Row Function Sub function Records Retention Period IAMEstate Management The function of managing the institution's estate.
1. Property Acquisition Records documenting the acquisition of ownership of properties. Disposal of property + 12years
Samuel Radziejowski (Strategic Asset Manager)
2. Records documenting negotiations for properties where the property was notacquired.
Closure of negotiations + 6Years
Samuel Radziejowski (Strategic Asset Manager)
3. Records documenting the negotiation of leases and original lease agreements. Expiry of lease + 15 years Samuel Radziejowski (Strategic Asset Manager)
4. Property Development Records documenting the development of properties. Disposal of property5. Health and Safety File for a structure, as required by Regulation 14(d) of the
Construction (Design and Management) Regulations 1994 (SI 1994/3140)Demolition of property ORDisposal of interest in property
Dr John Hindley (Director of Estates Management and Sustainability)
6. Records documenting applications for planning consents required to (re)developproperty and consents granted.
Disposal of property orexpiry of consent
Paul Holt (Assistant Director Estates Development)
7. Property Maintenance Records documenting routine inspections of property. Date of inspection + 5Years
Dr John Hindley (Director of Estates Management and Sustainability)
8. Records documenting major maintenance works on property. Disposal of property Dr John Hindley (Director of Estates Management and Sustainability)
9. Records documenting minor maintenance works on property. Completion of works + 15Years
Dr John Hindley (Director of Estates Management and Sustainability)
10. Records documenting assessments made to determine the presence (or likelypresence) of asbestos in premises, as required by Regulation 4(3) of the Control of Asbestos Regulations 2006 (SI 2006/2739).
Review of assessment +10 years
Dr John Hindley (Director of Estates Management and Sustainability)
11. Records documenting the monitoring of the condition of asbestos in premises, and ofmaintaining or removing it.
Removal of asbestos + 10years OR Subsequent inspection + 10 years
Dr John Hindley (Director of Estates Management and Sustainability)
12 Property Disposal Records documenting the disposal of properties by sale, transfer or donation. Disposal of property + 12years
Paul Holt (Assistant Director Estates Development)
13 Security Management Records documenting the conduct and results of security inspections of properties,and action taken to address issues raised.
Completion of subsequentinspection
Alan Cain (Head of Security and Business Continuity)
14 Records documenting property access controls to secure areas (e.g. access registers,key registers, security data logs).
Creation + 2 years Alan Cain (Head of Security and Business Continuity)
15 Records documenting the conduct of routine security surveillance of facilities. Creation + 1 month Alan Cain (Head of Security and Business Continuity)
16 Records documenting security breaches or incidents, and action taken. Last action on incident + 1year
Alan Cain (Head of Security and Business Continuity)
17 Records documenting intelligence information from local and national police to ensurestudent safety on campus.
Last action on intelligence+ 3 yearsStudent/staff records - end of relationship + 6 years
Alan Cain (Head of Security and Business Continuity)
19
20Function Sub function Records Retention Period IAM18 Property Leasing-out Records documenting leasing-out arrangements for properties. Expiry of lease + 12 years Dr John Hindley (Director of
Estates Management and Sustainability)
19 Space Management The activities involved in allocating space and in monitoring and reviewing spaceutilisation.
Completion of subsequentaudit + 5 years
Dr John Hindley (Director of Estates Management and Sustainability)
Environmental Management
The function of managing the impact of the institution and its business on the environment, and of ensuring compliance with legislation on environmental matters.
IAM
20 Environmental Audit Records documenting the conduct and results of environmental audits, and actiontaken to address issues raised.
Completion of audit + 5years
Dr John Hindley (Director of Estates Management and
21 Environmental HazardIdentification & Risk Assessment
Records documenting identified environmental hazards to the institution, or created byits operations, and the conduct and results of risk assessments.
Elimination of risk + 5years
Dr John Hindley (Director of Estates Management and Sustainability)
22 EnvironmentalManagement Scheme Accreditation Management
Records documenting the attainment and maintenance of the institution's accreditationunder established environmental management schemes.
Termination ofaccreditation + 1 year
Dr John Hindley (Director of Estates Management and Sustainability)
23 EnvironmentalAwareness Promotion
Records documenting action taken by the institution to raise awareness ofenvironmental issues among its employees, other staff and students.
Current year + 5 years Dr John Hindley (Director of Estates Management and Sustainability)
24 Environmental IncidentRecording, Reporting & Investigation
Records documenting the recording of environmental incidents on the institution'spremises or caused by its operations.
Last action on incident +40 years
Dr John Hindley (Director of Estates Management and Sustainability)
25 Records documenting the investigation of environmental incidents on the institution'spremises or caused by its operations.
Closure of investigation +40 years
Dr John Hindley (Director of Estates Management and Sustainability)
26 Records documenting the notification and reporting of reportable environmentalincidents to enforcing authorities.
Date of notification + 5years
Dr John Hindley (Director of Estates Management and Sustainability)
27 Energy Management Records documenting routine monitoring of the institution's use and consumption ofenergy.
Current year + 5 years Dr John Hindley (Director of Estates Management and Sustainability)
28 Records documenting the conduct and results of formal reviews of the institution's useand consumption of energy, and action taken to address issues raised.
Completion of review + 5years
Dr John Hindley (Director of Estates Management and Sustainability)
29 Waste Management Register of 'special waste' removed from the premises for disposal byregistered/licensed contractors, as required by Regulation 15 of the Special Waste Regulations 1996 (SI 1996/972).
Records documenting hazardous waste to be disposed of, as required by Regulation 49 of the Hazardous Waste (England and Wales) Regulations 2005 (SI 2005/894).
Removal of wasteconsignment + 3 years
Dr John Hindley (Director of Estates Management and Sustainability)
Travel Management The function of managing and implementing travel plans, ensuring all new developments have sustainable travel facilities and infrastructure.
