king’s college london records disposition schedulerecords touching on the privacy of named...

King’s College London

Records Disposition Schedule

The Records Disposition Schedule has been drawn up by a Working Party of the Archives Advisory Services Committee and has been approved by Academic Board and College Committee for use throughout the College. The impetuses behind the schedule were:

• to ensure a more systematic transfer of records to the College Archive; • to provide advice to staff on the minimum time that records should be kept in

departments or sections; • to provide guidance to staff on the legislation applicable to different records; • to provide some protection for staff holding records that are subject to the Data

Protection Act. If the College indicates that particular records are kept for specified periods only, then it cannot be charged with withholding information should a request be made for records after that period.

It is envisaged that this will be the first version of the Schedule. It will necessarily be a dynamic document that will need to be updated with changes in legislation and with practices within the College. Apart from the index, it is the intention to provide an additional guide to the Schedule by listing the documents according to the departments or sections that created them. Use of the Schedule will be supported by training courses in 2002. Linda Newson Chair, Archive Services Advisory Committee

2

INTRODUCTION

1. Purpose 1.1 The Records Disposition Schedule which follows has been drafted to meet a need for a readily available source of information about record keeping

practices, electronic and hardcopy, within the merged College. As such it will provide evidence of good practice in relation to Data Protection and Freedom of Information legislation and also support compliance with regard to equality of opportunity legislation, including the Disability Discrimination Act, the Finance Acts and Health and Safety.

1.2 It is also expected to

v support the reduction of the storage of multiple sets of identical records v streamline the process for the identification and transfer to archives of records of enduring value to the College, v complement measures which will be adopted in relation to the implementation of BS7799 with regard to information security, v improve awareness of information flows within College.

2. Context and development 2.1 The Schedule is based upon a model drawn up for HE by consultants under the aegis of JISC following a survey of practice thought the UK and has

subsequently been supported by the CVCP(latterly . 2.2 Its adaptation within College to date has been undertaken by a Working Party of the Archive Services Advisory Committee chaired by Professor Linda

Newson and including representatives of the Schools, and the Office of the College Secretary and Registrar, Personnel and the College Data Protection Officer.

2.3 The Working Party proposes to test and develop the text by making it very widely available and inviting comment from all College staff about the

completeness of the coverage from their individual perspectives and, where necessary, the need for clarification. We are aware that practice across the College differs in a number of areas.

3. Assumptions in development

3

The following assumptions have been made in developing the Schedule 3.1 That, as a matter of routine, administrative records will remain confidential to the creating Schools, departments, divisions or sections for 30 years, and

records touching on the privacy of named individuals for 75 years. This practice harmonises with the Public Records Act. It does not preclude subject access under relevant legislation to information about individuals, for example named individuals may request subject access under the Data Protection Act to records concerning themselves.

3.2 That the process of transfer of records of enduring interest to the College should be streamlined by adding to the Archive to the mailing lists of all

major College and Schools Committees. It is recognised that some papers may need to be forwarded sealed. 3.3 Similarly that up to three copies of all College prospectuses, publications etc should be sent to Archives on creation. That Departments will not wish to

keep duplicate sets of records beyond their current use where primary responsibility lies elsewhere in the College, notably Finance and Personnel. 3.4 That, because of variability in practice and needs with regard to the handling of information, the timescales within the Schedule should be driven by the

requirements of users rather than the desirability of uniformity. Future reviews of the Schedule, assuming adoption, however might include consideration of the scope for harmonisation.

3.5 That, as at present, the deposit in the Archives of records does not mean that they cannot be readily retrieved from by creating Schools etc. 3.6 That for records which form part of an on-going database, such as the Alumni database, annual electronic snapshots will be an appropriate method of

securing an enduring record. 3.7 That the Schedule reflects present and immediate future practice in records handling and keeping. Records created before 2000/2001, unless they form

part of on-going series identified, will be considered retrospectively as at present for inclusion in the Archives

4

Key to Schedule

When reference is made to creating or retaining in ‘Department’, this includes single department Schools and indicates that records are stored locally. The schedule indicates where records may be kept in more than one location. After records have been retained for the stated period, unless where otherwise indicated, they can be destroyed. The schedule differentiates between ‘current year’, which refers to the current academic year and ‘current’ which refers to the period of currency for which the records are relevant. When the schedule refers to recommendations for retaining records as starting point + number, eg current year + 7, the number refers to the years in which the records should be further kept.

5

Records Retention Schedule - Contents

CONTENTS ITEM PAGE

1. TEACHING AND LEARNING …………… 5

2. STUDENT ADMINISTRATION AND SUPPORT …………… 11

3. RESEARCH …………… 14

4. CORPORATE MANAGEMENT …………… 15

5. PRINCIPAL'S OFFICE …………… 16

6. FINANCE …………… 17

7. AUDIT

8. HEALTH & SAFETY AND RISK ASSESSMENT

……………

……………

21

22

9. ESTATES …………… 25

10. CENTRAL SERVICES …………… 27

11. PERSONNEL …………… 29

12. EQUAL OPPORTUNITIES OFFICE …………… 37

13. EXTERNAL RELATIONS …………… 37

14. INFORMATION SERVICES AND SYSTEMS

15. INDEX

……………

……………

40

48

6

RECORDS RETENTION SCHEDULE

RECOMMENDED STATUTORY/ LEGAL CONFORMITY

NOTES

Record Type/Sub Type Where records are created and/or retained eg School, Dept, Section etc

How long records are kept for and when it is appropriate to transfer or copy them to Archives

COVERED BY (State Act)

1.. TTEEAACCHHIINNGG AANNDD LLEEAARRNNIINNGG Teaching and Learning Strategy Development & Implementation 1.1 Definition of strategic goals and objectives for teaching and learning, and formulation of plans to achieve these goals and objectives: Academic Board Standing Committee School Teaching Committee College Teaching Committee

Office of the College Secretary and Registrar Office of the College Secretary and Registrar School QAAA

Copy agenda, papers and minutes to Archives on creation Copy agenda, papers and minutes to Archives on creation Copy agenda, papers and minutes to Archives on creation Copy agenda, papers and minutes to Archives on creation

Data Protection Act 1998 Freedom of Information Act 2000 Data Protection Act 1998 Freedom of Information Act 2000 Data Protection Act 1998 Freedom of Information Act 2000 Data Protection Act 1998 Freedom of Information Act 2000

For all committees outlined in this schedule, papers may be accepted in electronic format. Tabled papers should also be included.

