INTRODUCTION AND BACKGROUND · “JISC” is an organisation whose name has evolved from an acronym for “Joint Information Systems Committee”. JISC is a United ... Feedback on

File Plan – Business Classification Scheme 1.0

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INTRODUCTION AND BACKGROUND

A File Plan is an outline that denotes the records kept within an organisation. It can also contain other information like:

File organisation

File locations

File retention and disposal instructions

And other specific instructions that provide guidance for the effective management of records.

A Business Classification Scheme (BCS) at its simplest is a high-level, conceptual representation of business functions and activities. It is developed to provide a framework for business activities.

Currently within Ulster University, File Plan information is contained in the following document:

File Plan – Business Classification Scheme (BCS - this document) This document contains a table of the records held in Ulster University by both current department, and functions and activities.

Records Retention and Disposal Schedule This document is meant to exactly mirror the File Plan – Business Classification Scheme, giving the retention (and implied) disposal period for each record. Many retention duration periods are influenced by statute and legislation.

Institutional Information Inventory This document contains the location of Ulster University information, along with metadata including protective marking (classification) information.

FILE PLAN - BCS STATEMENT

Where documents are created and stored within the University can change from time to time due to institutional restructuring and

reorganisation. Because of this, it is helpful to think of documents and records in terms of function rather than taking an exclusively

departmental view. Taking a fundamental functional view of University records, the University has looked to the JISC BCS for

records as follows:


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1. Teaching & Learning a. Teaching b. Learning Support

2. Research a. Research b. Research Programme Provision

3. Knowledge Transfer and Enterprise a. Intellectual Property Rights (IPR) Exploitation b. Consultancy c. Education & Training d. Related Companies Management e. Commercial Services Management

4. Academic Administration a. Student Administration b. Academic Programme Administration c. Academic Award Administration d. Student Assessment Administration e. Tuition Fees Administration f. Student Financial Support Administration

5. Corporate Management a. Corporate Planning & Performance Management b. Governance c. Risk Management d. Quality Management e. Audit f. Legal Affairs Management g. Organisational Development h. Equality & Diversity Management i. Health & Safety Management j. Environmental Management

6. Corporate Resources a. Estate Management


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b. Facilities Management c. Finance Management d. Human Resources Management e. Information Compliance Management f. Records Management g. Archives Management h. Collections Management i. Publications Management j. Intellectual Property Rights (IPR) Management k. Information & Communications Technology (ICT) Systems Management l. Equipment and Consumables Management m. Insurance Management n. Procurement o. Publishing p. Management Information Collection, Analysis & Reporting

7. Corporate Relations a. Public Relations Management b. Media Relations Management c. HE/FE Sector Relations Manager d. Community Relations Management e. Alumni Relations Management f. Fundraising g. Student Relations Management h. Government Relations Management i. Parliamentary Relations Management j. Students’ Union Relations Management k. Marketing

8. Related Companies Management 9. Commercial Services Management 10. Corporate Services Management 11. Student Service Management 12. Business Unit Management


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AIMS, PURPOSE AND SCOPE OF THE DOCUMENT

The aim of this document is to provide a table of the records held in Ulster University by both current department, and functions and activities. This will also inform automated organising, filing and flagging for disposal.

The scope of the document is the entire University.

DEFINITIONS AND CLARIFICATION

A “record” is information created, received, and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of business. These records may be in either electronic or traditional paper format.

A “Records Retention and Disposal Schedule” (RRDS) is a table that describes the length of time each document or record will be retained and its final disposition (disposal or storage).

A “File Plan” is an outline that denotes the records kept within an organisation. It can also contain other information like file organisation, file locations, file retention and disposal instructions and other specific instructions that provide guidance for the effective management of records.

A “Business Classification Scheme” (BCS) outlines business functions and activities for the purposes of structuring records management, structuring records management by BCS rather than by content or location.

“JISC” is an organisation whose name has evolved from an acronym for “Joint Information Systems Committee”. JISC is a United Kingdom non-departmental public body whose role is to support post-16 and higher education and research by providing leadership in the use of ICT (Information and Communications Technology) in learning, teaching, research and administration. It is funded by all the UK post-16 and higher education funding councils.


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PROCEDURE

Differentiation is made between paper and electronic records although the retention and disposal requirements by record type are still the same. The method of retention and disposal will be different.

The primary responsibility for

Identifying record type

Marking a record (visibly or electronically) with type, retention and disposal dates

Actual retention and disposal

lies with the originating Department/Faculty. More information will be available in the University’s Document Management Policy.

Faculty Records ................................................................................................................................................................................6

Human Resources Records ............................................................................................................................................................ 10

Equality and Diversity Services Records ........................................................................................................................................ 17

Office of the University Secretary Records ..................................................................................................................................... 19

Finance and Planning Information Directorate Records ................................................................................................................. 23

Physical Resources Records .......................................................................................................................................................... 26

Student Administration Records ..................................................................................................................................................... 34

Academic Planning, Partnerships and International Affairs Records .............................................................................................. 37

Student Support Records ............................................................................................................................................................... 39

Research Office Records ................................................................................................................................................................ 42

Learning, Teaching and Student Experience Records .................................................................................................................... 45

Academic Office Records ............................................................................................................................................................... 66


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Faculty Records

Student records Retain until confirmation of marks/grades by Board of Examiners + 6 months

Completion of student's module or programme + 6 years

Teaching & Learning > Teaching > Records documenting submitted/completed assessments: summative assessments.

Teaching & Learning > Teaching > Records documenting an individual student’s:

Marks and grades given to assessments (including awards and classifications)

Feedback on academic progress, and general academic guidance and support, given to individual taught students.

Student Applications Unsuccessful - Retain until completion of admissions process + 1 year.

Academic Administration > Student Administration > Records documenting or containing:

handling of unsuccessful applications for admission

Course and revalidation information

Retain for the life of the programme or module + 10 years

Teaching & Learning > Teaching > Documentation of developing taught programmes and modules.

Programme Management System documents

Retain until superseded + 5 years Academic Administration > Academic Programme Administration > Master copies of procedures relating to academic programme administration.

Course documents Retain from current academic year + 3 years

Academic Administration > Academic Programme Administration > Records documenting the administration of academic programmes.


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Promotions files Retain until termination of employment + 6 years

Corporate Resources > Human Resources Management > Records documenting the employee's contract(s) of employment with the institution.

Records documenting changes to the employee's terms and conditions of employment.

Student appeals Retain from last action on case + 6 years

Retain for current academic year + 6 years

Academic Administration > Student Administration > Records documenting:

the conduct and results of disciplinary proceedings against individual students

the handling and results of academic appeals by individual students.

the handling of formal complaints made by individual students against the University.

Research > Research Programme Provision > Records documenting awards and classifications, including reviews in response to notifications of mitigating circumstances or academic appeals.

Student marks Completion of student's module or programme + 6 years

Teaching & Learning > Learning Support > Records documenting an individual student’s:



Invigilation Sheet Retain for 3 years Academic Administration > Student Assessment Administration > Assessment Administration


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External examiner claim forms Retain for current financial year + 6 years

Corporate Resources > Finance Management > payment of expenses to third parties (e.g. honorary appointees)

Directors of UU Foundation information

Retain until termination of appointment + 6 years

Corporate Management > Governance > Records documenting:

the appointment, election or designation of members of a statutory committee

training undertaken by individual members of a statutory committee

the appointment, election or designation of the University's senior officers

Committee papers Retain for life of committee + 5 years

Corporate Management > Governance > Records documenting the conduct of the business of a committee: agenda, minutes and supporting papers.

Companies House information Retain life of company + 10 years Related Companies Management > Records documenting the formation of the [related company].

Policies and procedures Retain from issue of policy or procedure + 1 year

Various

Database access request forms Retain from last action on request + 1 year

Corporate Resources > Information Compliance Management > Records documenting the handling of requests for access to personal information held by the institution under the Data Protection Act 1998.

Memorabilia stock records Retain from last action on campaign + 5 years

Corporate Relations > Fundraising > Records documenting the design, conduct and summary results of fundraising campaigns.


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Alumni information Retain duration of relationship + 6 years

Corporate Relations > Alumni Relations Management > Various

Donor information Retain duration of relationship + 6 years

Corporate Relations > Public Relations Management > Records documenting the management of the institution's relationship with donors to the institution (other than in response to fundraising campaigns).

Sponsor information Retain for the current academic year + 5 years

Retain until termination of grant + 6 years

Research > Research > Records documenting liaison with research sponsors.

