RECORDS

MANAGEMENT

  POLICY


                   Created – Aug 2009
                   Review – Aug 2011

         1



...
1 Policy Statement


1.1    The College recognises that recorded information is a key resource for
       effective operat...
3     Context

            3.1       The Records Management Policy and associated policies
            and procedures are ...
•   Response time in providing information from the records or retrieving
      the records themselves.


7 Active Records...
Records should be closed as soon as they have ceased to be of active
          use other than for reference purposes, (as ...
6



MORAY COLLEGE
9       Record Selection Policy

    9.1 It is important that destruction of records happens as part of a
        manageme...
APPENDIX A

Active Records Management –

The process

1. Conduct an Inventory

  •Identifying each class of record
  •Dist...
APPENDIX B

Records Retention/Disposal Schedule

Section:

Ref        Description                    Date     Retention   ...
APPENDIX C – Records Retention Periods

Description of Records                      Retention Periods        Comments e.g....
1. Registrations                   1. Current + 1 year
   2. Estimates                       2. Current
   3. Attendance R...
Description of Records                         Retention Periods                       Comments e.g. refer to
            ...
statutory requirements
)d SFC

   1. Circulars                                .1 Current + 3 years
   2. Correspondence   ...
Description of Records                   Retention Periods                                 Comments e.g. refer to
        ...
Description of Records                                       Retention Periods                    Comments e.g. refer to
 ...
Description of Records                                              Retention Periods                   Comments e.g. refe...
Description of Records                                               Retention Periods   Comments e.g. refer to statutory
...
years
Description of Records                                         Retention Periods                            Comments e.g. ...
1. Personal Learning Support Plan    1.
   containing:
     (i)  School Reports               (i)   Current year + 5 years...
Description of Records                                      Retention Periods          Comments e.g. refer to statutory
  ...
Description of Records                                                       Retention Periods                 Comments e....
Description of Record                               Retention Period             Comments e.g. refer to
                  ...
statutory requirements

3. Recruitment Files                                          3. Current year + 1
   • ATR
   • Jo...
9. Restructuring information                                   9. Current session + 7 years
   • Information relating to s...
Description of Record            Retention Period       Comments e.g. refer to
                                           ...
Description of Record                  Retention Period                Comments e.g. refer to
                            ...
D. General
                                                                1. Current year + 2 years
  1. Annual Budget – ...
Description of Record             Retention Period         Comments e.g. refer to
                                        ...
APPENDIX C – Records Retention Periods

Description of Records                                    Retention Periods       ...
APPENDIX C – Records Retention Periods

Description of Records                                    Retention Periods       ...
APPENDIX C – Records Retention Periods

Description of Records                                    Retention Periods       ...
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Transcript of "Records Management Policy"

