                                      been attached to the procedure record

Staff data validation forms                            6 months                           From date data updated in HR system
I&S team audit reports                                 6 years                            From date of creation
Administration and Management
Employee Personal files                                6 years                            From year employee leaves QM e.g. if employee leaves 2010,
                                                                                          destroy in January 2017
Departmental copies of Personal files                  1 year                             From year employee leaves QM                               Departments
- sick leave, appraisals, annual leave records         2 years                            From year of creation




   Version 01.4
                                                                                                                                                                                 Page 24
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 25
   Last updated: July 2012                                         QMUL RECORDS RETENTION SCHEDULE




HR/Payroll electronic system data (excluding      6 years                          From date of last action OR from date employee leaves QM,
payroll data held for pensions purposes - see                                      whichever is the later
above)
Employee basic personal details                   Current                          Supersedure
References supplied by QM                         6 years                          From year of creation
References supplied for current employees by HR   Place on central Personal file   See above
(e.g. for mortgage applications)
Contractual changes
- signed copy                                     Place on central Personal file   See above
- HR reference copy                               TBC                              From year of creation
Time sheets                                       2 years                          From year to which the time sheet relates e.g. destroy time
                                                                                   sheets from 2010 in January 2013
Records documenting job-specific statutory /      6 years                          From date superseded
regulatory training
Records documenting the issuing of protective     6 years                          From year employee leaves QM e.g. if employee leaves 2010,
equipment to employee                                                              destroy in January 2017
Role profiles including HAY data (A)              Current                          Change of profile                                          Transfer to Archives
Benchmarking reports                              5 academic years                 From year of creation
Employment policies and guidance (codes of        Current and previous             Supersedure                                                Transfer to Archives
practice) (A)
Forms and templates                               Current and previous             Supersedure
HR strategy (A)                                   Current and previous             Supersedure                                                   Transfer to Archives
Strategy and policy working papers                Do not retain                    From date strategy / policy issued
Procedures                                        Current and previous             Supersedure
Projects records                                  5 academic years                 From date project ends
HR flexitime data                                 1 year                           From date of last action
Meetings papers                                                                                                                                  A master set of meeting papers should
- Committees (A)                                  See under Council Secretariat                                                                  be held and any duplicates held by
- HR Management team                              5 academic years                 From date of meeting                                          individuals should be disposed of
- team meetings                                   5 academic years                                                                               regularly
III.(iv) Security
Records Series                                    Retention Period                 Trigger                                                       Responsibility/Comments


CCTV images
- no incident                                     14 days                          From date of recording
- where incident is recorded                      3 months                         From date of last action on incident
Access logs                                       3 months                         From month of creation
Staff pass (including photo and data)             Do not retain                    Destroyed when employee leaves
Visitor passes                                    Do not retain                    Destroyed when visitor leaves premises
Incident reports                                  10 years                         From date of incident or last date of entry on file




   Version 01.4
                                                                                                                                                                              Page 26
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 27
   Last updated: July 2012                                         QMUL RECORDS RETENTION SCHEDULE




Other Security records (key registers, patrol   10 years                     From date of activity
records etc.)
III.(v) Facilities
Records Series                                  Retention Period             Trigger                                               Responsibility/Comments


Catering
Business plans, risk registers etc.             Current                      Supersedure
Procedures                                      Current                      Supersedure
Till rolls                                      6 financial years            From financial year in which transaction took place
Monthly stock taking records                    1 year                       From month of stock take
Bookings                                        2 years                      From year of booking
Staff clock cards, rotas and overtime sheets    6 tax years                  From the tax year to which the records relate
Original licences and certificates              Current                      Supersedure
Surveys and feedback                            5 years                      From date of survey or feedback
Purchase orders and invoices                    See under Finance
Conferences
Inspections by outside agencies                 Completion of subsequent     Supersedure
                                                inspection
Bookings                                        2 years                      From year of booking
Mail Room
Regular statistics                              6 years                      From month of creation
Guidance notes                                  Current                      Supersedure
Franking transaction reports                    6 years                      From year of creation
Book for recorded and registered delivery       Current and previous book    Completion of book
Reprographics
Joblists                                        1 year                       From year of creation
JIDOs                                           1 financial year             From financial year in which transaction took place
Porterage
Staff clock cards                               2 years                      From year of creation
Job requests                                    1 year                       From year of creation
III.(vi) Information Services
Records Series                                  Retention Period             Trigger                                               Responsibility/Comments