Corporate Resources > Finance Management > Records documenting the administration of research grants provided by research councils or corporate sponsors.

Election papers Retain until termination of appointment + 6 years

Corporate Management > Governance > Records documenting the appointment, election or designation of members of a statutory committee

Corporate Management > Governance > Records documenting the appointment/election/designation of members of a committee.

Academic planning and admissions

Retain until superseded + 10 years Academic Administration > Various


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Boards of Examiners and External Examiner reports

Retain for current academic year

Retain from current academic year + 1 year

Teaching & Learning > Teaching > Documentation of setting assessments; marking/grading assessments; reviewing marks/grades awarded in response to notifications of mitigating circumstances; conducting meetings of examination boards; determining awards and classifications.

Academic Administration > Student Assessment Administration > Records documenting liaison with external examiners on administrative matters.

REF records Retain until superseded + 10 years Various

Human Resources Records

Recruitment Files

(Which will include a copy of the approval to recruit, the job description and personnel specification, the advertisement, all applications received, shortlisting report and all interview records)

Retain for recruitment period + 1 year

Corporate Resources > Human Resources Management > Records documenting internal authorisation for recruitment.

Corporate Resources > Human Resources Management > Records documenting the advertising of vacancies.

Corporate Resources > Human Resources Management > Records documenting the handling of applications for vacancies: unsuccessful applications.

Corporate Resources > Human Resources Management > Records documenting the handling of applications for vacancies: successful applications.

Employee Personal File

(Which will include all application form, references, contract, any

Retain for duration of employment + 3 year

Corporate Resources > Human Resources Management > Records containing employee's basic


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contractual changes, changes to personal information (name, address, next of kin etc) and changes to salary point

personal details (e.g. address, next of kin, emergency contacts).

Human Resources Strategy Development

(The Strategy and any key records that informed strategy development)

Retain until superseded + 10 years Corporate Resources > Human Resources Management > Records documenting the development and establishment of the institution's human resources strategy: key records.

Human Resources Policy Development

(The Policy and any key records that informed policy development)

Retain until superseded + 10 years Corporate Resources > Human Resources Management > Records documenting the development and establishment of the institution's human resources management policies: key records.

Human Resources Procedure Development

(The Procedure and any key records that informed procedural development)

Retain until superseded + 1 year Corporate Resources > Human Resources Management > Records documenting the development of the institution's procedures relating to human resources management.

HR Executive Group Papers Retain for life of group + 3 years Corporate Resources > Human Resources Management > Records documenting the development and establishment of the institution’s human resources strategy, policies and procedures: working papers.

Succession Plans Retain until superseded + 5 years Corporate Resources > Human Resources Management > Records documenting management succession plans.


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DAR Retain for duration of employment + 1 year

Corporate Resources > Human Resources Management > Records containing summary information on workforce training and development needs.

For records documenting individual employees' training and development needs, see Staff Training and Development Targets.

Staff Surveys Retain until completion of survey + 10 years

Corporate Resources > Human Resources Management > Records documenting the design of workforce surveys and consultations.

Corporate Resources > Human Resources Management > Records containing (identifiable) individual responses to workforce surveys and consultations.

Corporate Resources > Human Resources Management > Records containing summary (anonymised) results of workforce surveys and consultations.

Staff Grievances

Retain from last action + 6 years Corporate Resources > Human Resources Management > Records documenting grievances raised by staff (which do not relate directly to their own contracts of employment), the institution's response, action taken and the outcome.

Bullying and Harassment Investigations

Retain from last action + 6 years Various

Disciplinary Action Retain for duration of warning Corporate Resources > Human Resources Management > Records documenting disciplinary


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proceedings against the employee, where employment continues.

Sick Leave Retain for duration of employment + 1 year

Corporate Resources > Human Resources Management > Records documenting the employee's absence due to sickness.

Trades Unions Recognition / De-recognition

Retain from derecognition + 6 years Corporate Resources > Human Resources Management > Records documenting institutional recognition/derecognition of trades unions.

Trades Unions Agreements Retain from until termination of agreement + 10 years

Corporate Resources > Human Resources Management > Records documenting agreements with trade unions.

Trades Unions Routine Meetings and Correspondence

Retain for current year + 5 years Corporate Resources > Human Resources Management > Records documenting routine communications with trade union representatives, including minutes of meetings.

Trades Unions Consultations and Negotiations on Specific Issues

Retain from last action on issue + 10 years

Corporate Resources > Human Resources Management > Records documenting consultations/negotiations with trade unions on specific issues.

Committee Papers and Minutes

Trade Union Negotiating Committees

(JNC’s / JUCNC)

Retain for current year + 10 years Corporate Resources > Human Resources Management > Records documenting routine communications with trade union representatives, including minutes of meetings.


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Promotions Files (including Professorial Progression)




Probation Retain for duration of employment + 1 year

Various

Industrial Tribunal Files Retain for duration of tribunal + 3 years

Corporate Resources > Human Resources Management > Industrial Tribunal Files

Health and Safety risk assessments

Retain until superseded + 10 years Corporate Management > Health and Safety Management >

Records documenting the development and establishment of the University's health and safety strategy: key records

Records documenting the conduct, review and revision of assessments of risks to health and safety created by using department or faculty workstations, to fulfil the University's duties under Regulation 2 of the Health & Safety (Display Screen) Equipment Regulations 1992 (SI 1992/2792)

Records documenting the conduct, review and revision of assessments of the risks to health and safety created by exposure to noise, made to fulfil the University's duties under Regulation 5 of the Control of Noise at Work Regulations 2005 (SI 2005/1643)


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Records documenting the provision of information, instruction and training for employees who are exposed to noise, to fulfil the University's duties under Regulation 10 of the Control of Noise at Work Regulations 2005 (SI 2005/1643)

Records documenting the conduct, review and revision of assessments of the risks to health created by work with substances hazardous to health, to fulfil the University's duties under Regulation 6 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677)

Records documenting the provision of information, instruction and training for employees who are exposed to substances hazardous to health, to fulfil the University's duties under Regulation 12 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677)

Records documenting the provision of information, instruction and training for employees who are exposed to substances hazardous to health, to fulfil the University's duties under Regulation 12 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677)

Records documenting the development of plans and information to deal with accidents, incidents and emergencies related to the presence of substances hazardous to health, to fulfil the University's duties under Regulation 13 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677)


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Records documenting the conduct, review and revision of assessments of the risks to health created by work involving lead, to fulfil the University's duties under Regulation 5 of the Control of Lead at Work Regulations 2002 (SI 2002/2676)

Records documenting the provision of information, instruction and training for employees who are exposed to lead, to fulfil the University's duties under Regulation 11 of the Control of Lead at Work Regulations 2002 (SI 2002/2676)

Records documenting the development of plans and information to deal with accidents, incidents and emergencies related to the presence of lead, to fulfil the University's duties under Regulation 12 of the Control of Lead at Work Regulations 2002 (SI 2002/2676)

Records documenting the conduct, review and revision of assessments of the risks to health created by exposure to asbestos, to fulfil the University's duties under Regulation 6 of the Control of Asbestos Regulations 2006 (SI 2006/2739)

Records documenting the development of plans and information to deal with accidents, incidents and emergencies related to the presence of asbestos, to fulfil the University's duties under Regulation 15 of the Control of Asbestos Regulations 2006 (SI 2006/2739)

Records documenting the provision of information, instruction and training for employees who are exposed to asbestos, to fulfil the University's


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duties under Regulation 10 of the Control of Asbestos Regulations 2006 (SI 2006/2739)

Records documenting the conduct, review and revision of assessments of the risks to health created by work with ionising radiation, to fulfil the University's duties under Regulation 7 of the Ionising Radiations Regulations 1999 (SI 1999/3232)

Records documenting the provision of information, instruction and training for employees who are exposed to ionising radiation, to fulfil the University's duties under Regulation 14 of the Ionising Radiations Regulations 1999 (SI 1999/3232).

Equality and Diversity Services Records

EO monitoring information Retain current calendar year + 5 years

Corporate Management > Equality & Diversity Management > Records containing summary statistical information resulting from equality monitoring.

Section 75 screening and EQIAs Retain until strategy or policy superseded + 5 years

Corporate Management > Equality & Diversity Management > Records documenting the development and establishment of the University's equality and diversity strategy

Disability Retain until superseded + 5 years Corporate Management > Equality & Diversity Management > Records documenting the preparation/revision of the University's Disability Equality Scheme.