IAM
30 Car Park Management Records associated with the management of all University car parks. Current year + 3 years Dr John Hindley (Director of Estates Management and Sustainability)
31 Records associated with dispute management with specific reference to University carparks.
Current year + 3 years Dr John Hindley (Director of Estates Management and Sustainability)
32 Travel planningmanagement
Records associated with the management of the University Cycle to Work scheme End of financial year + 6years
Dr John Hindley (Director of Estates Management and Sustainability)
33 Records associated with the management of cycle shelter Current year + 1 year Dr John Hindley (Director of Estates Management and Sustainability)
34 Records associated with personal travel planning While current Dr John Hindley (Director of Estates Management and Sustainability)
35 Records associated with the management of an annual travel survey across theUniversity
Completion of survey + 5years
Dr John Hindley (Director of Estates Management and Sustainability)
36 Fleet Management Records associated with the management of the University's fleet of vehicles While current Dr John Hindley (Director of Estates Management and Sustainability)
Function Sub function Records Retention Period IAMEquipment & Consumables Management
The function of managing equipment and consumables which are owned by the institution, or which the institution has legal rights to use.
37 Equipment &Consumables Storage
Records documenting the monitoring of the condition of storedequipment/consumables.
Records documenting routine stocktaking and stock checking.
Records documenting the movement of stock into and from storage and general stock inventory.
Current year + 1 year Stephen Bloye (Assistant Director of Facilities Management)
38 Equipment Installation /Commissioning
Records documenting the installation of equipment: including major items, items whichare safety critical or associated with hazardous operations.
Decommissioning/removal+ 6 years
Stephen Bloye (Assistant Director of Facilities Management)
39 Reports of pre-commissioning examinations of lifting equipment and accessories forlifting.
Decommissioning Stephen Bloye (Assistant Director of Facilities Management)
40 Equipment Inspection,Testing & Maintenance
Records documenting the inspection, testing and maintenance of equipment, exceptas specified elsewhere.
Disposal of item + 1 year Stephen Bloye (Assistant Director of Facilities Management)
41 Records documenting inspections of equipment, made under Regulation 6 of theProvision and Use of Work Equipment Regulations 1998 (SI 1998/2306).
Completion of subsequentinspection
Stephen Bloye (Assistant Director of Facilities Management)
42 Records documenting the inspection, testing and maintenance of equipment: itemswhich are safety critical or are associated with hazardous operations including lifting equipment.
Decommissioning/Disposal + 15 years
Stephen Bloye (Assistant Director of Facilities Management)
43 Equipment &Consumables Disposal
Records documenting authorisation for the disposal of equipment/consumables, andthe evaluation of alternative methods of disposal.
Records documenting the transfer of ownership of equipment/consumables.
Disposal of item + 1 year Dr John Hindley (Director of Estates Management and Sustainability)
44 Records documenting the cleaning/sanitisation of equipment/consumables prior todisposal: items used in connection with operations involving substances hazardous to health.
Disposal of item + 15years
Dr John Hindley (Director of Estates Management and Sustainability)
45 Confidential WasteDisposal
Records documenting the removal and destruction of confidential waste being takenoff-site for disposal.
Removal of wasteconsignment + 3 years
Dr John Hindley (Director of Estates Management and Sustainability)
Facilities Management
The function of managing the institution's facilities.
46 Facilities Development Records documenting the specification of requirements for facilities.
Records documenting the development of interior design and fit-out schemes.
Records documenting the carrying out of interior decoration and fitting-out works.
Completion of works + 15years
Stephen Bloye (Assistant Director of Facilities Management)
47 Facilities Maintenance Records documenting routine inspections of facilities including any minor maintenanceworks required
Completion of twosubsequent inspections
Stephen Bloye (Assistant Director of Facilities Management)
48 Records documenting the carrying out of major maintenance works within facilities. Completion of works + 15years
Stephen Bloye (Assistant Director of Facilities Management)
49 Facilities ComplianceManagement
Records documenting the conduct and outcomes of inspections of facilities byenforcing authorities.
Completion of subsequentinspection
Stephen Bloye (Assistant Director of Facilities Management)
50 Original licences and certificates Superseded Stephen Bloye (Assistant Director
Health & Safety Management
The function of managing the impact of the institution's operations on the health and safety of its staff, students and others while on its premises and in other places where they may be affected by its operations, and of ensuring compliance with legislation on health and safety matters.
Function Sub function Records Retention Period IAM51 Health & Safety
InspectionRecords documenting the conduct and results of health and safety inspections of theinstitution's land, buildings, facilities or operations, and action taken to address issues raised.
Current year + 5 years ORSuperseded + 1 year
All Faculty IAMs
52 Health & Safety Audit Records documenting the conduct and results of health and safety audits. Completion of audit + 5years
All Faculty IAMs
53 Health & SafetyInformation, Instruction& Training Provision
Records documenting the provision of health and safety information, instruction andtraining for employees, students and others.
Current year + 5 years Marie Parkinson (Head of Health and Safety)
54 Health & Safety HazardIdentification & Risk Assessment
Records documenting the conduct, review and revision of risk assessments made tofulfil the institution's duties under Regulation 3 of the Management of Health and Safety at Work Regulations 1999 (SI 1999/3242) and except where specified elsewhere in this Records Retention Schedule.
Superseded + 5 years Marie Parkinson (Head of Health and Safety)
55 Health & Safety HazardExposure Control - Display Screen Equipment
Records documenting the conduct, review and revision of assessments of risks tohealth and safety created by using workstations, to fulfil the institution's duties under Regulation 2 of the Health & Safety (Display Screen) Equipment Regulations 1992 (SI 1992/2792).
Current version + 5 years Marie Parkinson (Head of Health and Safety)
56 Records documenting the provision of training and information for employees usingworkstations, to fulfil the institution's duties under Regulations 6 and 7 of the Health & Safety (Display Screen) Equipment Regulations 1992 (SI 1992/2792).
Current version + 5 years Marie Parkinson (Head of Health and Safety)
57 Health and SafetyExposure Control - Noise, Lead, Hazardous substances, Asbestos
Records documenting the conduct and results of monitoring the personal exposuresof individual employees to noise, substances hazardous to health, lead and asbestos.
Superseded + 10 years -noiseLast entry + 40 years - hazardous substances Date of monitoring + 40 years - asbestos
Marie Parkinson (Head of Health and Safety)
58 Records documenting the provision of information, instruction and training foremployees who are exposed to noise, hazardous substances, lead and asbestos.
Superseded + 10 years Marie Parkinson (Head of Health and Safety) and All IAMS
59 Records documenting the conduct, review and revision of assessments of the risks tohealth created by working with substances hazardous to health eg. lead, asbestos.