  1. 1. RECORDS MANAGEMENT POLICY Created – Aug 2009 Review – Aug 2011 1 MORAY COLLEGE
  2. 2. 1 Policy Statement 1.1 The College recognises that recorded information is a key resource for effective operation and accountability, providing valuable evidence of the College’s activities and transactions. The aim of this policy is to implement and develop a records management policy which will ensure the efficient and cost-effective care and control of records, from the date of their creation until their destruction or eventual inclusion in an archival collection. 2 Scope 2.1 This policy applies to all information recorded, regardless of medium, which is created, collated, processed, used and retained (for a set period) in the course of College activities. This includes, but is not limited to, paper, electronic, digital and audio-visual records. 2.2 Records management is defined as a field of management responsible for the efficient and systematic control of the creation, receipt, maintenance and disposition of records, including processes for capturing and maintaining evidence of, and information about, business activities and transactions in the form of records. 2.3 The policy applies to all records of the College. 2.4 The College has a detailed Business Recovery Plan in place that details the key steps to be taken when business is disrupted. This includes a section relating to the loss of essential records and the steps to be taken to retrieve those records. 2.5 Appendix C details the officer and office responsible for retaining and managing the various records. Records must not be retained by any other Section for a period longer than the times stated by the responsible officer. 2 MORAY COLLEGE
  3. 3. 3 Context 3.1 The Records Management Policy and associated policies and procedures are designed to comply with the Freedom of Information (Scotland) Act, Data Protection Act, the Computer Misuse Act 1990, the Copyright (Computer Programme) Regulations Act 1992, the Lawful Business Practice Regulations and the Regulation of Investigatory Powers Act. 4 Responsibilities 4.1 The Assistant Principal – Secretariat is responsible for overseeing the design, implementation and maintenance of this Policy. 4.2 All Directors and Section Managers are responsible for supporting and monitoring records retained in their own area. 4.3 All employees of the College are responsible for ensuring that all records created in the course of their work are reliable and accurate. 4 Training and Awareness 5.1 The Professional Development Officer will establish a training programme to ensure that all staff are aware of their obligations around Data Protection, Freedom of Information and Records Management. 6 Performance Measurement 6.1 The Quality Unit will monitor compliance with this policy through the use of performance indicators: These will include:- • Selective audit of directorate and sectional records. 3 MORAY COLLEGE
  4. 4. • Response time in providing information from the records or retrieving the records themselves. 7 Active Records Management 7.1 Each area of the College must have in place adequate arrangements for documenting its activities, taking into account the legal and regulatory environment specific to that area of work and the nature of the activities. Those arrangements will include: 7.2 Records Creation • Appropriate records created, arranged and indexed in such a way that they can be retrieved quickly and efficiently • Procedures and guidelines for referencing, titling, indexing, version control and security marking, including cross referencing of electronic and paper records. • Procedures for keeping the system updated. • Documentation of the system and guidelines on how to use it, to be maintained by the relevant Director/Line Manager • Retention periods determined for all records. See Retention Periods (para 8). 7.3 Records Maintenance • Provision of appropriate storage accommodation for current records which allows maximum accessibility to the information commensurate with its frequency of use but which is secure and complies with statutory requirements. • Storage areas must be kept clean and tidy with, (ideally) a single responsible person being identified. • Identifying records vital to the continued functioning of the College and applying appropriate protection, 7.4 The process for creating and maintaining an appropriate records system is outlined in Appendix A. 7.5 Records Closure 4 MORAY COLLEGE
