Student Records Retention Schedule

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					                                 Student Records Retention Schedule

Introduction
A Records Retention Schedule is a control document that sets out the periods for which an organisation's business records should
be retained to meet its operational needs and to comply with legal and other requirements.

A Records Retention Schedule is an essential component of an efficient and effective records management system. A properly
implemented and consistently applied Record Retention Schedule protects the interests of the organisation and its stakeholders by
ensuring business records are kept for as long as they are needed to meet operational needs and to comply with legal
requirements, and are then disposed of securely.

The Records Retention Schedule consists of the following:

Description of Records
For each business activity, the schedule lists common groups of records which relate to individual sub activities or processes.

Retention Period
Statutory retention periods are the stipulated time period that a document is retained until it is securely disposed of. Retention
periods are set by legislation and business best practice.




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Citation
Citations are given for key Acts of Parliament, Statutory Instruments and regulations which are relevant to determining retention
periods for the groups of records concerned.

The schedule is based on the JISC study Lifecycle of a Record, which includes a generic retention schedule for Higher Education
institutions.

Abbreviations
Enclosed below is a list of abbreviated terms used in the Retention Schedule:

      CAY Current Academic Year

      CFY Current Financial Year

      CTY Current Tax Year

      D Destroy

      P Retain Permanently

      R Review for Archival value

      JISC Joint Information Systems Committee

How does it Work?
The Retention schedule works by imposing a set of trigger points at which a decision is made. The trigger points are set by
legislative and business requirements which determine how long a record can be maintained. A trigger point can be activated when
a record is created for a purpose where the retention period is set out by legislation and is required to be maintained for a specified
period of time. Or a trigger point can be activated once a record is used less frequently in the office and therefore requires transfer




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to off-site storage. At any point where a decision is required on the maintenance of a record then a trigger point is activated and this
will result in either the records permanent preservation or its secure destruction.




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1. Student Administration and Support

1.1 Student Admission and Enrolment

Activities      The activities involved in admitting students to the University of Westminster; activities include:

                       Determining and applying admissions criteria

                       Handling applications for admission

                       Administering the clearing process

                       Managing overall student numbers

                       Confirming payment of fees




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Record          Records Type            Created/        Retention         On     Off    Action    Citation      Notes
Description                             Retained by     Period            Site   Site

Admission     Application Forms                         Completion of       +1    +5      D       Data
and Enrolment                                           study/ end of                             Protection
              Successful                                relationship                              Act 1998
              applicants:                               with University
                                                        +6 years                                  Limitation
                       To include P/T                                                             Act 1980
                       courses
                                                                                                  JISC 3.7
                       To include
                       UCAS forms

                Unsuccessful                            CAY +1              +1     -      D       Data
                applicants                                                                        Protection
                                                                                                  Act 1998
                      Hardcopy
                                                                                                  JISC 3.7

                      Electronic        SRS             5 years             +5     -      D                     To identify
                                                                                                                fraudulent
                                                                                                                applications
                Enrolment Forms         Undergraduate   Completion of       +1    +5      D       Data
                                        and             study/ end of                             Protection
                                        Postgraduate    relationship                              Act 1998
                                        Office          with University
                                                        +6 years                                  Limitation
                                                                                                  Act 1980




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Record          Records Type              Created/      Retention       On Site   Off    Action    Citation      Notes
Description                               Retained by   Period                    Site

                Assessment of                           Completion        +1       +5      D       Data
                external qualifications                 of study/ end                              Protection
                (APL and APEL)                          of                                         Act 1998
                                                        relationship
                                                        with                                       Limitation
                                                        University +6                              Act 1980
                                                        years

                Records Supporting                      1 year            +1        -      D       Data          Sensitive
                applications for                                                                   Protection    Personal
                admission                                                                          Act 1998      Data

                    Health checks                                                                  JISC 3.7


                Criminal Record                         +6 months        +6         -      D       Data          Sensitive
                                                                        months                     Protection    Personal
                    Checking process                                                               Act 1998      Data
                                                                                                   CRB
                                                                                                   Guidance
                    Outcomes




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Record          Records Type             Created/          Retention         On     Off    Action    Citation      Notes
Description                              Retained by       Period            Site   Site