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Promotions/Advancements Retain until termination of employment + 6 years



Complaints Retain from last action on case + 6 years

Corporate Management > Equality & Diversity Management > Records documenting the handling of formal complaints about discrimination by or within the University.

REF ISC forms Retain while current Research > Research > Records that develop the quality and standards of research.

Exit questionnaires Retain until termination of employment + 6 years

Corporate resources > Human Resources Management > Records documenting the employee's termination of employment by voluntary resignation, redundancy, retirement (including on medical grounds) or dismissal.

Assembly questions Retain from last action on request + 5 years

Corporate Relations > Government Relations > Management > Records documenting requests for information from government bodies, the consideration of the requests, preparation of responses and the responses provided.




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Office of the University Secretary Records



Honorary graduate information Retain from conferment of award + 1 year

Academic Administration > Academic Award Administration > Records documenting:

the process of inviting, receiving and considering nominations for honorary awards

offers of honorary awards and responses received

Procession lists Retain from completion of ceremony + 1 year

Academic Administration > Academic Award Administration > Records documenting organisation of award ceremonies

Legislative records Retain for life of University Corporate Management > Governance > Legal Affairs Management > Records documenting legal advice requested by, and provided to, the University concerning e.g.: - interpretation of legislation affecting the University's legal framework, governance, responsibilities or operations - proposals for new legislation affecting the University's legal framework, governance, responsibilities or operations - the University's relationships with government bodies and HE regulators - industrial relations issues

- health, safety and environmental issues


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Annual University Review Retain for current academic year + 10 years

Corporate Management > Corporate Planning & Performance Management > Records containing reports on the University's performance against its strategic plan.

University Corporate Plan Retain until superseded + 10 years Corporate Management > Corporate Planning & Performance Management > Records documenting the development and establishment of the University's corporate planning and performance management policies or strategic plan: key records.

University Charter, Statutes and Ordinances

Retain for life of University Corporate Management > Governance > the establishment and development University's governance structure and rules

Visitor papers Retain until closure of case + 6 years

Corporate Management > Governance > Visitor Documents

MoUs and agreements Retain until termination of contract + 12 years

Corporate Management > Legal Affairs Management > Records documenting the negotiation, establishment and review of contracts and agreements between the University and third parties: agreements and contracts under seal (by deed).

Corporate Management > Legal Affairs Management > Records documenting the negotiation, establishment and review of contracts and agreements between the University and third parties: other contracts and agreements.


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Licenses and contracts Retain until termination of contract + 6 years

Corporate Management > Governance > Legal Affairs Management > Records documenting the negotiation, establishment and review of contracts and agreements between the University and third parties: other contracts and agreements.

External representation Retain until superseded + 5 years Corporate > Management > Governance > Legal Affairs Management > Records documenting the development and establishment of the University's policies on the management of legal affairs: key records.

Master copies of procedures relating to the management of legal affairs.

Records documenting legal advice on other matters requested by, and provided to, the University.

Development papers for information compliance – key records

Retain until superseded + 5 years Corporate Resources > Information Compliance Management > Records documenting the development and establishment of the institution's information compliance strategy and policies: key records.

Development papers for information compliance – working papers

Retain from issue of strategy, policy or procedure + 1 year

Corporate Resources > Information Compliance Management > Records documenting the development and establishment of the institution's information compliance strategy, policies and procedures: working papers.

Information compliance procedures

Retain until superseded + 3 years Corporate Resources > Information Compliance Management > Master copies of procedures relating to information compliance.


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ICO notification of data controller Retain from current calendar year + 1 year

Corporate Resources > Information Compliance Management > Records documenting the institution's notification of data controller details (to be added to the public register of data controllers) to the Information Commissioner's Office, as required by s 2 of the Data Protection Act 1998

DPA Subject Access Requests Retain from last action on request + 1 year

Corporate Resources > Information Compliance Management > Records documenting the handling of requests for access to personal information held by the institution under the Data Protection Act 1998.

DPA statistics, analysis and reports

Retain for current calendar year + 10 years

Corporate Resources > Information Compliance Management > Records containing (anonymised) statistics, analyses and reports of requests for access to personal information held by the institution under the Data Protection Act 1998.

Documents for FOI publication scheme

Retain from completion of revision of Publication Scheme + 5 years

Corporate Resources > Information Compliance Management > Records documenting the handling of requests for information held by the institution, made under the Freedom of Information Act 2000.

FOI requests Retain from completion of request handling process + 3 years

Corporate Resources > Information Compliance Management > Records documenting the handling of requests for information held by the institution, made under the Freedom of Information Act 2000.


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FOI statistics, analysis and reports Retain from the current calendar year + 10 years

Corporate Resources > Information Compliance Management > Records containing (anonymised) management statistics, analyses and reports of requests for information held by the institution, made under the Freedom of Information Act 2000.

Corporate Business Continuity Plan

Retain until superseded + 1 year Corporate Management > Governance > Risk Management > Records documenting the formulation, testing and maintenance of disaster response and recovery plans

Copyright Policy Retain until superseded + 3 years Master copies of procedures relating to publications management.

Finance and Planning Information Directorate Records

Higher Education Return Early Retain from submission of report + 3 years

Corporate Relations > Government Relations Management > Records documenting the preparation and submission of reports to government bodies.

Statistics (HESES) Retain from submission of report + 3 years


HESA Student collection Retain from submission of report + 3 years


HESA Aggregate Offshore Collection

Retain from submission of report + 3 years



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HESA Institutional Profile Collection

Retain from submission of report + 3 years

Corporate Resources > Finance Planning > HESA Institutional Profile Collection

Financial planning and forecasts Retain for current financial year + 1 year

Corporate Resources > Finance Planning > Records documenting analyses of the internal deployment of the institution's financial resources

Management Accounts Retain for current financial year + 1 year

Corporate Resources > Finance Planning > Records documenting the preparation of annual operating budgets

Economic Appraisals Retain from termination of supply contract awarded + 6 years

Corporate Resources > Procurement > Records documenting Invitations to Tender and tender evaluation criteria.

Financial Analysis/Subsidies Retain for current financial year + 1 year

Corporate Resources > Finance Planning > Records documenting analyses of the internal deployment of the institution's financial resources

Sales Ledger records Retain for current financial year + 6 years

Corporate Resources > Finance Management > issue of sales invoices and the processing of incoming payments

Purchase Ledger records Retain for current financial year + 6 years

Corporate Resources > Finance Management > receipt and payment of purchase invoices

VAT return records Retain for current financial year + 6 years

Corporate Resources > Finance Management > Records documenting the institution's accounting for VAT


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Employee expense records Retain for current financial year + 6 years

Corporate Resources > Finance Management > payment and/or reimbursement of employees' expenses

Financial Statement records Retain for current year + 6 years Corporate Resources > Finance Management > Financial Statement Records

Payroll records Retain for current tax year + 3 years Corporate Resources > Finance Management > Records documenting calculation and payment of employees' salaries and other payments.

Corporate Resources > Finance Management > Records documenting employees' authorisation for non-statutory payroll deductions.

Employer pension contribution records

Retain from termination of employment + 3 years

Corporate Resources > Finance Management > Records documenting payments of the institution's employers' contributions to pensions schemes for its employees

Research grants Retain until termination of grant + 6 years

Corporate Resources > Finance Management > Records documenting the administration of research grants provided by research councils or corporate sponsors

Successful tenders Retain from termination of contract + 6 years

Corporate Resources > Procurement > Records documenting the evaluation of tenders, the conduct of negotiations with tenderers and the notification of the results of the tender evaluation process: accepted tenders


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Unsuccessful tenders Retain from award of supply contract + 1 year

Corporate Resources > Procurement > Records documenting the evaluation of tenders, the conduct of negotiations with tenderers and the notification of the results of the tender evaluation process: rejected tenders.

Purchase orders Retain for current financial year + 6 years

Corporate Resources > Procurement > Purchase Orders

Costings Retain from termination of supply contract awarded + 6 years

Corporate Resources > Procurement > Records documenting Invitations to Tender and tender evaluation criteria.

Physical Resources Records

Estate Strategy Development: Key Records

Retain until superseded + 10 years Corporate Resources > Estate Management > Records documenting the development and establishment of the institution's estate strategy: key records.

Estate Strategy Development: Key Records: Working Papers

Retain from issue of strategy + 1 year

Corporate Resources > Estate Management > Records documenting the development and establishment of the institution's estate strategy: working papers.

Estate Management Procedure Development

Retain from issue of procedures + 1 year

Corporate Resources > Estate Management > Records documenting the development of the institution's procedures relating to estate management.


