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_DRAFT_ RECORDS RETENTION SCHEDULE

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					                          ROEHAMPTON UNIVERSITY

                                       SENATE

               STRATEGIC INFORMATION & IT COMMITTEE

               RECORDS RETENTION SCHEDULE (Version one, July 2005)

Introduction

What is a Records Retention Schedule?

A Records Retention Schedule (RRS) 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. Retentions are based on legal
citations, professional advice and consultation across the University.

Why is a Records Retention Schedule necessary?

A RRS is an essential component of an efficient and effective records management
system. Properly developed and consistently implemented, a RRS protects the
interests of the organisation and its stakeholders by ensuring that 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.

Scope of the Roehampton University Records Retention Schedule?

The University’s RRS provides a statement as to the retention of key, selected
Corporate, University Records, following a records survey of 6 departments. Version
one of the RRS relates to records managed by the following departments: Finance,
Registry, Research, Human Resources and the Academic Secretariat. As such, it is not
a complete representation of records managed across the University.

What does it contain?

1. Record Series Title
2. Description of record: the substantive records in each series
3. Retention period. The identified records series have been compared with the
   JISC Model Records Retention Schedule in order to follow legal and other advice
   on the retention of Roehampton University records. Statutory retention periods are
   indicated by asterisks after the retention period.
4. 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. Those cited should not be regarded as the only ones that
   may be relevant.
5. Notes. Where a group of records is likely to contain some records that should be
   preserved as institutional archives, ‘Review for archival value’ is recommended.
6. Responsible Officer: the member of staff ultimately responsible for the
   management of the identified records.
7. Staff Contact: the staff contact for the records.
How should it be used?

The Schedule applies to all types of records in all media (e.g. paper and electronic
documents, databases, audio-visual materials, scientific materials, artefacts).

The retention periods in the Schedule apply only to designated official copies of the
records concerned. Duplicates can usually be retained for a shorter period.

The retention periods given in the Schedule apply only to substantive records in each
series. Almost all series include working papers and other supporting materials which
can usually be retained for a shorter period. To avoid over-retention, we have
determined which are the substantive records in each series, but as yet have not
established specific retention periods for working papers and other supporting
material.

Some records have no significant operational, informational or evidential value and
can be destroyed as soon as they have served their primary purpose (see appendix).

A functional approach to managing records can result in some legitimate duplication.
Please consult with the Corporate Information Manager for advice. In total, such
duplication will represent a very small proportion of the records held by individual
institutions.

Records which are to be retained as institutional archives will need special attention to
ensure their physical survival.

The aim is to ensure retention and destruction decisions can be explained by
documentation of the appraisal of records. It is essential that the RRS is used in
conjunction with procedures for implementing and auditing the Schedule. With this in
mind, Corporate Information has produced a records management guide, “The
Records Management and Archive Service”, and a Record Transfer From, relating to
the transfer of records to the University Archive.
                                                                   Roehampton University

                                                RECORDS RETENTION SCHEDULE (Version one, July 2005)

1. Financial Management

RECORD           Description                        Retention           Citation                Notes                     Responsible Staff
SERIES                                                                                                                    Officer     Contact
TITLE
Purchase         Supplier invoices, staff and       Current Financial   *Taxes Management Act   * Legally required        Finance     Supervisor
Ledger           student claims; includes           Year + 6 years*     1970                    minimum is Current Tax    Manager     Purchase
                 Cheque payment reports                                                         Year plus 6 years                     Ledger
                                                                                                                                      (Finance)
Invoices         Invoices: charges to companies     Current Financial   *Taxes Management Act   * Legally required        Finance     Supervisor
                 and students; includes banking,    Year + 6 years*     1970                    minimum is Current Tax    Manager     Sales
                 student files, journals and                                                    Year plus 6 years                     Ledger
                 others                                                                                                               (Finance)
General Ledger   Journals, Bank Statements and      Current Financial   *Taxes Management Act   * Legally required        Finance     Financial
                 VAT                                Year + 6 years*     1970                    minimum is Current Tax    Manager     Accountant
                                                                                                Year plus 6 years                     (Finance)
Cashier          Petty Cash, Receipts, claim        Current Financial   Value Added Tax Act     * Legally required        Finance     Cashier
                 forms, banking and Credit          Year + 6 years*     Limitations Act         minimum is Current Tax    Manager     (Finance)
                 cards                                                                          Year plus 6 years
Payroll          Payroll administration;            Current Tax Year    * Taxes Management Act * Legally required         Payroll     Payroll
                 includes Nominal file ledger       + 6 years*          various regulations and minimum is Current Tax    Manager     Manager
                 and Service returns for London                         Limitation Act 1980     Year plus 3 years. JISC   (Finance)   (Finance)
                 Pension Board and Teachers                                                     recommendation is CTY +
                 Pension Providers                                                              6 years
2. Student Records Administration