  5. 5. Records should be closed as soon as they have ceased to be of active use other than for reference purposes, (as a general rule, files should be closed after no more than four years, and, if action continues a further file should be opened). Non-current records should be transferred in a controlled manner to a designated storage facility rather than stored in offices, in accordance with Retention Periods established. 8. Retention Periods 1.1. The College will retain for permanent preservation records which are essential to the College and which document the College’s policies, structures and processes. These will include evidence of the following:- • Legal status and remit of the College, and any major changes to these. • Principal administrative process of the College. • Top level decision making and policy formation within the College. • Important or high profile aspects of the interactions between the College and individuals, business, civic institutions and the environment. 8.2 Realistic retention periods for all other records should be decided as they are created. A schedule of retention periods for key records is attached at Appendix C. 8.3 In determining Retention Periods, consideration should be given to the following: • Is the record required for the day to day running of the College? • Is it required for legal purposes e.g. invoices, major contracts? • Does any legislation or official regulation govern how long it must be kept e.g. European grant funding records? • Is it likely to be of ongoing or recurrent public interest? • Is there current guidance on record retention within the area relating to the record? 4.1 At the end of the Retention Period, an appraisal process should be undertaken by the relevant manager to decide either permanent preservation, further retention period or destruction. 8.5 A schedule should be kept of records created and retained in each area, The schedule should indicate the date of disposal and authorisation for final disposition. 5 MORAY COLLEGE
  6. 6. 6 MORAY COLLEGE
  7. 7. 9 Record Selection Policy 9.1 It is important that destruction of records happens as part of a management process and is adequately documented. Directorate/sections must have arrangements for the appraisal and selection of records for destruction, and for documenting this work. 9.2 Records selected for permanent preservation and not in regular use should be clearly marked as such and transferred to a secure storage area. 9.3 Records not selected for permanent preservation and which have reached the end of their agreed retention period should be appraised by the relevant manager who will recommend whether they merit a further retention period or are to be destroyed. The following criteria should be observed when recommending destruction:- • No record should go into storage without an agreed Retention Period. • No record should be automatically destroyed – lists of records for destruction need to be approved by the relevant manager. • No record should be destroyed until it is established whether it is the subject of a request for access under the Freedom of Information (Scotland) Act 2002. If this is the case, destruction must be delayed until disclosure has taken place or, if the College has decided not to disclose the information, until the review and appeal provisions of the Act have been exhausted. • A record of those records destroyed must be maintained and preserved ( see Appendix B) 9.4 All records authorised for destruction must be destroyed in as secure manner as in necessary for the level of confidentially or security they warrant. 10 Electronic Records The same records management principles and policies which apply to paper records will govern the management of electronic records. However, further analysis and investigation of the issues relating to electronic records management is required before more detailed guidelines or procedures can be formulated. 7 MORAY COLLEGE
