· Web viewThe on-going development and review of the retention schedule is part of the...

Schedule 1

Aston University Document Retention Register

Version Draft 2 (March 2012)

Introduction

The on-going development and review of the retention schedule is part of the commitment to good record keeping under Aston University’s Records Management Policy. It provides consistent guidance on how long records of the organisation should be retained. In some situations the length of time the records are retained may vary due to the specific circumstances relating to the documents concerned, in particular the integrity of records which pre-date this guidance cannot be assured.

In addition to the time periods specified, the Chief Operating Officer will continue to liaise with and advise colleagues in relation to their record keeping requirements. Retention periods have been assigned after consideration of legal requirements, good practice guidance e.g. JISC HEI retention schedule, good practice within the sector and business needs of the University. The Schedule is designed to ensure that information is kept as long as necessary, whilst addressing compliance with the Data Protection Act 1998.

The retention periods within the schedule apply to information in all formats and should be applied consistently regardless of whether the information is held manually or electronically. When storing information in electronic format, only approved applications should be used to ensure long-term accessibility of information. For further advice on applications, or data types for scanned information, please contact ISA Services. Any records containing personal data or confidential information should be disposed of in accordance with the University’s guidance on disposing of confidential waste. [Confidential Waste Disposal Policy] When retention periods for records have expired documents should be reviewed in accordance with this guidance, with a view to disposal. If it is believed that there is justification to retain the data for longer, the COO must be expressly involved in that decision. For further advice or guidance on retention, please contact the COO.

It is advised that staff should refrain from saving listed information that is required to be retained on local hard drives (USB Flash Drives) or personal network drives (Home drives). The rationale being is that if and when the member of staff subsequently leaves the university, it is standard practice for the information to be removed/deleted as per the ISA retention periods in Section 6. It is therefore highly recommended that staff check that the data is retained “within” the appropriate records of the application (e.g. SITS, Agresso) or for other non-application specific files (e.g. Word, Excel)that they are stored on departmental or shared network drives that would not be deleted if a staff member leaves. If in doubt guidance can be sought from ISA.

If any information or communication is received via email that is required to be retained according to this schedule, staff should refrain from saving the information/communication within their personal mailbox. The rationale complies with the ISA retention periods in Section 6 and it is highly recommended that staff to either print the information or save it within a departmental or shared mailbox. For some documents consideration should be given to retaining a printed hard copy as well.


mailto:ISA%20Helpdesk%20([email protected])?subject=ISA%20Query

http://www1.aston.ac.uk/staff/centralprocurement/buying-at-aston/products/?entryid3=56046

http://www1.aston.ac.uk/staff/centralprocurement/buying-at-aston/products/?entryid3=56046

Abbreviations/acronyms used in the schedule

CAY – current academic yearCFY – current financial yearCTY – current tax yearPPCR – post publication of confirmed resultsEOR – end of relationshipLAC – last action on caseJISC – Joint Information Systems CommitteeTOA – termination of agreement

Format

E – electronic; SITS – Strategic Information Technology Services’ Student Record System

Categories of Records

1. Governance2. Financial Resources3. Human Resources4. Physical Resources5. Student Administration and Support6. Information Services7. Teaching and Learning8. Research and Development9. External Relations10. Health and Safety11. Grant Aid Programmes

Note: That documents for the purposes of this policy may be in hard copy or electronic format. Where records are held electronically they must be retrievable for the full retention period, irrespective of system / software changes.


1. GovernanceCode Description of record Retention/format Responsibility Reasons/Notes1.1 Charter , Statutes and Ordinances Permanently Director of Governance Archival Value

