Document Retention Policy - Ayrshire College · account of any amendment or deletion that would have been made regardless of the ... Centenary Trust Document Minimum Retention Period

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KILMARNOCK COLLEGE

Policy Number: KC/QM/021

Date of Issue: November 2009

Revision Number: 0

Date of Approval: September 2009

Responsibility for Review: Vice Principal

Date of Last Review: October 2009

Date of Next Review: October 2010

Impact Assessment: Yes

Document Retention Policy

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Contents 1 General Introduction 2 2 Reasons for Retaining a Document 3 3 Final Review 4 4 Freedom of Information (Scotland) Act 2000 4 5 Data Protection Act 1998 4 6 Destruction of Records 5 7 Records Prior to 2004 5 Appendix 1 Document Retention Periods

Learning and Teaching 6 Marketing / PR / Events / Centenary Trust 6 Strategic Planning / Board of Management 7 Assessment and Examinations 7 Staff 8-9 Students / Student Association 10 Quality Management Documentation 10 Procurement 11 Learning Resource Centre 11 IT 12 Premises / Estates 12 Health and Safety 13 Plant and Equipment Maintenance 14 Waste Management 14 Internal Services / Security 14 Financial 15 Intellectual Property Management 17 European Projects Documentation 17

Appendix 2 Procedure for Archiving Documentation 19 Appendix 3 European Documentation 20

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1 General Introduction

The Document Retention Policy provides information and guidance relative to the retention of:

Learning and Teaching

Marketing / PR / Events / Centenary Trust

Strategic Planning / Board of Management

Examinations

Staff

Students / Student Representative Council

Procurement

Learning Resource Centre

IT

Premises / Estates / Insurance

Health and Safety

Plant and Equipment Maintenance

Waste Management

Internal Services / Security

Financial

Intellectual Property Rights

European Projects Documentation

The Document Retention Policy does not in all cases specify retention periods because these depend on the individual content and importance of the document. Therefore the Policy has been designed to give the reviewer the basis on which to consider the reasons for retaining any document. Appendix 1 gives details of retention periods relevant to Kilmarnock College. It is intended that Appendix 1 remains a working document and any omissions from the Appendix should be notified to the Vice Principal. Appendix 2 sets out the procedure for archiving documentation. Documents may be retained within the area from which it has originated, or be sent off-site for storage.

2 Reasons for Retaining a Document

(a) The document still has a use or business purpose.

Where Kilmarnock College still has a use for a document, it should be retained until no longer of use. This will normally be obvious but, if in doubt, check with the originator of the document, or with the Vice Principal.

(b) There is an applicable Statutory Minimum Retention Period

In some cases Parliament has set specific minimum time periods for retaining certain documents. Where there is a special statutory minimum period, the document must be retained for at least this period. Some of the relevant statutory minimum retention periods are set out in Appendix 1. Any other statutory minimum

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retention periods that are relevant to the documents that Kilmarnock College holds must be provided to the Vice Principal.

(c) The document is relevant to an outstanding claim or current litigation, arbitration or investigation

If a document is relevant to an outstanding or likely claim, arbitration or litigation, the document must be retained. Please contact the Vice Principal before destroying any document that may be subject to such action.

(d) Does the document have evidential value for a possible claim, litigation,

arbitration or investigation?

These prescriptive periods (the time limits within which a legal action must be brought) are relevant. Legal actions raised against Kilmarnock College are a possibility. Therefore the reviewer should consider whether any document could be used to support or oppose a position in an investigation, arbitration or litigation. If so, the document should be retained until that possibility has expired. Advice on prescriptive periods can be sought from the Vice Principal.

(e) Could the document be relevant in an Audit?

In some cases external bodies have the right to audit the actions and decisions of Kilmarnock College. For example, SFC has a right to audit use of funds provided by it up to three years after the funds were provided. Where a document is or might be required for an audit, it must be retained until the audit right has expired. Where audits are likely to take place and records are required to be retained for longer periods, this should be notified to the Vice Principal.

(f) Is the document a management document, or a policy or procedure, or

standard terms and conditions (eg staff handbook, disciplinary procedures)?

All high level management documents evidencing decisions, and one copy of each version (together with the dates it was in use) of all policies and procedures, should be retained. Authorisation prior to destruction should be sought from the Vice Principal.