Superseded + 10 years Stephen Bloye (Assistant Director of Facilities Management)
60 Records documenting the development of plans and information to deal withaccidents, incidents and emergencies related to the presence of substances hazardous to health eg. lead, asbestos.
Superseded + 10 years Stephen Bloye (Assistant Director of Facilities Management)
61 Records documenting the maintenance of equipment provided to control exposure tosubstances hazardous to health.
Date ofexamination/test/repair + 5 years (hazardous substances, noise, lead, asbestos)
Stephen Bloye (Assistant Director of Facilities Management)
62 Records documenting assessments of the presence and condition of asbestos, asrequired by Regulation 5 of the Control of Asbestos Regulations 2006 (SI 2006/2739).
Completion of work towhich the assessment relates + 10 years
Stephen Bloye (Assistant Director of Facilities Management)
63 Records documenting the preparation of written plans of work for undertaking workwith asbestos, as required by Regulation 7 of the Control of Asbestos Regulations 2006 (SI 2006/2739).
Completion of work towhich plan relates.
Stephen Bloye (Assistant Director of Facilities Management)
64 Records documenting notifications to enforcing authorities of proposed work withasbestos, to fulfil the institution's duties under Regulation 9 of the Control of Asbestos Regulations 2006 (SI 2006/2739).
Duration of work + 10years
Stephen Bloye (Assistant Director of Facilities Management)
65 Employer's copies of certificates of medical examinations of identifiable employeeswho are exposed to asbestos, as required by Regulation 22 of the Control of Asbestos Regulations 2006 (SI 2006/2739).
Date of certificate + 4years
Stephen Bloye (Assistant Director of Facilities Management)
66 Records held on Legionella Superseded + 10 years Stephen Bloye (Assistant Director of Facilities Management)
67 Health & Safety IncidentRecording, Reporting & Investigation
Records of injuries, dangerous occurrences and outbreaks of notifiable diseases onthe institution's premises, to fulfil the institution's duties under Regulation 7 of the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (SI 1995/3163).
Date of recording + 3years
Marie Parkinson (Head of Health and Safety)
Function Sub function Records Retention Period IAM68 Records documenting the investigation of accidents, dangerous occurrences and
outbreaks of notifiable diseases on the institution's premises.Closure of investigation +40 years
Marie Parkinson (Head of Health and Safety)
69 Records documenting the notification and reporting (to the relevant enforcingauthorities) of reportable accidents, dangerous occurrences and outbreaks of notifiable diseases to enforcing authorities.
Date of notification + 3years
Marie Parkinson (Head of Health and Safety)
70 Health & Safety IncidentManagement
Records documenting the conduct, review and revision of fire safety risk assessmentsincluding clear fire safety arrangements.
Superseded + 5 years Marie Parkinson (Head of Health and Safety)
71 Records documenting the nomination and training of 'competent persons' toimplement fire-fighting measures.
Termination of status as'competent person'
Marie Parkinson (Head of Health and Safety)
72 Records documenting arrangements with external emergency services for theprovision of first-aid, emergency medical care, fire-fighting and rescue services (including the provision of information on the institution's emergency procedures and arrangements).
Current year + 5 years Alan Cain (Head of Security and Business Continuity)
73 Records documenting the conduct, review and revision of assessments ofrequirements for fire-fighting equipment and for fire detectors and alarms to fulfil the institution's duties under Article 13 of the Regulatory Reform (Fire Safety) Order 2005 (SI 2005/1541).
Current version + 5 years Stephen Bloye (Assistant Director of Facilities Management)
74 Records documenting the conduct and review of safety drills. Current year + 5 years Stephen Bloye (Assistant Director of Facilities Management)
75 Records documenting the appointment of first aiders. Termination ofappointment
Marie Parkinson (Head of Health and Safety)
76 Records documenting the provision of approved training for first aiders to fulfil theinstitution's duties under Regulation 3 of the Health and Safety (First Aid) Regulations 1981 (SI 1981/917).
Current year + 3 years Marie Parkinson (Head of Health and Safety)
77 Records documenting the provision of information about first aid arrangements toemployees, to fulfil the institution's duties under Regulation 4 of the Health and Safety (First Aid) Regulations 1981 (SI 1981/917).
Records documenting the conduct, review and revision of assessments of requirements for first aid facilities, equipment and trained personnel to fulfil the institution's duties under Regulation 3 of the Health and Safety (First Aid) Regulations 1981 (SI 1981/917).
Superseded + 3 years Marie Parkinson (Head of Health and Safety)
MMU Sport The activities involved in providing sports facilities and sporting opportunities for staff and students across the institution.
78 Gym equipment testing,inspection and risk assessments
Records documenting daily checks of equipment. Includes required health and safetychecks and health and safety risk assessments including normal and emergency action procedure documentation.
Completion of twosubsequent inspections
Stephen Bloye (Assistant Director of Facilities Management)
79 Equipment Inventory Records documenting facility stock levels up to inventory of gym equipment acrossfacilities.
Superseded Stephen Bloye (Assistant Director of Facilities Management)
80 Leisure Management Records documenting till system management, membership management and facilitybooking management.
Superseded + 3 years Stephen Bloye (Assistant Director of Facilities Management)
81 Student FocussedProgrammes
Records documenting specific sports programmes aimed at students. Completion of programme+ 1 year
Stephen Bloye (Assistant Director of Facilities Management)
Conferencing and Events
The activities involved in providing conferencing and events facilities across the institution.
82 Events Management Records documenting all events held by the University including internal or externalcontacts eg. Business Master Classes.
Completion of event + 1year
Stephen Bloye (Assistant Director of Facilities Management)
83 Academic ConferenceManagement
Records documenting academic conference registration including delegateregistration.
Completion of event + 1year
Stephen Bloye (Assistant Director of Facilities Management)
84 Special Requirementsmanagement
Records documenting Personal Emergency Evacuation Plans (PEEP) and dietaryrequirements.
End of relevance of PEEP+ 6 years
Stephen Bloye (Assistant Director of Facilities Management)
Finance Management
The function of managing the institution's financial resources.
Function Sub function Records Retention Period IAM85 Financial Accounting Records documenting the issue of sales invoices and the processing of incoming
payments.
Records documenting the receipt and payment of purchase invoices.
Records documenting the payment and/or reimbursement of employees' expenses.
Records documenting the payment of honoraria to third parties.**Unless honoraria are administered through the payroll.
