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St George's Retention Schedules

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What are the retention schedules?

The records retention schedules establish how long we need to retain our records for, before either disposing of them or transferring them to the Archives.  The retention schedules apply to all records regardless of format or storage location. 

The retention schedules ensure we meet our legal and regulatory obligations and identify records we wish to keep long-term for historical and cultural purposes. 

There are approximately 200 retention schedules in 13 categories.  The categories are arranged by the function and subject of the record not the department who owns them e.g. not all student records are owned by Registry and the category they appear under is ‘Student Records’.  

Using the Schedules

Record Type and Scope: a description of the record series and examples and descriptions of the kinds of records that are included in the series. 

Responsible Department:  The Professional Services directorate or Research Institute responsible for maintaining the primary version of the record for the full retention period.  If you are not the responsible team and hold copies of these records i.e. copies of invoices you can dispose of them once they are no longer required.  These copies should never be kept for longer than the retention period of the primary record. 

Retention Period:  the period of time SGUL is required to maintain the primary record for before reviewing it for disposal or transferring it to the Archives. 

Authority and Notes:  the authority is the reason we are retaining a record for a certain retention period.  The authority could be a piece of legislation, a regulation, an industry standard, or an SGUL requirement.  Notes reference what records should be transferred to the Archives or give further information on the retention period. 

Key

ACT+: While the records are active no retention period applies.  Once an event unique to the record occurs the retention period begins e.g. a student receives an award, the event is the date the award was granted and retention is calculated from that point. 

CY+: The record is held for the current and then a further year. 

MIN:  The record may be held for a longer period of time but it cannot be reviewed for disposal for the minimum retention period has elapsed. 

Implementing

Implementation should be at a local level within Professional Services teams or Research Institutes.  In conjunction with the Records Manager it should be ensured that methods are in place to store records in a manner (electronic or paper) enabling the identification of records as they reach their defined retention period as well as overseeing the disposal or transfer to the Archives of the records.

Updated August 2021.

Compliance - Records documenting activities undertaken by SGUL to comply with Data Protection and Freedom of Information legislation.
Record Type and Scope Responsible Department Retention Period Authority and Notes
Data Protection – Subject Access Requests.  Records documenting the processing of   requests for access to personal information held by SGUL under the Data   Protection Act 2018. Information   Services ACT   + 1 JISC   model schedules.  
    
1998 c 29 does not prescribe a retention period for these records. A longer   retention period may be appropriate for records documenting the handling of   requests which resulted in complaints or appeals.
Data Protection - Right to Erasure requests.  Records documenting the processing of   requests to erase personal information held by SGUL under the Data Protection   Act 2018. Information   Services ACT   + 1 Organisational   requirement.
    
1998 c 29 does not prescribe a retention period for these records. A longer   retention period may be appropriate for records documenting the handling of   requests which resulted in complaints or appeals.
Data Protection - policy documents and records of implementation   and compliance with the GDPR.    Developing policy, consulting with SGUL authorities regarding   policies, disseminating approved policy, and reviewing policy. Information   Services 10   years Organisational   requirement
Data Protection - notifications.    Records documenting SGUL notifying the ICO with details of our DPO. Information   Services CY   + 1 DPA   1998.  
    
Annual requirement from ICO.
FOI – processing requests for information held by SGUL.  Processing FOI requests made under the   Freedom of Information Act 2000 (c.36) for information held by SGUL. GLAS Act+3 TNA   recommendation.
    
Freedom of Information Act 2000
    
Records created by a public body fulfilling its obligations under the   Freedom of Information Act 2000 (The National Archives).
    
The National Archives recommends '3 Years after date of creation'. See   Model Retention Schedule for Records Created by a Public Body Fulfilling FOI   obligations (The National Archives).
FOI - FOI complaints.    Investigating the complaint and producing a response.   GLAS Act+3 TNA   recommendation.
    
See document "Records created by a public body fulfilling its   obligations under the Freedom of Information Act 2000 (The national   Archives)."
FOI – policy documents and records of implementation and   compliance with FOI.  Developing   policy, consulting with SGUL authorities regarding policies, disseminating   approved policy, and reviewing policy. GLAS 10   years Organisational   requirement
FOI - maintaining the SGUL publication scheme.  Developing and maintaining the SGUL   Publication Scheme as required by the Freedom of Information Act 2000 (c36). GLAS ACT+5 JISC.
    
Freedom of Information Act 2000
See: ‘Model publication scheme Freedom of Information Act’ 2015   (ICO).
    
‘Definition document for universities and other
higher education institutions’ and ‘Definition document for colleges of   further education’ ICO (2013).
FOI - compiling statistics.    Producing statistics, analyses, and reports on requests made to the   SGUL FOI Officer. GLAS ACT+10 TNA   recommendation.
    