3 Final Review

If questions 2(a) to (f) above do not apply, and there is no reason to retain a document, it should be destroyed under the provisions of this Policy. Where the reviewer is in any doubt about the destruction of a document, advice should be sought from the Vice Principal. In the case of any document of potentially historical or other significance, Kilmarnock College may apply to archive this at the Scottish Records Office.

4 Freedom of Information (Scotland) Act 2002

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Under the Freedom of Information (Scotland) Act 2002, Scottish Ministers have issued a code of practice providing guidance to Scottish public authorities as to the practice which it would be desirable for the authorities to follow in connection with the keeping, management and destruction of records. Although not mandatory, following this code would provide a strong defence in the case of complaints. The Document Retention Policy will continue to be reviewed to ensure Kilmarnock College complies as far as practicable with the guidance given in this code of practice.

5 Data Protection Act 1998

Under the Data Protection Act 1998, individuals have the right to request a copy of any information held about them. In general they are entitled to receive a copy of the information held about them as at the date of receipt by Kilmarnock College of the request for information (Subject Access Request). However the information that Kilmarnock College provides in response to a Subject Access Request may take account of any amendment or deletion that would have been made regardless of the receipt of the request. Therefore, outstanding Subject Access Requests that have not yet been processed do not require to be taken into account before making a decision to destroy a document, provided that the decision to destroy is not based in any way on this Subject Access Request. The time limit for responding to Subject Access Requests is 40 days from the receipt of a valid request. The Data Protection Act also provides that Personal Data (which means any data from which or through which a living individual can be identified) must be accurate and may only be retained if the data is strictly necessary for a specified purpose. The review of files containing Personal Data must take account of these provisions of the Data Protection Act and the destruction of irrelevant and out of date Personal Data is a legal requirement. Further information is contained in Data Protection Act 1998: Technical Guidance.

6 Destruction of Documents

Under the Freedom of Information (Scotland) Act 2002, a permanent record must be kept of the destruction of all of documents listed in Appendix 1. The Manager responsible for retaining the record should approve the destruction of the document, and send this to the Director of Organisational Development for approval, in case of any outstanding European claims. Finally, approval should be sought from the Vice Principal, to ensure no potential litigation claims or other actions are outstanding. The Vice Principal will be responsible for maintaining this record.

7 Records Prior to June 2009

It is accepted that, as this Policy was introduced in June 2009, records prior to this date may have been destroyed in error, or may not be in place. Should any requests for information or difficulties arise, advice should be sought from the Vice Principal.

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Appendix 1 Kilmarnock College

Document Retention Periods

Learning and Teaching Document

Minimum Retention Period

Statutory / Recommended

Source Responsibility

Course Team Minutes / Evidence

Current + 1 year Recommended JISC Curriculum Managers

Course Team Reports Current + 2 years Recommended JISC Curriculum Managers

Learning and Teaching Materials

Permanent (sample only)

Recommended JISC Curriculum Managers

College Course/Programme Approvals Committee papers

Permanent Recommended JISC Quality Enhancement Manager

Student Destination Statistics Permanent Recommended JISC Marketing Service Leader

Student Satisfaction Surveys – survey data

Current + 1 year Recommended JISC Marketing Service Leader

Student Satisfaction Surveys – reports / statistics

Permanent Recommended JISC Marketing Service Leader

Student Complaints Current + 6 years Recommended College Principal

Marketing / PR / Events / Centenary Trust

Document




Marketing and Promotional Materials

Permanent Recommended JISC Head of External Relations

Press Cuttings / Coverage Statistics

Permanent Recommended Head of External Relations

Awards / Graduation Ceremony Programmes

Permanent Recommended JISC Head of External Relations

Competitor Information / Market Research

Current + 2 years Recommended JISC Head of External Relations

Student / Staff Newsletters Permanent (2 copies) Recommended JISC Marketing Service Leader

Annual Reports Permanent Recommended Head of External Relations

Identification of Fundraising Opportunities

Current + 20 years Recommended JISC Head of External Relations

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Fundraising Events / Campaigns (promotional material / guest lists / etc)