Records documenting the payment of expenses to third parties (e.g. honorary appointees).
Records documenting the handling of petty cash.
Records documenting the receipt and processing of tuition
fees. Records documenting the preparation of annual accounts
Annual accounts
Current financial year + 6years
Alistair Greer (Acting Head of Financial Accounting and Management Accounting)
86 ManagementAccounting
Records documenting analyses of the internal deployment of the institution's financialresources.
Current financial year + 1year
Alistair Greer (Acting Head of Financial Accounting and Management Accounting)
87 Statutory Accounting Records documenting the preparation of the institution's statutory accounts. Current financial year + 6years
Alistair Greer (Acting Head of Financial Accounting and Management Accounting)
88 Internal Accounting Records documenting the processing of internal accounting transactions betweenoperating units (i.e. cross-charges).
Current financial year + 1year
Alistair Greer (Acting Head of Financial Accounting and Management Accounting)
89 Funding Management Records documenting the administration of annual funding allocations from theappropriate statutory funding body.
Current financial year + 10years
Sunil Shekar (Finance Manager)
90 Records documenting the administration of research grants provided by researchcouncils or corporate sponsors.
Termination of grant + 6years
Sunil Shekar (Finance Manager)
91 Records documenting the administration of funding from European Structural Fundssuch as the European Social Fund (ESF) and the European Regional Development Fund (ERDF)
Final payment on theprogramme to the UK + 10 years (not to be confused with project final payments) OR when formal notification is given by the funder
Sunil Shekar (Finance Manager)
92 Records documenting the administration of scholarship funds. Current financial year + 6years
Sunil Shekar (Finance Manager)
93 Financial Planning &Budgeting
Records documenting the preparation of annual operating budgets.
Records documenting the monitoring of income and expenditure against annual operating budgets, and action taken to deal with variances.
Current financial year + 1year
Alistair Greer (Acting Head of Financial Accounting and Management Accounting) andJoan Shanks (Head of Treasury and Capital Accounting)
94 Payroll Administration Records documenting employees' authorisation for non-statutory payroll deductions.AVC's.
Current financial year + 6years
Lisa Blackshaw (Head of Payroll and Taxation)
95 Records documenting calculation and payment of employees' salaries and otherpayments.
Current financial year + 6years
Lisa Blackshaw (Head of Payroll and Taxation)
96 Records documenting the administration of payments made under the Statutory SickPay scheme.
Current financial year + 6years
Lisa Blackshaw (Head of Payroll and Taxation)
97 Records documenting the administration of payments made under the StatutoryMaternity, Paternity and Family and/or Adoption Leave Pay scheme.
Current financial year + 6years
Lisa Blackshaw (Head of Payroll and Taxation)
Function Sub function Records Retention Period IAM98 Pension Contributions
AdministrationRecords documenting payments of the institution's employers' contributions topensions schemes for its employees.
Records documenting payments of the institution's employees' contributions to pension schemes.
Termination ofemployment + 75 years
Lisa Blackshaw (Head of Payroll and Taxation)
99 Tax Management Records documenting the preparation and filing of the institution's tax returns.
Records documenting the institution's accounting for VAT.
Current tax year + 6 years Lisa Blackshaw (Head of Payroll and Taxation)
100 Cash Management Records documenting the opening, closure and routine administration of bankaccounts.
Closure of account + 6years
Joan Shanks (Head of Treasury and Capital Accounting)
101 Records documenting standing orders and direct debits. Life of instruction + 6years
Catherine Heys (Cash Operations Manager)
102 Records documenting routine bank account deposits/withdrawals/transfers (paying-inslips, transfer instructions, bank statements etc.)
Current financial year + 6years
Catherine Heys (Cash Operations Manager)
103 Records documenting international payments. Current financial year + 6years
Catherine Heys (Cash Operations Manager)
104 Records documenting card payments across the University. Current financial year + 6years
Catherine Heys (Cash Operations Manager)
105 Records documenting purchasing card statements. Current financial year + 6years
Catherine Heys (Cash Operations Manager)
106 InvestmentManagement
Records documenting the purchase/sale of investments. Current financial year (oftransaction) + 6 years
Joan Shanks (Head of Treasury and Capital Accounting)
107 Records documenting the overall management of the institution's financial investmentportfolio.
Divestment + 6 years Joan Shanks (Head of Treasury and Capital Accounting)
108 Asset Management Records documenting the value of the institution's capital assets. Current financial year + 6years
Joan Shanks (Head of Treasury and Capital Accounting)
109 Records documenting decisions (and authorisations) to dispose of capital assets. Current financial year (ofdisposal) + 6 years
Joan Shanks (Head of Treasury and Capital Accounting) and David Worrall (Legal Services)
110 Statutory Returns Records documenting staff numbers and financial spending. Current financial year + 6years
Lisa Blackshaw (Head of Payroll and Taxation)
Tuition Fees Administration
The function of administering the collection and remission of tuition fees.
111 Tuition Fee Remission Records documenting remission of tuition fees in exceptional circumstances Determination ofremission + 6 years
Paul Sheil (Credit Control and Finance Manager) and Fran Collett (Head of Student Billings)
112 Tuition Fee Collection Records documenting the collection and receipt of tuition fees. Current financial year + 6year
Paul Sheil (Credit Control and Finance Manager) and Fran Collett (Head of Student Billings)
113 Tuition Fee DebtRecovery
Records documenting debt recovery of student fees (tuition, accommodation etc.) Last payment + 6 years Paul Sheil (Credit Control and Finance Manager)
Student Financial Support Administration
The function of administering the allocation of financial support funds available to the institution's students.
114 Payments of financialaid to students
Invoices documenting the payment of financial aid funds and bursaries to individualstudents.
Current financial/academicyear + 6 years
Paul Sheil (Credit Control and Finance Manager) and Fran Collett (Head of Student Billings)
115 Prizes Administration Records documenting payment of prizes. Current academic year + 5years
Paul Sheil (Credit Control and Finance Manager)
Procurement The function of purchasing goods, works and services from external organisations.
116 Supplier Approval Records documenting supplier evaluation criteria. Superseded + 5 years Arwyn Evans (Head of Procurement)
117 Supplier database While current Arwyn Evans (Head of Procurement)
Function Sub function Records Retention Period IAM118 Contract Tendering Records documenting the process of inviting and evaluating tenders.