7

Teaching and Learning Performance Management 1.2 Monitoring, inspection & assessment of examination & other procedures which lead to awards

School/College Board of Examiners

Examinations Office to copy minutes, papers and agendas of School Teaching Committees and School Boards of examiners to Archives on creation

Data Protection Act 1998 Freedom of Information Act 2000

1.3 Teaching Assessment Exercise - Teaching Assessment Exercise –

Final Reports - Teaching Assessment Exercise –

other records

QAAA QAAA

Copy to Archives on creation and keep permanently Retain for 7 years and then transfer to Archives

No need to transfer routine questionnaires etc

8

1.4 Subject Reviews - Subject Review – Self-Assessment

Documents - Subject Review – other records - Subject Review – Final Report

School/Dept School QAAA

Self-Assessment document and other records to be retained in section for 7 years then transferred to Archives. Final Report to be copied to Archives on receipt

Curriculum Development 1.5 Design of new curricula - Reports & other key documents - Other records (PIF and CIF forms)

Dept/School QAAA

Copy to Archives on creation. Retain in School/Dept for 10 years then destroy Copy to Archives on creation. Retain in QAAA Section while current +10 then can destroy.

1.6 Monitoring, evaluation and development of existing curricula - Reports & key documents - Other records

School

Copy to Archives on creation, retain for 10 years then destroy

Course Development 1.7 Identification and analysis of market needs for new courses 1.8 Monitoring and analysis of enquiries about courses and qualifications - Enquiry forms - Collated data – reports/statistics of

enquiries 1.9 Monitoring and assessment of new courses offered by other institutions

School School School School

Transfer reports and policy papers to Archives after 7 years Destroy after collation Copy to Archives on creation. Keep in School for two years then can destroy

9

1.10 Definition and development of new and existing courses - Course outlines - Course guides - Programme specifications - - AKC programmes - Prospectuses

Department Department Department/QAAA Office of the Dean External Relations/Depts/School

Copy to Archives on creation Retain in Department for 7 years then can destroy Copy to Archives on creation Retain in Department for 7 years then can destroy Copy to Archives on creation Retain in Department for 7 years then can destroy Programmes and records to be transferred to Archives after 1 year. 3 copies to Archives on creation

Preferably copied electronically Acceptable in any form Hard copies preferable

Course Accreditation and Managing Change 1.11 Identification of accreditation requirements for courses, and obtaining accreditation and reaccredidation

School/QAAA

Copy to Archives on creation Retain in School/QAAA for 7 years then can destroy

1.12 Managing changes in the external accreditation requirements of existing courses

QAAA/Office of the College Secretary and Registrar

Copy to Archives on creation Retain in section for 7 years then can destroy

10

Course Review 1.13 Collection, analysis and review of feedback on courses - Staff course review reports - Programme review - Individual student course feedback

forms - Collated data – reports/statistics on

course feedback

Department Department/School Teaching Committee Department Student Data Analysis

Retain in Department for 7 years then can destroy Copy final reports to Archives on creation. Retain in Department for 7 years then can destroy Destroy after collation Transfer to Archives after retaining in Department for 7 years

Data Protection Act 1998

Examination Setting and Marking 1.14 Definition of examination/assessment rules - Regulations

Office of the College Secretary and Registrar

Copy to Archives on creation. Keep permanently in office

1.15 Special Examinations Arrangements Committee

Examinations Office

Copy agenda, papers and minutes to Archives on creation

1.16 Design of examinations and assessments - Examination papers

Examinations Office

Transfer to Archives after use

1.17 Selection of external examiner - Invitations to potential examiners - Membership records

Examinations Office Examinations Office

Destroy after 3 years Keep permanently in Examinations Office

11

1.18 Marking of examinations - Examination

scripts/assignments/dissertations - Examiners’ notes - Examiners’ reports and responses

Department/Examinations Office Department QAAA

Retain in Department/Examinations for 3 years following completion of programme then can destroy Keep for current year +3 then can destroy Department to retain copy for 7 years. QAAA to transfer to Archives on receipt

Copies of Doctoral Theses are held by University of London library.

1.19 Processing of complaints and appeals about examination procedures and results - Complaints files/ appeals files - Mitigating Circumstances forms

Academic Registrar’s Office Department

Keep for settlement of case + 6 then destroy Retain in Department for 7 years then can destroy

Limitation Act 1980 Data Protection Act 1998 Data Protection Act 1998

Course Administration 1.20 Timetabling of courses - Course timetables

Department

Retain in Department for current year + 3 then can destroy

Retain for 5 years in the Dental Institute to cover additional years of study

1.21 Assignment of students to classes/groups - Class lists - Tutorial lists

Department




1.22 Monitoring of student attendance - Student attendance registers

Department




1.23 Monitoring of submission of assignments by students - Course assignment registers

Department




Student Assessment 1.24 Communication of assessment methods and standards to students eg student handbooks

Department

Copy to Archives on creation

12

Conferment of awards 1.25 Confirmation of student awards - Pass lists - Graduation lists - Lists of unclassified students

(debtors)

Examinations Office Ceremonies and Events Office Student Loans and Awards

Copy to Archives on creation. Retain lists in Examinations Office permanently Copy to Archives on creation. Retain lists in Ceremonies Office while current then can destroy Copy annual snapshot to Archives

Only contains details of students attending the graduation ceremonies.

1.26 Prizes

Ceremonies and Events Office/School/Department

Annual snapshot to be collected from Web by Archives


To include lists of prizes and conditions of prizes

1.27 Fellowships Office of the College Secretary and Registrar/Principal’s Office

Retain while current then can destroy. Transfer to Archives after 7 years


1.28 Departmental Staff Meetings Department Retain in Department for 7 years then transfer to Archives


2. STUDENT ADMINISTRATION AND SUPPORT

Student Welfare Service Management 2.1 Development of Services - Key development and review

documents - Other records

Relevant group, or body

Copy to Archives on creation Transfer to Archives after 1 year.

