Corporate Governance

The University of Portsmouth Retention Schedules

1st August 2017 - version 5.0 of the University Retention Schedule has been published

Retention 300 x 200

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

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

The RAG statuses are an indication only and a key can be found here.

Printing of the schedules is discouraged on environmental grounds.  Where there is a need to print, the schedules print in A3 format by default.  However, staff are advised that the schedules do remain legible if scaled to print on A4 paper.

Details of previous updates can be found here

01 ASSET MANAGEMENT RECORDS

02 AUDIT RECORDS

03 COMMITTEES RECORDS

04 COMMUNICATION AND MARKETING RECORDS

05 FINANCE RECORDS
(see also weeding guidelines for local finance docs)

06 HUMAN RESOURCE RECORDS
(see also weeding guidelines for local staff files)

07 PROJECT RECORDS

08 RISK MANAGEMENT RECORDS

09 SERVICES AND STUDENT SUPPORT RECORDS

10 STRATEGY AND GOVERNANCE RECORDS

11 STUDENT AND COURSE RECORDS
(see also what constitutes transcript and validation data?)

12 TRAINING AND EVENT RECORDS

These schedules should be read in conjunction with the Retention Policy and replace any local record retention schedules in use prior to 1st April 2014.  Departments may still produce their own local retention schedules, but the content of any local schedule must be drawn from the University schedule.  The department is responsible for maintaining and updating their local schedule in line with changes to the University schedule.  More guidance on retention and destruction can be found in the records management factsheets.

The new retention schedules aim to cover all University records and, as such, may seem daunting or confusing at first glance.  It may not be immediately clear where to find schedules for particular records.  In an attempt to overcome this, each schedule is consecutively numbered with a contents list.  The full index, comprising all contents lists can be found at the bottom of this page.

You may notice that titles of the 12 retention schedules bear a striking resemblence to the 12 main functions of the generic folder structure in the EDM system.  This similarity is intentional and it is hoped will begin to make both the schedules and the EDM folder structure more familiar to staff.  Wherever possible, cross references have been inserted into the schedules to point staff either to more relevant schedules or additional information.

Queries or concerns over the content of the schedules, or requests to deviate from the schedules should be addressed to the University Records Manager by emailing recordsmanagement@port.ac.uk

Index

  • 1 Asset Management Records

    1.1   Estates Legal Records

    1.2   Estates Assets

    1.2.1     Maintenance Records
    1.2.2     Registers, Reports and Plans
    1.2.3     Environmental Management
    1.2.4     Physical Security

    1.3   IT Hardware and Software

    1.3.1     System Maintenance
    1.3.2     User Support

  • 2 Audit Records

    2.1   Programme Quality, Monitoring and Review

    2.1.1     Committees
    2.1.2     Annual Standards and Quality Evaluative Reviews
    2.1.3     Periodic Reviews of Curriculum
    2.1.4     External Examiners
    2.1.5     Validation and Accreditation by Professional, Statutory and Regulatory Bodies (PRSBs)
    2.1.6     QAA Audits
    2.1.7     Student Feedback
    2.1.8     Peer Review

    2.2   Internal Audits

    2.3   External Audits

    2.4   Health and Safety Audits

    2.5   Environmental Audits

  • 3 Committee Records

    3.1    Management, Organisation and Committee Structures

    3.2    Board of Governors' Committees

    3.3    Committees, Working Groups and Meetings

    3.3.1     University Level
    3.3.2     Faculty, Professional Service, Support Service Level
    3.3.3     Department, School, Team Level
    3.3.4     Programme Level
    3.3.5     Assessment Level
    3.3.6     Project Level

    3.4    Ad-hoc Meetings

  • 4 Communications and Marketing Records

    4.1    Surveys, Feedback, Evaluation Forms and Market Research

    4.1.1     Events and Training Evaluation
    4.1.2     Market Research

    4.2    Public Relations

    4.3    Media Relations

    4.4    Education Liaison

    4.4.1     Up for It Club

    4.5    Alumni Relations

    4.6    Publications and Promotional Materials

    4.6.1     Corporate Identity

  • 5 Financial Records

    5.1    Procurement

    5.1.1     Identification and Vetting of Potential Suppliers
    5.1.2     Selection of Suppliers
    5.1.3     Management of Supplier Relationships
    5.1.4     Monitoring of Supplier Performance