Academic Regulations Permanently Head of Quality Archival Value1.2 Council Minutes (including committees thereof) Permanently Director of Governance Archival Value1.3 Senate Minutes (including committees thereof) Permanently Director of Governance Archival Value1.4 Academic Assembly Permanently Director of Governance Archival Value1.5 School Committees End of current academic

year plus 6 yearsExecutive Dean Archival Value

1.6 Other Committees End of current academic year plus 6 years

Committee Leaders Archival Value

1.7 Ad hoc working groups not reporting to a university committee

End of current academic year plus 6 years

Working group lead Archival Value

1.8 Ad hoc working groups reporting to a university committee

End of current academic year plus 6 years

Working group lead Archival Value

1.9 Convocation Permanently Director of Alumni and Development

Archival Value

1.10 Council Members Register of Interests Permanently Director of Governance Evidential purposes1.11 Internal Audit Reports Permanent Director of Governance (in

the capacity of Secretary to Audit Committee)

Good Practice

1.12 University Companies Minutes Permanently Company Secretaries Companies Act 1985 s. 3821.13 Executive Minutes/Papers Permanently Director of Governance Archival value1.14 Executive Operations Group Minutes/Papers Permanently Executive Assistant to the

Vice-ChancellorGood practice

1.15 Seal Books Permanently Finance Directorate Archival value1.16 Senior Staff Register of Interests Permanently Director of Human

ResourcesEvidential purposes

1.17 Share Transfer Documents Permanently Finance Directorate Evidential purposes1.18 Companies Annual Returns Permanently Finance Directorate Evidential purposes


1.19 University’s Strategy Permanently Director of Marketing Strategy and Communications

Archival Value

1.20 University’s Academic Calendar CAY + 6 Years Director of Governance Business Purposes1.21 Financial Regulations Permanently Chief Financial Officer Archival Value1.22 Staff Complaints Documentation CAY + 6 years Director of Human

ResourcesLimitation Act CHECK

1.23 Deeds of Covenant 12 years after expiry Chief Financial Officer Limitation Act s.81.24 Major Agreements of historical significance Permanent Vice Chancellor’s Office Archival and historical value

2. Financial ResourcesCode Description of record Retention/format Responsibility Reasons/Notes2.1 Contracts/Licensing Agreements (other than

buildings including refurbishments)Contracts re Buildings including refurbishments

6 years after expiry

12 years after expiry

Business Partnership Unit

Estates Procurement Office

Limitation Act/Record for tax purposes

2.2 Rental/hire purchase agreements 6 years after expiry Chief Financial Officer Limitation Act/Record for tax purposes

2.3 Indemnities and guarantees 6 years after expiry Chief Financial Officer Limitation Act2.4 Franchise and collaborative agreements 6 years after expiry Chief Financial Officer Limitation Act2.5 Property Deeds/Land Certificates Until sold or transferred Chief Financial Officer Evidential purposes2.6 Property Leases/Licences 12 years after Director of Capital

DevelopmentEvidential purposes

2.7 Patent and Trademark records Permanently Business Partnership Unit Evidential Purposes2.8 Intellectual Property Rights Agreements Termination of agreement

plus 6 yearsBusiness Partnership Unit Evidential purposes

2.9 Published Accounts Current Financial Year plus 6 years

Deputy Director of Finance Evidential purposes

2.10 Internal Budgets and Forecasts Current Financial Year plus 2 years


2.11 Tax Returns (Income Tax and VAT) Current Tax Year plus 6 years Deputy Director of Finance Evidential purposes2.12 Bank statements Current Financial Year plus 6 Deputy Director of Finance Evidential purposes


years –However note when ERDF projects are running Bank Statements to be held for the ERDF period currently 2025.

2.13 Instructions to Bank other than mandates 6 years after expiry of instruction


2.14 Bank mandates 6 years after expiry Deputy Director of Finance Evidential purposes2.15 Expense account information Current tax year plus 6 years Deputy Director of Finance Evidential purposes2.16 Sales invoices and till rolls Current financial year plus 6

yearsDeputy Director of Finance Evidential purposes

2.17a) Purchase invoices Current financial year plus 6 years ( Current year until after year end accounts paper copies held, the remainder as scanned image as agreed with HMRC.)