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Property Acquisition Retain until disposal of property + 12 years

Corporate Resources > Estate Management > Records documenting the acquisition of ownership of properties.

Deeds of Title Retain until disposal of property Corporate Resources > Estate Management > Deeds of title for properties owned by the institution.

Unsuccessful Property Negotiations

Retain until closure of negotiations + 6 years

Corporate Resources > Estate Management > Records documenting negotiations for properties where the property was not acquired.

Property Leases and Agreements Retain until expiry of lease + 15 years

Corporate Resources > Estate Management > Records documenting the negotiation of leases and original lease agreements.

Property Development Retain until disposal of property Corporate Resources > Estate Management > Records documenting the development of properties.

Property Development Health and Safety

Retain until demolition of property OR Disposal of interest in property

Corporate Resources > Estate Management > Health and Safety File for a structure, as required by Regulation 14(d) of the Construction (Design and Management)

Planning Applications Retain until disposal of property or expiry of consent

Corporate Resources > Estate Management > Records documenting applications for planning consents required to (re)develop property and consents granted.

Property Inspections Retain from date of inspection + 5 years

Corporate Resources > Estate Management > Records documenting routine inspections of property.


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Property Maintenance: Major Works

Retain until disposal of property Corporate Resources > Estate Management > Records documenting major maintenance works on property.

Property Maintenance: Minor Works

Retain until completion of works + 12 years

Corporate Resources > Estate Management > Records documenting minor maintenance works on property.

Asbestos Inspections Retain from review of assessment + 10 years

Corporate Resources > Estate Management > Records documenting assessments made to determine the presence (or likely presence) of asbestos in premises, as required by Regulation 4(3) of the Control of Asbestos Regulations 2006 (SI 2006/2739).

Asbestos Removal Retain from removal of asbestos + 10 years OR Subsequent inspection + 10 years

Corporate Resources > Estate Management > Records documenting the monitoring of the condition of asbestos in premises, and of maintaining or removing it.

Property Disposal Retain until disposal of property + 12 years

Corporate Resources > Estate Management > Records documenting the disposal of properties by sale, transfer or donation.

Security Inspections

Retain until completion of subsequent inspection

Corporate Resources > Estate Management > Records documenting the conduct and results of security inspections of properties, and action taken to address issued raised.


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Key Registers and Access Registers

Retain from creation + 2 months Corporate Resources > Estate Management > Records documenting property access controls to secure areas (e.g. access registers, key registers, security data logs).

Visitor Security Passes Retain until expiry of pass + 1 month

Corporate Resources > Estate Management > Records of security passes issued to visitors

Staff and Student Security Passes Retain until expiry of pass Corporate Resources > Estate Management > Records of security passes issued to employees, other staff and students.

Security Surveillance Records Retain from creation + 1 month Corporate Resources > Facilities Management > Records documenting the conduct of routine security surveillance of properties.

Incident Reporting Retain until last action on incident + 1 year

Corporate Resources > Estate & Facilities Management > Records documenting security breaches or incidents, unauthorised access to facilities, and action taken.

Property Leasing-out Retain until expiry of lease + 12 years

Corporate Resources > Estate Management > Records documenting leasing-out arrangements for properties.

Space Audits Retain until completion of subsequent audit + 5 years

Corporate Resources > Estate Management > Records documenting the conduct and outcomes of space audits.

Facilities Management Procedure Development


Corporate Resources > Facilities Management > Records documenting the development of the institution's procedures relating to facilities management.


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Facilities Management Procedure Development: Master Copies

Retain until superseded + 6 years Corporate Resources > Facilities Management > Records documenting the development of the institution's procedures relating to facilities management.

Master copies of procedures relating to facilities management.

Facilities Specifications


Corporate Resources > Facilities Management > Records documenting the specification of requirements for facilities services.

Facilities Inspections Retain until completion of two subsequent inspections

Corporate Resources > Facilities & Estates Management > Records documenting routine inspections of facilities.

Estates Maintenance Works: Major


Corporate Resources > Estates Management > Records documenting the carrying out of major maintenance works within facilities.

Estates Maintenance Works: Minor

Retain until current year + 6 years Corporate Resources > Estates Management > Records documenting the carrying out of minor maintenance works within facilities.

Facilities Licences and Certificates Retain until superseded Corporate Resources > Estates & Facilities Management > Original licences and certificates

Environmental Strategy Development: Key Records

Retain until superseded + 10 years Corporate Management > Environmental Management > Records documenting the development and establishment of the institution's environmental management strategy: key records.


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Environmental Strategy Development: Working Papers

Retain from issue of strategy + 1 year

Corporate Management > Environmental Management > Records documenting the development and establishment of the institution's environmental management strategy: working papers.

Environmental Management Policy Development: Key Records

Retain until superseded + 10 years Corporate Management > Environmental Management > Records documenting the development and establishment of the institution's environmental management policies: key records.

Environmental Management Policy Development: Working Papers

Retain from issue of policy + 1 year Corporate Management > Environmental Management > Records documenting the development and establishment of the institution's environmental management policies: working papers.

Environmental Management Procedure Development


Corporate Management > Environmental Management > Records documenting the development of the institution's procedures relating to environmental management.

Environmental Management Procedure Development: Master Copies

Retain until superseded + 10 years Corporate Management > Environmental Management > Master copies of procedures relating to environmental management.

Environmental Audit Retain until completion of audit + 5 years

Corporate Management > Environmental Management > Records documenting the conduct and results of environmental audits, and action taken to address issues raised.


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Environmental Hazard Identification & Risk Assessment

Retain until elimination of risk + 5 years OR Updating of risk assessment + 5 years

Corporate Management > Environmental Management > Records documenting identified environmental hazards to the institution, or created by its operations, and the conduct and results of risk assessments.

Environmental Management Scheme Accreditation Management

Retain until termination of accreditation + 1 year

Corporate Management > Environmental Management > Records documenting the attainment and maintenance of the institution's accreditation under established environmental management schemes.

Environmental Awareness Promotion

Retain current + 5 years Corporate Management > Environmental Management > Records documenting action taken by the institution to raise awareness of environmental issues among its employees, other staff and students.

Environmental Incidents Retain until last action on incident + 40 years

Corporate Management > Environmental Management > Records documenting the recording of environmental incidents on the institution's premises or caused by its operations.

Environmental Incident Investigations

Retain until closure of investigation + 40 years

Corporate Management > Environmental Management > Records documenting the investigation of environmental incidents on the institution's premises or caused by its operations.

Environmental Incident Reports to Authorities

Retain from date of notification + 5 years

Corporate Management > Environmental Management > Records documenting the notification and reporting of reportable environmental incidents to enforcing authorities.


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Energy Monitoring Retain current year + 5 years Corporate Management > Estates Management > Records documenting routine monitoring of the institution's use and consumption of energy.

Energy Management Reviews Retain until completion of review + 5 years

Corporate Management > Estates Management > Records documenting the conduct and results of formal reviews of the institution's use and consumption of energy, and action taken to address issues raised.

Waste Management (General Waste)

Retain until removal of waste consignment + 3 years

Corporate Management > Facilities and Estates Management > Register of ‘waste' removed from the premises for disposal by registered/licensed contractors, as required by Regulation 15 of the Special Waste Regulations 1996 (SI 1996/972).

Meet the duty of care to ensure that waste produced does not have adverse environmental impact as required by The Waste Management Regulations (Northern Ireland) 2006

Ensure Food waste is not deposited in a lateral drain or sewer as required in The Food Waste Regulations (Northern Ireland) 2015

Waste Management (“Hazardous Waste”)

Retain until removal of waste + 3 years

Corporate Management > Estates Management > Records documenting hazardous waste to be disposed of, as required by The Hazardous Waste Regulations (Northern Ireland) 2005.


Page 34 of 73

Student Administration Records

Student records used to provide transcripts, replacement certificates, reference requests, confirmation of dates of attendance.

Retain permanently Academic Administration > Student Administration > Student Records Administration > Transcript Records

Certificates of students who have not attended graduation/requested postage.

Retain permanently Academic Administration > Academic Award Administration > Records documenting notification of awards to students and the issue of awards certificates

Student Appeals, Communication of Results Forms


Academic Administration > Student Administration > Records documenting:

the conduct and results of disciplinary proceedings against individual students

the handling and results of academic appeals by individual students.

the handling of formal complaints made by individual students against the University.