Records & Information Management
Final version of Records Retention Schedule     Permanent
Annual review authorisations                    25 years                     From year review completed
Records Retention Policy                        5 years                      From date superseded
Data Protection Policy                          5 years                      From date superseded




   Version 01.4
                                                                                                                                                        Page 28
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 29
   Last updated: July 2012                                              QMUL RECORDS RETENTION SCHEDULE




Procedures                                              3 years                       From date superseded
Documentation of the development and                    5 years                       From date of completion of revision
maintenance of the Publication Scheme
FOI / EIR requests and Subject Access Requests          3 years                       From date of closure of request

Annual (anonymised) report of FOI / EIR requests        5 years                       From year of report
and Subject Access Requests
Records inventories                                     Current                       Supersedure
Data protection notification with ICO                   Current and previous          Renewal of notification
The Archives
Collection Policy                                       Permanent
Reader Services Policy                                  Current                       Supersedure
Cataloguing programme                                   Current                       Supersedure
Manuals, reader services, cataloguing                   Current                       Supersedure
Accessions register                                     Permanent
Accessions files                                        Permanent
Enquiries and correspondence                            1 year                        From date of last response
Archives management system DS Calm, including           Permanent or until replaced
databases, catalogues, accessions, users,
enquiries, conservation, locations etc.
Archives issue slips                                    1 year                        From date of return of items
External application for copies, for research and       5 years                       From date of last action
reproduction, self service photography etc.
Records documenting loans                               6 years                       From termination of loan
Records documenting outreach and promotion              Current                       Supersedure
Records documenting special projects                    3 years                       From date project ends / last action
Records documenting usage statistics                    5 years                       From year of creation
Records of visitors including user registration forms   1 year                        From date of last visit

Library
Guides, procedures and regulations                      Current                       Supersedure
User registration details, fines, lost books,           2 academic years              From academic year the user's relationship with QM ceases
demands for payment                                                                   OR from date of resolution of issue
Loan history                                            2 academic years              From academic year the user's relationship with QM ceases

Catalogue                                               Current
Inter-library loan records                              6 academic years              From date of request
Library enquiries and correspondence                    2 academic years              From academic year of enquiry




   Version 01.4
                                                                                                                                                  Page 30
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 31
   Last updated: July 2012                                          QMUL RECORDS RETENTION SCHEDULE




Meetings papers                                                                                                                                      A master set of meeting papers should
- Library User Forum (A)                            6 academic years                                                                                 be held and any duplicates held by
- Library Management team                           5 academic years                  From date of meeting                                           individuals should be disposed of
- team meetings                                     3 academic years                                                                                 regularly
- project meetings                                  3 academic years
Transaction records (cash and card)                 2 financial years                From financial year in which the transaction took place or to
                                                                                     which it relates
Copyright and reproduction agreements (ERA,         Current and previous OR duration Renewal of licence
NLA, CLA and O.S. licences)                         of agreement?
Copyright compliance records
- NHS                                               6 years
- HERON pac-tracker (Course packs)
Complaints                                          TBC
- service provision
- staff
ICT
IT strategy (A)                                     Current and previous              Supersedure                                                    Transfer to Archives
IT Policy (A)                                       Current and previous              Supersedure                                                    Transfer to Archives
Policy and strategy working papers                  Current and previous              New policy / strategy
Standard operating procedures and master copies     3 academic years                  From date superseded
of other procedures
Records documenting the development,
implementation and maintenance of ICT systems
- where implemented
- where not implemented                             3 academic years                  From date system decommissioned
                                                    1 academic year                   From date of last action
Other projects records                              3 academic years                  From academic year project ends
Records documenting the routine monitoring of ICT
systems and actions
- process documentation                             Life of system
- activity records                                  Depends on system
Records documenting the testing of ICT systems
and actions
- process documentation                             Life of system
- activity records                                  3 academic years                  From date of test
Records documenting the management of backup,
archiving and deletion routines
- process documentation                             Life of system
- activity records                                  Depends on system
Records documenting the security arrangements       Life of system
for systems




   Version 01.4
                                                                                                                                                                                  Page 32
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 33
   Last updated: July 2012                                            QMUL RECORDS RETENTION SCHEDULE