Student Liaison 2.2 Staff/Student bodies – meeting papers

Department

Retain in Department for 3 years then can destroy

2.3 External Affairs Committee Student Recruitment & Exchanges Office


13

2.4 Memoranda of association with international institutions/universities

Student Recruitment & Exchanges Office

Keep while current + 2 then transfer to Archives

See also Principal’s Office

2.5 Schools Liaison database Student Recruitment & Exchanges Office

Annual snapshot to be transferred to Archives

2.6 Annual report on recruitment fairs Student Recruitment & Exchanges Office


2.7 International Students Magazine Student Recruitment & Exchanges Office

Copy to Archives on creation To begin publication next year

2.8 Policy files eg student talkline, widening access, support for overseas students affected by international financial crashes

Student Recruitment & Exchanges Office


Student Admission and Registration 2.9 Creation of student records - Student database (including fee

status) - Admissions Committee

Admissions Offices Office of the College Secretary and Registrar

Retain on database and copy to Archives after HESA returns Copy agenda, papers and minutes to Archives on creation

Maintenance of individual student records 2.10 Student files

Department

Transfer to Archives upon completion of programme + 3


Records can be transferred after completion of programme + 1 year if there is no available storage space. Disciplinary records should not be kept on student files.

Conduct of disciplinary proceedings against students 2.11 Student Disciplinary Case files

Senior Assistant Registrar

Transfer to Archives upon completion of course


14

Student Associations & Activities 2.12 Formation, management and operation of student unions and associations 2.13 Student Union Committee 2.14 Constitution and regulations

Students’ Union Office Students’ Union Office Students’ Union Office

Transfer to Archives after 1 year Copy agenda, papers and minutes to Archives on creation Copy to Archives upon creation. Keep while current then can destroy

Data Protection Act 1998 Data Protection Act 1998

2.15 Organisation of student activities, including sports, and events eg Rag Week: - Student Union

newspapers/magazines - Event programmes - Match records - Photographs - Welcome to King’s notes,

handbooks etc

Students’ Union Office

Transfer to Archives after 1 year

15

3. RESEARCH Research Strategy Development 3.1 Definition of Strategic goals and objectives for research and formulation - Postgraduate Research Students’

Committee - College Research Committee - School Research Committees

QAAA QAAA School

Copy agenda, papers and minutes to Archives on creation Copy agenda, papers and minutes to Archives on creation Copy agenda, papers and minutes to Archives on creation

Research Performance Management 3.2 Monitoring of the volume and quality of research undertaken

KCL Enterprises (or appropriate committee)

Copy quarterly publications to Archives on creation


3.3 Reviewing and assessing the outcome of research proposals - Research grant application

summaries

KCL Enterprises (or appropriate committee)



To include annual summary

3.4 Research Assessment Exercise - RAE – Final Reports - RAE – other records

Schools/ RAE Task Force (or successor)/ KCL Enterprises (or appropriate committee) QAAA

Schools to retain for 10 years then can destroy RAE – Final reports:-Unit of assessment submissions to be copied to Archives on creation Other records to be transferred to Archives after 10 years

16

Research Proposal Preparation & Submission 3.5 Identification and evaluation of research opportunities and potential sources of funding - Research grant proposals

School/KCL Enterprises

Successes: retain for current + 7 years then can destroy Rejections: retain for current + 3 years then can destroy Sample transfer to Archives


Archives will expect to receive details about major or significant research grants: Schools to use their discretion but to consider impact, size, longevity and bibliometric indicators

Research project management 3.6 Project planning and monitoring documents 3.7 Progress reports to sponsors 3.8 Final Reports 3.9 Data Subject Consent Form for Trials and Studies

Department Department Department Department

Retain while current Keep progress reports on completion + 2 years then can destroy. Final Reports to be copied to Archives on creation Keep for current year + 3 then can destroy

Data Protection Act 1998 Data Protection Act 1998

4. CORPORATE MANAGEMENT

Strategic Planning 4.1 Definition of the institution’s overall strategic goals and objectives, and formulation of plans to achieve these goals and objectives - Strategic Plan - Corporate Plan - Mission Statement

Council/ad hoc Committees of Council/ Office of College Secretary and Registrar


17

Strategic Performance Management 4.2 Reporting on performance to funding councils, government departments and other authorised bodies 4.3 Measurement of the institution’s performance against strategic goals

College Committee Papers/ Office of the College Secretary and Registrar Office of the College Secretary and Registrar

Copy to Archives on creation. Retain for 3 years then destroy Copy to Archives on creation. Retain in section for 3 years then destroy

Will be in the form of reports to the College Committee

Organisational Development 4.4 College Strategic Documents 4.5 Organisational Plans

Publications/ Department Department

Copy to Archives on creation Copy to Archives on creation. Keep while current then can destroy

Governance and Management 4.6 Definition and development of rules of governance and management structures - Charters/Statutes/Regulations - Plans and charts - Record of legal advice taken by

College - College Committee papers

Council/ Office of College Secretary and Registrar Council/School Council/ Office of College Secretary and Registrar Council/School Office of College Secretary and Registrar Office of College Secretary and Registrar

Copy to Archives on creation. Keep permanently in section Copy to Archives on creation Keep while current. Transfer significant record to Archives Agenda, papers and minutes to be copied to Archives on creation

To include annual report in the transfer

5. PRINCIPAL’S OFFICE

5.1 Principal’s correspondence with Departments

Principal’s Office Keep while current + 5 then transfer to Archives

18

5.2 Visitor’s files/Events files Principal’s Office Keep while current + 5 then transfer to Archives

5.3 UGC/ HEFCE/Universities UK/etc Circulars etc with College’s response


5.4 University of London Senate

Principal’s Office


5.5 External committee papers and correspondence relating to King’s College


5.6 Memoranda of agreements Principal’s Office Keep while current + 5 then transfer to Archives

5.7 Pictures, work of art, correspondence and agreements relating to bequests, loans and purchases

Principal’s Office


6. FINANCE

Government & Regulator Relations 6.1 Management of relationships with HEFCE and other Go vernment Organisations 6.2 Management of relationships with other institutions

Principal’s Office/QAAA

Retain in Office for 7 years and then core documents to be transferred to Archives

Finance 6.3 Finance Committee

Finance Office

Agenda, papers and minutes to be copied to Archives on creation

6.4 Budget manual/Financial regulations Finance Office Copy to Archives on creation.

Financial Planning 6.5 Preparation of financial forecasts - Financial forecasts

Finance Office

Keep for current financial year + 12 months then can destroy

6.6 Preparation of capital and revenue budgets - Budgets

Finance Office

Keep for current financial year + 12 months then can destroy.