Permanent Recommended JISC Marketing Service Leader

Donor / Sponsor summary records

Termination of Relationship + 20 years

Recommended JISC Head of External Relations

Strategic Planning / Board of Management Document




Curriculum / Service Group Development Plans

Current + 5 years Recommended College Executive Assistant

Operational Plan Permanent Recommended JISC Executive Assistant

Strategic Plan Permanent Recommended JISC Executive Assistant

Board of Management / Committee Papers and Minutes

Permanent Recommended JISC College Secretary

Governance Documentation Permanent Recommended JISC College Secretary

JNC / JCC Papers and Minutes Permanent Recommended JISC Human Resource Manager

Company Register Life of company + 2 years from dissolution

Statutory Companies Act 1985 Section 65

College Secretary

Senior Management Team / Management Team meeting papers and minutes

Permanent Recommended JISC Executive Assistant

Assessment and Examinations Document




Definition of exam / assessment rules


Design of exam / assessment rules


Exam scripts / assignments Current + 1 year Recommended JISC / College Quality Enhancement Manager

Assessment Evidence Current + 1 year Recommended College Curriculum Manager

Examiners’ Marking Sheets Current + 6 years Recommended JISC Quality Enhancement Manager

Examiners’ Notes / Reports Current + 6 years Recommended JISC Quality Enhancement Manager

External Moderation / Verification Reports

Current + 6 years Recommended JISC Quality Enhancement Manager

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Assignment of Invigilators Current Recommended JISC Quality Enhancement Manager

Pass lists / Assessment Results Permanent Recommended JISC ICT/MIS Manager

Complaints / Appeals 6 years from date of settlement

Recommended JISC Quality Enhancement Manager

Course Timetables Current + 1 year Recommended JISC ICT/MIS Manager

Exam Timetables Current + 1 year Recommended JISC Quality Enhancement Manager

Internal Verification Sampling Records

Current + 1 year Recommended Kilmarnock College

Curriculum Manager

Staff Document Minimum Retention Period



Personal files Termination of Relationship + 7 years

Statutory Limitation Act 1980

Human Resources Manager

Manpower plans Permanent Recommended JISC Human Resources Manager

Succession plan Permanent Recommended JISC Human Resources Manager

Staff Development and Career Review/Performance development and Review Records

Current + 3 years Recommended JISC Human Resources Manager

Staff disciplinary reports Settlement of case + 6 years (must be removed from HR file in accordance with disciplinary procedure)



Training Needs Analysis Current + 10 years Recommended JISC Training & Development Advisor

Advertisement of training opportunities

Current + 1 year Recommended JISC Training & Development Advisor

Evaluation / feedback of training Current + 2 years Recommended JISC Training & Development Advisor

Job Descriptions Current + 5 years Recommended JISC Human Resources Manager

Job evaluation reports Current + 5 years Recommended JISC Human Resources Manager

Provision of information to / about current / former staff (eg references)

Current + 5 years Recommended JISC Human Resources Manager

Subject Access Requests Completion of request + 1 year

Recommended JISC Director or Organisational Development

Authorisation to recruit forms Current + 1 year Recommended JISC Human Resources Manager

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Advertising of vacancies

Filling of vacancy + 6 months

Statutory Various! Human Resources Manager

Job application forms, interview notes, test results, references: Successful candidate

Transfer to personal file

Statutory Various Human Resources Manager

Job application forms, interview notes, test results, references: Unsuccessful Candidate

Filling of vacancy + 6 months

Statutory Various Human Resources Manager

Ethnic Monitoring Questionnaires / Reports

Current + 5 years Statutory Various Human Resources Manager

Staff opinion surveys Current + 5 years Human Resources Manager

Exit interview reports Current + 5 years Human Resources Manager

Staff handbooks Permanent Human Resources Manager

Personal pension records Termination of employment + 75 years


Statutory maternity pay records and calculations

Current Financial Year + 3 years

Statutory Statutory Maternity Pay (General) Regulations 1982


Statutory Sick Pay records and calculations

Current financial year + 3 years

Statutory Statutory Sick Pay (General) Regulations 1982


Health Records During employment Statutory Management of Health and Safety at Work Regulations 1992


Tax and National Insurance Returns

Current + 7 years Statutory Inland Revenue Regulations

Finance Manager

Payroll and Wages Records Current + 6 years Statutory Inland Revenue Regulations

Finance Manager

Statutory Sick Pay and Statutory Maternity and Paternity Pay

Current + 3 years Statutory Statutory Maternity Pay (General Regulations) 1982 and Employment Act 2002