Security breaches and actions
- actual                                          5 academic years              From date of last action
- attempted                                       1 academic year
Records documenting routine monitoring of the use 1 academic year               From year of creation
of ICT systems to ensure compliance with legal
requirements and institutional policies
Requests and authorisations for access of third    6 months                     From date of logging
party equipment to network(s)
Register of systems [for IS Security]              Current
Software licences                                  Current                      Supersedure
Helpdesk tickets                                   3 academic years             From date of last action
Login / use of services data                       2 academic years             From date of activity
Records documenting the disposal (and prior        6 academic years             From date of disposal
sanitisation) of equipment
Staff filestore and email accounts                 6 years                      From year employee leaves QM e.g. if employee leaves 2010,
                                                                                destroy in January 2017
Student filestore and email accounts               1 academic year              From academic year the student's relationship with QM
                                                                                ceases
Opening, maintenance and closure of user           1 academic year              From date account is closed
accounts
III.(vii) The Learning Institute (ESD)
Records Series                                     Retention Period             Trigger                                                      Responsibility/Comments


LI-owned strategies (A)                            5 years                      From date superseded                                         Transfer to Archives
Procedures and guidance (including e-learning)     Current and previous         Supersedure

Evaluation data                                    3 academic years             From date of evaluation
Annual report of analysis of training and          10 academic years            From academic year of creation                               Transfer to Archives
development programmes including statistics (A)

Appraisal data                                     5 academic years             From date of appraisal
Appraisal process documentation                    Current and two previous
                                                   versions
Appraisal template forms                           Current                      Supersedure
Course bookings and attendance records             70 years                     From date of booking
Course materials                                   3 academic years             From date course run
List of marks (and where appropriate, awards and   70 years                     From year of creation
classifications) from training courses
E-learning grants / Professional Development Fund 6 financial years             From financial year of payment
records




   Version 01.4
                                                                                                                                                                    Page 34
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 35
   Last updated: July 2012                                               QMUL RECORDS RETENTION SCHEDULE




Course programme list
- master                                              Current
- annual                                              1 academic year              From academic year of creation
Awards and prizes
- financial records                                   6 financial years
- lists of winners (A)                                70 years                     From date of award                                       Transfer to Archives
- supporting documents                                5 academic years
Team meetings papers                                  5 academic years             From date of meeting
Projects                                              5 years                      From date project ends
PGCAP / CILT handbooks                                6 academic years             From date handbook issued
Publicity materials                                   1 academic year              From academic year of creation


IV. External Relations & Knowledge Transfer
IV.(i) Corporate Affairs
Records Series                         Retention Period                            Trigger                                                  Responsibility/Comments


Alumni & Events
Alumni relations strategy (A)                         5 years                      From date superseded                                     Transfer to Archives
Alumni relations Policy (A)                           5 years                      From date superseded                                     Transfer to Archives
Procedures                                            3 years                      From date superseded
Alumni personal data                                  Current                      Supersedure/death?
Alumni statistics (anonymous data) (A)                5 years                      From year of creation                                    Transfer to Archives
Alumni profiles                                       3 years                      From year of creation
Fundraising activities                                5 years                      From date of last action on campaign
Requests for financial and other support from         1 year                       From date of last action on request
alumni organisations
Financial and other support to alumni organisations   1 financial year             From financial year in which the record was created or
                                                                                   received or to which it relates
Requests for contact details and other enquiries      1 year                       From date of last action on request

Alumni events organisation records                    1 year                       From date of event
Alumni events planning and impact records             3 years                      From date of event
Complaints handling                                   3 years                      From date case closed / last action
Unsolicited feedback                                  3 years                      From date of last action on feedback
Records of design and conduct of surveys              3 years                      From date survey completed
Surveys: individual responses                         Do not retain                Completion of analysis
Surveys: summaries and analysis (A)                   3 years                      From date survey completed                               Transfer to Archives
Other communications to alumni                        3 years                      From date of issue
Direct debit / standing order instructions            6 financial years            From date instruction is terminated
Gift agreement forms                                  6 years                      From date agreement terminated
Publications (newsletter, QUAD) (A)                   6 academic years             From academic year to which publication relates          Transfer to Archives




   Version 01.4
                                                                                                                                                                   Page 36
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 37
    Last updated: July 2012                                                QMUL RECORDS RETENTION SCHEDULE