See document "Records created by a public body fulfilling its   obligations under the Freedom of Information Act 2000 (The national   Archives)."
Corporate Governance - Activities undertaken to develope and establish SGUL's corporate governance structure. Records detailing how SGUL conducts its business in accordance with the governance structure.
Record Type and Scope Responsible Department Retention Period Authority and Notes
Council - Records documenting the activities of Council   including agendas, minutes, papers, and membership. GLAS Permanent Organisation  requirement    
Transfer to Archives
Senate - Records documenting the activities of the Senate including agendas, minutes, papers, and membership. GLAS Permanent Organisation requirement    
Transfer to Archives

Committee papers - key    

Records documenting the activities of key SGUL committee's including   papers, agendas, minutes, and membership. See notes for key committees

GLAS Permanent Organisation requirement    
Key committees include but are not limited too: Executive Board, Audit, Finance, Safety Management, Risk Audit and Efficiency Committees, Diversity and Inclusion
Committee papers - Records documenting the activities of SGUL  committee's including papers, agendas, minutes, and membership. See notes for   committees that this retention period applies to. Convening department 6  years Organisation requirement    
Committees include but are not limited to QAEC; JSEC; Nominations and Honorary Awards.
Strategic Plan - Records detailing the University's strategic plans, mission statement External Relations Communications & Marketing Permanent Organisation requirement    
Transfer to Archives
Honorary Awards - Records documenting honorary awards to individuals who have made a significant impact in medicine or on SGUL. GLAS  / Registry Permanent Organisation requirement
Policies - Records documenting the University's position on   issues that impact the running of the University All Superseded   + 10 Organisation requirement    
Includes but is not limited to anti corruption, anti fraud, research policies, student policies, whistleblowing, student relations i.e. admission, tuition fees, disciplinary
Records documenting the development of SGUL policies All ACT+1 JISC recommendation    
Dispose of one year from the publication of the policy
Regulations approved by the Senate that apply to all study   programs and students at SGUL Registry Permanent Organisation  requirement    
Transfer to Archives
Annual submission to the Office for Students GLAS 9  years Organisation requirement
Register of council members interests GLAS ACT+2 Organisation requirement    
When the council members retires from council
Audit reports - Internal and external reporting on audits   carried out at SGUL GLAS   / Finance ACT   + 5 JISC recommendation    
Records detailing recruitment of Council and Senate members GLAS 3  months Organisation requirement

 