Criminal Record Checks Retain until end of student relationship + 6 years

Academic Administration > Student Administration > Records containing personal data on individual students

Student Support RAR Forms Retain until end of student relationship + 1 year

Student Services > Student Service Management > RAR Forms


Page 35 of 73

External Examiner Appointment Retain until end of appointment + 1 year

Academic Administration > Student Assessment Administration > Records documenting the selection and appointment of external examiners.

External Examiner Annual Reports Retain for current year + 1 year Teaching & Learning > Teaching > Documentation of setting assessments; marking/grading assessments; reviewing marks/grades awarded in response to notifications of mitigating circumstances; conducting meetings of examination boards; determining awards and classifications.

Academic Administration > Student Assessment Administration > Records documenting liaison with external examiners on administrative matters.

Missing Script Documentation/Senior Invigilator Reports

Retain for 1 year Academic Administration > Student Assessment Administration > Assessment Administration

Reference requests/replacement transcripts/letters of confirmation

Retain for 1 year Academic Administration > Student Administration > Records documenting the handling of requests for:

ad hoc analyses of data from individual students' records

statements of results/transcripts from individual students

confirmation of individual students' awards, attendance or conduct from employers and other educational institutions


Page 36 of 73

SLC Contracts Retain for 3 years Academic Administration > Student Administration > Records on individual students documenting:

provision of financial aid funds

provision of crisis/hardship payments

the award of bursaries

the award of scholarships and fellowships

Student Record Amendment Forms

Retain for student duration + 1 year Academic Administration > Student Administration > Records documenting or containing:

personal data on individual students

UCAS related communications Retain for current year Various

Admissions Policy/Admission Complaints Policy

Retain for current year Academic Administration > Student Administration > Records documenting the development and establishment of the University's student administration policies: key records.

Master copies of procedures relating to student administration.

Records documenting the development and establishment of the University's admission criteria

Student Guide Retain for current year Academic Administration > Student Administration > Student Induction

Graduation Refund Listings Retain for current year Academic Administration > Student Financial Support Administration > Graduation Refunds

Direct entry applications Retain for current year Academic Administration > Student Administration > Student Admission


Page 37 of 73

LEA Reports Retain for current year + 1 year Academic Administration > Student Administration > LEA Reports

Student Administration Financial Records

Retain for current year + 6 years Academic Administration > Student Financial Support Administration

Academic Planning, Partnerships and International Affairs Records

Records pertaining to Faculty Heads of Collaborative Courses Forum / Collaborative Partnerships Forum (from 2011/12)

Retain for life of committee + 5 years


Academic Planning Sub-Committee documents



PIP Board documents Retain for life of the Board + 5 years Corporate Management > Governance > Records documenting the conduct of the business of a committee: agenda, minutes and supporting papers.

Agreements with partner institutions

Retain until termination of contract + 12 years




Page 38 of 73

Financial records documenting:

• preparation of annual operating budgets and records documenting the monitoring of income

• expenditure against annual operating budgets, and action taken to deal with variances

Retain for current financial year + 1 year

Corporate Resources > Finance Management > Records documenting analyses of the internal deployment of the institution's financial resources.

Records documenting the preparation of annual operating budgets.

Records documenting the monitoring of income and expenditure against annual operating budgets, and action taken to deal with variances.

Records documenting the development and evaluation of job specifications

Retain until termination of employment + 6 years



Records documenting references provided in confidence in support of the employee’s application(s) for employment by another organisation

Retain from provision of reference + 1 year

Corporate Resources > Human Resources Management > Records documenting references provided in confidence in support of the employee's application(s) for employment by another organisation.

Records pertaining to Academic Planning, Partnerships and International Affairs Committee



APPIAC and ACEB agendas, minutes and supporting papers




Page 39 of 73

US FSA student files Retain for current financial/academic year + 6 years

Corporate Management > Governance > US FSA > Student Files

US FSA administrative files Retain for current academic year + 5 years

Corporate Management > Governance > US FSA > Administrative Files

US FSA compliance audits Retain for current academic year + 5 years

Corporate Management > Governance > US FSA > Compliance Audits

US FSA policies and procedures Retain until superseded + 5 years Corporate Management > Governance > US FSA > Policies and Procedures

International business policies and procedures

Retain until policy superseded + 5 years

Corporate Management > Governance > International Business Policies and Procedures

Risk registers Retain until superseded + 1 year Corporate Management > Risk Management > Records documenting identified risks to the University and assessments of those risks.

Student Support Records

Student Support Retain until superseded + 3 years Student Services > Student Service Management > Records documenting the development and establishment of the institution's [student service] strategy, policies and procedures: key records.

Support provider Retain until superseded Student Services > Student Service Management > Student Service Operations Management > Support Providers


Page 40 of 73

Support provider application form reference


Student Services > Student Service Management > Student Service Operations Management > Support Providers > References

Support provider interview notes Retain for up to 1 year or until recruitment process is complete

Student Services > Student Service Management > Student Service Operations Management > Support Providers > Interview Notes

Support provider AccessNI documents

Retain until termination of employment + 6 years (as part of employee contract records) except information that is not relevant to the on-going employment relationship.

Student Services > Student Service Management > Student Service Operations Management > Support Providers > Personal Documentation

Support provider statement of agreement

Retain for 3 years Student Services > Student Service Management > Student Service Operations Management > Support Providers> Statements of Agreement

Support provider learning plans Retain until termination of employment + 6 years (as part of employee contract records) except information that is not relevant to the on-going employment relationship.

Student Services > Student Service Management > Student Service Operations Management > Support Providers > Learning Plans

Support provider work records Retain until superseded Student Services > Student Service Management > Student Service Operations Management > Support Providers > Work Records

Support provider personal documentation

Retain until the Support Provider withdraws or is withdrawn from the Register

Student Services > Student Service Management > Student Service Operations Management > Support Providers > Personal Documentation


Page 41 of 73

Support provider student information

Retain for 3 years Student Services > Student Service Management > Student Service Operations Management > Support Providers > Student Information

Disability services student file documents

Retain for 7 years Student Services > Student Service Management > Disability Services > Student File Documents

Disability services ASN for non-students

Retain until confirmation is received that the student is not attending Ulster University

Student Services > Student Service Management > Disability Services > ASN for Non-students

Student funding applications Retain until Issue of new strategy, policy or procedure + 1 year

Teaching & Learning > Learning Support > Records that develop and establish learning support strategy, policies and procedures on teaching. Working papers.

Student funding payment records Retain for 7 years Academic Administration > Student Financial Support Administration > Records on individual students documenting:

provision of financial aid funds

provision of crisis/hardship payments

the award of bursaries

the award of scholarships and fellowships

Counselling intake forms Retain until Issue of new strategy, policy or procedure + 1 year

Student Services > Student Service Management > Counselling Services > Intake Forms

Counselling interview notes Retain for 8 years Student Services > Student Service Management > Counselling Services > Interview Notes

Counselling EC1 forms Retain until Issue of new strategy, policy or procedure + 1 year

Student Services > Student Service Management > Counselling Services > EC1 Forms


Page 42 of 73

Child care parent application forms Retain until Issue of new strategy, policy or procedure + 1 year

Student Services > Student Service Management > Child Care > Application Forms

Health declaration form Retain until Issue of new strategy, policy or procedure + 1 year

Student Services > Student Service Management > Health Declaration Form

Research Office Records

Records and working papers that develop and establish strategy, policies and procedures on research

Retain until superseded + 10 years

Retain until Issue of new strategy, policy or procedure + 1 year

Research > Research > Records that develop and establish research strategy, policies and procedures. Key records.

Research > Research > Records that develop and establish strategy, policies and procedures on research. Working papers.

Records documenting the development of the quality and standards of research

Retain while current Research > Research > Records that develop the quality and standards of research.

Records documenting the identification and exploration of new opportunities which lead to research projects

Retain until completion of project Research > Research > Records documenting the identification and exploration of new research opportunities which lead to research projects.

Records documenting the design and planning of research projects which are undertaken: key records

Retain until the completion of project + 10 years

Research > Research > Records documenting the design and planning of research projects which are undertaken: key records.


Page 43 of 73

Records documenting the design and planning of research projects which are undertaken: working papers

Retain until completion of project Research > Research > Records documenting the design and planning of research projects which are undertaken: working papers.

Publications and presentations made to disseminate research results (NOT interim or final research reports)

Retain until publication/delivery + 3 years

Research > Research > Publications and presentations made to disseminate research results (NOT interim or final research reports).

Records documenting the management of internally-funded research projects

Retain until completion of project + 3 years

Research > Research > Records documenting the management of internally-funded research projects.