International Office
Student files - Study Abroad (unsuccessful           3 academic years                From academic year application was made
applicants)
Student files - Study Abroad (successful applicants) 6 academic years                From academic year the student leaves QM

Student Recruitment:                                Current and previous             Supersedure
- records of design and organisation of recruitment
campaigns/events and results/retention data

Contracts with agents                                  12 years                      From termination of contract
Agent details                                          2 years                       From date of last contact
Marketing plans                                        Current                       Activity in the market
Office country plans                                   15 years                      From year of creation
Visit reports                                          10 years                      From date of visit OR from date superseded
Intra-institutional records                            10 years                      From year of creation
Events records                                         1 year                        From date of event
Commission invoices                                    2 financial years             From financial year in which the transaction took place or to
                                                                                     which it relates
Scholarships information                               4 academic years              From academic year of activity or to which it relates
Tuition fees information                               4 academic years              From academic year of activity or to which it relates
Application statistics                                 5 academic years              From academic year of activity or to which it relates
Communications
Communications strategy (A)                            10 years                      From date superseded                                            Transfer to Archives
Communications Policy (A)                              5 years                       From date superseded                                            Transfer to Archives
Strategy and policy working papers                     5 years                       From date strategy / policy issued
Transcripts of media briefings                         3 years                       From date of briefing
Records documenting the planning and                   1 year                        From date of interview
organisation of media interviews
Transcripts of media interviews                        3 years                       From date of interview
Press releases                                         10 years                      From date of creation
Media enquiries, their handling and responses          10 years                      From date of last action on enquiry

Records documenting the monitoring and analysis        5 years                       From date of creation                                           Review by Archivist
of media coverage of the institution including press
cuttings (A)
Records of design and conduct of surveys               3 years                       From date survey completed
Surveys: individual responses                          Do not retain                 Completion of analysis
Surveys: summaries and analysis (A)                    3 years                       From date survey completed                                      Review by Archivist
Publications (A)                                       2 years                       From year of creation                                           Review by Archivist
Creative Services
Projects list                                          10 academic years             From academic year of activity or to which the record relates




   Version 01.4
                                                                                                                                                                            Page 38
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 39
   Last updated: July 2012                                              QMUL RECORDS RETENTION SCHEDULE




Job Records files (excluding prospectuses)          5 academic years              From academic year of activity or to which the record relates
Job Records for prospectuses                        3 academic years
Electronic versions of Job Records                  10 academic years             From academic year of activity or to which the record relates

Education Liaison & Access
Records of design and organisation of recruitment   Current and previous          Supersedure
campaigns/events, school visits and
results/retention data
Enquiries from prospective students (inc. campus    1 academic year               From academic year in which the event took place or to which
tours)                                                                            the record relates
Prospectus requests                                 1 academic year               From academic year in which the request was made or to
                                                                                  which the record relates
Details of student / tutor mentors                  Current
CRB checks (disclosure forms)                       See under Human Resources
Publications (A)                                    Current                       Revision                                                        Transfer to Archives
Annual recruitment plan (A)                         Current and previous          Supersedure                                                     Transfer to Archives
Language & Learning
Student records                                     1 academic year               From academic year student's relationship with QM ceases        Only those which are not held in
                                                                                                                                                  Registry
Student marks data                                  15 academic years             From academic year of creation                                  Only those which are not held in
                                                                                                                                                  Registry
Attendance records                                  6 academic years              From academic year of creation                                  Only those which are not held in
                                                                                                                                                  Registry
Timetabling                                         1 academic year               From academic year in which the event took place or to which
                                                                                  the record relates
Invoices and budget folders                         2 financial years             From financial year in which the transaction took place or to
                                                                                  which it relates
Budget statements                                   6 financial years             From financial year in which the transaction took place or to
                                                                                  which it relates
Exam scripts / coursework                           1 academic year               From academic year of creation
Course evaluation records                           5 academic years              From date review completed
Final versions of course materials                  Life of course                Supersedure
Handbooks (A)                                       Current and previous          Supersedure                                                   Transfer to Archives
IV.(ii) Queen Mary Innovation Ltd.
Records Series                                      Retention Period              Trigger                                                         Responsibility/Comments


Company and partnership formation records (A)       10 years                      From end of life of company                                     Transfer to Archives




   Version 01.4
                                                                                                                                                                                Page 40
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 41
   Last updated: July 2012                                                QMUL RECORDS RETENTION SCHEDULE