RECORD          Description                       Retention           Citation                  Notes                         Responsible   Staff
SERIES                                                                                                                        Officer       Contact
TITLE
The Student     Student administration,           Completion or       Limitation Act and Data   Student Record v.1 weeded in Head of        Registry
(Registry)      including Registration Forms,     termination of      Protection Act.           7th year after completion of   Registry     Manager
Record v.1      change of registration details,   relationship + 6                              termination, removing
                correspondence with tutors        years                                         records containing personal
                and student appeals.                                                            data on individual students to
                                                                                                create Student Record v.2
The Student     Records of the academic           Permanent                                                                    Head of      Registry
(Registry)      progression of the student,                                                                                    Registry     Manager
Record v.2      Transcript (modules and
                marks) and Confirmation
                letter.
Examinations    Exam Board Report, Grade-         Current Year + 6                                                            Head of       Registry
                sheets and Invigilation           years                                                                       Registry      Manager
                Reports
Grants and      Financing student learning        Current Year + 6    Limitation Act                                          Head of       Admin'
Loans                                             years                                                                       Registry      Officer
                                                                                                                                            (Grants &
                                                                                                                                            Loans)
Student                                           Last action plus    Limitation Act and                                      Academic      Academic
Complaints                                        3 (informal), and   Data Protection Act                                     Secretary     Secretary
                                                  6 years (formal
                                                  complaint)
Student Debt                                      Termination of      Limitation Act                                        Academic    Deputy
Review Board                                      relationship + 6                                                          Secretary   Academic
                                                  years                                                                                 Secretary
Student Review                                    Termination of      Limitation Act                                        Academic    Academic
Board                                             relationship + 6                                                          Secretary   Secretary
                                                  years
Student                                           Current Year +      N/A                      Review for archival value    Academic    Academic
Services                                          10 years                                                                  Secretary   Secretary
Committee and
Student Support
Policy Group

3. Research (including The Research Student Record)

RECORD            Description                     Retention           Citation                 Notes                        Responsible Staff
SERIES                                                                                                                      Officer     Contact
TITLE
PhD theses        MPhil /PhD theses               Permanent           University Regulations                                Head of     Research
                                                                                                                            Research    Admin’tor
Research          Reference point for external    Retain individual                                                         Head of     Research
Library           research related literature     references until                                                          Research    Admin’tor
                                                  superseded.
The Research      Master student files and        Permanent           Limitations Act          The student records will be    Head of   Research
Student Record    information on supervision                          Data Protection Act      permanent once weeded after Research     Admin’tor
                  and support. To monitor                             University Regulations   6 years. After 6 years we will
                  student progress in                                                          only keep ‘skeleton’ file.
                  accordance with University
                  Regulations until the student
                completes.

Research        Committee papers and            TBC                  Limitations Act                                     Head of    Research
Degrees Board   minutes relating to research                         Data Protection Act                                 Research   Administrat
                student registration,                                                                                               or
                supervision support and
                examination.
Research        Research project                Completion of                              Retention required by grant   Head of    Research
Projects        development, support and        project + 6 years                          awarding body.                Research   Administrat
                management                      or Last Action + 6                                                                  or
                                                years
                Records documenting the         Completion of                              Review for archival value
                design of research projects     project + 6 years
                and the preparation of formal
                research project proposals
                which lead to research
                projects.
                Records documenting the         Last action + 6                            Review for archival value
                design of research projects     years
                and preparation of formal
                research project proposals
                which do not lead to research
                projects.
4. Human Resources

RECORD            Description                     Retention           Citation                   Notes                       Responsible   Staff
SERIES                                                                                                                       Officer       Contact
TITLE
Personnel files   Individual personnel files      Termination of      Social Security            Weeding required to         Director of   Principal
                  documenting information         employment + 40     Contributions & Benefits   remove personal             Human         Personnel
                  relevant to every employee,     years               Act 1992;                  information not required    Resources     Officer
                  including applications, pre-                        Statutory Sick Pay         upon termination and one
                  employment health screening,                        Manual for employers       year post termination
                  employee contract, pay,                             CA30;
                  pension and allowances, job                         The Control of Asbestos
                  changes, sickness, changes in                       at Work Regulations
                  terms and conditions.                               2002;
                                                                      The Control of Lead at
                                                                      Work Regulations 2002;
                                                                      The Control of
                                                                      Substances Hazardous to
                                                                      Health Regulations 2002;
                                                                      Limitations Act 1980
Recruitment       Advertising process,            Appointment                                                                Director of   Principal
Panel Record      applications short-listing ,    Committee date +                                                           Human         Personnel
                  interview process               7 months                                                                   Resources     Officer
Joint             Documents committee             Current year + 10   N/A                        Review for Archival value   Director of   Principal
Negotiating       meetings and agreements with    years.                                                                     Human         Personnel
Consultative      trade union representatives                                                                                Resources     Officer
Committees        relating to employment and
                  staffing matters
Staff           Records committee meetings      Current + 5 years   N/A                                        Director of   Principal
Development     relating to Training &                                                                         Human         Personnel
Committee       Development budget and                                                                         Resources     Officer
                plans, University induction and
                other training courses internal
                and external