Maintenance     Hardcopy Student         Created,          Completion of       +1    +5      D       Data          Student file
of individual   records to consist of    amended and       study/ end of                             Protection    to become
student         core student             Maintained:       relationship                              Act 1998      main student
records         information:             Admissions &      with University                                         record
(Hardcopy)                               Marketing,        +6 years                                  Limitation
                       Full Student      Undergraduate                                               Act 1980
                       Module profile    & Postgraduate    Where this
                                         Offices,          cannot be                                 JISC 3.10
                       Transcript data   students          determined
                                                           Current Year
                       Pass list data    (And other        +11
                       by module         units
                       (Subject Board)   responsible for
                       and award         administering
                       (Conferment       students – e.g.
                       Board)            International
                                         Office)
                See recommendations
                in Student Records
                Guidelines




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Maintenance     Electronic student      Created,         Permanent-        P   -   P    Data          Student
of individual   records as maintained   amended and      Full Student                   Protection    Module
student         on SRS 21 to consist    Maintained:      Module Profile                 Act 1998      Profile, Final
records         of core student         Admissions &     (internal                                    Transcript
(SRS)           information:            Marketing,       transcript                     Freedom of    and Pass List
                                        Undergraduate    data), External                Information   Data to be
                      Personal          & Postgraduate   Transcript                     Act 2000      permanently
                      Details           Offices,         Data; Pass                                   preserved –
                                        students         List Data by                   JISC 3.10     University
                      Full Student                       module                                       duty to
                      Module profile  (And other         (Subject                                     provide proof
                                      units              Board) and                                   of
                      Transcript data responsible for    award                                        qualifications
                                      administering      (Conferment                                  and required
                      Pass list data  students – e.g.    Board)                                       under the
                      by module       International                                                   QAA
                      (Subject Board) Office)            Destroy after 1                              guidelines on
                      and award                          year details of                              Progress
                      (Conferment                        applicants                                   Files.
                      Board)                             never enrolled

                See recommendations                      Destroy +6
                in Student Records                       years / end of
                Guidelines                               relationship
                                                         with University
                                                         Details of
                                                         inquiry and
                                                         application
                                                         enrolled
                                                         students



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Record          Records Type              Created/      Retention         On     Off    Action    Citation      Notes
Description                               Retained by   Period            Site   Site

Withdrawn       Records Documenting                     End of              +1    +5      D       Limitation
Students        the withdrawal of                       relationship                              Act 1980
                individual students                     with University
                from the Institution                    +6 years                                  JISC 3.11

                       Includes
                       withdrawal
                       letters, faxes
                       and emails

Student         Payment of fees and                     CFY +6              +1    +5      D       Limitation    See also
financial       other financial matters                                                           Act 1980      guidelines in
details         including:                                                                                      Financial
                                                                                                  Data          Accounting
                       Fee payment                                                                Protection
                                                                                                  Act 1998
                       Student loan

                Student bank account                    Until               -      -      D       Data
                information                             information                               Protection
                                                        used                                      Act 1998




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1. Student Administration and Support
1.2 Complaints and Disciplinary Procedures

Activities        The activities involved in conducting disciplinary proceedings against students for breaches of the institutions
                  academic regulations activities include:

                        Investigating allegations

                        Informing students of disciplinary decisions and imposing penalties

                        Considering appeals by students against disciplinary decisions or penalties imposed


Record            Records Type            Created/         Retention         On       Off     Action    Citation       Notes
Description                               Retained by      Period            Site     Site

Complaints and    Assessment              Stage 1 and 2    Completion of       +1       +5       D      Data           Files contain
Disciplinary      Offences                Campus           study/ end of                                Protection     sensitive
procedures                                Academic         relationship                                 Act 1998       personal
                                          Quality          with University                                             data
                                          Managers         +6 years                                     Limitation
                                                                                                        Act 1980
                                          Stage 3
                                          Academic
                                          Registrar’s
                                          Department




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                  Student complaints                   Completion of     +1   +5   D    Data          Files contain
                  where formal                         study/ end of                    Protection    sensitive
                  procedures are                       relationship                     Act 1998      personal
                  initiated:                           with University                                data
                                                       +6 years                         Limitation
                        Complaints                                                      Act 1980
                        files
                                                                                        JISC 3.14