Company annual report and accounts including tax 6 financial years                           From financial year in which the transaction took place or to   Transfer to Archives
returns and Companies House documentation (A)                                                which it relates

Register of interests / record of interests (A)         6 years                              From termination of appointment                                 Transfer to Archives
Board meeting minutes (A)                               Life of company                                                                                      Transfer to Archives
Board meeting papers                                    6 years                              From date of meeting
Reports of audits or performance against plans,         5 years                              From year of creation
budgets and procedures
Records documenting the management of                   6 years                              From date of termination of partnership/arrangement
partnerships
Technical disclosure forms                              3 years                              From termination of commercial opportunity
Contracts
- under seal (by deed)                                  12 years                             From date of termination
- other contracts and agreements                        6 years
IPR management / exploitation policy and strategy       Current                              Supersedure

IPR protection
- patents                                               10 years                             From end of life of patent
- other forms                                           6 years                              From end of registration
- applications / renewal documentation                  Life of patent/end of registration

Records documenting identified infringements of         6 years                              From date of last action or last entry on file
the institution's IPR, and action taken other than
litigation
Records documenting the winding-up of spin-outs         6 years                              From date of last action                                        Transfer to Archives
or the disposal of the institution's interest in such
(A)


V. Corporate Management
V.(i) Governance
Records Series                                          Retention Period                     Trigger                                                         Responsibility/Comments


Principal’s Office
Correspondence
- routine                                               3 academic years                     From academic year of creation
- non-routine                                           10 academic years
Day files                                               2 academic years                     From academic year of creation
Publications and reference materials                    2 academic years                     From academic year of creation
QM strategic plans (A)                                  10 academic years                    From date superseded                                            Transfer to Archives
Council Secretariat




   Version 01.4
                                                                                                                                                                                    Page 42
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 43
   Last updated: July 2012                                                QMUL RECORDS RETENTION SCHEDULE




Records documenting the establishment and               Permanent                                                                                   Kept permanently in Council Secretariat
development of QM's legal framework                                                                                                                 department
Charters, (Statutes) and Ordinances and working         Permanent                                                                                   Kept permanently in Council Secretariat
records relating to any changes made                                                                                                                department
Register of seals                                       Permanent                                                                                   Kept permanently in Council Secretariat
                                                                                                                                                    department
Council and Senate agendas, minutes, supporting         10 academic years           From academic year of creation                                  Master set to be sent to The Archives
papers (A)                                                                                                                                          on creation or after 10 years. Reference
                                                                                                                                                    set copies need not be retained beyond
                                                                                                                                                    local requirements
Other committee and sub-committee agendas,              10 academic years           From academic year of creation                                  Transfer to Archives
minutes, supporting papers (A)
Any other non-statutory committees (such as             5 academic years            From when committee is dissolved
temporary ones) agendas, minutes, supporting
papers
Terms of reference and membership records (A)           10 academic years           From academic year of creation                                  Transfer to Archives

Committee meeting administration records                1 academic year             From academic year of creation
Nomination, appointment and election of committee       6 years                     From termination of appointment                                 Transfer to Archives
members (A)
Elections administration records                        Until next election
Register of interests of members of the institution's   6 years                     From termination of appointment                                 Transfer to Archives
governing body (A)
Records documenting the development and                 6 years                     From when committee is dissolved
establishment of the terms of reference, and the
rules and procedures, for a committee
Records of training and development of Council          3 academic years            From academic year of creation
members
Chairman's actions (A)                                  10 academic years           From date of action                                             Transfer to Archives
Members of governing body's (trustees) expenses         6 financial years           From financial year in which the transaction took place or to
                                                                                    which it relates
Information relating to QM's charitable status (A)      Current                     Supersedure                                                     Review by Archivist

Quality Assurance
QA Handbook (strategy, procedures) (A)                  5 academic years            From date superseded                                            Transfer to Archives
External Examiner reports                               6 academic years            From academic year to which report relates
External Examiner nominations and appointments          5 academic years            From date of appointment

External Examiner fees and expenses                     1 academic year             From academic year in which last payment made
External Examiner personal details                      1 academic year             From academic year in which appointment terminated
External Examiner database                              9 academic years            From academic year in which appointment terminated
Annual programme monitoring                             10 academic years           From academic year to which report relates