Records documenting the issue of Invitations to Tender and handling of incoming tenders.
Records documenting the evaluation of tenders, the conduct of negotiations with tenderers and the notification of the results of the tender evaluation process.
Award of supply contract +1 year - rejected tenders
Termination of contract + 6 years - accepted tenders
Arwyn Evans (Head of Procurement)
119 Purchasing Records documenting purchasing authorisation limits. Superseded + 1 year Arwyn Evans (Head of Procurement)
120 Records documenting internal authorisation for procurement. Current financial year + 1year
Arwyn Evans (Head of Procurement)
121 Purchase Orders. Goods Received Notes/Goods Inwards Notes. Current financial year + 6years
Arwyn Evans (Head of Procurement)
123 Manual Orders associated with foreign payments/catering orders. Current financial year + 6years
Arwyn Evans (Head of Procurement)
124 Records associated with purchasing cards. Current financial year + 6years
Arwyn Evans (Head of Procurement)
125 Contract Management Records documenting variations to contracts (e.g. revisions, extensions).
Records documenting the monitoring of supplier performance and action taken regarding under-performance.
Termination of contract +6 years
Arwyn Evans (Head of Procurement)
Intellectual Property Rights (IPR) Exploitation
The function of commercially exploiting the institution's intellectual property rights (IPR).
126 IPR Assignment Records documenting the negotiation and completion of IPR assignments to thirdparties.
Life of IPR + 6 years David Worrall (Head of Legal Services)
127 IPR Licensing Records documenting the negotiation and completion of IPR licence agreements tothird parties.
Termination of licence + 6years
David Worrall (Head of Legal Services)
128 IPR Protection Records documenting the institution's applications for patents and patent certificates. Life of patent + 50 years David Worrall (Head of Legal Services)
129 Records documenting the institution's applications for other forms of IPR protection(registered trade marks, registered designs) and certificates of registration
End of registration + 6Years
David Worrall (Head of Legal Services)
130 Records documenting applications for renewal of IPR protection, up to the maximumperiod permitted.
Life of patent/End ofregistration
David Worrall (Head of Legal Services)
131 Records documenting routine monitoring of third party activity to detect infringementsof the institution's IPR.
Current year + 5 years David Worrall (Head of Legal Services)
132 Records documenting identified infringements of the institution's IPR, and action takenother than litigation.
Last action on case + 6years
David Worrall (Head of Legal Services)
Legal Affairs Management
The function of managing the institution’s legal affairs. IAM
133 Contracts & AgreementsManagement
Records documenting the negotiation, establishment and review of contracts andagreements between the institution and third parties - agreements and contracts under seal (by deed).
Termination of contract +12 years
David Worrall (Head of Legal Services)
134 Records documenting the negotiation, establishment and review of contracts andagreements between the institution and third parties - other contracts and agreements.
Termination of contract +6 years
David Worrall (Head of Legal Services)
135 Legal ClaimsManagement
Records documenting the provision of legal support and representation for theinstitution in dealing with claims by or against the institution which do not proceed to litigation or settlement by an agreement.
Settlement of claim + 6years OR Withdrawal of claim + 6 years
David Worrall (Head of Legal Services)
136 Litigation Management Records documenting litigation between the institution and third parties where legalprecedents are set.
Life of institution David Worrall (Head of Legal Services)
137 Records documenting litigation between the institution and third parties which does notset legal precedents.
Settlement of case + 6Years
David Worrall (Head of Legal Services)
Function Sub function Records Retention Period IAM138 Legal Advice Records documenting legal advice requested by, and provided to, the institution
concerning e.g.:- interpretation of legislation affecting the institution's legal framework, governance, responsibilities or operations- proposals for new legislation affecting the institution's legal framework, governance, responsibilities or operations- the institution's relationships with government bodies and HE regulators- industrial relations issues- health, safety and environmental issues- all other matters requested by and provided to, the institution.
File close date + 6 years David Worrall (Head of Legal Services)
139 Property Acquisition Deeds of title for properties owned by the institution. Disposal of property David Worrall (Head of Legal Services)
Information Compliance Management
The function of ensuring that the institution complies with legislation on access to information.
140 Information RightsCompliance
Records documenting the institution's notification of data controller details (to beadded to the public register of data controllers) to the Information Commissioner's Office, as required by s 2 of the Data Protection Act 1998 (c. 29).
Current year + 1 year David Worrall (Head of Legal Services)
141 Records documenting the development and maintenance of the institution'sPublication Scheme, as required by the Freedom of Information Act 2000 (c. 36) and the Freedom of Information (Scotland) Act 2002 (asp 13).
Completion of revision ofPublication Scheme + 5 years
David Worrall (Head of Legal Services)
142 Records documenting the handling of requests for access to personal information heldby the institution under the Data Protection Act 1998, requests for information held by the institution, made under the Freedom of Information Act 2000 (c. 36) or the Freedom of Information (Scotland) Act 2002 and requests for environmental information held by the institution, made under the Environmental Information Regulations 2004 (SI 2004/3391) or the Environmental Information (Scotland) Regulations 2004 (SSI 2004/520).
Last action on request + 1year (FOR FOI/EIR there is a completion of request handling process + 3 years retention)
David Worrall (Head of Legal Services)
143 Records containing (anonymised) statistics, analyses and reports of requests foraccess to information in data protection, freedom of information and environmental information regulations held by the institution.
Current year + 10 years David Worrall (Head of Legal Services)
Insurance Management
The function of assessing the institution's liabilities and insurance needs, and of maintaining adequate insurance cover.
144 Insurance PolicyManagement
Records documenting the arrangement and renewal of insurance policies: employers'liability insurance; all other insurance.
Expiry of policy + 6 years David Worrall (Head of Legal Services)
145 Employers' Liability Insurance Certificates Commencement/Renewalof policy + 40 years
David Worrall (Head of Legal Services)
Research The function of undertaking academic research.146 Research and
Knowledge Exchange Development and Delivery
Records documenting the identification and exploration of new research opportunitieswhich lead to (and do not lead to) research projects.
Records documenting the preparation and submission of applications for funding, where the application is successful or unsuccessful.
Records documenting liaison with research sponsors to monitor their research policies and to promote the institution's capabilities.