2.18 Insurance: public products and employees liability policies and certificates

Permanently retained Risk Manager /Chief Financial Officer

Evidential purposes

2.19 Purchase order requests Current financial year and 1 where required locally


2.20 Insurance: Other policies Permanently Risk Manager /Chief Financial Officer

Evidential purposes

2.21 Insurance: Claims correspondence 12 years after settlement unless claimant is under 18 at time of settlement then age 18 plus 12 years

Risk Manager /Chief Financial Officer

Evidential purposes


2.22 Insurance: Loss accident reports 6 years unless claim commences then follow guidance in 2.22

Risk Manager /Chief Financial Officer

Evidential purposes

2.23 Successful tenders including specification advertisements

6 years after expiry of contract ( ERDF for duration determined by funding contract building 2035, other 2025)

Procurement Manager/Deputy Director of Finance

Evidential purposes

2.24 Approval of waivers/variation of tendering requirements (within financial regulations)

3 years Procurement Manager/Deputy Director of Finance

Evidential purposes

2.25 Unsuccessful tenders 1 year =However when in relation to purchases funded by specific grants e.g. ERDF then records demonstrating proper procurement will need to be retained in line with the sponsor

Procurement Manager Evidential purposes

2.26 Quotations 1 year – However when in relation to purchases funded by specific grants e.g. ERDF then records demonstrating proper procurement will need to be retained in line with the sponsor requirements. As for tenders.

Departments / Project Manager

Evidential purposes

2.27 EU and other projects – note that defrayal reports should be retained with the project documentation where required.

Variable depending on specific contracts

Relevant school of department

Evidential purposes

2.28 Records of payment BACs runs and Cheque runs Current Financial Year plus 6 years –However note when

Finance Evidential purposes


ERDF projects are running Bank Statements to be held for the ERDF period currently 2025.

2.29 IDT’s 2 years Finance Business Purposes

3 HUMAN RESOURCES AND PAYROLLCode Description of record Retention/ format Responsibility Reasons/notes3.1 Statutory maternity pay records and calculations At least 7 years after the end

of the financial year to which the records related.

Director of Human Resources

Statutory Maternity Pay (General) Regulations 1986 (Reg 26)

3.2 Statutory sick pay records and calculations At least 7 years after the end of the financial year to which the records related.


Statutory Sick Pay (General) Regulations 1982 (Reg 13)

3.3 Wages and salary records 6 years plus current yearNote where Grant contracts are in operation e.g. ERDF then payroll records will need to be retained in line with sponsor requirements. ERDF currently 2025.


Taxes Management Act 1970. Finance Act 1998, Schedule 18 Para 21, Breach of contract.

ERDF grant contracts3.4 Electronic record of employees employment at

the university (electronic) including posts heldPermanently Director of Human

ResourcesBusiness Purposes

3.5 Personnel recordApplication form

At least end of relationship plus 6 years


Business Purposes


Qualifications/References/ProfessionalAccreditationPosts held and job descriptionDisciplinary/GrievanceSigned contractLetter of resignationExcludes Occupational Health

3.6 Criminal Records Bureau Checks (Record that check took place)

Information supplied by CRB)

End of relationship plus 6 years

6 months from receipt


Business Purposes

3.7 Absence records detailing causes and periods of absence

End of relationship plus six years ( except where specific undertakings are given under contracts to keep indefinitely).


Business Purposes

3.8 Performance assessment/appraisal Current academic year plus 6 years

Executive Deans and Heads of Departments (or nominees)

Business Purposes

3.9 Benefit and contribution related pensions information.

Permanently Director of Human Resources

Business Purposes

3.10 Unsuccessful job applications Appointment date + 6 months


Business Purposes

3.11 Interview notes Appointment date plus 6 months


Business Purposes

3.12 Ethnic monitoring forms Current academic year plus 1 Director of Human Resources

Business Purposes

3.13 Human resources files including training records and notes of disciplinary and grievance hearings

At least end of relationship plus 6 years


Potential breach of contract

3.14 Application forms/interview notes for staff At least 6 months from the Director of Human Time limits on litigation e.g.


recruitment date of the interviews except for successful candidates or requirements of external funding agencies.

Resources discriminatory legislation

3.15 Facts relating to redundancies 6 years from the date of redundancy.


Time limits on litigation

3.16 Information for the provision of references End of relationship plus 6 years.


Permits university to provide references for a reasonable amount of time if appropriate.