5. Committees of Council

RECORD          Description                     Retention           Citation       Notes                       Responsible   Staff
SERIES                                                                                                         Officer       Contact
TITLE
Council         Records documenting the         Current Year + 50 JISC Model RRS   Review for Archival value   Clerk to      Personnel
                conduct and proceedings of      years                                                          Council       Admin’tor
                meetings of the institution's
                governing body
Audit           Minutes and papers              Current Year + 10 Limitation Act   Review for archival value   Academic      Academic
Committee                                       years                                                          Secretary     Secretary
Employment      Relating to employment and      Current Year + 10 N/A              Review for Archival value   Director of   Principal
Committee       staffing matters                years                                                          Human         Personnel
                                                                                                               resources     Officer
Estates                                         Current Year + 10 N/A              Review for archival value   Academic      Deputy
Committee                                       years                                                          Secretary     Academic
(formerly                                                                                                                    Secretary
Colleges and
Estates
Committee)
Finance &         Minutes and papers              Current Year + 10                    Review for Archival value   Director of   PA to Dir.
General                                           years                                                            Financial     of Financial
Purposes                                                                                                           Strategy      Strategy
Committee
Nominations                                       Current Year + 10                                                Clerk to      Committee
Committee                                         years                                                            Council       Secretary
Remuneration      Records documenting the          Current Year + 10 N/A               Review for Archival Value   Clerk to      Committee
Committee         development of the institution's years                                                           Council       Secretary
                  senior staff remuneration
                  structure. Senior staff
                  Remuneration and Reward
                  Management. Records
                  documenting pay reviews.
Student                                            Current Year + 10 Limitations Act                               Clerk to      Committee
Disciplinary                                       years                                                           Council       Secretary
Committee
University                                        Current Year + 10                                                Clerk to      Committee
Trustees                                          years                                                            Council       Secretary

6. Committees of Senate

RECORD            Description                     Retention           Citation         Notes                       Responsible Staff
SERIES                                                                                                             Officer     Contact
TITLE
Senate            University Strategy, Planning   Current year + 50   N/A              Review for archival value   Academic      Academic
                  and Resourcing                  years                                                            Secretary     Secretary
Academic          Records academic employees      Date of             N/A                                          Director of   Principal
Promotions        applications for promotion      Committee + 5                                                    Human         Personnel
Board (formerly                                   years                                                            Resources     Officer
Promotions
Committee)
Diversity and   Documents committee            Current Year + 10 N/A               Review for archival value    Deputy        Deputy
Equal           meetings relating to equal     years                                                            Academic      Academic
Opportunities   opportunities and diversity                                                                     Secretary     Secretary
                policy for both students and
                employees
Ethics          Policy                         Current Year + 10                   Review for archival value    Research      Research
Committee                                      years                                                            Administrat   Admin’tor
                Assessment of student                                                                           or
                research projects              TBC
Honorary                                       Current Year + 10 N/A               Review for archival value    Academic
Awards                                         years                                                            Secretary
Research        Committee minutes and papers   TBC               Limitations Act                                Research      Research
Degrees Board   relating to research student                                                                    Administrat   Admin’tor
                registration, supervision                                                                       or
                support and examination
Research        Research Policy and strategy   Current Year + 10                   Review for archival value    Research      Research
Strategy                                       years                                                            Administrat   Admin’tor
Committee                                                                                                       or
Strategic                                      Current Year + 10 N/A               Review for archival value.   Committee     Committee
Information &                                  years                               Formerly Information         Secretary     Secretary
IT Committee                                                                       Strategy Committee
Strategic                                      Current Year + 10 N/A               SPARC has been replaced      Academic      Academic
Planning and                                   years                               by Senate, 2005. Review      Secretary     Secretary
Resources                                                                          for archival value.
Committee
Appendix: Records which may be routinely destroyed

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.

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:
           o ‘CC’ and ‘FYI’ copies
           o Unaltered drafts
           o ‘Snapshot’ printouts or extracts from databases
           o ‘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

•   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.

Contacts for queries: please contact the Corporate Information Manager or Academic Secretary.

Agreed by Senate July 2005
Published: 19th August 2005

				
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