19

Pension Scheme Administration 6.7 Maintenance of personal pension records

Finance Office

Keep until termination of employment/retirement + 12 months then can destroy

Purchasing 6.8 Authorisation of purchasing - Purchase requisitions

Department

Keep for current financial year + 12 years then can destroy

6.9 Placing of orders - Purchase Orders

Department

Keep for current financial year + 12 years then can destroy

6.10 Taking delivery of goods and services - Delivery notes - Goods received notes

Department

Keep until completion of internal audit + 3 years then can destroy

Payroll Administration 6.11 Processing of non-statutory deductions from salaries - Deduction authorisations - Tax Code notices

Finance Office

Keep for current tax year + 6 then can destroy

Limitation Act 1980

6.12 Making payroll payments - Salary advises - Bank transfer reports

Finance Office Finance Office

Keep for current tax year + 6 then can destroy Keep for current tax year + 6 then can destroy

Income Tax (Employment) Regulations 1993 Limitation Act 1980

6.13 Notifying staff of their employment-related tax liabilities (PIIDS)

Finance Office Keep for current tax year + 6 then can destroy

Limitation Act 1980

20

Financial Accounting 6.14 Accounting for income - Sales invoices - Credit notes - Till rolls - Remittance advises - Annual accounts working papers - Original annual accounts signed

copies - HESA finance returns

Finance Office Finance Office Department Finance Office Finance Office Finance Office Finance Office

Keep for current financial year + 6 then can destroy Keep for current financial year + 6 then can destroy Keep for current financial year + 6 then can destroy Keep for current financial year + 6 then can destroy Keep for current financial year + 10 then can destroy Keep permanently Keep for current financial year + 10 then transfer to Archives

Value Added Tax Act 1994 Limitation Act 1980 Value Added Tax Act 1994 Limitation Act 1980 Value Added Tax Act 1994 Limitation Act 1980 Value Added Tax Act 1994 Limitation Act 1980

6.15 Accounting for expenditure - Purchase invoices )including

authorisations) - Credit notes - BACS reports - Staff expense claims - Petty cash claims (including

receipts) - Journal vouchers

Finance Office Finance Office Finance Office Finance Office Finance Office Finance Office

Keep for current financial year + 6 then can destroy Keep for current financial year + 6 then can destroy Keep for current financial year + 6 then can destroy Keep for current financial year + 6 then can destroy Keep for current financial year + 6 then can destroy Keep for current financial year + 6 then can destroy

Value Added Tax Act 1994 Limitation Act 1980 Value Added Tax Act 1994 Limitation Act 1980 Value Added Tax Act 1994 Limitation Act 1980 Value Added Tax Act 1994 Limitation Act 1980 Value Added Tax Act 1994 Limitation Act 1980 Value Added Tax Act 1994 Limitation Act 1980

21

6.16 Investment sub-committee of Finance Committee

Finance Office Agenda, papers and minutes to be copied to Archives on creation

Investment Management 6.17 Acquisition/disposal of investments - Investment instructions - Crest Share Certificates

Finance Office Finance Office Investment Managers

Keep for current year + 6 Keep while current + 6 years then destroy Keep for current year + 6

Limitation Act 1980 Limitation Act 1980

Budget Administration 6.18 Monitoring of actual against planned expenditure - Budget reports

Finance Office Finance Office

Keep for current year + 1 then destroy Keep for current year + 1 then destroy

Capital Asset Management 6.19 Maintaining capital asset registers - Major items over £10,000 - Other items

Department Department

Transfer to Archives after current year + 6 Keep until disposal of asset + 12 months then can destroy

Tax Management 6.20 Assessment of tax liabilities - VAT account

Finance Office

Keep for current tax year + 6 then destroy

Value Added Tax Act 1994

6.21 Submission of tax returns - VAT return - Corperation tax returns and

assessments - Other tax returns

Finance Office Finance Office Finance Office

Keep for current tax year + 6 then destroy Keep for current tax year + 6 then destroy Keep for current tax year + 6 then destroy

Value Added Tax Act 1994

Files for special purposes eg flood Finance Office Keep for current year + 6 then transfer to Archives

22

6.22 Maintenance of insurance policies - Insurance policies - Insurance claims - Insurance reports

Finance Office Finance Office Finance Office Finance Office

Keep for termination of policy +6 then can destroy Keep for termination of policy +6 then can destroy Keep for settlement of claim + 6 then can destroy Keep for settlement of claim + 6 then can destroy

Limitation Act 1980 Limitation Act 1980 Limitation Act 1980 Limitation Act 1980

7. AUDIT 7.1 Audit Committee Audit Agenda, papers and minutes to

be copied to Archives on creation

7.2 Auditor’s reports Audit Copy to Archives on creation. Keep while current then can destroy

7.3 Financial regulations Audit Copy to Archives on creation. Keep while current then can destroy

7.4 Purchasing regulations Audit Copy to Archives on creation. Keep while current then can destroy

7.5 Purchasing annual report Audit Copy to Archives on creation. Keep while current then can destroy

23

Estates and premises management 7.6 Management of the legal aspects of ownership and occupancy - Title deeds - Leases - Mortgage deeds

Solicitors/Finance Solicitors/Finance Solicitors/Finance

Retain while current then transfer to Archives on expiry/disposal of property Retain while current then transfer to Archives on expiry/disposal of property Retain while current then transfer to Archives on expiry/disposal of property