Finance Manager

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Records for personal liability claims (eg if employee has had an industrial accident)

Current + 12 years Recommended Best Practice Human Resources Manager

Students Staff Document Minimum Retention Period



Personal Learning Plans and Records of Achievement

Current + 10 years Recommended JISC Curriculum Managers

Extended Learning Support Plans

Current + 10 years Recommended JISC Head of Widening Access & Participation

Student Files Termination of relationship + 6 years

Recommended JISC ICT/MIS Manager

Student Register Permanent Recommended JISC ICT/MIS Manager

Provision of information to / about current / past students (eg reference requests, confirmation of attendance etc)

Completion of request + 1 year


Student disciplinary records Termination of Relationship + 6 years

Recommended JISC Quality Enhancement Manager

Formation, management and operation of Student Association

Permanent Recommended JISC Head of Customer Services

Organisation of student activities and events

Permanent Recommended JISC Curriculum Managers

Student Handbooks / SRC Alternative Handbook

Permanent (2 copies) Recommended JISC Head of Customer Services

Student medical documentation Termination of relationship + 6 years


Quality Management Documentation Document




Internal Quality Audit Records

Current + 3 years Recommended TQS Quality Enhancement Manager

External Quality Audit Records

Current + 3 years Recommended TQS Quality Enhancement Manager

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Procurement Document Minimum Retention

Period Statutory /

Recommended Source Responsibility

Identification and vetting of potential suppliers

Current + 5 years Recommended JISC Finance Manager

Tender documentation (invitation to tender, tenders, tender evaluation) for successful company

Termination of supply contract + 6 years


Director of Finance

Tender documentation for unsuccessful company

Current + 1 year Statutory Limitation Act 1980

Director of Finance

Requests for proposals, proposals and evaluation documentation for successful company

Termination of supply contract + 6 years


Director of Finance

Requests for proposals, proposals and evaluation documentation for unsuccessful company

Current + 1 year Statutory Limitation Act 1980

Director of Finance

Management of supplier relationships files

Termination of relationship + 2 years

Recommended JISC Director of Finance

Monitoring of supplier performance / contractor review reports

Termination of contract + 6 years


Finance Manager

Learning Resource Centre Document




Service delivery Current + 6 years Recommended JISC Learning Resource Centre Service Leader

Inter-library loan forms Current + 6 years Recommended JISC Learning Resource Centre Service Leader

Enquiry forms Completion of request + 1 year

Statutory British Library requirement

Learning Resource Centre Service Leader

Loans records / database Current Recommended JISC Learning Resource Centre Service Leader

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IT Document Minimum Retention Period



Specification of functional and technical requirements for IT hardware, software and networks

Current Recommended JISC ICT/MIS Manager

Installation, testing and operation of hardware, software and networks

Current + 5 years Recommended JISC ICT/MIS Manager

Operation of data backup and archiving routines

Current + 1 year Recommended JISC ICT/MIS Manager

Design, development and implementation of IT Systems

Decommissioning of system + 5 years


Premises / Estates Document Minimum Retention Period



Title deeds Disposal of property Recommended JISC Director of Estates

Leases Disposal of property Recommended JISC Director of Estates Director of Estates Planning applications Disposal of property Recommended JISC Director of Estates Fire inspection reports, fire certificates

Current + 5 years Recommended JISC Director of Estates

Building plans / drawings Disposal of property Recommended JISC Director of Estates Insurance Policies Termination of Policy +

6 years Statutory Limitation Act

1980 Director of Estates

Filing of claims against insurance policies (claims / reports)

Settlement of claim + 6 years


Director of Estates

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Health and Safety Document Minimum Retention Period



Risk Assessment Reports Review of Assessment + 3 years

Statutory Various! Estates & Facilities Manager

Monitoring of working environments Reports

Current + 40 years Statutory Various! Estates & Facilities Manager

COSHH Data Sheets Current + 40 years Statutory Control of Substances Hazardous to Health Regulations 1994

