University Retention Schedules

St George's Retention Schedules

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. DPA 2018 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. DPA 2018 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 2018. 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	Marketing, Student Recruitment and Admissions	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
Assessed work. As part of the Office for Students approach to assessing compliance with this condition including for students who are no longer registered on a course we are expected to retain appropriate records of students’ assessed work for such regulatory purposes for a period of five years after the end date of a course.	Registry	5 years	Office for Students (OfS) requirement.
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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