Estates & Facilities - Records created during the day to day management of SGUL facilities and estates
Record Type and Scope Responsible Department Retention   Period Authority and Notes
Statutory maintenance  and   inspections of facilities and equipment.    Records that detail routine maintenance, inspections, tests, and   reports of any repairs made of equipment.    Includes testing of lifts, boilers, fire systems, electrical, and   alarms. Estates ACT+6 Limitation   Act 1980
Maintenance  and   inspections of facilities and equipment.     Maintenance and inspection certificates.  Records detailing maintenance and corrective   action schedules. Estates ACT + 5 JISC   recommendation
Property maintenance.    Includes conducting general inspections; establishing and implementing   planned maintenance programmes; carrying out reactive maintenance; conducting   inspections to determine the presence and condition of hazardous materials   (e.g. asbestos); carrying out decontamination works. Estates ACT+15 Limitation   Act 1980 1980 c. 58 s 14B
Insurance.  Records   include inspection reports and insurance certificates for SGUL equipment and   buildings.  Estates ACT+6 Limitation   Act 1980
Building security. Logs tracking issuing of keys, visitors, and   access to the building. Estates ACT+1   Data   Protection Act 2018
Asbestos.  Records   documenting the conduct and results of monitoring the personal exposures of   individual employees (who are required to be under medical surveillance) to   asbestos, to fulfil the institution's duties under Regulation 19 of the   Control of Asbestos Regulations 2006 (SI 2006/2739). Estates Date   of monitoring + 40 years SI   2006/2739 Regulation 19(4)(a)
Asbestos.  Records   documenting medical surveillance of individual employees who are exposed to   asbestos, to fulfil the institution's duties under Regulation 22 of the   Control of Asbestos Regulations 2006 (SI 2006/2739). Estates Date   of last entry on record + 40 years SI   2006/2739 Regulation 22(1)(b)
Fire safety.  Records   documenting the conduct, review and revision of fire safety risk assessments   to fulfil the institution's duties under Article 9 of the Regulatory Reform   (Fire Safety) Order 2005 (SI 2005/1541) or Section 53 and/or Section 54 of   the Fire (Scotland) Act 2005 (asp 5). Estates Superseded   + 5 years JISC   recommendation
Building plans / CAD drawings.    University floorplans E&F Permanent Organisation   requirement.  Liaise with the Archivist   regarding what to deposit into the Archives.
CCTV.  CCTV recordings. E&F 31 days SGUL   CCTV Policy 
Images required for evidential purposes will be keep   longer.
Security.   Records   documenting security breaches or incidents, and action taken. E&F ACT + 1 JISC   recommendation
Leases - third party.    Records documenting the negotiation of leases and original lease   agreements. E&F ACT + 15 Limitation   Act 1980
1980 c. 58 s 14B
Space management.  Space   surveys, space audits, capacity reporting, options for meeting requirements. E&F Completion   of subsequent audit + 5 years JISC   recommendation
Disaster recovery and emergency response.  Department plans detailing what actions are   to be taken in the event of a disaster or emergency taking place. Responsible   department Superseded  Organisation   requirement
Finance - Records detailing the management of university finances.
Record Type and Scope Responsible Department Retention Period Authority and Notes
Accounts payable.  Invoices, receipts, BACS, credit notes, tuition fees Finance 7 years Companies Act 2006, Value Added Tax Act 1994, Finance Act 1998
Banking.  Instructions and   payments. Finance ACT+6 Limitation Act 1980
Banking.  Reconciliation and balance management. Finance 7 years Companies Act 2006, Value Added Tax Act 1994, Finance Act 1998
Management accounts and budgeting.  Preparation of annual budgets, monitoring expenditure against the budgets, variances reporting. Finance 7 years Organisational requirement
Tax.  VAT and corporation   tax - preparation of returns and VAT accounting. Finance 7   years Companies Act 2006, Value Added Tax Act 1994, Finance Act 1998
Annual accounts - Annual reports and financial statements. Finance Permanent Organisational requirement
Annual accounts - Annual reports and financial statements - working papers. Finance 6 years Companies Act 2006
Expenses - Includes claim forms and receipts and payment details. Finance 7 years Companies Act 2006, Value Added Tax Act 1994, Finance Act 1998.    
Six years are statutory with an additional year added in the event of HMRC enquiry.
Procurement.  Bids and tender records - unsuccessful bids. Responsible department Awarding of tender + 1 JISC recommendation
Procurement - tendering - successful.  Records including procurement   authorisation, qualification questionnaires, invitation to tender, tender evaluation, negotiations, notification of results, contract. Finance ACT+6 Limitation Act 1980
Procurement - contract management.  Records including procurement   authorisation, qualification questionnaires, invitation to tender, tender   evaluation, negotiations, notification of results, contract. Responsible  department ACT+6 Limitation Act 1980
Annual report ERCM Permanent Organisational requirement    
Transfer to Archives
HSE - Records detailing how SGUL manages the impact of University functions on the health and safety of staff, students, and visitors while on premise, and of ensuring compliance with legislation on health and safety matters.
Record Type and Scope Responsible Department Retention Period Authority and Notes
Accident records, accident reports, accident books, and near miss reports. HS&E ACT+3  The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (RIDDOR) (SI   1195/3163) as amended
Accident records, accident reports, and accident books - under   21 HS&E Until   the person reaches the age of 21 Limitation   Act 1980
Control of Substances Hazardous to Health Regulations (COSHH) Responsible   Department or Institute Act+40  The Control of Substances Hazardous to Health Regulations 1999 and 2002 (COSHH) (SIS 1999/437 and 2002/2677) and Health & Safety at Work Act
    
Includes persons exposed to Hazard Group 3 microbiological agents as  defined by the Advisory Committee on Dangerous Pathogens guidance and also Control of Substances Hazardous to Health (COSHH)
Medical records under the Control of Asbestos at Work Regulations.  Health records of SGUL staff under occupational health surveillance. HS&E Act+40  The Control of Asbestos at Work Regulations 2002 (SI 2002/2675).  Control of Asbestos Regulations 2006 (SI2006/2739).  Control of Asbestos   Regulations 2012 (SI 2012/632)
Radiation health & safety investigations.  Investigations into over-exposure. Responsible   Department or Institute MIN50 Ionising Radiations   Regulations 1999
Use of radioactive substances.  Registration to store and make use of radioactive substances.  Authorisation to dispose of radioactive substances.  Enforcement notices. HS&E ACT+6 Radioactive Substances Act 1993.  
Use of radioactive substances.  Approval to use a specific practices i.e. radiation generators, waste   disposal. HS&E ACT+3  The Environmental Permitting (England and Wales) Regulations 2016
Radioactive substances.     Reports to the Environment Agency. HS&E Indefinite Radioactive Substances Act 1993    
Retain until informed by the Environment Agency that they can be destroyed
Radioactive substances -    waste management HS&E ACT+2 Radioactive Substances Act 1993    
Retention period starts upon disposal of the waste
Radionuclide - Radionuclide storage / radionuclide disposals HS&E MIN5   Ionising Radiations   Regulations 2017
Radioactive substances -    health & safety.  Risk   assessments, contingency plans, departmental rules for use of radioactive   material. HS&E Superseded Ionising Radiations Regulations 1999    
Retain until the risk assessment is superseded
Radioactive substances -    inspection and maintenance of equipment HS&E ACT+2 Ionising Radiations Regulations 1999 (SI 1999/3232) Regulation 10(1) Regulation 10(2)    
Includes checks, repairs, planned maintenance
Radioactive substances -   health.  Records detailing assessments of doses of the substance accidental or otherwise, health records of individuals handling the substance, and review of the health records. HS&E MIN50 Ionising  Radiations Regulations 1999
    