8. HEALTH & SAFETY AND RISK ASSESSMENT

Risk Assessment 8.1 Assessment of risks 8.2 Risk Assessment Reports

Audit Audit

Keep for review of assessment + 3 years then destroy Keep for review of assessment + 3 years then destroy

Management of Health and Safety at Work regulations 1992 Workplace Health, Safety and Welfare Regulations 1992 Provision and Use of Work Equipment Regulations 1992 Manual Handling Operations Regulations 1992 Health and Safety Display Screen Regulations 1992 Noise at Work Regulations 1989 Control of substances Hazardous to Health Regulations 1994

24

8.3 Asbestos register 8.4 Fire risk inspection register

Estates Health and Safety Office

Retain permanently Destroy register on completion of successful inspection/survey

Control of Asbestos at Work Regulations

8.5 Control of handling and use of hazardous areas 8.6 COSHH Data Sheets

Health and Safety Office Health and Safety Office

Keep while current Keep while current + 40

Health and Safety Display Screen Equipment Regulations 1992 Health and Safety at Work Act

8.7 Control of access to hazardous areas 8.8 Permits to work

Health and Safety Office Health and Safety Office

Keep while current + 3 then can destroy Keep while current + 3 then can destroy


8.9 Monitoring of the health of employees - Health Surveillance Reports

Health and Safety Office

Keep while current + 40 then can destroy

Health and Safety Display Screen Equipment Regulations 1992 Control of Substances Hazardous to Health Regulations 1994

25

8.10 Reporting and investigation of accidents and dangerous occurrences - Accident books - Accident Report – Form F2508

(Reportable accidents and dangerous occurrences)

- Accident reports - Dangerous occurrence reports

Health and Safety Office Health and Safety Office Health and Safety Office Health and Safety Office Health and Safety Office

Retain from date of accident + 40 then can destroy Retain from completion of book + 3 then can destroy Retain from date of entry + 3 then can destroy Retain from date of occurrence + 3 then can destroy Retain from date of occurrence + 3 then can destroy

Limitation Act 1980 + case law Health and Safety at Work Act 1974 Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995

8.11 Accident records/reports

Departments/Local Personnel Teams / Safety Office

Keep for 3 years after date of last entry

Regulation 7 of the Reporting of Injuries, Diseases and Dangerous Occurrences at Work Regulations 1985 (RIDDOR) (SI 1985/2023)

8.12 Records of tests and examinations of control systems and protective equipment under the Control of Substances Hazardous to Health Regulations 1994

Personnel / Safety Office Keep for 5 years from the date on which the tests were carried out

Control of Substances Hazardous to Health Regulations 1994 (COSHH) (SI 1994/3246)

9. ESTATES

26

9.1 Identification and vetting of potential suppliers - Supplier evaluation reports - Register of approved suppliers

Estates Estates Estates

Keep while current + 5 then can destroy Keep while current + 5 then can destroy Keep while current then can destroy

Consumer Protection Act 1987

9.2 Estates Management Committee 9.3 Estates Strategy Committee

Estates Estates

Agenda, papers and minutes to be copied to Archives on creation Agenda, papers and minutes to be copied to Archives on creation

9.4 Planning applications 9.5 Building plans/drawings

Estates/Contractors Estates/Ecovert

Transfer to Archives on completion of work + 6 Copy to Archives on completion of plans/drawings

9.6 Disability inspection

Estates

Destroy register on completion of successful inspection/survey

27

Selection of suppliers 9.7 Invitations to Tender/Tenders/Tender evaluation documentation - Successful - Unsuccessful 9.8 Requests for Proposals/Proposals/Proposal evaluation documentation - Successful - Unsuccessful

Estates Estates Estates

Keep for termination of supply contract + 6 then can destroy Keep for current year + 1 then can destroy Keep for termination of supply contract + 6 then can destroy Keep for current year + 1 then can destroy

Limitation Act 1980 Consumer Protection Act 1987 Consumer Protection Act 1987 Limitation Act 1980 Consumer Protection Act 1987 Consumer Protection Act 1987

Contracts given under seal should be kept while current +12 years

9.9 Management of suppliers relationship 9.10 Supplier files

Estates Estates

Keep for termination of relationship + 2 then can destroy Keep for termination of relationship + 2 then can destroy

9.11 Monitoring of supplier performance 9.12 Conductor review reports

Estates Estates

Keep for termination of contract + 6 then can destroy Keep for termination of contract + 6 then can destroy


28

Plant & Equipment Maintenance 9.13 Conduct of testing. maintenance and statutory inspections, and any necessary corrective action - Maintenance schedules - Corrective action schedules - Inspection certificates - Maintenance certificates - Repair reports

Estates Estates Estates Estates Estates Estates

Keep for life of plant/equipment + 6 years then can destroy Keep while current + 2 years then can destroy Keep while current + 2 years then can destroy Keep while current + 6 years then can destroy Keep for life of plant/equipment + 6 years then can destroy Keep for life of plant/equipment + 6 years then can destroy

Limitation Act 1980 Limitation Act 1980 Limitation Act 1980

10. CENTRAL SERVICES 10.1 Amenities Committee Facilities and Services Agenda, papers and minutes to

be copied to Archives on creation

Internal Services 10.2 Allocation and reservation of accommodation - Room booking reports

Academic Services Academic Services

Keep for current year + 1 then destroy Keep for current year + 1 then destroy

10.3 Despatch and delivery of mail - Courier logs - Postage logs


Keep for current year + 1 then can destroy Keep for current year + 1 then destroy

29

10.4 Provision of photographic services - Production recognitions - Original negative


Keep for completion of job +1 then can destroy Keep for current + 1. Selected transfer to Archives with permission of commissioning Schools etc

Catering 10.5 Design and delivery of catering services - Menu plans - Event plans

Facilities and Services Facilities and Services Facilities and Services

Keep while current then can destroy. Archives to retain selectively. Keep while current then can destroy. Archives to retain selectively Keep while current then can destroy. Archives to retain selectively.