  8. 8. APPENDIX A Active Records Management – The process 1. Conduct an Inventory •Identifying each class of record •Distinguish the original from copies to avoid duplication •Establish location, volume and ownership •Identify retention obligations – statutory or otherwise • Review existing retention practice (are records currently being retained too long) 2. Analysis and Decision •Analyse the inventory information. •Establish realistic retention periods. • Retention decisions should be made by managers, in consultation with each other and in accordance with the guide to retention periods (Appendix C) 3. Storage Policy • Confirm storage arrangements allow accessibility to the information commensurate with its frequency of use. • Ensure location is secure. • Ensure environmental conditions meet fire regulations and health and safety legislation and any other standard which would prevent damage to the records. 4. Appraisal and Permanent Preservation /Destruction • At the end of the Retention Period, the relevant manager to appraise and decide if record merits permanent preservation, further retention period or destruction and to record this decision. • All destruction to be authorised by the relevant manager and recorded, following check on FOI enquiries situation or ongoing or imminent audit. 8 MORAY COLLEGE
  9. 9. APPENDIX B Records Retention/Disposal Schedule Section: Ref Description Date Retention Date of Disposa Archived Period Disposal Authori (Signatu 9 MORAY COLLEGE
  10. 10. APPENDIX C – Records Retention Periods Description of Records Retention Periods Comments e.g. refer to statutory requirements PRINCIPAL’S OFFICE PA Principal a) Planning .1 Strategic Plans 1. Current + 3 years .2 Operational Plans 2. Current + 3 years .3 PMG, Agenda, reports and minutes 3. Current + 3 years b) SFC 1. Correspondence 1. Current + 5 years 2. Funding 2. Current + 3 years 3. Returns 3. Current + 3 years c) UHI 1. Correspondence 1. Current + 3 years d) HMIE 1. Review Documentation 1. Current + 5 years e) – Contracts 1. SNIPEF/CITB, SECTT, etc. 1. Current + 1 year f) – Miscellaneous Correspondence 1. Enquiries/complaints etc 1. Current + 3 years g) – Examinations (incl UHI Exams Centre)
  11. 11. 1. Registrations 1. Current + 1 year 2. Estimates 2. Current 3. Attendance Registers 3. Current + 4 years 4. Exam Papers 4. Current + 4 years 5. Results Lists 5. Current + 4 years 6. AAA Information 6. Current 7. Timetables 7. Current 8. Fee Payments 8. Current 9. Invigilator timesheets 9. Current + 1 year 10. Invoice requests (UHI EC) 10. Current + 4 years 11. Appeals Information 11. Current + 4 years 12. Exam Scripts 12. Current + 4 years 13. Exam Board Regulations (all) 13. Curren h) – Child Protection 1. Correspondence 1. Current + 5 years i) – Freedom of Information 1. Correspondence 1. Live requests + 3 years
  12. 12. Description of Records Retention Periods Comments e.g. refer to statutory requirements SECRETARIAT – ASSISTANT PRINCIPAL )a Insurance 1. Insurance Policies 1. Current policy + 6 years 2. Annual Renewal Agreement 2. Current + 3 years 3. General Correspondence 3. Current + 3 years b) Health & Safety 1. Business Continuity Plan 1. Current version )c Governance 1. Board members – application forms 1. Duration of membership + 2 years 2. Register of Interests for Board Members 2. Duration of Membership + 2 years 3. Constitution for Board of Management 3. Current version 4. Standing Orders and Operating Guidelines 4. Current version 5. Code of Conduct 5. Current version 6. Training records for Board members 6. Duration of membership + 2 years 7. Agendas and Reports for Board of 7. Current + 5 years Management and Committees 8. Minutes for Board of Management and 8. Permanent from 2000 Committees 9. Correspondence from ASC 9. Current + 3 years Description of Records Retention Periods Comments e.g. refer to
  13. 13. statutory requirements )d SFC 1. Circulars .1 Current + 3 years 2. Correspondence .2 Current + 3 years 3. AEF Funding .3 Current + 3 years )e UHI 1. Correspondence for Board of Management 1. Current + 3 years 2. HEF Funding 2. Current + 3 years )f Projects 1. Retained as long as Project operational )g AUDIT 1. Correspondence to External Auditors 1. Term of Appointment + 1 year 2. Correspondence to Internal Auditors 2. Term of Appointment + 1 year
  14. 14. Description of Records Retention Periods Comments e.g. refer to statutory requirements ESTATES a) General 1. College Titles (for buildings) 1. Permanent until disposal of property 2. Site Plans 2. Permanent until disposal of property 3. Estates Strategy 3. Current version 4. Accommodation Schedules 4. Current version 5. Capital Project Documentation 5. End of defects liability period + 10 years 6. Project Safety File 6. Permanent 7. SFC funding allocation/Returns 7. Current + 3 years 8. UHI funding allocation/Returns 8. Current + 3 years 9. E-mandate Returns 9. Current + 1 year