Retain for a minimum of 50 years or until the staff members reaches 75   years of age
Environmental risk assessments.  Records documenting risk assessments; classification of the contained use work; notification to the competent authority; applying control measures;   accident reporting etc. Responsible  Department or Institute Act+10 Genetically Modified Organisms (Contained Use) Risk Assessment Regulations 2014
Control of Lead at Work (CLAW).  Records as specified by the Control of Lead at Work Act (CLAW). HS&E Act+40  Control of Lead at Work Regulation 9(4), 18(4)
Training.  Training   undertaken to ensure compliance with Ionising Radiations Regulations, COSHH Regulations, fire training, and  Asbestos Regulations. HS&E MIN10 Organisational requirement
Human Resources - Records covering managing SGUL's staff and the University's legal relationship with individual staff members.
Record Type and Scope Responsible Department Retention Period Authority and Notes
Recruitment – Unsuccessful Applicants.  Includes CV's, covering letters, notes made   at interview, rejection letters. All 1 year Equality Act 2010 Code of Practice, Employment Statutory Code of Practice, Chapter 16,   CIPD records retention factsheet. 
    
Covering time of unsuccessful applicant to make a claim at Tribunal.
Personnel File.  Includes but is not limited to authorisation to recruit, application forms, CV, job descriptions, right to work, contract, performance, induction, appraisals, h&s training records, training records, annual and parental leave taken and parental leave payments. Records documenting the termination of employment either via resignation, redundancy, retirement, or dismissal. HR ACT+6 Limitation   Act 1980
Can include but not limited to training records, disciplinary records, working time, statutory sick pay, sick leave including self- certification, GP certificates. 
Disciplinary - Details of disciplinary's given to SGUL staff. HR Time in Force Discipline and Grievances at Work – ACAS and Data Protection Act 1998
Disciplinary and grievance case files.  Records relating to any cases bought by SGUL staff against the University. HR ACT+6 Limitation Act 1980
Employee Relations - individual staff responses.  Records containing identifiable responses to workplace surveys and consultations. HR Completion of analysis of responses JISC recommendation
    
Can be destroyed upon completing the analysis of the responses.
Employee Relations - results of workplace surveys.  Records containing anonymised results of   workplace surveys and consultations i.e. Pulse survey. HR ACT+5 JISC recommendation
HR Polices and codes of practice.  Records that document how key HR policies were developed and established. HR 10 years Organisation requirement
Restructuring events.    Creating new departments, merges, restructuring existing teams, terminating teams. HR ACT+6 Limitation Act 1980
Wages / salaries / payroll.    Records documenting calculation and payment of salaries and Includes   overtime, bonuses, expenses. HR Minimum:
Current tax year + 3 years   
Recommended
Current tax year + 6 years
Minimum:  SI 1999/584 Regulation 38(7) SI 2003/2682 Regulation 97(8)
Recommended: 
1970 c. 9 s 34
As cited by JISC
Wages / salaries / payroll.  SGUL salary bands. HR Permanent Organisation requirement
Trade union agreements.    Records documenting agreements with trade unions. HR Termination of agreement + 10 years Chartered Institute of Personnel and Development, Retention of HR records May 2021
    