                        Mitigating      Campus         Completion of     +1   +5   D    Data          Files contain
                        circumstances   Undergraduat   study/ end of                    Protection    sensitive
                        forms           e or           relationship                     Act 1998      personal
                                        Postgraduate   with University                                data
                                        Office         +6 years                         Limitation
                                                                                        Act 1980

                  Student complaints                   Completion of     +1   +5   D    JISC 3.14     Files contain
                  where formal                         study/ end of                                  sensitive
                  procedures are not                   relationship                                   personal
                  initiated:                           with University                                data
                                                       +6 years
                        Complaints
                        files




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Record            Records Type           Created/      Retention         On     Off    Action    Citation      Notes
Description                              Retained by   Period            Site   Site

Mitigating        Records                              Completion of       +1    +5      D       Data          Files contain
Circumstances     documenting the                      study/ end of                             Protection    sensitive
                  handling and results                 relationship                              Act 1998      personal
                  of academic appeals                  with University                                         data
                  by individual                        +6 years                                  Limitation
                  students:                                                                      Act 1980      Both
                                                                                                               electronic
                        Appeals files                                                            JISC 3.13     and
                                                                                                               hardcopies
                                                                                                               must be
                                                                                                               destroyed +6
                                                                                                               years after
                                                                                                               completion of
                                                                                                               study/ end of
                                                                                                               relationship
                                                                                                               with
                                                                                                               University




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2. Assessment

2.1 Assessment Administration

Activities        The activities involved in administering the conduct of assessments.

                  Assessments include examinations, tests and assessed work (e.g. dissertations, theses, work placement
                  reports) for both taught and research programmes.


Record          Records Type             Created/           Retention      On       Off      Action    Citation      Notes
Description                              Retained by        Period         Site     Site

Coursework             Coursework        Students/          CAY +1           +1          -     D       JISC 3.15     After
                                         Campus                                                                      allocation of
                                         Registry                                                                    marks
                                                                                                                     coursework
                                                                                                                     should be
                                                                                                                     returned to
                                                                                                                     students

                                                                                                                     Sample of
                                                                                                                     coursework
                                                                                                                     should be
                                                                                                                     maintained
                                                                                                                     for QAA audit
                                                                                                                     purposes




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Record          Records Type           Created/        Retention   On     Off    Action    Citation      Notes
Description                            Retained by     Period      Site   Site

                      Raw marks for                    CAY +1        +1     -      D       Data
                      coursework                                                           Protection
                                                                                           Act 1998

                                                                                           Limitation
                                                                                           Act 1980

                      CA1 Forms                        CAY +1        +1     -      D
                      (coursework
                      cover sheets)

Examinations    Marking of                             CAY+6         +1    +5      D       JISC 3.16
                Examinations

                      Examination
                      Scripts/
                      Assignments

                      Examiners’                                     +1    +5      D       JISC 3.16     Examiners
                      notes                                                                              notes can be
                                                                                                         requested
                                                                                                         under the
                                                                                                         Freedom of
                                                                                                         Information
                                                                                                         Act 2000




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Record          Records Type              Created/      Retention   On     Off    Action    Citation      Notes
Description                               Retained by   Period      Site   Site

                       Examiners’                       CAY +6        +1    +5      D       JISC 3.16
                       reports

                Exam attendance                         CAY +1        +1     -      D       Data          For audit
                records and incident                                                        Protection    and/or
                forms                                                                       Act 1998      complaint
                                                                                                          purposes
                                                                                            JISC 3.16

                Examination                             CAY +1        +1     -      D       JISC 3.16
                Timetables

                Records documenting                     CAY +1        +1     -      D       JISC 3.16
                general exam
                correspondence with
                students

                Records documenting                     CAY +1        +1     -      D       Data          Sensitive
                the organisation of                                                         Protection    Personal
                examination facilities,                                                     Act 1998      Data
                including special
                arrangements for                                                            JISC 3.16
                students with special
                needs.




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Record          Records Type           Created/        Retention   On     Off    Action    Citation      Notes
Description                            Retained by     Period      Site   Site

Awarding of     Examination Board      Undergraduate   P             -      P      P                     To be
Marks           Files                  and                                                               retained
                                       Postgraduate                                                      permanently
                      Conferment       Office
                      Board

                      Subject Board    Undergraduate   P             -      P      P                     To be
                                       and                                                               retained
                                       Postgraduate                                                      permanently
                                       Office




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