3.18 Corporate staff development programme 6 years Director of Human Resources

Business purposes

3.19 Sponsored employees under points based system

Confirmation letter for sponsorshipGoverning body endorsementAll documents submitted as part of applicationCopy of passport and biometric cardJob advertisements (original format) and recruitment evidence e.g. invoices and contracts with head huntersAll applications/expressions of interest from unsuccessful applicants in original formatNames of shortlisted applicants and interview notesReasons for non employment of unsuccessful EEA (European Economic Area) nationalsAll contract details held during time of sponsorshipEvidence of international status where appropriate e.g. press cuttings, recordings of media interviews



Required information for UKBA audits.

As defence for possible litigation by Home Office


4. Physical ResourcesCode Description of record Retention/ format Responsibility Reasons/notes4.1 Estates Manual (master set) Permanently Director of capital

developmentArchival Value

4.2 Building contracts 15 years after expiry Director of capital development

Limitation with additional time allowed for latent damage

4.3 Architects/surveyors agreements 15 years after project completion

Director of capital development

Limitation with additional time allowed for latent damage

4.4 Building plans/drawings Until disposal of property+10 years


JISC evidential purposes

4.5 Planning applications Until disposal of property + 10 years


JISC evidential purposes

4.6 Transport Log Book of drivers 1 year after closure Campus Services Business purposes4.7 Transport mileage records 2 years after disposal of

vehicleCampus Services Business purposes

4.8 Transport MOT certificates 2 years after disposal Campus Services Business purposes4.9 Transport Registration records 2 years after disposal Campus Services Copy only, original will be

sent to DVLA4.10 Residential accommodation regulations 6 years after expiry Accommodation Office Limitation Act4.11 Letting of student accommodation

Including Application forms for accommodation, Signed acceptance forms for accommodation

Vacate Residence FormsDeposit refund informationDamage charge informationBanking sheetsCredit/Debit Card Reconciliation SheetsTransfer request formsEarly Leaver forms

Termination of agreement plus 6 years

Accommodation Office Limitation Act


4.12 Display Energy CertificateAccompanying report

Whilst currentCurrent academic year plus 7 years


Business Purposes

4.13 Plant and equipment maintenance, testing and inspection certificates

Life of equipment plus 7 years


4.14 Waste management records documenting the storage and collection of special waste

Removal of waste plus 7 years


Special Waste Regulations 1996 SI 972

4.15 Confidential waste receipts Removal of waste plus 1 year Director of capital development

Evidential requirements

4.16 Building condition surveys Permanently Director of Capital Development

Evidential requirements

4.17 Rooming timetable Current academic year + 3 years, E

Director of Capital Development

Verification of location of students in response to claims

5. Student Administration and SupportCode Description of record Retention/ format Responsibility Reasons/notes5.1 Student application form Current academic year + 1

yearDirector of Registry and Student Planning

Except where required for longer by professional body

5.2 Successful applications Permanently – E SITS Director of Registry and Student Planning

Verification

5.3 Unsuccessful applications Current academic year + 6 years – E SITS

Director of Registry and Student Planning

Identify duplicate/Fraudulent

5.4 Withdrawals and leave of absence data Permanently – E SITS Director of Registry and Student Planning

Business purposes

5.5 Record of enrolment and admission Permanently – E SITS Director of Registry and Student Planning

Verification

5.6 Record of academic advice End of relationship + 6 years Deans of Schools Limitation Act5.7 Module/diet registration Permanently – SITS Director of Registry and

Student PlanningVerification


5.8 Record of fee payment Permanently - SITS Director of Registry and Student Planning

Student may query payments made when loan becomes due for renewal (up to 20 years)

5.9 All assessments (examination scripts and coursework)

All assessments which contribute to the final mark for a stage should be kept at least for one year following the year in which they were submitted (this includes L4 and L5 assessments).

For students that complete the full programme L5, LP and L6 assessments should be retained for one year following graduation.