Lettings administration 10.6 Accommodation booking forms 10.7 Accommodation lists 10.8 Accommodation fees registers 10.9 Residence Managers records

Accommodation Office Accommodation Office Accommodation Office Accommodation Office

Keep for termination of agreement + 1 then can destroy Keep for termination of agreement + 1 then can destroy Keep for termination of agreement + 1 then can destroy Keep for termination of agreement + 1 then can destroy

Data Protection Act 1998 Data Protection Act 1998 Data Protection Act 1998 Data Protection Act 1998

30

10.10 Hiring out of conference and banqueting facilities 10.11 Private hire agreements

Conference Office Conference Office

Keep for termination of agreement + 1 then can destroy Keep for termination of agreement + 1 then can destroy


10.12 Enquiry Services Facilities and Services Annual snapshot of database to be transferred to Archives


Security management 10.13 Control of access to institutional premises, facilities and IT systems: - Key issue/return logs - Visitors logs - Access logs - Incident logs

Facilities and Services Facilities and Services Facilities and Services Facilities and Services

Keep for current year +1 then can destroy Keep for current year +1 then can destroy Keep for current year +1 then can destroy Keep for current year +1 then can destroy

Data Protection Act 1998 Data Protection Act 1998 Data Protection Act 1998 Data Protection Act 1998

10.14 Contractor’s digests of incidents Facilities and Services Transfer to Archives via Amenities Committee documents


10.15 College Watch Committee (South) Facilities and Services Agenda, papers and minutes to be copied to Archives on creation

10.16 Controlling removal of institutional property - Property removal permits

Facilities and Services

Keep for current year + 1 then can destroy

11. PERSONNEL

31

Workforce planning 11.1 - Definition of staffing requirements

and evaluation of employment options

- Staffing plans - Management succession plan and

major restructuring documents

School/Personnel School/Personnel School/Personnel

Keep for current year + 3 and then transfer to archives on approval Keep for current year + 3 and then transfer to archives on approval. Keep for current year + 3 and then transfer to archives on approval.

Staff in post 11.2 Annual snapshot of database

Corporate Personnel

Retain for current year. Copy to Archives on creation.


Staff Performance 11.3 Staff agreed statements 11.4 Summary forms (confirming appraisal exercise completed at School level)

Department Corporate Personnel

Retain for current year + 3 and then can destroy Retain for current year + 3 then can destroy.

Data Protection Act 1998 Disability Discrimination Act 1995 Equal Pay Act 1984

Disciplinary proceedings 11.5 Tribunal case files

Corporate Personnel

Retain for 7 years from settlement of case and then transfer to Archives.

Limitation Act 1980 Data Protection Act 1998

32

Codes of practice 11.6 Personnel Policies - Age Discrimination in Employment:

A Policy Statement - Aids and the Workplace: A Policy

Statement - College Insurance - Equal Opportunities Policy - Illness Related to Alcohol Abuse

and Drug Dependency - No-smoking Policy - Policy Statement on Staff

Development - Sexual and Racial Harassment Code

of Practice 11.7 Staff handbook

Corporate Personnel Corporate Personnel

Copy to Archives on creation Retain permanently. Copy to Archives on creation

To include updates

Industrial Relations 11.8 Negotiation with the College’s three recognised unions regarding pay and conditions, staffing structures and other matters via joint negotiating committees, including trade union agreements.

Corporate Personnel

Retain permanently and copy minutes, papers and agendas to Archives on creation.

Staff Training and Development 11.8 Design and commission of new training booklets and associated booklets 11.9 Annual snapshot of database 11.10 Summary reports

Staff Development Training Unit Staff Development Training Unit Staff Development Training Unit

Keep while current + 5 years then can destroy Copy to Archives on creation Copy to Archives on creation


All electronic data is backed up on staff computers as part of general office routine.

33

Job evaluation 11.11 Job evaluation criteria: grading schemes 11.12 Job descriptions + job evaluation reports

Corporate Personnel / Local Personnel Local Personnel

Retain scheme whilst active. After which, retain for 7 years and then transfer to Archives Copy of new schemes to Archives on creation. Keep while current + 7 years. Send copy to Corporate Personnel for permanent storage on individual files.

34

Staff Administration 11.13 Maintenance of individual staff records - (Personnel) Personal files Appointment records 11.14 Application form/CV Copies of Qualifications Reference letters Job Description and Person Specification Contract of employment Terms and conditions Identification documents – marriage cert., birth cert., passport Staff registration form, including NI number Pension opt out/in form Employment 11.15 Probation documents Changes to terms and conditions Variation of hours Promotion, regrading, temporary promotion, secondment etc. Record of previous service dates Job applications – internal Unpaid leave periods, maternity leave etc. Sabbatical Leave documentation 11.16 Building society/mortgage references 11.17 Resignation, termination and/or retirement letters

Local Personnel Local Personnel / Corporate Personnel Departments

Retain for 6 months after end of employment and then transfer to Archives. * Hold for period of employment unless otherwise stated. Departments to transfer core documents to Archives on termination of employment. Keep for 1 year then destroy Keep for 6 months then destroy

Limitation Act 1980 Data Protection Act 1998

During their lifetime, all personal files will be regularly cleansed according to College policy and legislation. Best kept as a separate sub-set of the personal file.

35

11.18 (Department) Personal files

Departments At end of employment transfer to local Personnel team (following cleansing exercise to remove duplicates and other and other redundant information). Additional relevant information on departmental PF added to Personnel PF and transferred to Archives.

Recruitment For successful candidate (A) For unsuccessful candidates (B) 11.19 General recruitment papers including: - Authorisation to recruit forms - Advert / recruitment agency brief - Application forms / CVs + equal

opportunities monitoring slips - Shortlisting notes, interview notes,

test results, - Job description - Annual snapshot of equal

opportunity reports

Local Personnel Teams / Corporate Personnel (Departments return copies of application forms to Personnel for confidential destruction.) Corporate Personnel / Equal Opportunities Office

(A) Current + 6 months (B) Keep for 6 months after vacancy filled and then can destroy. Copy to Archives on creation.

Data Protection Act 1998 RRA 1976, SDA 1975 / 1986, DDA 1995 Limitations Act 1980

Stored on personnel file of appointee.