  15. 15. Description of Records Retention Periods Comments e.g. refer to statutory requirements b) Contracts 1. Duration of Project + 3 years 1. Tender documentation 2. Termination of Contract + 3 2. Tender Documents – successful tenderer years 3. Tender Documents- unsuccessful tenderers 3. Current year +1 year 4. Term Contractors inc. Ins & H&S details 4. Current + 3 years 5. Planning/Building Warrants 5. Permanent 6. Lease Agreements 6. Permanent 7. Documents including photographs of key institutional 7. Permanent importance 8. Agreements with other colleges and stakeholders 8. Termination of Agreement + 3 years 9. General Correspondence 9. Current + 3 years
  16. 16. Description of Records Retention Periods Comments e.g. refer to statutory requirements c) Health and Safety 1. Health & Safety Policy 1. Current version 2. Student Placement Policy 2. Current version 3. Insurance Certificates (Employers Liability) 3. 40 years 4. Accident and /dangerous occurrence reports/investigation 4. Permanent documentation 5. Assessments under Health and Safety Regulations and the 5. Permanent records of consultations with safety representatives and committees 6. Equipment maintenance/testing/inspection records and 6. Permanent documentation 7. Risk & COSHH Assessments 7. Current 8. Fire Risk Assessments 8. Current 9. Fire Evacuation Records 9. Current year + 3 years 10. Approved First Aider information (training records etc) 10. Permanent 11. Declared illness information (provided by Student Support) 11. Current students + 3 years 12. Insurance Claims (by college) 12. Current + 6 years 13. Insurance Claims (Against college) 13. Permanent 14. Health & Safety Committee : 14. …..  Agendas/Papers  Current year + 3 years  Minutes of meetings  Permanent  UHI Safety Committee  Current + 3 years
  17. 17. Description of Records Retention Periods Comments e.g. refer to statutory requirements FINANCE )a Risk Management − Risk Register Current + 3 years − Risk Management Group – records of meetings Current + 3 years (eg agenda, minutes) b) Payroll Staff Information 1. Staff Timesheets evidencing project activity 1. Current + 6 2. Staff Payroll and Hourly Rate Information years 3. Request for Additional Staff Resources 4. Staff Travel Claim forms for project activity 2. Current + 6 5. Statutory Maternity Pay Records, Calculations (MAT B1s) or years other medical evidence 3. Current + 6 6. Statutory Sick Pay Records, calculations, SSP1 forms years 7. Wage/salary records (also overtime, bonus and expenses) 4. Current + 6 8. PAYE, NI, Pension Records years 5. Current + 6 years 6. Current + 6 years 7. Current + 6 years 8. Current + 6
  18. 18. years
  19. 19. Description of Records Retention Periods Comments e.g. refer to statutory requirements c) Income & Expenditure 1. Supplier/Purchase Ledger Statements 1. Current + 6 years 2. New Supplier Details (inc. Bank Details) 2. Current + 6 years 3. Weekly payment run (BACS/Cheque) paperwork 3. Current + 6 years 4. BACS/Cheque remittance sent to suppliers 4. Current + 6 years 5. Bank details of suppliers previously paid by Cheque 5. Current + 6 years 6. Daily update from Unit-e to APTOS 6. Current + 6 years 7. Debt files 7. Current + 6 years 8. Monthly Bank Reconciliation files 8. Current + 6 years 9. Cash Sheets/Telebanking files 9. Current + 6 years 10. Petty Cash files 10. Current + 6 years 11. Completed Daily Payment Vouchers (record of manual 11. Current + 6 years cheques issued) 12. Budget working papers 12. Current + 6 years 13. Cash flow working papers 13. Current + 6 years 14. Funding Council returns 14. Current + 6 years 15. Statistical returns 15. Current + 6 years 16. Year end Accounts working papers 16. Current + 6 years 17. VAT returns 17. Current + 6 years 18. Reclaimed VAT paperwork 18. Current + 6 years 19. Virements 19. Current + 6 years 20. Journal File 20. Current + 6 years 21. Bank Statements 21. Current + 6 years Description of Records Retention Periods Comments e.g. refer to statutory requirements E L S
  20. 20. 1. Personal Learning Support Plan 1. containing: (i) School Reports (i) Current year + 5 years (ii) Medical Reports (ii) Current year + 5 years (iii) Psychologist Reports (iv) DSA/SAAS Funding Reports (iii) Current year + 5 years (iv) Current year + 5 years 2. Study Support Folder 2. Current year + 5 years
  21. 21. Description of Records Retention Periods Comments e.g. refer to statutory requirements STUDENT GUIDANCE/FINANCE 1. Student Interview Sheet 1. Current + 3 years 2. Student Funding Application Forms FE 2. Current + 6 years 3. Student Funding Application Forms HE 3. Current + 6 years 4. Beneficiary Application forms (including Travel and Childcare Declaration forms, copies of Bursary and 4. Current + 6 years SAAS awards letters) 5. Correspondence to Beneficiaries 6. Student payments direct debits 5. Current + 6 years 7. BACS Printouts to prove processing of Beneficiary 6. Current + 6 years payment (if applicable) 7. Current + 6 years