As cited by JISC
Trade union.    Consultations, negotiations, and communications with trade unions. HR Last action on issue + 20 years JISC recommendation
Pension records.  Records   documenting an employee's pension contributions; opt in / opt out notices, and entitlements. HR ACT  + 12 Chartered Institute of Personnel and Development, Retention of HR records May 2021
Learning and development.  Records documenting the development of training and development   programmes to meet defined needs.   HR ACT + 5 JISC recommendation 
Learning and development.  Anonymised feedback from L&D events. HR ACT + 5 JISC recommendation 
Learning and development.   Feedback from participants at L&D events. HR Completion of analysis of feedback JISC recommendation 
Learning and development.   Welcome seminar / induction. HR ACT+5 JISC recommendation 
Learning and development.   Coaching and development reports i.e. MBTI. HR Disc Organisation requirement   
Dispose of once no longer required.
References supporting an employee's application for employment at another organisation. HR ACT+1 JISC recommendation 
Employee's basic details.    Includes address, next of kin, emergency contact, contact number. HR Superseded Data Protection Act 2018
Employee sick leave.    Records documenting an employee's sickness absence. HR ACT+40 Statutory sick pay manual for employers ca30  
As cited by JISC
Induction.  Records   documenting the development, overall delivery and assessment of induction programmes for new employees.  HR ACT + 5 JISC recommendation 
Contractors Work Permits and / or Passes.  Access to site, agreement of scope of work, contracted time on site. HR ACT+6 Limitation Act 1980
Information Management - Activities undertaken as part of managing the University Archives, records and the Library. 
Record Type and Scope Responsible Department Retention Period Authority and Notes
Archives - Records that document the development and establishment of SGUL policies for the management of the Archive. Archives & Special Collections Permanent Organisational Requirement    
Historical purposes.  Working papers created as part of developing policy can be disposed of 1 year after the adoption of the policy.
Archives - procedures   relating to the management of the Archive.  Archives & Special Collections Until superseded Organisational   Requirement  
All earlier versions should be disposed of once superseded.
Archives -  Archives   manual detailing archive operations Archives & Special Collections Until superseded Organisational Requirement    
All earlier versions should be disposed of once superseded.
Archives -  Reader   registration forms documenting access to and use of the Archive Archives & Special Collections 10 years Organisational Requirement
Archives - Reading room visitor logs Archives & Special Collections 7 years    Organisational Requirement
Archives - Enquiry logs Archives & Special Collections Permanent Organisational Requirement    
Retain as finding aid for historical enquiries
Archives - Enquiry records – standard enquires Archives & Special Collections 10 years Organisational Requirement
Archives - Enquiry records – enquiries of historical significance Archives & Special Collections Permanent Organisational   Requirement    
The Archivist determines what enquiries will be deemed historical
Archives - Request slips documenting the name the reader, the   material consulted and the date.  Used for security and statistical   purposes.   Archives & Special Collections 7  years Organisational Requirement
Archives - Self-service photography forms documenting agreement on how photographs in the Archive will be used. Archives & Special Collections 7 years Organisational Requirement
Archives - Copyright declaration forms.  Activities undertaken to ensure SGUL is in   compliance with the Copyright, Designs & Patents Act 1988. Archives & Special Collections ACT+6 Limitation Act
Archives - Copyright licence agreements.  Activities undertaken to ensure SGUL is in   compliance with the Copyright, Designs & Patents Act 1988. Archives & Special Collections ACT+6 Limitation Act    
Life of agreement plus 6 years.
Archives - Accessions register.    Records detailing the development of the SGUL Archive including   receiving and appraising archives.    Includes de-accession and disposal. Archives   & Special Collections Permanent Organisational Requirement    
Historical and collections management purposes
Archives - Deposit/donor agreements.  Records detailing the development of the   SGUL Archive including receiving and appraising archives Archives & Special Collections Permanent Organisational Requirement    
Historical and collections management purposes
Archives - Records location register.  Activities undertaken to track the location  of the content of the Archive. Archives & Special Collections Permanent Organisational Requirement    
Security purposes
Archives - Loan records. Activities undertaken to track the   location of the content of the Archive. Archives & Special Collections Permanent Organisational Requirement