6 years after graduation

Associate Deans in the schools

These data should be kept to allow the University to deal with any appeals/complaints from students that withdraw or leave with lesser awards.

Ditto

Where an appeal has been lodged – for use in internal and external appeals processes

5.10 Feedback on assessed work (including assessment of placements)

Post Publication of Confirmed Results + 9 months



Internal and External appeals process



5.11 Assessed work (student assignments) 10% (or representative sample for small groups) retained for current academic year for QAA


QAA or longer in accordance with requirements of professional bodies

5.12 Assessment results (grades – module level) Permanently SITS Associate Deans in the schools

Verification

5.13 Marking verification (internal moderation) Post Publication of Confirmed Results + 9 months



Appeals/evidence of moderation


5.14 External examiners notes (where available) Post Publication of Confirmed Results + 9 months



Normal Timescale where no appeal has been lodged


5.15 Invigilators reports Post Publication of Confirmed Results + 9 months



Normal Timescale where no appeal has been lodged


5.16 Subject Board and Award Board MinutesExtenuating circumstances Board Minutes

10 years Associate Deans in the schools

Limitation Act + time allocated for completion of course


5.17 Qualification/degree class awarded Permanently SITS Director of Registry and Student Planning

Verification throughout student’s working life

5.18 Examination question papers Permanently Associate Deans in the schools

Archival value

5.19 Student records including academic achievements and conduct (other than permanent records held on SITS eg 5.2, 5.4, 5.5, 5.12, 5.17,5.23)

6 years from the date that the student leaves the university


Associate Deans in the Schools and Director of Registry and Student Planning

Limitation period for breach of contract

Where an appeal has been lodged or a student has been expelled – for use in internal and external appeals processes

5.20 Module guides, pathway guides and course handbooks (Recommended that these are held electronically)

Permanently Associate Deans in the Schools

Confirmation of course content throughout student’s working life

5.21 Award lists/Examination Board results lists (paper format) and Degree Congregations Brochures

Permanently Director of Registry and Student Planning

Confirmation of awards throughout student’s working life

5.22 Record of distribution of certificates Permanently Director of Registry and Student Planning

Legal document – needs to be tracked

5.23 SITS brief record of student academic misconduct, disciplinary offences or fitness to practice

Permanently Director of Registry and Student Planning

References throughout student’s working life.

5.23 Student academic misconduct files (except permanent record held on SITS under 5.23)

Last action on case + 6 years


Director of Registry and Student Planning and Associate Deans in the Schools

Evidential purposes



5.24 Student disciplinary record (non-academic) (except permanent record held on SITS under 5.23)




Evidential purposes


5.25 Student fitness to practice record (except permanent record held on SITS under 5.23)




Evidential purposes


5.26 International studentsCopy of non EU passportHistory of contact detailsAbsences and designated contacts

Until the end of the course and then permanently unless they have been examined or approved by a UKBA compliance officer

Director of Registry and Student Planning and Manager of the Hub

Border Agency requirement

5.27 Certificate of sponsorship Until the end of the course and then permanently unless they have been examined or approved by a UKBA compliance officer


Border Agency requirement

5.28 Student Complaints Last action on case and 6 years


Evidential purposes

5.29 Academic Appeals Internal and to the Office of the Independent Adjudicator

Last action on case and 6 years


Evidential Purposes


5.30 CRB Checks End of relationship.Prior to destruction, the unique reference code from the disclosure form and a very brief note may be recorded on SITS. If any issues are highlighted in the disclosure only very limited and relevant information can be shared with relevant colleagues for valid purposes (e.g. Fitness to Practice).