   Version 01.4
                                                                                                                                                                                   Page 44
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 45
   Last updated: July 2012                                               QMUL RECORDS RETENTION SCHEDULE




Quality audits (A)                                       6 academic years                From completion of audit                                  Transfer to Archives
Programme and module specifications (A)                  10 academic years               From academic year of creation                            Transfer to Archives
Programme and module approval / amendment /              10 academic years               From academic year of creation                            Transfer to Archives
withdrawal records (A)
Sexennial internal review records                        Current and previous            New review
Academic regulations (A)                                 30 academic years               From academic year to which regulations relate            Transfer to Archives
Staff-student liaison committee records (A)              6 academic years                From academic year in which meeting took place            Transfer to Archives
Student casework
- records of disciplinary proceedings                    6 years                         From date of last action
- complaints                                             6 years                         From date of last action
- non-academic appeals                                   6 years                         From date of last action
- academic appeals (and assessment offences)             See under Assessments above

Accreditation to relevant bodies                         1 year                          From termination of accreditation                         Department
Memoranda of Understanding with partner                  TBC
institutions
V.(ii) Health & Safety
Records Series                                           Retention Period                Trigger                                                   Responsibility/Comments


H&S Policy (A)                                           50 years                        From date superseded                                      Transfer to Archives
Procedures                                               50 years                        From date superseded
Forms database                                           Current version
Annual reports to H&S Committee                          See under Council Secretariat                                                             Council Secretariat. Retain local copies
                                                                                                                                                   2 years from creation except GM and
                                                                                                                                                   Radiation sub-committees = 10 years

Sub-committee meeting papers                                                                                                                      A master set of meeting papers should
- GM Safety and Radiation Safety                         10 years                        From date of meeting                                     be held and any duplicates held by
- other sub-committees                                   2 years                                                                                  individuals should be disposed of
                                                                                                                                                  regularly
Training course materials                                5 years                         From date course given OR from date superseded whichever Trainer
                                                                                         is sooner
Training course attendance records                       5 years                         From date of course
First aider training records                             3 years                         From date of course
Fire marshal training records                            2 years                         From date of course
                                                         Current                         Supersedure
List of individuals in departments with basic training
Records documenting job-specific statutory /             See under Human Resources -
regulatory training                                      Administration & Management
E-learning course reports                                3 years                         From date of report
Eye care test statistics                                 Current and previous            Supersedure




   Version 01.4
                                                                                                                                                                                  Page 46
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 47
   Last updated: July 2012                                                QMUL RECORDS RETENTION SCHEDULE




Complaints                                                5 years                         From date case closed / last action
H&S Audits                                                                                                                                                 Level 1 in dept.
- level 1: self-inspection                                2 years                                                                                          Level 2 Cheryl Mason (SMD), Zara
- level 2: inspections by H&S dept.                       3 years                         From date of audit                                               Laing (non-SMD)
- level 3: HASMAP audits (A)                              5 years                                                                                          Level 3 Zara Laing
GM / biological agents exposure records:
- low risk                                                10 years                        From date of last exposure
- high risk                                               40 years
Asbestos register and other records                       40 years (TBC)                  From year of creation
Asbestos risk assessments and plans of work               Duration of work at premises
Radiation exposure records                                50 years OR DoB + 75 years      50 years from date of incident OR until the individual reaches
                                                                                          (or would have reached, if deceased) 75 years old, whichever
                                                                                          is the later
Radiation records for IRR 1999, EPR 2010 & RSA            100 years                       From year of creation
1993 (Iso-Stock database)
Disposal of small quantities and/or disposals of          4 years                         From date of disposal
radioactivities of low radiotoxicity or short half life