Health and Safety & Wellbeing Advisor

Control of access to hazardous areas / permits to work

Current + 3 Recommended JISC Estates & Facilities Manager

Monitoring the health of employees / health surveillance reports

Current + 40 years Statutory Various! Human Resource Manager

Reporting and investigation of accidents and dangerous occurrences

Date of Accident + 40 years


Estates & Facilities Manager

Accident books Completion of book + 3 years

Statutory Health and Safety at Work Act 1974


Accident Report – Form F2508 (Reportable Accidents and Dangerous Occurrences)

Date of Entry + 3 years Statutory Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995


Accident reports Date of occurrence + 3 years

Statutory Health and Safety & Wellbeing Advisor

Dangerous Occurrence Reports Date of occurrence + 3 years

Statutory Health and Safety & Wellbeing Advisor

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Plant and Equipment Maintenance Document




Conduct of testing, maintenance and statutory inspections, and any necessary corrective action

Life of plant / equipment + 6 years



Maintenance schedules Current + 2 years Recommended JISC Estates & Facilities Manager

Corrective action schedules Current + 2 years Recommended JISC Estates & Facilities Manager

Inspection certificates Current + 6 years Recommended JISC Estates & Facilities Manager

Maintenance certificates Life of plant / equipment + 6 years



Repair reports Life of plant / equipment + 6 years



Waste Management Document




Controlled Waste Transfer Note Current + 2 years Statutory Waste Management Licensing Regulations 1994


Special Waste Consignment Note

Current + 3 years Statutory Special Waste Regulations 1996


Internal Services / Security Document




Room booking Date of booking Recommended JISC Estates & Facilities Manager

Despatch and delivery of mail (courier logs / postage logs)

Current + 3 months Recommended JISC Head of Customer Services

Booking of vehicles (taxis / pool cars)

Current + 3 months Recommended JISC Estates & Facilities Manager

Allocation and reservation of car parking spaces logs

Current + 3 months Recommended JISC Campus Supervisor

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Provision of document production services (print / production requisitions)

Completion of job + 3 months

Recommended JISC Head of Customer Services

Control of access to institutional premises, facilities and IT systems (key issue, visitor logs)

Current + 3 months Recommended JISC Head of Customer Services

Controlling removal of institutional property / property removal permits

Current + 3 months Recommended JISC Head of External Relations

Financial Document Minimum Retention Period



Financial Forecasts Current financial year + 10 years


Preparation of capital and revenue budgets



Purchase requisitions Current Financial Year + 10 years

Recommended JISC Finance Manager

Purchase Orders

Current + 10 years Statutory VAT Act 1994 Finance Manager

Taking delivery of goods and services / delivery notes / goods received notes


Processing of non-statutory deductions from wages and salaries

Current + 10 years Recommended JISC Finance Manager / Human Resources Manager

Making payroll payments / salary advice / bank transfer reports

Current + 10 years Statutory Income Tax (Employment) Regulations 1993 / Limitation Act 1980

Finance Manager

Notifying staff of their employment-related tax liabilities

Current + 10 years Finance Manager

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Accounting for income / sales invoices / sales ledgers / credit notes / till rolls / remittance advices / statements


Accounting for expenditure / purchase invoices / payment authorisations / credit notes / purchase ledgers / cheque authorisations / BACS reports / staff expense claims / petty cash authorisations / petty cash receipts / petty cash books / journal vouchers


Financial analysis Permanent Recommended JISC Director of Finance

Management Accounts – annual

Permanent Recommended JISC Director of Finance

Management accounts – monthly / quarterly

Current + 10 years Recommended JISC Director of Finance

Management of bank accounts / bank pay-in slips / cancelled cheques


Bank statements Permanent Statutory VAT Act 1994 Finance Manager

Maintaining asset registers Permanent Recommended JISC Finance Manager (aided by the Estates & Facilities Manager regarding non-IT assets and the ICT/MIS Manager regarding IT related assets).