    5.2    Purchasing

    5.2.1     Authorisation of Purchasing
    5.2.2     Placing of Orders
    5.2.3     Taking Delivery of Goods and Services

    5.3    Accounting for Expenditure

    5.4    Accounting for Income

    5.5    Internal Recharges

    5.6    Payroll Administration

    5.6.1     Processing of Non-statutory Deductions from Salaries and Wages
    5.6.2     Making Payroll Payments
    5.6.3     Employment Related Tax Liabilities
    5.6.4     Statutory Leave Entitlements - pay records

    5.7    Financial Planning

    5.7.1     Preparation of Financial Forecasts
    5.7.2     Preparation of Capital and Revenue Budgets

    5.8    Management Accounting

    5.8.1     Financial Analysis

    5.9    Cash Management

    5.10  Tax Management

    5.10.1   Assessment of Tax Returns
    5.10.2   Submission of Tax Returns

    5.11  Captial Asset Management

    5.11.1   Maintaining Asset Registers
    5.11.2   Controlling the Official Movement of Assets

    5.12  Investment Management

    5.12.1   Acquisition/Disposal of Investments

    5.13  Insurance Management

    5.13.1   Maintenance of Insurance Policies
    5.13.2   Filing Claims Against Insurance Policies

  • 6 HR Records

    6.1    Recruitment

    6.1.1     Administration and Advertisement
    6.1.2     Applications and Selection
    6.1.3     Points Based Immigration System
    6.1.4     Disclosure and Barring Records
    6.1.5     Pre-employment Screening

    6.2    Staff Records and Staff Files

    6.2.1     Staff Enquiries
    6.2.2     Staff Files
    6.2.3     Staff Records
    6.2.4     Leave Records
    6.2.5     Sickness Absence
    6.2.6     General Staff Health Records
    6.2.7     Termination of Employment

    6.3    Induction, Probation and Personal Development

    6.3.1     Personal Induction
    6.3.2     Probation Records
    6.3.3     Appraisals
    6.3.4     Individual Training Needs Assessments and Records of Training Received

    6.4    Grievance and Discipline

    6.4.1     Appeals

    6.5    Remuneration and Reward

    6.5.1     Pay and Grading
    6.5.2     Awards
    6.5.2.1    Contribution Awards & Merit Increase Awards (historic)
    6.5.2.2    Recognition Awards
    6.5.2.3    Long Service Awards

    6.6    Pensions

    6.7    Industrial Relations

  • 7 Project Records

    7.1    Project Management (PRINCE2)

    7.2    Capital Projects

    7.3    Research Projects

    7.3.1     Research Proposals and Funding Bids
    7.3.1.1    Unsuccessful Proposals - Where the Proposal is not likely to be Re-submitted
    7.3.1.2    Unsuccessful Proposals - Where the Proposal is likely to be Re-submitted
    7.3.1.3    Successful Proposals
    7.3.2     Research Data and Related Project Documentation
    7.3.3     Published Research

  • 8 Risk Management Records

    8.1    Risk Management

    8.2    Declarations of Interest

    8.3    Disclosure and Barring

    8.3.1     DBS Administration
    8.3.2     Criminal Conviction Information (Staff and Students)

    8.4    Litigation

    8.4.1     Legal Cases
    8.4.2     Documented Legal Advice Provided for the University

    8.5    Complaints

    8.6    Health and Safety

    8.6.1     General Health and Safety Monitoring
    8.6.2     Display Screens
    8.6.3     Accidents and First Aid
    8.6.4     Fire Safety
    8.6.5     Out of Hours Risk
    8.6.6     Students
    8.6.6.1    Field Trips
    8.6.6.2    Student Placements
    8.6.7     Staff and Contractors
    8.6.8     Asbestos
    8.6.8.1    Occupational Health: Asbestos
    8.6.9     Hazardous Substances
    8.6.9.1    Occupational Health: Hazardous Substances
    8.6.10   Lead
    8.6.10.1  Occupational Health: Lead
    8.6.11   Noise
    8.6.11.1  Occupational Health: Noise
    8.6.12   Ionising Radiation
    8.6.12.1  Occupational Health: Ionising Radiation