Long lived radionuclides to drain, low level waste to     Until notified by Environment   From date of disposal
landfill and sealed source disposals                      Agency
Waste chemical records                                    3 years                         From date of removal
Fire inspection register                                  3 years                         From date of inspection
Fire incidents records by building                        2 years                         From date of incident
Evacuation drill records                                  2 years                         From date of drill
Emergency procedures                                      Current                         Supersedure
Personal evacuation plans                                 Current                         Supersedure
Records of fire assembly points                           Current                         Supersedure
Technical notes (installation / management of fire        5 years                         From date of installation, but reviewed when requires
alarms)                                                                                   updating
Maintenance / servicing records                                                                                                                            Fire Safety Officer/Estates
- fire equipment                                          2 years                         From date of service                                             HoDs
- pressure vessels                                        Life of equipment                                                                                HoDs
- local exhaust ventilation equipment                     1 year                          From date of decommissioning / disposal
Electrical testing records                                                                                                                                 Electrical Maintenance Manager
- building fixed wiring                                   Current                         Supersedure
- Estates portable appliances (PAT)                       5 years                         From date of test
Accident and incident reports database                    3 years                         From date of last entry or incident
Investigations in to accidents and incidents              40 years                        From date investigation concluded
Noise exposure assessments                                Current                         When superseded by next assessment
GM research database                                      10 years                        From date project ends
ATSCA 2001 Schedule 5 inspections (record of              6 years                         From date of cessation of work
pathogens and toxins)
Permits to work                                           3 years                         From date permit issued                                          Estates, projects, departments




   Version 01.4
                                                                                                                                                                                            Page 48
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 49
   Last updated: July 2012                                            QMUL RECORDS RETENTION SCHEDULE




Inspection records (facilities, appliances, land etc.) 1 year                      From date superseded

Maintenance records                                   See under Estates
Annual visits to Heads of Departments
- record of visit                                     Current                      Keep notes until superseded and actions completed
- notes / actions
Risk Assessments                                                                                                                          Biological Safety Adviser
- notifiable GM / biological agents                   10 years                     From when activity ceases OR from when superseded by   Fire Safety Officers
- fire                                                5 years                      next assessment                                        HoDs
- other departmental assessments                      5 years
Records of tests of control systems and safety        5 years                      From date test was carried out
equipment related to asbestos, lead and radiation

Records of tests of control systems and safety
equipment under COSHH Regulations 2002:
- standard                                            5 years                      From date test was carried out                         HoD/researcher
- high risk (bio. agents etc.)                        40 years

V.(iii) Corporate and Strategic
Records Series                                        Retention Period             Trigger                                                Responsibility/Comments


Copies of prospectuses and other publications         Current                      Supersedure                                            A master copy will be retained by The
                                                                                                                                          Archives
Standard operating procedures (SOP)                   3 academic years             From date superseded
Contracts
- under seal (by deed)                                12 years                     From date of termination
- other contracts and agreements                      6 years
Records documenting the planning and conduct of       5 academic years             From date audit completed
audits
Records documenting the designation of staff to       Duration of representation
represent the institution externally
Records documenting the formulation, testing and      1 year                       From date superseded
maintenance of disaster response and recovery
plans
Records documenting identified risks to the           1 year                       From date superseded
institution and assessments of those risks




   Version 01.4
                                                                                                                                                                        Page 50
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 51
   Last updated: July 2012                                         QMUL RECORDS RETENTION SCHEDULE




Legal advice concerning e.g.:                       Permanent
- interpretation of legislation affecting the
institution's legal framework, governance,
responsibilities or operations
- proposals for new legislation affecting the
institution's legal framework, governance,
responsibilities or operations
- the institution's relationships with government
bodies and HE regulators
- industrial relations issues
- health, safety and environmental issues
Legal advice concerning other matters               5 years                      From date superseded
Records documenting litigation with third parties   Permanent
where legal precedents are set
Records documenting litigation with third parties   6 years                      From date case closed / last action
where legal precedents are not set
Public Interest Disclosure (whistleblowing) cases   6 years                      From date case closed / last action

Periodic reviews of related companies               5 years                      From year of creation
HESA returns (A)                                    See above under Finance                                                                   Transfer to Archives
Planning records of formulating plans for           10 academic years            From date superseded                                         Transfer to Archives
implementing strategy (A)
Nomination and selection of candidates for          Permanent                                                                                 Transfer to Archives
honorary awards (A)


VI. Occupational Health
Records Series                                      Retention Period             Trigger                                                      Responsibility/Comments


Pre-employment health screening records (non-
hazardous posts):
- questionnaires of individuals who did not
commence work /study                                1 year                       From date of receipt of questionnaire
- incoming student elective questionnaires          1 year                       From date elective completed
- questionnaires of others                          3 years
- questionnaires which include other tests /                                     From date individual leaves QM (3/6 yrs)
information (but NOT COSHH)                         6 years
Medical records (hazardous posts: COSHH,            40 years                     From date of last entry
CAWR, CLW)
Medical records under IRR 1999                      50 years OR DoB + 75 years   50 years from date of assessment OR until the individual
                                                                                 reaches (or would have reached, if deceased) 75 years old,
                                                                                 whichever is the later




