Retention schedules

Summary of the main changes between versions 10.0 and 11.0

• Schedule 11 updated to reflect the new requirement from the OfS on the retention of student assessments
• Various schedules updated to reflect changes to the length of time records are required for REF purposes
• Various schedules updated to reflect activities no longer performed by UoP (i.e. Nursery, Occ Health)
• Schedule 9 updated to show new records now being created following the opening of the Ravelin Sports Centre

Summary of the main changes between versions 9.0 and 10.0

• Schedule 1 now includes PUWER and LOLER records
• Schedule 6 updated to reflect the HRF project, eOPAS project and changes to UKVI post-Brexit
• Schedule 11 updated for current status of SITS project

Summary of the main changes between versions 8.0 and 9.0

• Schedule 6 now includes furlough records and visitor files
• Schedule 11 now includes bursaries
• Schedule 2 now includes TEF
• Several changes of DSAA terminology (e.g. programme to course, unit to module, ASQERs to EQuIPs)

Summary of the main changes between versions 7.0 and 8.0

• A new schedule 13 has been created specifically to cover Subsidiary Records
• Schedules 6 & 11 have been amended to reflect clarified UKVI audit timescales
• Schedule 2 now includes REF and KEF

Summary of the main changes between v6.0 and v7.0

The schedules are now on brand and disability accessible

Several new record areas have been identified

• Schedule 5 – Financial Records
• Schedule 6 – HR Records (please note there are still further updates pending to this section)
• Schedule 9 – Services and Student Support Records

Summary of the main changes between v5.0 and v6.0

• Schedule 5 – Finance Records, EU funding
• Schedule 7 – Project Records
• Schedule 9 – Services and Student Support Records, Residential Services & Student Housing

Please note: This version of the schedule will be revised again following the current major IT change projects currently underway.

Summary of the main content changes between v4.0 and v5.0:

• Schedule 5 – Finance Records, driver's declaration forms
• Schedule 6 – Human Resources Records, all sections relating to UKVI
• Schedule 7 – Project Records, research consent forms
• Schedule 9 – Services and Student Support Records, new link for NHS schedule
• Schedule 11 – Student and Course Records, UAB minutes

Summary of the main content changes between v3.0 and v4.0:

In v3.0 additional columns were added to each schedule to indicate where the master record should be held; where old records may be found, if not in the master location; whether a record is published and RAG statuses for records requiring extra thought or attention. In v4.0, the information in these columns is now about 85% complete across the schedules. The completion of these columns has resulted in a major overhaul of much of the retention schedule with too many amendments to be listed on this page. It should be noted that the information given in these columns reflects the "as is" picture. The "as should be" guidance will be developed over the next few iterations of the retention schedule.

Summary of the main content changes between v2.0 and v3.0:

• Schedule 5 - Finance Records, all sections
• Schedule 6 - Human Resources Records, all sections
• Schedule 7 - Project Records, section on research projects
• Schedule 9 - Services and Student Support Records, sections on student housing and residential services
• Schedule 11 - Student and Course Records, sections on assessed work - particularly records of exam attendance and submission of coursework following the QAA audit

Format changes:

Additional columns have been added to each schedule to indicate where the master record should be held; where old records may be found, if not in the master location; whether a record is published and RAG statuses for records requiring extra thought or attention. Information in these columns is only about 10% complete across the schedules and further work will undertaking in the coming year to fill in the many gaps. The RAG statuses are an indication only.

First formally published version.

Consultation version.