Records documenting the formation and management of partnerships and other collaborative arrangements to undertake research.
Until end of project + 10years (specific funding requirements may override)
Adam Riches (Information Systems Manager)
147 Records documenting the outputs, activities and impact of RKE projects. Entered bythe individuals themselves, on their own profile.
10 years from leaving date Adam Riches (Information Systems Manager)
148 Research Conduct Records documenting the conduct of research funded by the Medical ResearchCouncil, except where other requirements are specified.
Completion of project + 10years
Adam Riches (Information Systems Manager)
Function Sub function Records Retention Period IAM149 Records documenting the conduct of clinical or public health studies funded by the
Medical Research Council, except specific categories of records in studies for which consent was obtained.
Completion of project + 20years
Adam Riches (Information Systems Manager)
150 Records documenting the protocol, the consent procedure, the participants andadverse effects in all studies (for which consent was obtained) funded by the Medical Research Council.
Completion of project + 30years
Sam Gray (Head of Research Environment and Impact)
151 Records documenting the conduct of all other research funded by all otherorganisations.
Completion of project + 10years
Sam Gray (Head of Research Environment and Impact)
152 Records documenting the consideration of research ethics for research projects. Current year + 30 years Adam Riches (Information Systems Manager)
153 Records documenting the conduct of investigations into research misconduct. Last action on case + 6years
Sam Gray (Head of Research Environment and Impact)
154 Records documenting the conduct of research that involves security sensitiveinformation with consideration of PREVENT duty.
Last action on case + 6years
Sam Gray (Head of Research Environment and Impact)
155 Research Reporting Records documenting the preparation of publications, audio-visual presentations etc.to disseminate research results (NOT interim or final research reports): Working papers and final versions.
Final versions -Publication/Delivery + 3 yearsWorking papers - Publication/Delivery + 1 year
Adam Riches (Information Systems Manager)
156 Research Impact andEngagement
Records documenting the impact and engagement work around research. Current academic year + 5Years
Sam Gray (Head of Research Environment and Impact
157 Intellectual Property Records documenting and tracking intellectual property associated with researchprojects.
Expiry of IP + 5 years Adam Riches (Information Systems Manager)
Centre for Enterprise The function of undertaking research in the business and law faculty. IAM
158 European RegionalDevelopment Projects
Records documenting business data associated with ERDF projects. Completion of project + 3years; or 31 December 2025
159 Erasmus Projects Records documenting financial business information, personal details and addressesincluding details of sole traders.
Completion of project + 3years; or 31 December 2025
160 Contract research andconsultancy
Records documenting particular areas of research and client data associated withthose projects.
Contract data - end of thecontract + 6 years
Contact data - until superseded
Teaching The function of delivering the institution's taught programmes which lead to academic awards.
161 Teaching Quality &Standards Management
Records documenting the development of the institution's internal quality assuranceprocesses.
Current academic year + 5Years
Alex Thorley (Interim IAM for CASQE)
162 Records documenting the development of formal internal reviews of teaching quality. Current academic year + 5years
Alex Thorley (Interim IAM for CASQE)
163 Records documenting the conduct and results of external reviews and audits ofteaching quality and standards.
Current academic year + 5years
Alex Thorley (Interim IAM for CASQE)
164 Taught ProgrammeDevelopment
Records documenting the design and development of (modules of) taughtprogrammes.
Records documenting the process of obtaining approval and/or accreditation for (modules of) taught programmes from professional, statutory or other accreditation bodies.
Life of programme + 10years
Life of programme
Alex Thorley (Interim IAM for CASQE)
165 Taught ProgrammeReview
Records containing data on, and analyses of, student numbers and other taughtprogramme statistics.
Current academic year + 5years
Alex Thorley (Interim IAM for CASQE)
166 Records documenting routine solicited feedback on taught programmes fromexaminers or students: individual feedback.
Current academic year + 5years
Alex Thorley (Interim IAM for CASQE)
Function Sub function Records Retention Period IAM167 Taught Programme
DeliveryRecords documenting the preparation, planning and conduct of teaching and learningmaterials.
Current academic year + 1year
Ruth Jenkins (University Librarian)
168 Teaching and learning materials including course handouts, presentations, lecturenotes, reading lists
Life of course Ruth Jenkins (University Librarian)
169 Taught StudentAssessment
Records documenting the design and development of assessments. Life of programme
170 Records documenting submitted/completed assessments: formative assessments. Current academic year Faculty SAS [TBC]
171 Records documenting submitted/completed assessments: summative assessments. Confirmation ofmarks/grades by Board of Examiners + 6 months.
Faculty SAS [TBC]
172 Records documenting marks/grades given to submitted/completed summativeassessments and, where appropriate, awards and classifications.
Current academic year + 6years
173 Taught StudentMonitoring & Support
Records documenting feedback on academic progress, and general academicguidance and support, given to individual taught students.
Completion of student'sprogramme + 6 years
Continuing Professional Development (CPD) For Staff
The function of developing and delivering continuing professional development opportunities for staff of the University.
IAM
174 Design of AcademicCPD Course
Records of design of academic CPD courses for staff. Life of programme + 10years
Penny Sweasey (Head of CASQE)
175 Administration andProvision of Academic CPD Courses
Records of staff assessments and qualifications awarded. End of staff relationship +6 years
Penny Sweasey (Head of CASQE)
176 Exceptional FactorsPanels for Academic CPD Awards
Records of application made through the EF process and Panel decisions (forAcademic CPD Awards).
Last action on case + 6years
Penny Sweasey (Head of CASQE)
177 Academic RecognitionQualifications
Records of applications for academic recognition and Panel decisions. Last action on case + 6years
Penny Sweasey (Head of CASQE)
178 Statutory returns toHESA (for Academic CPD Awards)
Records on staff undertaking Academic CPD awards, held and submitted to HESA. Last action + 1 year Penny Sweasey (Head of CASQE)
179 Administration andProvision of Academic CPD Qualifications
Records of staff applications for course (processed by Admissions). Life of programme + 10years
Penny Sweasey (Head of CASQE)
Corporate Planning& Performance Management
The function of developing and establishing the institution’s corporate plans and of monitoring its performance against these plans.
IAM
180 Strategic Planning Records documenting the development of the institution's strategic plan: workingpapers and key records.