  22. 22. Description of Records Retention Periods Comments e.g. refer to statutory requirements REGISTRY Student Records 1. Application forms 1. Current + 3 years 2. Enrolment forms 2. Current + 3 years 3. Fee Waiver forms 3. Current + 3 years 4. Copy of Fee Waiver evidence 4. Current + 3 years 5. References 5. Current + 3 years 6. Copy of previous qualifications 6. Current + 3 years 7. Response Slips (from letters sent from the College to the student – 7. Current + 3 years mainly course acceptable) 8. Withdraw/Transfer forms 8. Current + 3 years 9. Change of Address/personal Details form 9. Current + 3 years 10. Letter from Employers (Fees) 10. Current + 3 years 11. Attendance Registers 11. Current + 3 years 12. Assessments Registers 12. Current + 3 years 13. Initial Registers/Course Planning Documents 13. Current + 3 years 14. ILA Funded Course Records 14. Current + 7 years 15. Disclosure Scotland 15. 90 days following receipt 16. Progression Board Records 16. Current + 7 years 17. Graduation Listings 17. Current + 7 years
  23. 23. Description of Record Retention Period Comments e.g. refer to statutory requirements HUMAN RESOURCES 1. Personal Files 1. Current + 7 years for leavers • Contractual information • Job Description • New Start information (H&S Receipt, Personal Details etc) • References • Application form and supporting documentation • Annual leave sheets • Sickness absence and occupational health records • Staff review documentation • Conduct records (removed from personal file once spent) • Grievance records • Termination information • HRWS audit information • Regrading information • Letters and memos relating to above 2. HR Strategy 2. Current + 3 years • HR Strategy • HR Operational Plan • HR Self-Evaluation • Internal Customer Evaluation • HR Team meetings Description of Record Retention Period Comments e.g. refer to
  24. 24. statutory requirements 3. Recruitment Files 3. Current year + 1 • ATR • Job Description • Application forms and supporting documents (successful applicant details as per 1 above) • Shortlisting summary sheet • Interview Summary sheet • Equality & Diversity Monitoring 4. Disclosure Scotland documentation 4. 90 days following receipt 5. Staffing Committee documentation 5. Current session +7 years • Working papers • Committee papers • Committee minutes 6. JCC/JNC/RPA 6. Current session + 7 years • Working papers • Committee papers 7. Policies & Procedures 7. Current version + previous • Impact Assessment papers version • Policies & Procedures Description of Record Retention Period Comments e.g. refer to statutory requirements 8. HR Policy Review Group 8. Current session + 3 years • HRPRG papers • HRPRG notes
  25. 25. 9. Restructuring information 9. Current session + 7 years • Information relating to specific staff members as per 1 above • Sectional/Directorate information 10. HR Budget information 10. Current session + 3 years 11. Specific projects 11. While projects remain live + 5 years 12. Terms & conditions information 12. Permanent from date of 13. Superannuation incorporation (1993) • Personal information as per 1 • Scheme information 13. Current + 7 years
  26. 26. Description of Record Retention Period Comments e.g. refer to statutory requirements QUALITY A. External Documentation 1. Course Committee minutes 1. Current year + 3 years 2. Directorate Academic Committee minutes 2. Current year + 3 years 3. External verification reports 3. Current year + 3 years 4. Annual course reports 4. Current year + 3 years 5. Self-evaluation reports 5. Current year + 3 years B. Internal Documentation 1. Course reviews 1. Current year + 3 years 2. Course approval & validation reports 2. Current year + 3 years 3. Internal audit documentation 3. Current year + 3 years
  27. 27. Description of Record Retention Period Comments e.g. refer to statutory requirements STAFF DEVELOMENT A. Internal 1. Internal staff development programmes 1. Current year + 3 years 2. Reports on staff development activities 2. Current year + 3 years 3. Individual staff records 3. Permanent for current staff, plus 2 years after employment ceased 4. Career Review – training needs 4. Current + 2 years B. External 1. Applications for staff development 1. Current year + 3 years 2. Approval/rejection documentation 2. Current year + 3 years 3. Applications to UHI 3. Current year + 3 years 4. Individual staff records 4. Permanent for current staff, plus 2 years after employment ceased C. Learning & Teaching 1. Introduction to Teaching 1. Current year + 3 years 2. TQFE: • Records 2. Current year + 3 years • Reports Current year + 3 years Description of Record Retention Period Comments e.g. refer to statutory requirements