  • 9 Services and Student Support Records

    9.1    Library Records

    9.1.1     General Library Records
    9.1.2     Enquiries
    9.1.3     Membership
    9.1.3.1    Student Borrowing Records and Contact Details
    9.1.3.2    "Referred to Finance" Cases
    9.1.3.3    Distance Learners
    9.1.3.4    External Readers
    9.1.3.5    Staff and Contractor Borrowing Records and Contact Details
    9.1.4     University Archive

    9.2    Sport and Recreation

    9.2.1     Membership and Usage
    9.2.2     Services - Individual Client Records
    9.2.3     Clubs and Societies
    9.2.4     Schemes and Programmes
    9.2.4.1    Coach Education Programme
    9.2.4.2    Intramural Sports Programme
    9.2.4.3    Sports Scholarship Scheme
    9.2.4.4    UP for Sport

    9.3    Dental Clinic Records

    9.4    Nursery

    9.4.1     Childcare Policies and Procedures
    9.4.2     Administrative Records

    9.5    Academic Skills (ASK)

    9.6    Additional Support and Disability Advice Centre (ASDAC)

    9.7    Student Wellbeing

    9.8    Chaplaincy

    9.9    Residential Services

    9.9.1     Individual Residents

    9.10  Student Housing

    9.10.1   Registration Scheme for Landlords
    9.10.2   Guidance for Students

    9.11  Student and Neighbour Liaison Service

    9.12  Student Finance

    9.13  Law Clinic records

  • 10 Strategy and Governance Records

    10.1    Board of Governors

    10.1.1     Legal Framework and Terms of Reference
    10.1.2     Governors: Personal Records
    10.1.3     Governors: Administrative Records

    10.2    Strategies, Strategic Plans and Management Plans

    10.3    Policies and Procedures

    10.3.1     Policies - Final Versions
    10.3.2     Procedures - Final Versions
    10.3.3     Working Papers and Drafts
    10.3.4     Equality Impact Assessments
    10.3.5     Implementation

    10.4    Annual Reports

    10.5    Student Charter

    10.6    Statistics

    10.6.1     Strategic Returns
    10.6.2     Other Statistics

    10.7    Contracts and Licences

    10.7.1     Non-academic Contracts and Licences
    10.7.2     Collaborative Programme Contracts
    10.7.3     Research Contracts
    10.7.4     Student Placements and Training Agreements
    10.7.5     Validation and Accreditation Contracts
    10.7.6     International Contracts and Sponsorship Licence

    10.8    Information Governance

    10.8.1     Data Protection
    10.8.2     Freedom of Information and Environmental Information
    10.8.3     Appeals to the Information Commissioner's Office
    10.8.4     Public Interest Disclosure
    10.8.5     Records Management
    10.8.6     Information Security and Monitoring

  • 11 Student and Course Records

    11.1    Admissions

    11.1.1     Administration of Admissions
    11.1.2     Admission Records
    11.1.3     Accreditation of Prior Learning
    11.1.4     Points Based Immigration System
    11.1.5     Disclosure and Barring

    11.2    Registration and Invoicing

    11.3    Student Records and Files

    11.3.1     Student Records
    11.3.2     Student Files
    11.3.3     Transcripts, Parchments and Validation Records
    11.3.4     General Misconduct

    11.4    Development and Supervision Records

    11.5    Student References

    11.6    Assessments

    11.6.1     Administration of Assessments
    11.6.2     Assessed Work
    11.6.3     Higher Degrees
    11.6.3.1    Taught Masters
    11.6.3.2    Research Degrees
    11.6.3.3    Viva
    11.6.3.4    Higher Degrees by Publication and Higher Doctorate
    11.6.4     Feedback to Students
    11.6.5     Unit Assessment Boards
    11.6.6     Boards of Examiners
    11.6.7     Extenuating Circumstances
    11.6.8     Academic Appeals
    11.6.9     Academic Misconduct

    11.7    Course Records

    11.7.1     Course Approval
    11.7.2     Programme Specifications
    11.7.3     Course Structure

    11.8    Unit Records

    11.9    Student Handbooks

    11.10  Course Materials

    11.11  Timetables

    11.12  Graduation

    11.13  Quality and Vaildation

  • 12 Training and Event Records

    12.1    Training Sessions and Events

    12.1.1     Records Relating to the Provision of Health and Safety Training

    12.2    Catering Services

    12.3    Conferences and Lettings