Aggregated data and full report + 10 years (from creation of record)
Working papers and background data – + 2 years to allow additional enquiries
Sam Hany
181 Strategic PerformanceManagement
Records containing data on, and analyses of, the institution's performance against itsstrategic plan.Records documenting the conduct and results of audits and reviews of the strategic planning and performance management function, and responses to the results.
Current academic year + 5years
Sam Hany
Function Sub function Records Retention Period IAM182 Records containing reports on the institution's performance against its
strategic plan.+ 15 years from date of strategic plan Sam Hany
183 Operational Planning Records documenting the development of the institution's annual operating plans:working papers and key records.
Aggregated data and full report + 10 years (from creation of record)
Working papers and background data – + 2 years
Sam Hany
184 OperationalPerformance Management
Records documenting the development of the institution's key performance indicators.
Aggregated data and full report + 10 years (from creation of record)
Working papers and background data – + 2 years
Sam Hany
185 Records documenting benchmarking exercises with other comparable institutions.Records documenting performance monitoring and analysis.
Current year + 10 year Sam Hany
186 Statutory Returns Records documenting the preparation for annual returns that are required Current year + 5 year Sam Hany
186 Statutory returns Records of any annual returns submitted where those returns are required by law.
Permanent Sam Hany
Governance The function of developing and establishing the institution's corporate governance structure and rules, and of conducting its business in accordance with its governance structure and rules.
IAM
187 Governance StrategyDevelopment
Records documenting the development and establishment of the institution'sgovernance strategies and policies.
Superseded + 10 yearsWorking papers - Issue of strategy + 1 year
H&S - Superseded + 50 years
All IAMs
188 Departmental ProcedureDevelopment
Records documenting the development and establishment of departmentalprocedures.
Superseded + 5 years All IAMs
189 Legal FrameworkDevelopment
Records documenting the establishment and development of the institution's legalframework.
Life of institution David Worrall (Head of Legal
190 Governance FrameworkDevelopment
Records documenting the establishment and development of the institution'sgovernance structure and rules.
Life of institution David Worrall (Head of Legal Services) and Marie Morrissey (Head of Governance and 191 Board of Governors
AdministrationRecords documenting the arrangements for meetings of a statutory committee.
Current year + 1 year Marie Morrissey (Head of Governance and Secretariat)
192 Records documenting the conduct of the business of a Board of Governors meeting.
Life of institution Marie Morrissey (Head of
193 Register of interests of members of the institution's governing body. Termination ofappointment + 6 years
Marie Morrissey (Head of
194 CommitteeAdministration
Records documenting the arrangements for meetings of a committee. Current year + 1 year Marie Morrissey (Head of
195 Records documenting the conduct of the business of a committee meeting. Life of committee + 5years
Marie Morrissey (Head of
196 Governor AppointmentsAdministration
Records documenting the appointment of the institution's Governors. Termination ofappointment + 6 years
Marie Morrissey (Head of Governance and
197 Public InterestDisclosure (Whistle Blowing) Investigation
Records documenting the investigation, determination and resolution of an allegationmade by a member of staff under the Public Interest Disclosure Act 1998.
Closure of case + 6 years Marie Morrissey (Head of Governance and
198 Strategic Partnerships Records documenting the formal arrangements for strategic partnerships with theinstitution
Superseded + 3 years
Risk Management The activities involved in managing risks to the viability or success of the institution.
IAM
199 Risk Identification &Assessment
Records documenting identified risks to the institution and assessments of those risks.
Superseded + 1 year
200 Business ContinuityPlanning
Records documenting the formulation, testing and maintenance of disaster responseand recovery plans.
Superseded + 1 year Alan Cain (Head of Security and
Audit The function of conducting audits of the institution's affairs and operations.
IAM
201 Audit Management Records documenting the conduct and results of audits, and action taken to addressissues raised.
Completion of audit + 5Years
Function Sub function Records Retention Period IAMManagement Information Collection, Analysis& Reporting
The function of collecting and maintaining management information, and of producing management information reports for internal use.
202 ManagementInformation Collection
Dataset specifications and protocols for submission and collation of data. +20 years from submission of returns
Sam Hany (Statutory Reporting Manager)
203 ManagementInformation Analysis & Reporting
Management information reports +10 years from publication of report.
+2 years for preparatory data.
Sam Hany (Statutory Reporting Manager)
HE/FE Sector Relations Management
The function of managing the institution's relationships with organisations in the HE and FE sectors.
204 HE/FE SectorConsultations Management
Records documenting the institution's formal responses to consultations conducted byHE/FE sector organisations.
Last action on consultation+ 3 years
Sam Hany (Statutory Reporting Manager)
Government/Parliam entary Relations Management
The function of managing the institution's relationships with government & parliamentary bodies.
206 Government andParliamentary Communications Management
Records documenting general correspondence with government and Parliamentarybodies.
Current year + 5 years Michael Taylor
207 Records documenting key contact information for Government/Parliamentary bodiesand other external business leaders and local government contacts that will be of use.
While current Michael Taylor
208 Records documenting requests for information from government and Parliamentarybodies, the consideration of the requests, preparation of responses and the responses provided. May include regulatory bodies.
Last action on request + 5Years
Sam Hany (Statutory Reporting Manager)
209 Government and Records documenting the consideration and preparation of the institution's formal Last action on consultation Sam Hany (Statutory Reporting Parliamentary responses to consultations conducted by government and parliamentary bodies + 3 yearsConsultations (including records of internal consultation processes).Management
210 Records documenting the institution's formal responses to consultations conducted bygovernment and parliamentary bodies.
Last action on consultation+3 years
Sam Hany (Statutory Reporting Manager)
212 Government andParliamentary Inquiries/Investigations Management
Records documenting the institution's participation in formal government andparliamentary or public inquiries.
Last action on inquiry + 10Years
Michael Taylor
213 Management ofChancellor's events
Records documenting invitees and correspondence. Completion of visit 1 year Michael Taylor
Official Visits Management
The activities involved in hosting official visits to the institution. IAM
214 Official VisitsManagement
Records documenting the organisation and administration of official visits. Completion of visit + 1year
Alan Cain (Head of Security and Business Continuity) and Michael
Student Administration
The function of administering the institution's contractual relationships with its students.
IAM
215 Student Recruitment Records documenting the design, conduct, organisation and summary results ofstudent recruitment campaigns.