  28. 28. D. General 1. Current year + 2 years 1. Annual Budget – status reports 2. Current year + 2 years 2. Reports/claims to UHI 3. Current + 3 years 3. Purchasing Card details include: course fees, travel, accommodation, purchases E. Licences 1. Related paperwork for: i. COLEG i. Current + 3 years ii. CLA ii. Current + 3 years iii. Equality Exchange Scotland iii. Current + 3 years iv. ERA iv. Current + 3 years v. NLA v. Current + 3 years vi. PPL vi. Current + 3 years vii. PRS vii. Current + 3 years viii. Scottish Colleges viii. Current + 3 years ix. Servewise ix. Current + 3 years x. Skill x. Current + 3 years xi. TV Licensing xi. Current + 3 years
  29. 29. Description of Record Retention Period Comments e.g. refer to statutory requirements MANAGEMENT INFORMATION SERVICES (MIS) A. Paper documents 1. Working documents for UHI, SQA, e-com/SIA 1. Current year + 3 years 2. Back-up documentation for SUMs Return 2. Current year + 3 years 3. Working documents for Performance Indicators 3. Current year + 3 years B. Electronic Records 1. Documentation relating to SITS In agreement with UHI 1. Current year + 5 years 2. Documentation relating to CELCAT 2. Current year + 3 years F. Electronic Reports 1. Application Reports 1. Current year + 3 years 2. Enrolment Reports 2. Current year + 3 years 3. Performance Indicator Reports 3. Current year + 3 years 4. Equal Opportunity Reports 4. Current year + 3 years 5. SQA Moderation Group Reports 5. Current year + 3 years 6. Attendance Reports 6. Current year + 3 years 7. Performance Indicator file for HMIe 7. Current year + 3 years 8. LRC PC Usage Reports 8. Current year + 3 years 9. Activity Targets 9. Current year + 3 years 10. Miscellaneous Reports 10. Current year + 3 years
  30. 30. APPENDIX C – Records Retention Periods Description of Records Retention Periods Comments e.g. refer to statutory requirements DIRECTORATE 1 1 Student Advice files Current + 3 years 2 Student Progress reports Current + 3 years 3 References Current + 5 years 4 Student assessments Current 5 Sample of assessments to be held for UHI Current + 3 years 6 Internal Verification documentation Currency of units/modules 7 Masterfiles/teaching folders, including unit/module Currency of unit/module specification, lesson plans and schemes of work 8 Unit and course evaluations Current + 3 years 9 Evaluation of Learning and Teaching Current + 5 years 10 Internal Customer Evaluations Current + 1 year 11 Course Team meeting notes Current + 3 years 12 Staff Review documentation Lifetime of employment + 2 years
  31. 31. APPENDIX C – Records Retention Periods Description of Records Retention Periods Comments e.g. refer to statutory requirements DIRECTORATE 2 1 Student Advice files Current + 3 years 2 Student Progress reports Current + 3 years 3 References Current + 5 years 4 Student assessments Current 5 Sample of assessments to be held for UHI Current + 3 years 6 Internal Verification documentation Currency of units/modules 7 Masterfiles/teaching folders, including unit/module Currency of unit/module specification, lesson plans and schemes of work 8 Unit and course evaluations Current + 3 years 9 Evaluation of Learning and Teaching Current + 5 years 10 Internal Customer Evaluations Current + 1 year 11 Course Team meeting notes Current + 3 years 12 Staff Review documentation Lifetime of employment + 2 years
  32. 32. APPENDIX C – Records Retention Periods Description of Records Retention Periods Comments e.g. refer to statutory requirements DIRECTORATE 3 1 Student Advice files Current + 3 years 2 Student Progress reports Current + 3 years 3 References Current + 5 years 4 Student assessments Current 5 Sample of assessments to be held for UHI Current + 3 years 6 Internal Verification documentation Currency of units/modules 7 Masterfiles/teaching folders, including unit/module Currency of unit/module specification, lesson plans and schemes of work 8 Unit and course evaluations Current + 3 years 9 Evaluation of Learning and Teaching Current + 5 years 10 Internal Customer Evaluations Current + 1 year 11 Course Team meeting notes Current + 3 years 12 Staff Review documentation Lifetime of employment + 2 years

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