Historical purposes
Archives - Conservation surveys and register.  Records covering activities undertaken to preserve the physical condition of the Archive. Archives & Special Collections Permanent Organisational Requirement
Collections care purposes
Archives - Successful Archive funding applications.  Records detailing activities undertaken to obtain external funding for the development and promotion of the Archive. Archives & Special Collections ACT+6 Limitation Act
Archives - Unsuccessful Archive funding applications.  Records detailing activities undertaken to obtain external funding for the development and promotion of the Archive. Archives & Special Collections 3 years Organisational Requirement
Archives - Archive project files.  Records detailing special projects undertaken by the Archivist.  Archives & Special Collections Permanent Organisational Requirement    
Historical and collections management purposes
Library - Collection management Information Services 10 years Organisational Requirement
Library - Loans records Information Services ACT+1 Organisational Requirement
Library - Inter-Library loans forms.  Tracking loans acquired from libraries other than SGUL. Information Services 1 year Organisational Requirement
Library - Contract management.    Management of contracts for databases and subscriptions. Information Services ACT+6 Limitation Act 1980
Library - Library policies.  Collection policies, selection criteria. Information Services Permanent Organisational Requirement
Library - Copyright.    Copyright declaration forms, CLA audits, logs of copying carried out   under the CLA license. Information Services ACT+6 Limitation Act 1980 c58 s5
Library - journal management.    Records relating to the management of the journals collection   including cancellation letters. Information Services 2 years Organisational Requirement
Records Management - Disposal of records.  Records associated with disposing time   expired records including authorisation to destroy, destruction requests i.e. to Facilities or offsite storage, destruction certificates, and metadata stubs.  GLAS ACT  + 25 JISC    
Records documenting the review of individual records to determine requirements for ongoing retention, where records are disposed of.
Records Management - Organisation, classifying, and describing records.  Development of file plans, metadata schemes, classification schemes. GLAS Superseded Organisational Requirement
Records Management - Records Retention Schedule - final   version.  Requirements by SGUL to   retain records for set periods of time to meet their legal and regulatory   obligations. GLAS Permanent JISC    
Retaining superseded versions of the retention schedules provides evidence of the basis for disposal of records over time as the legal and regulatory   environment change and organisation requirements evolve.
Records Management - vital records.  Register of vital records  GLAS Active JISC    
Also known as critical records
Information Systems - Records documenting the operation of SGUL information systems
Record Type and Scope Responsible Department Retention Period Authority and   Notes
Records documenting IT systems.    
Design, development, testing, commissioning systems, installing systems, updating the system, and decommissioning the system.
IS ACT+5 JISC recommendation 
Records documenting the monitoring of SGUL information systems performance    
Testing systems, documenting faults reported, actions taken to resolve issues
IS ACT+1 JISC recommendation 
Records documenting the monitoring of SGUL information systems performance    
System data storage, backup data, archiving, routine deletion, requests to recover data
IS ACT+1 JISC recommendation 
System monitoring    
Records documenting actions taken to investigate and resolve system faults
IS Last action on fault + 1 year JISC recommendation 
System monitoring    
Records documenting monitoring of systems taken place to ensure compliance with SGUL policies
IS CY + 1 JISC recommendation 
System security - Records documenting security arrangements for SGUL systems. IS Decommissioning   of system + 5 years JISC recommendation 
System access - user accounts    
Records documenting maintaining user accounts  - opening, maintenance and closure of user   accounts
IS Closure of account + 1 year  JISC recommendation 
System development - Records documenting the development,   post-implementation modification and maintenance of systems. System owner Decommissioning of system + 5 years JISC recommendation 
Legal - Records documenting the management of SGUL’s legal affairs.  
Record Type and Scope Responsible Department Retention Period Authority and Notes
Advice provided to SGUL by either the SGUL General Counsel or external counsel or solicitors GLAS ACT+6 Limitation Act 1980
Litigation - Records generated when managing proceedings between   SGUL and external parties. GLAS ACT+6 Limitation Act 1980 c. 58 ss 2 and 5
    