Records documenting the management of externally-funded research projects


Records documenting the management of externally-funded research projects.

Records documenting the identification and exploration of new research opportunities which lead to research projects


Records documenting the design and planning of research projects which are not undertaken

Retain until the abandonment or unsuccessful funding of plans + 1 year

Research > Research > Records documenting the design and planning of research projects which are not undertaken.


Page 44 of 73

Records documenting the preparation and submission of applications for funding, where the application is unsuccessful (i.e. does not result in the offer of a funding award)

Retain until the abandonment or unsuccessful funding of plans + 1 year

Research > Research > Records documenting the preparation and submission of applications for funding, where the application is unsuccessful (i.e. does not result in the offer of a funding award).

Records documenting the identification and exploration of new research opportunities which lead to research projects


Publications and presentations made to disseminate research results (NOT interim or final research reports)

Publications and presentations made to disseminate research results (NOT interim or final research reports).

Research > Research > Publications and presentations made to disseminate research results (NOT interim or final research reports).

Records documenting the management of internally-funded research projects


Research > Research > Records documenting the management of internally-funded research projects.

Records documenting the management of externally-funded research projects


Research > Research > Records documenting the management of externally-funded research projects.

Records documenting spending of research grants

Retain until termination of grant + 6 years

Corporate Resources > Finance Management > Records documenting the administration of research grants provided by research councils or corporate sponsors.


Page 45 of 73

Learning, Teaching and Student Experience Records

Committee papers Retain current academic year + 6 years


Working group papers Retain for life of working group + 5 years

[To be determined]

Steering group papers Retain current academic year + 6 years

[To be determined]

Records pertaining to Quality Assurance and Enhancement Committee



Records pertaining to Senate Retain for life of committee + 5 years


Records pertaining to Senate induction

Retain until superseded + 5 years Corporate Management > Governance > Records documenting the development of induction and training programmes for members of a statutory committee.

Records pertaining to Self-Effectiveness Review of Senate

Retain until the completion of two subsequent reviews

Corporate Management > Governance > Records documenting the conduct of reviews of the effectiveness and performance of a statutory committee.


Page 46 of 73

Records pertaining to Charter Review Group (2014/15)


[To be determined]

QAA external reviews Retain until completion of audit + 3 years

Corporate Management > Governance > Quality Management > Records documenting the conduct and results of quality audits, and action taken to address issues raised

HEQC Collaborative Audit records Retain until completion of audit + 3 years

Corporate Management > Quality Management > Records documenting the conduct and results of quality audits, and action taken to address issues raised.

QAA Audit of UK TNEIN China (2011/12) documents

Retain until completion of audit + 3 years

Corporate Management > Governance > Quality Management > Records documenting the conduct and results of quality audits, and action taken to address issues raised

National Student Survey (2005-2011) documents

Retain reports for duration of current survey + 3 years

Corporate Relations > Student Relations Management >

Annual Subject Monitoring documents

Retain for the current academic year + 5 years

Teaching & Learning > Teaching > Reviews, audits and responses on the quality and standards of teaching.

Summaries, reports and analysis of taught programme or module effectiveness.


Page 47 of 73

Annual Course Review (Collaborative Courses) documents




Module Monitoring documents Retain for the current academic year + 5 years



Themed Audits documents Retain until completion of audit + 3 years

Corporate Management > Quality Management > Records documenting the conduct and results of quality audits, and action taken to address issues raised.

Student Survey on the Quality of Teaching (SSQT) documents

Retain until completion of survey + 5 years

Corporate Relations > Student Relations Management > Results of student surveys: summaries and analyses of responses

Institutional Approval Files Retain for lifetime of partnership + 5 years

[To be determined]

Institutional Re-Approval Files Retain for lifetime of partnership + 5 years

[To be determined]

Faculty Head Collaborative Courses: Annual Reports


Teaching & Learning > Teaching > Summaries, reports and analysis of taught programme or module effectiveness.


Page 48 of 73

PSRB Reports Retain for lifetime of relationship + 10 years

[To be determined]

Student Complaints files Retain from last action on complaint + 3 years

Academic Administration > Student Administration > Records documenting the handling of complaints by individual students where the formal complaints procedure is not initiated.

Regulations templates Retain until superseded + 10 years Teaching & Learning > Learning Support > Records that develop and establish Learning Support strategy and policies on teaching. Key records.

DEL Foundation Degree Validation Group

(external working group) documents

Retain from Issue of policy or procedure + 1 year

Academic Administration > Student Assessment Administration > Records documenting the development and establishment of the University's academic assessment administration policies and procedures: working papers.

Academic Policies (as approved by committees, or in relation to external agencies)


Retain from issue of policy or procedure + 1 year

Academic Administration > Student Administration > Records documenting the development and establishment of the University's student administration policies: key records

Academic Administration > Student Administration > Records documenting the development and establishment of the University's student administration policies and procedures: working papers


Page 49 of 73

Prospectuses (copies) Retain for current academic year Academic Administration > Student Administration > Records documenting the issue of student recruitment materials in bulk to schools and other organisations

Teaching and Learning Strategy Annual Action Plans and Reports on Progress

Retain until superseded + 10 years Teaching & Learning > Teaching > Records that develop and establish teaching strategy and policies on teaching. Key records.

Teaching and Learning Strategy Working Papers

Retain until Issue of new strategy, policy or procedure + 1 year

Teaching and Learning > Teaching > Records that develop and establish teaching strategy, policies and procedures on teaching. Working papers.

Staff meetings – agendas, minutes Retain from issue of policy or procedure + 1 year

Academic Administration > Student Administration > Records documenting the development and establishment of the University's student administration policies and procedures: working papers.

Website updates Retain until fully migrated to the Squiz corporate content management system

[To be determined]

University Policy Documents Retain until superseded + 10 years Academic Administration > Student Administration > Records documenting the development and establishment of the University's student administration policies: key records.


Records documenting the development and establishment of the University's admission criteria.


Page 50 of 73

Financial records documenting:





Records documenting the processing of internal accounting transactions between operating units (i.e. cross-charges).



Records documenting the development and evaluation of job specifications

Retain until termination of employment + 6 years



Records documenting references provided in confidence in support of the employee's application(s) for employment by another organisation


Human Resources Management > Records documenting references provided in confidence in support of the employee's application(s) for employment by another organisation.

Annual Record of Retention and Disposal of Documents evidencing authorisation for the transfer/disposal of redundant records

Retain until disposal of records + 25 years

Corporate Resources> Records Management > Records documenting authorisation for the disposal of redundant records.


Page 51 of 73

CHERP Membership applications Retain for current academic year + 5 years



handling of successful applications for admission

registration of individual students on programmes

academic progress of individual students and formal action taken by the University to deal with unsatisfactory progress

transfer of individual students to new programmes or to new courses within programmes

withdrawal of individual students from the University

termination of individual students' programmes

CHERP Finance documents (invoices, receipts, claim forms etc.)

Retain for current financial year + 6 years

Corporate Resources > Finance Management > Records documenting:

issue of sales invoices and the processing of incoming payments

receipt and payment of purchase invoices

payment and/or reimbursement of employees' expenses

payment of expenses to third parties (e.g. honorary appointees)

handling of petty cash

receipt and processing of tuition fees

preparation of annual accounts

Annual Accounts

preparation of the institution's statutory accounts

the payment of honoraria to third parties (unless honoraria are administered through the payroll)


Page 52 of 73

CHERP feedback forms/event booklets


Academic Administration > Academic Programme Administration > Academic Programme Co-ordination > CHERP Feedback Forms and Event Booklets

CHERP Awards applications Retain for current academic year + 3 years

Academic Administration > Academic Award Administration > Records documenting:

notification of awards to students and the issue of awards certificates

the process of inviting, receiving and considering nominations for honorary awards

offers of honorary awards and responses received

CHERP Attendance records Retain for current academic year + 5 years

Academic Administration > Academic Programme Administration > Academic Programme Co-ordination > CHERP Attendance Records

Preparation, planning and conduct of teaching and learning materials and events

Retain for the current academic year + 1 year

Teaching & Learning > Teaching > Documentation of the preparation, planning and conduct of teaching and learning materials and events.

Design and development of assessments documents

Retain for the life of the programme or module

Teaching & Learning > Teaching > Documentation of the design and development of assessments.