1.1 Estates Legal Records

1.2 Corporate Assets

1.2.1 Maintenance Records

1.2.2 Registers, Reports and Plans

1.2.3 Environmental Management

1.2.4 Physical Security

1.2.5 Asset Tracking

1.3 IT Hardware and Software

1.3.1 System Maintenance

1.3.2 User Support

2.1 Programme Quality, Monitoring and Review

2.1.1 Committees

2.1.2 Excellence and Quality Improvement Plans (EQuIPs) and Annual Standards and Quality Evaluative Reviews (ASQERs)

2.1.3 Periodic Reviews of Curriculum

2.1.4 External Examiners

2.1.5 Validation and Accreditation by Professional, Statutory and Regulatory Bodies (PRSBs)

2.1.6 QAA Audits

2.1.7 Student Feedback

2.1.8 Peer Review

2.2 Internal Audits

2.3 External Audits

2.3.1 Audits by the External Auditor

2.3.2 Financial Audits (HMRC)

2.3.3 Office for Students (OfS) Audits

2.4 Health and Safety Audits

2.5 Environmental Audits

2.6 Framework Submissions and Concordats

2.6.1 Research Excellecne Framework (REF)

2.6.2 Teaching Excellence Framework (TEF)

2.6.3 Knowledge Excellence Framework (KEF)

2.6.4 Concordats

2.7 Non-academic Accreditation and Validation

2.7.1 General Accreditations and Validation

2.7.2 Equality and Diversity Accreditations

3.1 Management, Organisation and Committee Structures

3.2 Board of Governors' Committees

3.3 Committees, Working Groups and Meetings

3.3.1 University Level

3.3.2 Faculty, Professional Service, Support Service Level

3.3.3 Department, School, Team Level

3.3.4 Programme Level

3.3.5 Assessment Level

3.3.6 Project Level

3.3.7 Ethics Committees (All Levels)

3.4 Ad-Hoc Meetings

3.5 Subsidiary Company Committee and Board Meetings

4.1 Surveys, Feedback, Evaluation Forms and Market Research

4.1.1 Events and Training Evaluation

4.1.2 Market Research

4.2 Public Relations

4.3 Media Relations

4.4 Recruitment and Outreach

4.5 Alumni Relations

4.6 Publications and Promotional Materials

4.6.1 Corporate Identity

5.1 Procurement

5.1.1 Identification and Vetting of Potential Suppliers

5.1.2 Selection of Suppliers

5.1.3 Management of Supplier Relationships

5.1.4 Monitoring of Supplier Performance

5.2 Purchasing

5.2.1 Authorisation of Purchasing (historical)

5.2.2 Placing of Orders

5.2.3 Taking Delivery of Goods and Services

5.3 Accounting for Expenditure

5.4 Accounting for Income

5.5 Internal Recharges

5.6 Payroll Administration

5.6.1 Processing of Statutory Deductions from Salaries and Wages

5.6.2 Payroll Reports

5.6.3 Employment Related Tax Liabilities

5.6.4 Statutory Leave Entitlements – Pay Records

5.6.5 Employee Payroll File

5.6.6 Casuals – Pay Records

5.7 Financial Planning

5.7.1 Preparation of Financial Forecasts

5.7.2 Preparation of Capital and Revenue Budgets

5.8 Management Accounting

5.8.1 Financial Analysis

5.9 Cash Management

5.10 Tax Management

5.10.1 Assessment of Tax Liabilities

5.10.2 Statutory Tax Returns and Accounts

5.11 Capital Asset Management

5.11.1 Maintaining Asset Registers

5.11.2 Controlling the Official Movement of Assets

5.12 Investment Management

5.12.1 Acquisition/Disposal of Investments

5.13 Insurance Management

5.13.1 Maintenance of Insurance Policies

5.13.2 Filing Claims Against Insurance Policies

5.13.3 Driver Declarations

5.13.4 Evidence of Travel Insurance for Visas

6.1 Recruitment

6.1.1 Administration and Advertisement

6.1.2 Applications and Selection

6.1.2.1 PTHP Bank

6.1.3 Points Based Immigration System

6.1.4 Disclosure and Barring Records