Capital Asset Registers – major items


Capital Asset Registers – other items

Disposal of asset + 12 years


Director of Finance

Asset Disposal Authorisation Forms / Controlling the official movement of assets



Processing of internal accounting transactions / cross



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charge requests / cross charge reports

Budget reports



Acquisition / disposal of investments


Investment Instructions Current + 10 years Recommended JISC Director of Finance

Investment portfolio reports Permanent Statutory Limitation Act 1980

Director of Finance

Assessment of tax liabilities / VAT Account

Current + 10 years Statutory VAT Act 1994 Director of Finance

Submission of tax returns / VAT return

Permanent Statutory VAT Act 1994 Director of Finance

SFC Annual Returns Permanent Recommended Kilmarnock College

Director of Finance

PAYE Annual Returns Permanent Recommended Kilmarnock College

Director of Finance

Intellectual Property Management Document


Statutory / Recommende

d


Registration of patents and trade marks


Control of disclosure of intellectual property / disclosure authorisation forms

Disclosure + 6 years Statutory Limitation Act 1980 Director of Finance

Administration of intellectual property agreements

Termination of agreement + 6 years

Statutory Limitation Act 1980 Director of Finance

Agreements Termination of Statutory Limitation Act 1980 Director of Finance

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agreement + 6 years

Claims of infringement of intellectual property rights

Settlement of claim + 6 years

Statutory Limitation Act 1980 Director of Finance

European Documentation (see Appendix 3)

European Documentation (see Appendix 3) Document




European Regional Development Fund (ERDF) records and supporting documentation

Anticipated to be 6 years after final payment of programme / project (See Appendix 3)

Statutory European Court of Auditors

Director of Finance for Financial records. Director of Organisational Development for non Financial records.

European Social Fund (ESF) records and supporting documentation

Anticipated to be 6 years after final payment of programme / project. (See Appendix 3)

Statutory European Court of Auditors

Director of Finance for Financial records. Director of Organisational Development for non Financial records.

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Appendix 2

Kilmarnock College

Procedure for Archiving Documentation

To Store Materials

A named person should be identified within each curriculum/ service area to take responsibility for the operational aspects of archiving. This person will liaise with the Quality Enhancement Manager in order to ensure that archiving is carried out in accordance with Kilmarnock College policy.

Identify records to be archived based on information contained within document retention policy.

Obtain supply of Archive Storage Boxes. These can be collected from central stores.

Pack records into archive boxes available from central stores. It is the responsibility of each curriculum or service group to undertake this task themselves. Each box should be assigned a box number. Each group must keep a record of what is in each box. It is the responsibility of each group to keep their own archive records and negotiate with the Vice Principal and Quality Enhancement Manager to set a date by which the materials will be reviewed before any decision to destroy, in line with the document retention policy.

The boxes will then be assigned a number, which will use as a unique identifier to store and if necessary to retrieve the box. This information will be stored in the central database maintained by the central store assistant and should also be held within the group. If a box needs to be retrieved, this number will maintained by the central store assistant.

After boxes are packed and records created, they will be stored in the college.

To Retrieve Materials

Individual files cannot be returned, only boxes.

Each curriculum group or service area should identify the boxes which need to be retrieved. From storage records, it should be easy to identify which box or boxes are required and also the box identifier number.

The person with responsibility for archiving in each area should contact the Central Store Assistant stating which box numbers are to be retrieved.

The Central Stores Assistant will arrange delivery of the boxes.

To return the boxes to Central Stores follow the procedure for storage as stated above.

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To Destroy Materials

Before the destruction of any document listed in Appendix 1, written approval must be obtained from both the Director of Organisation Development and the Vice Principal as detailed in section 6 of this document.

Care should be taken to ensure that all confidential materials are shredded.

A record should be kept of all documents destroyed and the Vice Principal informed once the destruction has taken place.

The Vice Principal shall be responsible for maintaining a record of all documents destroyed as detailed in section 6 of this document.

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Appendix 3 Kilmarnock College

European Documentation The following documentation requires to be kept for the timescales outlined for European documentation: Information for projects 2000 – 2006: anticipated retention date is 2014 Information for projects 2007 – 2013: anticipated retention date is 2019 Student Records

Enrolment forms

Attendance registers – physical and computerised

Qualifications achieved

Destination information Finance

Payroll records

PS1s prior to 1999 (subsequent PS1s held by Business Development Funding Services)

Invoices

ITRs

Expense claims

Bank records

Bursary payments

College account information proving apportioned cost calculations Curriculum Groups

Guidance records

Details of qualifications and achievements IT

Unit-e records At the present time Kilmarnock College hold all electronic records from 1995 to the present date. The records are held on two different systems the first system called Femis has records held there from 1995 – 2003 the Femis system was superseded by the present Capita system Unit-e which holds all the records from 2003 to present time.