Submitted/completed assessments: summative assessments

Retain until confirmation of marks/grades by Board of Examiners + 6 months



Page 53 of 73

Individual student marks and grades given to assessments (including awards and classifications)





Individual student feedback on academic progress and general academic guidance

Retain until end of student relationship + 6 years









Individual student marks, grades and feedback for summer school






Page 54 of 73

Summaries, reports and analyses of taught programme effectiveness - CPPD, PEP




Documentation of developing taught programmes and modules - PG CPD



Documentation of setting assessments, marking & grading, conducting meetings of examiners etc.

Retain for current academic year Teaching & Learning > Teaching > Documentation of setting assessments; marking/grading assessments; reviewing marks/grades awarded in response to notifications of mitigating circumstances; conducting meetings of examination boards; determining awards and classifications.

Submitted/completed assessments Retain until confirmation of marks/grades by Board of Examiners + 6 months


Reviews audits and responses on the quality and standards of teaching, including reports and analysis of module/programme effectiveness



Page 55 of 73

Records in relation to the e-learning audit conducted by QMAU


Reviews, audits and responses on the quality and standards of teaching.


Non Award Bearing Working Group papers



Records in relation to the development of the Programme Support Area Template

Retain for life of programme + 5 years

Knowledge Transfer and Enterprise > Education & Training > Records documenting the development of education and training programmes.

Records in relation to the development of the Course Support Area for Course Directors


[To be determined]

Records that develop and establish learning support strategy, policies and procedures on teaching

Retain until superseded + 10 years Teaching & Learning > Teaching > Records that develop and establish teaching strategy and policies on teaching. Key records.

Records in relation to development of CPPD & Postgraduate CPD Framework, PEP and other ADL academic programmes




Page 56 of 73

Teaching and learning material in relation to the Professional Experience Programme

Retain for the current academic year + 1 year

Teaching & Learning > Teaching > Documentation of the preparation, planning and conduct of teaching and learning materials and events.

Submitted assessments, marks, grades and feedback relation to the Professional Experience Programme


Records containing data on, and analyses of, student numbers and other programme statistics


Research > Research > Records containing data on, and analyses of, student numbers and other programme statistics.

Documentation of preparation and conduct of teaching & learning events (eTutor training)

Retain current academic year + 1 year

Knowledge Transfer and Enterprise > Education & Training > Records documenting:

preparation of teaching and learning materials

planning and conduct of teaching and learning events

Documentation of planning and conduct of teaching and learning events

Retain current academic year + 1 year

Knowledge Transfer and Enterprise > Education & Training > Records documenting:

preparation of teaching and learning materials

planning and conduct of teaching and learning events

Records documenting the development of education and training programmes

Retain for life of programme + 5 years

Knowledge Transfer and Enterprise > Education & Training > Records documenting the development of education and training programmes.


Page 57 of 73

Records documenting submitted/completed assessments: formative assessments

Retain current academic year Knowledge Transfer and Enterprise > Education & Training > Records documenting submitted/completed assessments: formative assessments

Records documenting submitted/completed assessments: summative assessments

Retain until confirmation of marks/grades + 6 months.

Knowledge Transfer and Enterprise > Education & Training > Records documenting submitted/completed assessments: summative assessments.

Records documenting marks/grades given to submitted/completed summative assessments and, where appropriate, awards and classifications

Retain current academic year + 6 years

Knowledge Transfer and Enterprise > Education & Training > Records documenting marks/grades given to submitted/completed summative assessments and, where appropriate, awards and classifications.

Records containing data on, and analyses of, student numbers and other programme statistics


Research > Research > Records containing data on, and analyses of, student numbers and other programme statistics.

Contact Details of All community partners for Science Shop

Held jointly by Ulster and QUB. Reviewed regularly

[To be determined]

Records documenting the design, conduct, organisation and summary results of student recruitment campaigns and events

Retain until completion of campaign or event + 5 years

Academic Administration > Student Administration > Records documenting the design, conduct, organisation and summary results of student recruitment campaigns and events.


Page 58 of 73

Student Applications for STEP-UP Successful - Retain until end of student relationship + 6 years

Unsuccessful - Retain until completion of admissions process + 1 year.



Records documenting the handling of applications for admission: unsuccessful applications.

Contact details of all students participating in Science Shop










Records held in JIRA documenting handling of queries from prospective students

Retain for current academic year + 1 year

Academic Administration > Student Administration > Records documenting the handling of enquiries from prospective students.

Copies of student and community partner evaluations

Retain indefinitely [To be determined]


Page 59 of 73

Records containing personal data on individual students/successful applications/admission & registration of new students










Documents with regard to academic programme administration - PEP/CPPD/PG CPD

Retain from current academic year + 3 years

Academic Administration > Academic Programme Administration > Records documenting the administration of academic programmes.


Page 60 of 73

Documents with regard to academic award administration - PEP/CPPD/PG CPD


Retain from issue of policy or procedure + 1 year

Academic Administration > Academic Award Administration > Records documenting the development and establishment of the University's academic award administration policies: key records.

Master copies of procedures relating to academic award administration.

Academic Administration > Academic Award Administration > Records documenting the development and establishment of the University's academic award administration policies and procedures: working papers.

Records related to Student Assessment Administration for the relevant ADL programmes/frameworks

Retain for current academic year Documentation of setting assessments; marking/grading assessments; reviewing marks/grades awarded in response to notifications of mitigating circumstances; conducting meetings of examination boards; determining awards and classifications.

Records documenting individual students assessed work and submissions

Retain from current academic year + 1 year

Academic Administration > Student Assessment Administration > Records documenting individual students' submission of assessed work and handling of reports of mitigating circumstances.

Copies of Student project completed for community partner

Retain permanently [To be determined]


Page 61 of 73

Records related to the administration of student assessment including committee servicing




Academic Administration > Student Assessment Administration > Records documenting the development and establishment of the University's academic assessment administration policies: key records.

Academic Administration > Student Assessment Administration > Master copies of procedures relating to academic assessment administration.


Academic Administration > Student Assessment Administration > Records documenting the conduct of the business of a committee:

agenda, minutes and papers

correspondence and other records relating to the preparation of committee business or to actions to be taken (or not taken) as a result of committee decisions.

Records documenting the selection & appointment of external examiners

Retain until termination of appointment + 1 year


Records documenting the process of determining tuition fees

Retain from current academic year + 5 years

Academic Administration > Tuition Fees Administration > Records documenting the process of determining tuition fees


Page 62 of 73

Administration of Professional Experience Programme Bursaries

Retain for current financial year [To be determined]

Student Survey - Full dataset, including historical responses for the Student Survey

Retain until completion of survey + 5 years

Corporate Relations > Student Relations Management > Results of student surveys: summaries and analyses of responses

Records related to the tracking of income and expenditure against budget


Corporate Resources > Finance Management > Records documenting the monitoring of income and expenditure against annual operating budgets, and action taken to deal with variances.

Records documenting the advertising of vacancies for placement students

Retain until completion of recruitment process + 3 months

Teaching & Learning > Teaching > Taught Programme Delivery

Records documenting the handling of applications for vacancies for placement students: unsuccessful applications

Retain until completion of recruitment process + 3 months

Teaching & Learning > Teaching > Taught Programme Delivery

Records documenting enquiries about vacancies and requests for application forms. (placement students & postgraduate casual work)

Retain until completion of recruitment process

Corporate Resources > Human Resources Management > Records documenting enquiries about vacancies and requests for application forms.


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Records documenting the employee's initial application for employment with the institution and supporting documentation supplied by third parties (e.g. references, Criminal Records Bureau checks)

Retain until termination of employment + 6 years (as part of employee contract records) except information which is not relevant to the on-going employment relationship.

Corporate Resources > Human Resources Management > Records documenting the employee's initial application for employment with the institution and supporting documentation

Records documenting the employees training and development needs & DAR


Corporate Resources > Human Resources Management > Records documenting the employee's training and development needs, and the action taken to meet these needs.

Records documenting the design and development of promotional materials

Retain while materials are current Corporate Resources > Collections Management > Records documenting the design and development of promotional materials.

Masters copies of procedures related to the management of Blackboard Learn

Retain until superseded + 3 years Corporate Resources > Information & Communications Technology (ICT) Systems Management > Master copies of procedures relating to the management of ICT systems.

Records documenting the initial development and post implementation modification, updates and maintenance of Blackboard Learn

Retain from decommissioning of system + 5 years

Corporate Resources > Information & Communications Technology (ICT) Systems Management > Records documenting the initial development and post-implementation modification and maintenance of ICT systems.


Page 64 of 73

Records documenting faults reported by users of Blackboard Learn and action taken to resolve (held in JIRA)

Retain from last action on fault + 1 year

Corporate Resources > Information & Communications Technology (ICT) Systems Management > Records documenting faults reported by users of ICT systems, and action taken to investigate and resolve the problem.