11.20 The Personnel Department: A Mission Statement

Corporate Personnel Copy to Archives on creation

36

11.21 Terms of Reference & Committee Membership - Academic Staff Committee

Personnel

Agenda, papers and minutes. Copy to Archives on creation

11.22 Personnel Appointing Procedures Corporate Personnel Copy to Archives on creation (& committee approval)/amendment

11.23 Academic -Related / Research / Technical / Clerical / Manual Appointment documentation

Corporate Personnel


11.24 Staff Appraisal Documentation


11.25 Promotion Procedure Documentation


11.26 Grievance Procedure Documentation


11.27 Disciplinary and Dismissal Procedure Documentation


11.28 Records of Parental Leave and Leave taken for Dependants

Local Personnel /Corporate Personnel

Keep until employee leaves employment.

Employee Relations 11.29 Communication with staff - Staff attitude surveys - Exit interview reports

Corporate Personnel

On creation retain for 5 years. Copy formal reports to Archives on creation.

37

Employee Health 11.30 Medical records and details of biological tests under the Control Lead at Work Regulations 1980 11.32 Occupational Health Clearance Health declaration on application form Health referrals

Departments/Local and Corporate Personnel / Safety Office Local / Corporate Personnel

Keep for 2 years then can destroy

Control of Lead at Work Regulations of1980 (SI 1980/1248)

11.33 Medical records as specified by the Control of Substances Hazardous to Health Regulations 1994

Departments/Local and Corporate Personnel / Safety Office


Control of Substances Hazardous to Health Regulations 1994 (COSHH) (SI1994/3246)

11.34 Medical records under the Control Of Asbestos at Work Regulations 1987

Departments/Local and Corporate Personnel / Safety Office


Control of Asbestos at Work Regulations1987 (SI 1987/2115)

11.35 Health Records Medical/self certificates – unrelated to industrial injury

Personnel/ Occupational Health Dept.

Keep during employment Management of Health and Safety at Work Regulations

11.36 Health Records where reason for Termination of employment is connected with health, including stress related illness

Personnel/ Pensions/ Payroll


Limitation period for personal injury claims

11.37 Medical records under the Ionising Radiations Regulations 1985

Personnel/ Safety Office Keep for 50 Years then can destroy

Ionising Radiations Regulations 1985 (SI 1985/1333)

38

Salary/redundancy 11.38 Statutory Maternity Pay records calculations, certificates, (MatB1) or other medical evidence

Payroll/ Personnel/ Pensions

Keep for not less than 3 years after the end of the financial year to which they relate

Regulation 26 of the Statutory Maternity Pay (General) Regulations 1986 (SI 1986/1960)

11.39 Statutory Sick Pay records, calculations, certificates, self- certificates

Payroll/ Pensions/ Personnel

Keep for not less than 3 years after the end of the financial year to which they relate

Regulation 13 of the Statutory Sick Pay (General) Regulations 1982 (SI 1982/294)

11.40 Wage/salary records (also overtime, bonuses, expenses)

Payroll/Pensions/Personnel Keep for 6 years then can destroy

Taxes Management Act 1970

11.41 Redundancy details, calculations of Payments, refunds, notification to the Secretary of State

Payroll/ Pensions/ Personnel

Keep for 12 years from the date of redundancy

Limitation Act 1980

12. EQUAL OPPORTUNITIES OFFICE 12.1 Policy statements and procedures 12.2 Equal Opportunities Committee

Equal Opportunities Office Equal Opportunities Office

Copy to Archives on creation Agenda, papers and minutes to be copied to Archives on creation

13. EXTERNAL RELATIONS 13.1 Development Trust 13.2 Appeal Boards (fundraising)

Development Office Development Office

Agenda, papers and minutes to be copied to Archives on creation Agenda, papers and minutes to be copied to Archives on creation

13.3 KCLA Development Office Agenda, papers and minutes to be copied to Archives on creation

Including those available for overseas branches.

39

13.4 Publications notably In Touch and including literature of overseas branches

Development Office Copy to Archives on creation

Public Relations 13.5 Planning and control of media communications - Press Releases

Press and Public Relations

Copy press releases to Archives on publication

13.6 Monitoring and control of media coverage - Press clippings relating to KCL - Press clippings digest

Press and Public Relations Press and Public Relations

Keep while current + 1 then transfer to Archives Copy to Archives on creation

13.7 Publications Publications Copy to Archives on creation

Not all publications are produced via Press and Publicity

13.8 Photographs Press and Public relations/Publications


13.9 Design of official publications - Design guidelines - Design and control of the

College’s corporate identity

Publications Publications

Copy to Archives on creation Copy to Archives on creation

40

13.10 Original art work for College Coat of Arms


Community liaison 13.11 Monitoring of, and participation in, local initiatives which provide learning opportunities for staff and students (including Access courses)

Student Recruitment & Exchanges Office/ Schools

Copy reports and significant documents to Archives upon creation

Fundraising 13.12 Major fundraising campaigns

Development Office

Transfer to Archives at end of campaign

Maintenance of alumni records 13.13 Snapshot of database 13.14 First destination statistics 13.15 Alumni committee/group 13.16 Alumni events

Alumni Office Careers Service Development Office/Alumni Department

Transfer to Archives on creation Copy statutory returns to Archives upon creation Copy agenda, papers and minutes to Archives on creation Transfer significant ephemera to Archives

Dept to discuss with Archive details of snapshot eg lecture texts, attendance lists, menus

13.17 Management of relationships with individuals and institutions which provide funds - Donor/Sponsor Summary

records/Database

Development Office

Keep for current year + 2 then transfer major gift donor records and annual fund donor records to Archives

41

14. INFORMATION SERVICES AND SYSTEMS

Information & Library Service Management 14.1 ISS Policy Statements and core working documents 14.2 ISS Committee

ISS Office of College Secretary and Registrar

Copy to Archives on creation. Keep while current Copy agenda, papers and minutes to Archives on creation