Associate Deans in the Schools

Privacy

5.31 Disclosure requests under Data Protection Act Last action on case +6 years Director of Governance and University Data Protection Officer

Evidential Purposes

5.32 Student-related Research Council correspondence/returns

Current academic year +10 years


Research Council Requirement

5.33 Research theses Permanent retention by library and School


University Regulation

5.34 Socrates-Erasmus Programme documentation Date of receipt of final report for scheme +6 years

Director of Employability EU requirement

5.35 Student Loans documentation Current academic year +6 years


EU requirement

5.36 US Federal Aid documentation Graduation/leaving +6 years Director of Registry and Student Planning

US Federal requirement

6. I T ServicesCode Description of record Retention/Format Responsibility Reasons/Notes6.1 Acceptable Use Policy Superseded + 6 years Pro Vice Chancellor for

Business Partnerships and Knowledge Transfer

Limitation Act

6.2 List of IT systems usernames Permanent Pro Vice Chancellor for To ensure duplication of


Business Partnerships and Knowledge Transfer

usernames is avoided

6.3 Computer Help Desk Records Current Academic Year + 4 years minimum

Pro Vice Chancellor for Business Partnerships and Knowledge Transfer

Statistical analyses

6.4 Personal voicemail recordings End or relationship + 12mths Pro Vice Chancellor for Business Partnerships and Knowledge Transfer

Allow for user returning

6.5 User’s personal email End or relationship + 12mths (staff)



6.6 User authentication Directories End of relationship Pro Vice Chancellor for Business Partnerships and Knowledge Transfer

Business purposes

6.7 User’s personal data space on servers End or relationship + 12mths Pro Vice Chancellor for Business Partnerships and Knowledge Transfer


6.8 User’s account on printing system End of relationship + 12 months



6.9 User’s account on Access control system End of relationship + 3mths (student) or 6mths (staff)



7. Teaching and LearningCode Description of record Retention/Format Responsibility Reasons/Notes7.1 Academic plans Permanently Associate Deans of Schools Archival value7.2 Programme specifications and course descriptions Duration of validation period

(6 years)Associate Deans of Schools and Head of Quality

Archival value course planning/verificationEvidential purposes


7.3 Academic approval records Permanently Head of Curriculum & Learning Development

Archival valueEvidential purposes

7.4 Teaching and Learning Materials Duration of use + 1 year Associate Deans of Schools JISC7.5 Accreditation and monitoring reports by

professional, statutory and regulatory bodiesPermanently Associate Deans of Schools Business Purposes

7.6 Annual monitoring reports and documents including examiners comments and student data

Current Academic Year + 2 years (manual) 5 years – E

Associate Deans of Schools and Head of Quality

Quality Assurance

7.7 Undergraduate regulations Permanently Head of Quality Evidential purposes7.8 Postgraduate Regulations for taught degrees Permanently Head of Quality Evidential purposes7.9 External Examiners Records (including contracts )

+ reports10 years Head of Quality Evidential Purposes

8. Research and DevelopmentCode Description of record Retention/Format Responsibility Reasons/Notes8.1 University Research Committee Minutes 10 years Head of Research Support

OfficeAs subject and award body minutes

8.2 Research policy and strategy documents 6 years after superseded Pro-Vice-Chancellor (Research)/Director of Graduate School/Head of Research Support Office

Evidential/business purposes

8.3 Research ethics policy documentsUniversity Ethics Sub-Committee Minutes

6 years after superseded10 years

Director of Governance Evidential/business purposes

8.4 Intellectual Property Policy Documents 6 years after superseded Business Partnership Unit Limitation Act8.5 Research degree regulations Permanently Head of Quality/Secretary of

Graduate School Management Committee

Evidential purposes

8.6 Research assessment exercise submissions Permanently Head of Research Support Office

Archival value

8.7 Documentation relating to submitted bids e.g. Research Council Applications, European Union Funding Applications

5 years post year of completion of research

Head of Research Support Office

Audit purposes and in accordance with funding requirements


9. External RelationsCode Description of record Retention/Format Responsibility Reasons/Notes9.1 Correspondence from Associated External