Board of Management / Senior Management Team

Minutes of meetings where approval of European projects is confirmed

Copies of all tender documents - tender procedures - all competitive tendering documents - list of tenders and values tendered - minutes of meeting to appoint a particular contractor

Legal agreements with partners. (See below for current, June 2009, list).

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In addition the Strathclyde European Partnership Ltd has produced the following list as a guide. Project Management Documentation

Approved Application Form (and working papers)

Letter of Approval and copy of acceptance

Quarterly Claim Forms and Progress Reports and working papers

Notification of Change forms and working papers

Any other Correspondence to and from the PME

Details of the Management Structure of the Project

Details of the Quality Control aspects implemented

The original evaluation documentation e.g. questionnaires, studies

Board minutes and report, progress reports

Any documentation required to support added value justification. Procurement

Records of tendering arrangements and contractual documentation

Details of systems including scoring/assessment for handling tenders (adverts, submissions, scoring sheets, justification of decisions)

Details of wok specifications Finance

All expenditure and income records for the project

Staff costs –payroll records and staff timesheets. Job descriptions and staff contracts are also required

Accounts register (or similar)

Original invoices and payment details(certified copies are acceptable)

Bank statements (to include evidence of match funding and revenue

Signed receipts of beneficiary payments

Apportionment method (where applicable) Publicity Records

Original documents/materials produced

Examples of Media advertising if applicable

Recruitment material

Evidence of raising ESF awareness

Outputs and Results

Evidence of outputs and results achieved

Details of any methodologies used in the calculation of outputs and results

Evidence of the methods used to access the impact of the project e.g. how visitor numbers were recorded and assessed

End beneficiaries of grant, loan or equity scheme

Copies of any evaluation work undertaken

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Beneficiary Records – ESF

Beneficiary enrolment form

Individual Beneficiary files – containing information such as training plans, activity undertaken and qualifications achieved

Beneficiary handbook –containing information such as terms and conditions of training, equal opportunities policy

Beneficiary expenditure records – i.e. records of actual payments made to beneficiaries

Beneficiary Attendance records – i.e. course register/attendance sheet recording actual hours of attendance signed by staff member

Copies of Qualifications/Certificates achieved

Beneficiary assessments/reviews

Beneficiary records – Grant Schemes

Appropriate grant award documentation, including project sponsor internal authorisation and SME eligibility check

Evidence of payment of the grant to the SME – an accounting record and evidence of bank payment

Evidence of the payment made by the grant recipient for eligible goods and services – a receipted invoice

Evidence that the publicity material; relating to the grant acknowledges the ERDF contribution

Training Records/Outcomes Course Content (ESF)

Course timetable

Development Plans, individual Action Plans, Employment Records

Beneficiary Activity Records – indicating progress through project content

Completers/Early Leavers destination records

Course evaluation forms

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Kilmarnock College Partner Organisations ESF Projects - Ayrshire Builds Capacity – 01.06.00 – 31.5.03

East Ayrshire Council South Ayrshire Council North Ayrshire Council Scottish Enterprise Ayrshire East, North & South Ayrshire Councils for Voluntary Service School Link – 01.01.2001 – 31.12.03 East Ayrshire Council Skills Launch – 01.10.00 – 30.09.03 Clyde Muirshiel Park Authority Ayrshire & Arran Tourist Forum Ayrshire Chamber of Commerce & Industry Ayrshire & Arran Tourist Board Equal Round 1 – 15 May – 14 May 2005 Glasgow Caledonian University Business Enterprise Scotland Clackmannanshire Council Lauder College Scottish Business in the Community Stevenson College Equal Round 2 – May 2005 – June 2007 PSYBT Clackmannanshire Council SFEU Scottish Chamber of Commerce & Industry East Ayrshire Council Entrepreneurship & Creativity – 01.12.05 – 30.11.06 East Ayrshire Council YIP World Glaisnock Trust Inclusive Schools Opportunities – 01.08.05- 31.07.06 East Ayrshire Council Employability Skills in the Care Sector – 01.12.06 – 30.11.07 NHS Ayrshire & Arran Employability Skills for Hospitality & Tourism – 01.06.06 – 31.12.06 NHS Ayrshire & Arran

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First Steps to Employment – 01.04.07 – 30.04.08 East Ayrshire Council EASY project Glaisnock Trust CPP project – Current (2009) East Ayrshire Council