6.1.5 Pre-employment Screening

6.2 Staff Records and Staff Files

6.2.1 Staff Enquiries

6.2.2 Staff Files

6.2.3 Staff Records

6.2.4 Leave Records

6.2.5 Sickness Absence

6.2.6 General Staff Health Records

6.2.7 Termination of Employment

6.3 Induction, Probation and Personal Development

6.3.1 Personal Induction

6.3.2 Probation Records

6.3.3 Appraisals

6.3.4 Individual Training Needs Assessments and Records of Training Received

6.3.5 Development Support Records

6.4 Grievance and Discipline

6.4.1 Appeals

6.5 Remuneration and Reward

6.5.1 Pay and Grading

6.5.2 Awards

6.5.2.1 Contribution Awards & Merit Increase Awards (historic)

6.5.2.2 Recognition Awards

6.5.2.3 Long Service Awards

6.5.3 Furlough Scheme

6.6 Pensions

6.7 Industrial Relations

6.8 Affiliates

6.8.1 Emeritus, Honorary, Sponsored

6.8.2 Visitors

6.8.3 Secondee

7.1 Project Management

7.1.1 University Projects (managed under a formal framework, e.g. Agile or PRINCE2)

7.1.2 Local Projects (not managed under a formal framework)

7.2 Estates Capital Projects

7.3 Research & Innovation Projects

7.3.1 Research and Innovation Proposals and Funding Bids

7.3.1.1 Unsuccessful Proposals – Where the proposal is not likely to be re-submitted

7.3.1.2 Unsuccessful Proposals – Where the proposal is likely to be re-submitted

7.3.1.3 Successful Proposals – Externally funded

7.3.1.4 Successful Proposals – Self or UoP funded

7.3.2 Research & Innovation Data and Related Project Documentation

7.3.3 Published Research

8.1 Risk Management

8.2 Declarations of Interest and Declarations of Corporate Gift and Hospitality

8.3 Safeguarding

8.3.1 Disclosure and Barring (DBS) Administration

8.3.2 Criminal Conviction Information (Staff and Students)

8.3.3 Equality & Diversity

8.4 Litigation

8.4.1 Legal Cases

8.4.2 Documented Legal Advice Provided for the University on Specific Topics

8.5 Complaints

8.6 Health and Safety

8.6.1 General Health and Safety

8.6.2 Display Screens

8.6.3 Accidents and First Aid

8.6.4 Fire Safety

8.6.5 Out of Hours Risk

8.6.6 Students

8.6.6.1 Field Trips

8.6.6.2 Student Placements

8.6.7 Staff and Contractors

8.6.8 Asbestos

8.6.9 Hazardous Substances

8.6.10 Lead

8.6.11 Noise

8.6.12 Ionising Radiation

9.1 Library Records

9.1.1 General Library Records

9.1.2 Enquiries

9.1.3 Membership

9.1.3.1 Student Borrowing Records and Contact Details

9.1.3.2 "Referred to Finance" Cases

9.1.3.3 Distance Learners

9.1.3.4 External Readers

9.1.3.5 Staff and Contractor Borrowing Records and Contact Details

9.1.4 University Archive and Special Collections

9.2 Sport and Recreation

9.2.1 Membership and Usage

9.2.2 Services

9.2.2.1 Individual Client Records

9.2.2.2 Swim Services

9.2.3 Clubs and Societies

9.2.4 Schemes and Programmes

9.2.4.1 Coach Education Programme (historical)

9.2.4.2 Campus Sports Programme

9.2.4.3 Sports Scholarship Scheme

9.2.4.4 Outreach

9.3 Dental Clinic & Optometry Clinic Records

9.3.1 Dental Clinic

9.3.2 Optometry Clinic

9.4 Nursery

9.4.1 Childcare Policies and Procedures

9.4.2 Administrative Records

9.5 Additional Support and Disability Advice Centre (ASDAC)

9.6 Student Wellbeing

9.7 Chaplaincy

9.8 Residential Services

9.8.1 Individual Residents

9.9 Student Housing

9.9.1 Registration Scheme for Landlords

9.9.2 Guidance for Students

9.10 Student and Neighbour Liaison Service

9.11 Student Finance

9.12 Law Clinic records

9.14 Employability Service

10.1 Board of Governors