Agencies (e.g. HEFCE)6 years Relevant Project Managers See also 2.1 where part of

conditions of agreements9.2 Formal submissions to and from external agencies Permanently Relevant Project Managers Evidential purposes9.3 Course enquiries Current Academic Year + 1

yearAssociate Deans of Schools Trend analysis

9.4 Prospectus Permanently Director of Marketing and Communications

Archival value

9.5 Student financial support policies/procedures Superseded + 6 years Director of Registry and Student Planning

Evidential purposes

9.6 Marketing plans Superseded + 3 years Director of Marketing and Communications

Corporate knowledge

9.7 Designs relating to corporate identity Permanently Director of Marketing and Communications

Archival value

9.8 Designs for marketing campaigns Permanently Director of Marketing and Communications

Archival value

9.9 Press releases 2 years Director of Marketing and Communications

Archival value

9.10 Conferences/Events notices 6 months post event Director of Marketing and Communications

Business purposes

9.11 Web page snap shots –(excludes documents posted on the web, which need to be retained in accordance with their content)

2 years Director of Marketing and Communications

Business purposes

9.12 Market Research paper based questionnaires 2 Years Market Research Business purposes9.13 Annual Destinations of Leavers from Higher Education

(DLHE) Survey2 Years hard copy, however indefinitely electronically ( Min 6 Years)

Careers Evidential purposes

9.14 Key Information Set ( KIS) documents and source 6 years Senior Pro-Vice-Chancellor Evidential purposes


documents

10 Health and SafetyCode Description of record Retention/Format Responsibility Reasons/Notes10.1 Accident Forms Current Academic Year + 3

yearsHead of Health and Safety The National Archives

(RIDDOR)10.2 Accident Reports Current Academic Year + 3

yearsHead of Health and Safety The National Archives

(RIDDOR)10.3 RIDDOR Reports Current Academic Year + 3

yearsHead of Health and Safety Evidential purposes

10.4 COSHH: reports on exposure of identifiable employeeGeneral monitoring reports

40 years

5 years

Executive Dean and Heads of Department (or nominees)

The National Archives

10.5 Occupational Health Client Records End of relationship + 6 years Director of Human Resources

Monitoring purposes

10.6 Occupational Health Pre-Employment Screening End of relationship + 6years Director of Human Resources


10.7 Ionising radiation records 40 years Safety Office Ionising Radiation Regulations 1999 (Reg 21)

10.8 Risk assessments and Reports Current academic year + 3 years

Executive Dean and Heads of Department (or nominees)


10.9 Minutes and Papers of Health and Safety Committee

Current academic year + 5 years

Director of Governance Evidential purposes

10.10 Asbestos Register Permanently Director of Capital Development

Evidential purposes

10.11 Health and Safety Regulations governing university operations

Permanently Head of Health and Safety Evidential purposes

10.12 Accident books and records and reports of accidents

Indefinitely Director of Human Resources

Reporting of injuries, diseases and dangerous occurrences Regs 1995/3163 (Reg 7)

10.13 Health records During employment Director of Human Management of Health and


Resources Safety at Work Regulations 1999

10.14 Health records where reason for termination of employment is connected with health, including stress related illness.



Limitation period for personal injury claims

10.15 Medical records kept by reason of the Control of Substances Hazardous to Health Regulations 1999

40 years Director of HR Control of substances hazardous to health Regulations 2002/2677 (Reg 10)

11 External Grant Aid ProgrammesCode Description of record Retention/Format Responsibility Reasons/Notes11.1 Contracts with funding agencies End of project plus 20 years Deputy Director Finance Evidential Purposes11.2 State Aid Records 10 years post intervention Deputy Director Finance European Regulations

relating to State Aid11.3 Project Documentation Retention End of programme or other

date as advised by the grant awarding body

Deputy Director Finance As required by the Grant awarding body

11.4 Project specific requirements (such as documents relating to the use of a building for a required length of time)

As required by grant offer letter/contract

Deputy Director Finance As required by the grant awarding body.

12 Research ContractsCode Description of record Retention/Format Responsibility Reasons/Notes

12.1 Applications to sponsors 3 years RSO Business Purposes12.2 Contracts with funding agencies End of project plus period

that audit can be requestedDeputy Director Finance/ RSO

Grant Regulations

12.3 KTP contracts End of project plus period that audit can be requested

Deputy Director Finance/ BPU

Grant Regulations

12.3 REF data - TBD RSO


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