   Version 01.4
                                                                                                                                                                     Page 52
Last updated: July 2012   QMUL RECORDS RETENTION SCHEDULE




Version 01.4
                                                            Page 53
   Last updated: July 2012                                            QMUL RECORDS RETENTION SCHEDULE




Medical records relating to risk assessments or   40 years                      From date of last entry
incidents occurring at work
Medical records of employees whose termination is 3 years                       From date employee leaves QM
health-related
OH referrals and reports


VII. Retention Periods for the Most Common Types of Records
NB: remember also to check the Routine Destruction worksheet
Records Series                                        Retention Period          Trigger                                                  Responsibility/Comments


Departmental team meeting records                     5 academic years          From date of meeting
Delivery notes                                        2 financial years         From financial year in which good/service received
Diaries (work / office)                               1 year                    From year of creation
Financial records (master copies): to include goods   6 financial years         From financial year in which the record was created or
received notes, invoices, receipts etc.                                         received or to which it relates
FOI / subject access requests correspondence          3 years                   From year of creation
Job advertisements                                    1 year                    From year of creation
Job applications (unsuccessful)                       6 months                  From month of appointment to post
HR records                                            6 years                   From year employee leaves QM
Project team files (summary retained)                 3 years                   From date project ends
Tenders (un/successful)                               6 years                   From date tender awarded




   Version 01.4
                                                                                                                                                              Page 54
                                                             QMUL RRS



Data from the following fields will be maintained in the
long-term to form the Core Student Record:


Name
Date of Birth
Student ID
Course(s)
Modules taken in each year
(Re-)Assessment marks for each module taken
Fitness to Practise (for Law and Medical students)
Summary of special or mitigating circumstances
Number of credits gained
Degree award & class
Date of Graduation
Any extra information required by professional/accrediting
bodies about performance
Transcript or any info. required for this
Ethnicity
Nationality
Sex
Disability
Start and completion dates
First and final addresses
A-level results
Prizes/distinctions
First destination



All other personal data forming part of the student record
should be destroyed as per the Retention Period stated on
the Records Retention Schedule


Hard-copy file:
UCAS form
Module selection
Qualifications
Offer letter
Change of name evidence
Disciplinary information
De-registration information
Other corres (change of circumstances)
 Last updated: July 2010                                                                                                                 QMUL RRS




                                              Records which may be routinely destroyed

Ephemeral material should be disposed of on a routine basis. As a rule, the following types of records have no significant
operational, informational or evidential value. They can therefore be destroyed as soon as they have served their primary
purpose UNLESS they are relevant to a current request for information or current litigation.
Examples:
Announcements and notices of meetings and other events, and notifications of acceptance or apologies
Requests for stock information such as maps and travel directions, brochures etc.
Requests for, and confirmations of, reservations for internal services (e.g. meeting rooms, car parking spaces, pool cars) where no
internal charges are made
Requests for, and confirmations of, reservations with third parties (e.g. travel, hotel accommodation, restaurants) when invoices have
been received
Transmission documents: letters, fax cover sheets, e-mail messages, routing slips, compliments slips and similar items which
accompany documents but do not add any value to them
Message slips
Superseded address lists, distribution lists etc.
Duplicate documents such as:
           ~ ‘CC’ and ‘FYI’ copies
           ~ Unaltered drafts
           ~ Meeting minutes and papers
           ~ ‘Snapshot’ printouts or extracts from databases
           ~ ‘Day Files’ (chronological copies of correspondence)
Personal diaries, address books etc.
Working papers, where the results have been written into an official document and which are not required to support it
Non-business e-mails, e.g. lunch arrangements
Stocks of in-house publications which are obsolete, superseded or otherwise useless e.g. magazines, marketing materials,
prospectuses, catalogues, manuals, directories, forms, and other material produced for wide distribution
Published or reference materials received from other parts of the institution or from vendors or other external organisations which
require no action and are not needed for ‘record’ purposes, e.g. trade magazines, vendor catalogues, flyers, newsletters, journals,
superseded policies, strategies and other publications

See JISC's guidance for further information

				
DOCUMENT INFO
Shared By:
Categories:
Tags:
Stats:
views:9
posted:8/29/2012
language:Unknown
pages:56