10.1.1 Legal Framework and Terms of Reference

10.1.2 Governors: Personal Records

10.1.3 Governors: Administrative Records

10.1.4 The Chancellor

10.2 Strategies, Strategic Plans and Management Plans

10.3 Policies and Procedures

10.3.1 Policies – Final Versions

10.3.2 Procedures – Final Versions

10.3.3 Working Papers and Drafts

10.3.4 Equality Impact Assessments

10.3.5 Implementation

10.4 Annual Reports

10.5 Student Charter

10.6 Statistics

10.6.1 Statutory Returns

10.6.2 Other Statistics

10.7 Contracts and Licences

10.7.1 Non-academic Contracts and Licences

10.7.2 Collaborative Programme Contracts

10.7.3 Research Contracts

10.7.4 Student Placements and Training Agreements

10.7.5 Validation and Accreditation Contracts

10.7.6 International Contracts and Sponsorship Licence

10.8 Information Governance

10.8.1 Data Protection

10.8.2 Freedom of Information and Environmental Information

10.8.3 Appeals to the Information Commissioner's Office

10.8.4 Public Interest Disclosure (Whistleblowing)

10.8.5 Records Management

10.8.6 Information Security and Monitoring

10.8.7 User Accounts, Access Permissions and Identity Management

10.9 Records of Subsidiary Companies

11.1 Admissions

11.1.1 Administration of Admissions

11.1.2 Admission Records

11.1.3 Recognition of Prior Learning

11.1.4 Points Based Immigration System

11.1.5 Disclosure and Barring Records

11.2 Registration and Invoicing

11.2.1 Bursaries, Sponsorships and Funds

11.3 Student Records and Files

11.3.1 Student Records

11.3.2 Student Files

11.3.3 Transcripts, Parchments and Validation Records

11.3.4 General Misconduct

11.4 Development and Supervision Records

11.4.1 Placements & Volunteering

11.5 Student References

11.6 Assessments

11.6.1 Administration of Assessments

11.6.2 Assessed Work

11.6.2.1 Dissertations Made Available to Other Students

11.6.3 Higher Postgraduate Degrees

11.6.3.1 Taught Masters

11.6.3.2 Research Degrees

11.6.3.3 Viva

11.6.3.4 Higher Degrees by Publication and Higher Doctorate (historic)

11.6.4 Feedback to Students

11.6.5 Module Assessment Boards (formerly Unit Assessment Boards)

11.6.6 Boards of Examiners

11.6.7 Extenuating Circumstances

11.6.8 Academic Appeals

11.6.9 Academic Misconduct

11.7 Course Records

11.7.1 Course Approval

11.7.2 Course Specification (formerly Programme Specifications)

11.7.3 Course Structure

11.8 Module Records (formerly Unit Records)

11.9 MyPort

11.9.1 Student Handbooks (historic)

11.10 Course Materials

11.11 Timetables

11.12 Graduation

11.13 Quality and Validation

12.1 Training Sessions and Events

12.1.1 Records Relating to the Provision of Health and Safety Training

12.1.2 Subsidiary Company Training Records

12.2 Catering Services

12.3 Conferences and Lettings

13.1 Subsidiary Asset Management Records

13.2 Subsidiary Audit Records

13.3 Subsidiary Board Records

13.4 Subsidiary Communications & Marketing Records

13.5 Subsidiary Financial Records

13.5.1 Tax Management Records

13.5.1.1 Assessment of Tax Liabilities

13.5.1.2 Statutory Tax Returns and Accounts

13.5.2 Banking Records (UoPM)

13.5.3 Accounting Records (China)

13.6 Subsidiary HR Records

13.7 Subsidiary Project Records

13.8 Subsidiary Risk Management Records

13.9 Subsidiary Services & Student Support Records

13.10 Subsidiary Strategy & Governance Records

13.11 Subsidiary Student & Course Records

13.12 Subsidiary Training & Event Records

13.12.1 ASTA Training Records