Records that don't set a precedent and are not significant.  Where a legal precedent is set or when the   litigation is determined by the General Counsel to be significant the records should be transferred to the Archives 
Contracts and agreements - negotiating, creating, maintaining contracts and agreements between SGUL and third parties. GLAS ACT+6 Limitation Act 1980 c. 58 s 5
Where it is determined by SGUL General Counsel to be a significant contractual relationship  the records may be transferred to the Archives after the contract term has ended. 
Contracts and agreements - under seal.    
Negotiating, creating, maintaining contracts, agreements, patents and legal instruments between SGUL and third parties.
GLAS ACT+12 Limitation Act 1980 1980 c. 58 s 8
Deeds of title for property owned by SGUL GLAS Permanent Organisation Requirement    
Transfer to the Archives.  Originals   (where available) held with SGUL retained law firm - presently Mills &   Reeve
Licence agreements - Software licences for SGUL systems IS ACT+6 Limitation Act 1980 c. 58 s 5    
Can include license requirements, acquisition of licenses, and compliance with licensing conditions
Insurance policies - Records detailing the arrangement, scope, and renewal of insurance policies Finance ACT+6 Limitation Act 1980 c. 58 s 5
Insurance claims
Claims, and the outcomes of claims, against insurance policies.
GLAS ACT+6 Limitation Act 1980 c. 58 s 5
Employee liability insurance certificates Finance ACT+40 The Employers' Liability (Compulsory Insurance) Regulations 1998 SI 1998/2573 Regulation 4(4)
Whistleblowing.  Records   relating to cases of whistleblowing at SGUL Legal ACT+6 Limitation Act 1980
Patents - Evidence and protection of the intellectual property   of the company JRES  ACT+6 Limitation Act 1980   
Review for transfer to the Archives
Patents - Administration of patent licensing agreements and fee   collection. JRES ACT+6 Limitation Act 1980
Estate management - property    
Managing the ownership or use of land or buildings through leases
Estates and Facilities  Expiry of lease + 15 years Limitation Act 1980 1980 c. 58 s 14B
Quality Management - Records demonstrating managing overall quality at SGUL
Record Type and Scope Responsible Department Retention Period Authority and Notes
Erasmus scheme.  Records detailing finance, learning, and mobility agreements  Quality and   Partnerships Final report + 5 years British Council’s ERASMUS Mobility Operational Handbook.    
Legacy records
Turing scheme.  Records detailing finance, learning, and mobility agreements. Quality and   Partnerships Final report + 5 years British Council’s ERASMUS Mobility Operational Handbook.
Records regarding the conduct and results of quality audits.  Records include planning and conducting audit investigations; producing and delivering audit reports; reviewing and responding to audit reports. Quality and   Partnerships Completion   of audit + 3 years JISC recommendation 
Records documenting the attainment and maintenance of the institution's accreditation under established independent quality management   schemes.  Activities include: applying  for accreditation; liaising with accreditation bodies; facilitating   inspections/audits by accrediting bodies. Quality and   Partnerships Termination   of accreditation + 1 year JISC recommendation 
Research - Records generated from SGUL research activities. Clinical trial data should be managed according to the guidance set out by JRES in the Archive SOP. Legal and regulatory requirements and funders terms and conditions should be followed. Researchers who find that their research outputs don't fall into one of the categories listed in the SOP should contact either JRES, Research Data Support Manager, or the Records Manager for advice. 
Record Type and Scope Responsible Department Retention Period Authority and Notes
Research  - strategy    
Outputs from Research Strategy Committee including records documenting the development of SGULs research strategy
Responsible   Institute ACT+10 JISC Recommendation    
Archivist to review for permanent retention in the Archives.
Research - policy    
Key policy documents detailing the development, establishment, and   dissemination of SGUL research policies
Responsible   Institute ACT+10 JISC Recommendation    
Archivist to review for permanent retention in the Archives.
Research - protocols and procedures.    
Conduct of research funded by the Medical Research Council including  developing and amending protocols and procedures, identifying, reviewing and resolving issues and risks, ensuring protocols and procedures are followed.
Responsible   Institute ACT+20 Medical Research Council "Good Research Practice : Principles and Guidelines" July 2012    
Archivist to review for permanent retention in the Archives.
Animal research - Animal health records, lab books, records of   source, use, and disposal of animals used in procedures, licence records, procedures, and inspector reports BRF MIN5 Animals (Scientific Procedures) Act 1986
Animal research - AWERB.    Records of advice given by AWERB and records of decisions taken as a   consequence. BRF MIN3 Guiding principles on good practice for Animal Welfare and Ethical Review Bodies   Sept. 2015
Research funding - records detailing applications for successful funding Responsible   Institute ACT+6 Limitation Act 1980
REF - Research Excellence Framework - REF working group /  steering group outputs including minutes, agendas, and papers JRES 10 Organisational requirement
REF - Research Excellence Framework - External REF records including consultation and correspondence with Research Councils JRES 10 Organisational requirement
REF - Research Excellence Framework - Internal REF records including processes and submission preparation JRES 10 Organisational requirement
REF - Research Excellence Framework - Final submissions  JRES Permanent  Organisational requirement    
Transfer to Archives
Students - Records detailing the delivery of SGUL's academic programmes and relationship with students
Record Type and Scope Responsible Department Retention Period Authority and Notes
Student records - core student record    
Student name, student ID, current address, DOB, course start and end dates,   date of graduation, course, assessments and results contributing to final   transcript, prizes or distinctions, award, enrolment status.
Registry Permanent Organisation requirement    
The core student record is to be retained permanently allowing SGUL to   provide references and confirm awards; additionally there is a requirement to   transfer these records to the Archive in order to ensure the continued  documentation of the history of SGUL.  
Criteria for admission to SGUL.  Records detailing admissions criteria and how they are applied Registry Superseded + 10 years JISC Recommendation
Prospective students Registry Current academic year + 1 year JISC Recommendation
Successful applications - supporting records including   application forms, qualifications, transcripts, references, MMI results,   interview notes, proof of identify, offer letters, student contact details Registry ACT+6 Limitation Act 1980