Departmental Purchase orders (e5 system) including associated paperwork


Corporate Resources > Procurement > Purchase Orders

Records documenting the design, commissioning, editing and production of publications

Retain from issue of publication + 1 year

Corporate Resources > Publishing > Records documenting the design, commissioning, editing and production of publications

Records documenting general enquiries from other institutions or bodies in the sector, internal handling and responses given

Retain from last action of enquiry + 1 year

Corporate Relations > HE/FE Sector Relations Manager> Records documenting general enquiries from institutions and other bodies in the sector, the internal handling of these enquiries and the responses given.

Records documenting enquiries from members of the local community and the responses provided

Retain from last action of enquiry + 1 year

Corporate Relations > Community Relations Management> Records documenting enquiries from members of the local community and the responses provided.

Records documenting the design and conduct of community surveys

Retain from completion of survey + 3 years

Corporate Relations > Community Relations Management> Records documenting the design and conduct of community surveys.


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Records of community surveys - individual responses

Retain from completion of analysis of survey responses

Corporate Relations > Community Relations Management> Results of community surveys: individual responses

Records of community surveys - summaries and analyses of responses

Retain from completion of survey + 3 years

Corporate Relations > Community Relations Management> Results of community surveys: summaries and analyses of responses

Records documenting the organisation and administration of local community events

Retain from completion of event + 1 year

Corporate Relations > Community Relations Management> Records documenting the organisation and administration of local community events

Records in the category of Business Unit Management

Retain current calendar year

Retain current calendar year + 1 year

Retain until date of meeting

Retain current calendar year + 3 years

Business Unit Management > Records documenting work allocation/scheduling (e.g. duty rosters).

Business Unit Management > Records documenting the progress of work.

Model sign off permission forms for over and under 18s for video shoots, photos & audio recordings


Office for Digital Learning – retain indefinitely

[To be determined]


Page 66 of 73

Academic Office Records


Academic Administration > Student Assessment > Information > Records documenting the conduct of the business of a committee:



Working group papers Retain for life of working group + 5 years


Steering group papers Retain for life of steering group + 6 years

Academic Administration > Student Assessment > Information > Records documenting the conduct of the business of a committee:



Plagiarism Annual Reports to LTC Retain for current academic year + 5 years

[To be determined]


Page 67 of 73

Academic Planning Sub-Committee documents



Regulations templates Retain until superseded + 10 years Teaching & Learning > Learning Support > Records that develop and establish Learning Support strategy and policies on teaching. Key records.

PIP Board documents Retain papers for current academic year + 5 years


CMS Project Board Retain papers for current academic year + 5 years

[To be determined]

Evaluation/Revalidation papers Retain for the life of the programme or module + 10 years

[To be determined]

Evaluation/ Revalidation schedules Retain for the life of the programme or module + 10 years

[To be determined]

Evaluation/Revalidation external panel members expenses


[To be determined]

Annual validation briefing seminar documents


[To be determined]

Course files (servicing panels, reports, follow-up documentation, programme documentation)


[To be determined]


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Handbooks for:

Programme Approval, Management and Review

Retain for 20 years then transfer to University Archive

[To be determined]

Partnership Retain for 20 years then transfer to University Archive

Members of University Evaluation Panels

Retain for 5 years

Members of University Revalidation Panels

Retain for 5 years

Members of Evaluation Panels in External Institutions

Retain for 5 years

Members of Revalidation Panels in External Institutions

Retain for 5 years

External Examiners Retain for 20 years then transfer to University Archive

Assessment Retain for 20 years then transfer to University Archive

Academic Policies (as approved by committees, or in relation to external agencies)


Academic Administration > Student Administration > Records documenting the development and establishment of the University's student administration policies: key records

Academic Administration > Student Administration > Records documenting the development and establishment of the University's student administration policies and procedures: working papers


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Prospectuses (Academic Office copies)

Retain for 40 years to support syllabus searches

Academic Administration > Student Administration > Records documenting the issue of student recruitment materials in bulk to schools and other organisations

Syllabus Searches Retain records of requests and outcomes of individual searches for current academic year + 5 years

[To be determined]

Details relating to financial transactions for syllabus searches


Corporate Resources > Finance Management > Records documenting:

issue of sales invoices and the processing of incoming payments

receipt and payment of purchase invoices

Access Courses queries Retain for current academic year + 1 year

[To be determined]

External Examiner Nominations Retain until termination of appointment + 1 year


Recognised Teacher Nominations Retain for current academic year + 5 years

Corporate Resources > Finance Management > Records documenting the employee's remuneration and rewards (e.g. bonuses, merit awards, long service awards).

Establishment of and revisions to terms and conditions of University prizes

Retain until end of prize + 1 year.

Retain prizes and revisions not approved for current academic year + 5 years.

Academic Administration > Student Financial Support Administration > Records documenting nominations for prizes, the consideration of nominations and notifications to recipients of prizes.


Page 70 of 73

Documentation relating to notification of prize winners and related correspondence


Academic Administration > Student Financial Support Administration > Records documenting nominations for prizes, the consideration of nominations and notifications to recipients of prizes.

Details relating to financial transactions for prizes

Retain for current academic year + 1 year

Academic Administration > Student Financial Support Administration > Records documenting nominations for prizes, the consideration of nominations and notifications to recipients of prizes

Academic Office Annual prize listing


Academic Administration > Student Financial Support Administration > List of prize winners

Teaching and Learning Strategy Annual Action Plans and Reports on Progress (now superseded)

Retain for life of strategy + 5 years Teaching & Learning > Teaching > Records that develop and establish teaching strategy and policies on teaching. Key records.

Teaching and Learning Strategy Working Papers (now superseded)

Retained until issue of new strategy, policy or procedure + 1 year

Teaching & Learning > Teaching > Records that develop and establish teaching strategy, policies and procedures on teaching. Working papers

Academic Office Risk Register Retain until superseded + 3 years Corporate Management > Risk Management > Records documenting identified risks to the University and assessments of those risks.

Academic Office Pandemic Flu Plan

Retain until superseded + 1 year Corporate Management > Health & Safety Management > Records documenting the development and establishment of the University's policies on health and safety: key records


Page 71 of 73

Academic Office staff meetings – agendas, minutes



Academic Office Website updates Retain for current academic year + 3 years

[To be determined]

Academic Office Documentation for Internal Audit of Academic Office procedures

Retain evidence base for current academic year + 1 year.

Retain report in AO for 10 years or until updated


Academic Office copy of University Policy Documents (issued by other departments.)

Retain until superseded + 1 year Academic Administration > Student Administration > Records documenting the development and establishment of the University's student administration policies: key records.


Records documenting the development and establishment of the University's admission criteria.


Page 72 of 73

Agreements with partner institutions

Retain copy in Academic Office until superseded or agreement ends + 5 years



Academic Office Financial records documenting:


Records documenting the processing of internal accounting transactions between operating units (i.e. cross-charges).






Retain for current financial year + 6 years (paper copy)

Academic Office Records documenting the development and evaluation of job specifications

Retain until superseded + 5 years Corporate Resources > Human Resources Management > Records documenting the employee's contract(s) of employment with the institution.



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Academic Office Records containing employees’ basic personal details (e.g. address information)

Retain until superseded or until staff member leaves

Corporate Resources > Human Resources Management > Records containing employee's basic personal details (e.g. address, next of kin, emergency contacts).

Academic Office Records documenting references provided in confidence in support of the employee's application(s) for employment by another organisation

Retain from provision of reference + 5 years

Human Resources Management > Records documenting references provided in confidence in support of the employee's application(s) for employment by another organisation.

Academic Office Annual Record of Retention and Disposal of Documents evidencing authorisation for the transfer/disposal of redundant records

Retain for 40 years in Academic Office Archive.

Corporate Resources> Records Management > Records documenting authorisation for the disposal of redundant records.

UNIVERSITY ARCHIVE

Originating departments should retain all records which they need for their own operational purposes for as long as they need them. Records should only be transferred to the University Archive when they cease to be operationally relevant.

Where it has been noted that records should be retained permanently by the University Archive, such records may eventually be deposited in the Public Record Office of Northern Ireland (PRONI) in accordance with any future strategy agreed between the University and PRONI.

In the event of any required change in retention period, e.g. changes in legislation, the University Archivist will have the discretion to make such a change, consulting as appropriate the Departments/Faculties concerned.

OTHER RELEVANT POLICIES

Document Management Policy