Information Service Centre Service Delivery (library) 14.3 - Inter-library loan forms - Correspondance concerning policy

and management including disciplinary issues

- Enquiry Forms/database - Loans records/database - Planning Documents including relevant committees and service specifications - Medical certificates pertaining to

credit fines - Library membership application

form

ISS ISS ISS ISS ISS ISS ISS

Keep for current year + 6 then destroy Keep for current year + 3 then destroy Keep for current year + 3 then destroy Keep for current year + 3 then destroy Keep for current year + 3 then destroy Destroy after crediting Keep while current then can destroy

42

IT Operations Management 14.4 Specification of functional and technical requirements for IT hardware, software and networks - Major functional specifications - Major technical specifications

ISS

Transfer to Archives after end of system

14.5 Installation , testing and operation of hardware, software and networks - Test reports - Operating logs

ISS

Transfer to Archives after decommissioning of system

14.6 Operation of data back up and archiving routines - Backup schedules - Archiving Schedules

ISS ISS

Keep while current + 1 then destroy Copy to Archives upon creation

IT System Development 14.7 Design, development and implementation of IT systems

ISS

Transfer major documentation (including manuals) to Archives after system decommissioning

No need to transfer minor material

Records Management 14.8 Determination of retention periods for institutional records - Records Retention Authorisations - Records Retention Schedules

Archives

Keep whilst ongoing + 10 then destroy

14.9 Publication - Copyright agreements - Reproduction agreements

Archives Archives

Keep for duration of copyright then can destroy Keep for duration of copyright then can destroy

43

Archives Management 14.10 Accessions register 14.11 Depositor/donor agreements

Archives Archives

Keep permanently. Keep from termination of agreement + 6 years then destroy

14.12 Storage of Archives - Location Register

Archives

Keep while current then can destroy

14.13 Promotion of Archives - Guides - Catalogues - Exhibition guides

Archives

Keep permanently

14.14 Provision of access to the records - User Register - Enquiry records - Records of loans - Production/issue records

Archives Archives Archives Archives

Keep permanently Keep for current year + 5 then can destroy Keep while current + 5 then can destroy Keep for current year + 1 then can destroy

14.15 Conservation Management - Conservation Survey and Register

Library

Keep permanently

Collections Management 14.16 Acquisition of collections - Accessions Register - Depositor/donor agreements

Library Library

Keep permanently Keep permanently

44

14.17 Organisation of collections - Catalogues - Catalogues - Indexes

Archives Library Archives

Keep permanently Destroy when no longer current, except for special collections to be copied on creation to Archives Keep permanently

45

Appendix I COMMITTEES SENDING AGENDA, MINUTES AND PAPERS TO THE ARCHIVE It is recommended that the following committees shown in BOLD add the Archives to their mailing lists to ensure that complete sets of records are kept and to obviate the need for others to transfer them: Academic Board

Standing Committee College Teaching Committee College Research Committee

School Teaching Committees School Research Committees

Committee for Academic Staff (excluding information on individuals) ISS

Library Advisory Committee Computing Services Advisory Board Archives Services Advisory Committee External Affairs Committee Academic Audit (contained in Standing Committee papers)

College Board of Examiners School Boards of Examiners

Council Amenities Committee Estates Strategy Committee Finance Committee (to be discussed with Director of Finance)

46

Internal Audit Committee (to be discussed with Director of Finance) Nominations Committee Patronage Committee Remuneration Committee Research Ethics Committee Safety Policy Committee Sealing Committee Staffing Policy Committee GKT Board

College Committee

School Executive Boards

47

Appendix 2 Records Management Working Group: Professor Linda Newson, Geography Department and Chair, Archive Services Advisory Committee Miss Patricia Methven Director of Archive Services Mr Simon Ford Personnel Mr Stephen Harrow Data Protection Officer Dr Eric Hemming School of Law Mr Jeremy Williams GKT Registry Ms Anna Wood Office of the College Secretary and Registrar

48

Draft Disposition Schedule - Index

Item Page Archives Management ……………………………

………. 42

Budget Administration …………………………………….

20

Capital Asset Management …………………………………….

21

Catering …………………………………….

28

Collections Management …………………………………….

42

Community liaison …………………………………….

39

49

Conduct of disciplinary proceedings against students

…………………………………….

12

Conferment of awards

………………………… 11

Course Accreditation and Managing Change

…………………………………….

8

Course Administration

…………………………………….

10

Course Development

…………………………………….

7

Course Review

…………………………………….

9

Curriculum Development

…………………………………….

7

Estates and premises management

…………………………………….

22

Examination Setting and Marking

…………………………………….

9

Files for special purposes eg flood

…………………………………….

19

Finance

…………………………………….

17

50

Financial Accounting

…………………………………….

19

Financial Planning

…………………………………….

15

Fundraising

…………………………………….

39

Governance and Management

…………………………………….

17

Government & Regulator Relations

…………………………………….

17

Information & Library Service Management

…………………………………….

40

Internal Services

…………………………………….

27

Investment Management

…………………………………….

20

IT Operations Management

…………………………………….

41

IT System Development

…………………………………….

41

Lettings administration …………………………………….

28

51

Maintenance of alumni records

…………………………………….

39

Maintenance of individual student records

…………………………………….

12

Organisational Development

…………………………………….

16

Payroll Administration

…………………………………….

18

Pension Scheme Administration

…………………………………….

18

Plant & Equipment Maintenance

…………………………………….

27

Public Relations

…………………………………….

38

Purchasing

…………………………………….

18

Records Management …………………………………….

41

52

Research Performance Management

…………………………………….

14

Research project management

…………………………………….

15

Research Proposal Preparation & Submission

…………………………………….

15

Research Strategy Development

…………………………………….

14

Risk Assessment

…………………………………….

22

Security management

…………………………………….

29

Selection of suppliers …………………………………….

26

53

Strategic Performance Management

…………………………………….

16

Strategic Planning

…………………………………….

15

Student Admission and Registration

…………………………………….

12

Student Assessment

…………………………………….

10

Student Associations & Activities

…………………………………….

13

Student Liaison

…………………………………….

11

Student Welfare Service Management

…………………………………….

11

Tax Management

…………………………………….

21

Teaching and Learning Performance Management

…………………………………….

6

Teaching and Learning Strategy Development & Implementation

…………………………………….

5