Unsuccessful applications to SGUL or applicants who do not enrol.  Records include application forms, interview notes, correspondence with applicant, declined or withdrawn applications, transcripts, references, outcome letters, offer letters  Registry ACT+1 SI 2006/1031 Regulations 23, 39 and 42  
SI 2003/1660 Regulations 20, 31 and 34
SI 2003/1661 Regulations 20, 31 and 34
Disclosure and Barring Service (DBS) certificate and certificate information Registry 6 months Guidance Handling of DBS certificate information - Disclosure and Barring Service
Student complaints - where procedure is not initiated. GLAS Last action on complaint + 3 years JISC Recommendation
Student Disciplinary Case Handling.  Records of disciplinary proceedings against students for breaches of SGULs academic regulations or misconduct including the conduct and outcome of proceedings, notice of appeals, reports,   submissions, and correspondence. GLAS Last action on case +   6 1980 c. 58 s 5
Student Academic Appeal Handling.  The activities involved in handling appeals   by students against academic decisions. GLAS Last   action on case + 6 years 1980 c. 58 s 5
Records detailing actions taken during a fitness to practice process. GLAS ACT+6 Limitation   Act 1980    
GMC Professional Behaviour and Fitness to Practice Guidelines state 'The medical school should keep student records until the graduate gets full registration with the GMC'.
Requests for requests and transcripts Registry Last   action on request + 1 JISC Recommendation
Students accommodation file - successful.  Includes application form, student   information, disability information, allocation letter, finance including deposit, and tenancy agreement. Estates ACT+6 Limitation Act 1980
Students accommodation file - unsuccessful applications for accommodation or withdrawn applications. Estates 1 year Organisation requirement
Counselling Service - Records recording details of counselling offered to SGUL students and staff. Counselling  Services ACT+6 Limitation Act 1980
Records detailing organising and administrating graduation ceremonies. ERCM Completion of ceremony + 1 year JISC recommendation    
Transfer significant records i.e. photographs, program to the Archives.
Student finance - loans.   
Records detailing the administration of students including confirming   students are registered at SGUL.
Registry ACT+6 Limitation Act 1908
Student finance - aid - applications for financial aid including application, correspondence, and details of funds allocated Registry ACT+6 Limitation Act 1908
Student finance - aid - rejected applications for financial assistance Registry ACT+6 Limitation Act 1908
Student finance - bursaries / grants.    
Records containing applications, assessments, correspondence, minutes from decision meetings, outcomes
Registry 6 years JISC recommendation
Student finance - scholarships.    
Records containing applications, assessments, correspondence, minutes from decision meetings, outcomes.
Registry 6 years JISC recommendation
Tier 4 sponsorship Registry 1 year from end of sponsorship or the date on which a compliance officer has approved the documentation (if this is less) UKVI guidance
Examinations - Records detailing selection and appointment of examiners. Registry ACT+1 JISC Recommendation
Examinations - Exam board:    arranging Board meetings; preparing papers for Board meetings; recording decisions of Board meetings; taking/co-ordinating action to be carried out as a result of Board decisions. IMBE Current academic year + 6 years Limitation Act 1980 c. 58 s 5
The activities involved in administering assessments.  Includes: timetabling examinations; organising examination facilities;   monitoring attendance at examinations and reporting mitigating circumstances   and absences to academic departments; marking examination scripts; collating  results; issuing pass lists and individual notifications of examination results; monitoring submission of assessed coursework and reporting problems   to academic departments; administering the submission and examination of   postgraduate theses. Registry Current academic year + 1 year JISC Recommendation
The activities involved in administering assessments.  Competency/Placement Assessment Documents   (CADs and PADs).  IMBE Current academic year + 1 year JISC Recommendation
The activities involved in administering assessments.  Unconfirmed marks. Registry 6 months Organisation requirement.     
To ensure information is available for the Board of Examiners and in event of a challenge
Mitigating circumstances.    Records documenting mitigating circumstances claims including   reviewing original marks; considering mitigating circumstances; evidence submitted; informing students of decisions on appeals. GLAS Last action on case + 6 years 1980 c. 58 s 5
Compiling the HESA Student Return and HESA Continuing Education Student Return.  Student and staff data   collected to contribute to HESA surveys. Planning Permanent Organisation requirement
Compiling the HESA Student Return and HESA Continuing Education Student Return.  Final version of the   information submitted to HESA Planning Permanent Organisation requirement
Academic program and policy.  Records documenting the development of SGUL academic policies including developing and consulting on policy proposals, reviewing, approving, and disseminating policy. IMBE ACT+5 JISC recommendation.    
Archivist to review for permanent retention in the Archives.
Handbooks and regulations.  General Regulations for Students and Programmes of Study and study   handbooks Registry Until superseded Organisation requirement.    
Transfer superseded records to the Archives
Academic programs.    Records documenting accreditation of modules from professional or   statutory bodies Quality &   Partnership Until superseded Termination of accreditation + 1 year
Academic programs - administration.  Records include teaching timetables, class lists, monitoring student attendance, monitoring student compliance with   submission timetables IMBE ACT+3 JISC recommendation
Patient consent forms granting consent to film consultation for   educational purposes IMBE Life of programme + 1 year Organisation requirement
Teaching - strategy.    Records documenting SGULs teaching strategy.  Includes requirements, proposals,   consulting on strategy with committees, endorsing and disseminating strategy   documents  Registry ACT+10 JISC recommendation    
Archivist to review for permanent retention in the Archives.
Teaching - student feedback.  Internal reviews of teaching modules including reports, evaluation criteria, and action plans.  Final   report. IMBE Life of programme + 1 year JISC recommendation
Teaching - student feedback.  Completed questionnaires / survey / feedback forms from students. IMBE Completion of analysis of feedback JISC recommendation
Teaching - course development.  Records documenting the design and development of (modules of) taught programmes. IMBE Life of programme + 10 years JISC recommendation.    
Archivist to review for permanent retention in the Archives.
Student placement records IMBE ACT + 6 Limitation Act    
If a professional registration body requires a longer retention period this will override the period specified in the retention schedules.

 

 

 

 

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