Completion of campaign +1 year
Helen Keefe (Director of MCD) and Karen Varty (Director Recruitment and Admissions)
216 Records documenting the issue of student recruitment materials in bulk to schoolsand other organisations.
Current academic year Karen Varty (Director Recruitment and Admissions)
217 Records documenting the handling of enquiries from prospective students andinvitations for open days.
Current academic year + 2year
Karen Varty (Director Recruitment and Admissions) and Adam Hall (Head of International) for records relating to international students
Function Sub function Records Retention Period IAM218 Records documenting marketing activities for students who have received offers from
the institution.Current academic year + 1year
Karen Varty (Director Recruitment and Admissions)
219 Records documenting the recruitment activities from prospective internationalStudents
Current academic year + 1year
Adam Hall (Head of International Recruitment and Marketing)
220 Records containing summaries and analyses of enquiry, recruitment and retentiondata.
Current academic year + 5years
Karen Varty (Director Recruitment and Admissions)
221 Student Admission Records documenting the development and establishment of the institution'sadmission criteria.
Superseded + 10 years Karen Varty (Director Recruitment and Admissions)
222 Records documenting the handling of applications for admission: successfulapplications.
End of student relationship+ 6 years
Karen Varty (Director Recruitment and Admissions)
223 Records documenting the handling of applications for admission: unsuccessfulapplications.
Completion of admissionsprocess + 1 year
Karen Varty (Director Recruitment and Admissions)
224 Records documenting the administration of the clearing process and overall studentnumbers.
Current academic year + 1Year (for original records)
Anonymized records, summaries of clearing process applications: Current academic year +5 years
Karen Varty (Director Recruitment and Admissions)
225 Records on criminal convictions including CRB (DBS) documents. End of student relationship+ 6 years
Karen Varty (Director Recruitment and Admissions)
226 Records documenting enquiries from overseas students. End of student relationship+ 6 years
Adam Hall (Head of International Recruitment and Marketing)
227 Records documenting immigration welfare and compliance for international studentssuch as enrolment queries and student requests to suspend or withdraw and emails from students confirming whether they are leaving the UK (UKVI requirement).
1 year or until complianceofficer has examined and approved records - whichever is longer
Adam Hall (Head of International Recruitment and Marketing)
228 Records documenting international student attendance monitoring. Monitoring ofinternational students attendance at MMU, could trigger requirements for intervention re visa status. Monitored through new Student Engagement Monitoring System.
1 year or until complianceofficer has examined and approved records - whichever is longer
Adam Hall (Head of International Recruitment and Marketing)
229 Visa extension applications (Home Office and CAS form). Applications from studentswho need to extend their visas e.g. failed a year.
1 year after graduation Adam Hall (Head of International Recruitment and Marketing)
230 Immigration and welfare services for international students. IO handling of issuesincluding detainment, arrests, deaths, pregnancies (generally low volume). IO Welfare team keep confidential notes on Microsoft Access with access restricted to Welfare Immigration Adviser teams. Team may signpost students to other MMU teams (e.g. Counselling).
1 year or until complianceofficer has examined and approved records - whichever is longer
Adam Hall (Head of International Recruitment and Marketing)
231 Records relating to scholarships for overseas students. Current financial/academicyear + 6 years
Adam Hall (Head of International Recruitment and Marketing)
232 Student Registration Records documenting the registration of individual students on programmes. Termination of studentrelationship + 6 years
Hayley Preston (Deputy Registrar)
234 Records containing summaries and analyses of data on registration of students onprogrammes.
Current academic year + 5years
Hayley Preston (Deputy Registrar
235 Student Induction Records documenting the design, conduct and review of induction programmes fornew students.
Completion of inductionprogramme + 5 years
Hayley Preston (Deputy Registrar
236 Records documenting the administration of induction programmes and events for newstudents.
Current academic year + 1year
Hayley Preston (Deputy Registrar
237 Student ProgressAdministration
Student Record: administrative records, including registration/enrolment ontoprogrammes, placements, transfer to new programmes/courses, withdrawal/suspension, student letters, health declarations, student references and personal data.
End of 'registered student'relationship with institution+ 6 years
Hayley Preston (Deputy Registrar
238 Student Core Record: A full permanent record of a student’s name, period of studyand final classification. A full record of course units taken and the marks for these for the purposes of constructing student transcripts.
Permanent Hayley Preston (Deputy Registrar
239 Records documenting the handling of individual students' requests for statements ofresults/transcripts.
Last action on request + 1year
Hayley Preston (Deputy Registrar
Function Sub function Records Retention Period IAM240 Records documenting the handling of requests for confirmation of individual students'
awards, attendance or conduct from employers and other educational institutions.Last action on request + 1year
Hayley Preston (Deputy Registrar
241 Records documenting student satisfaction. Raw data relating tostudent responses - current academic year + 1. Summary reports of data - Current academic year + 6 years
Hayley Preston (Deputy Registrar
242 Records documenting the design and conduct of First Destination Surveys. Current academic year + 5years
David Ebden (Careers Information and Communications Manager)
243 First Destination Surveys: individual responses. Completion of analysis ofresponses
David Ebden (Careers Information and Communications Manager)
244 Records containing (anonymised) summaries and analyses of the results of FirstDestination Surveys.
Current academic year + 5years
David Ebden (Careers Information and Communications Manager)
245 Records documenting the academic progress of individual students and formal actiontaken by the institution to deal with unsatisfactory progress.
Termination of relationshipwith student + 6 years
Faculty SAS [TBC]
246 Records documenting the transfer of individual students to new programmes or to newcourses within programmes.
Termination of relationshipwith student + 6 years
Faculty SAS [TBC]
247 Records documenting the withdrawal of individual students from the institution. Termination of relationshipwith student + 6 years
Faculty SAS [TBC]
248 Records documenting the termination of individual students' programmes. Termination of relationshipwith student + 6 years
Faculty SAS [TBC]
249 Student DisciplinaryCase Handling
Records relating to plagiarism and academic malpractice. Last action on the case +6 years
Catherine Mills (Head of Graduate School)
250 Records documenting the conduct and results of disciplinary proceedings againstindividual students.
Last action on case + 6years
Catherine Mills (Head of Graduate School)
251 Student AcademicAppeal Handling
Records documenting the handling and results of academic appeals by individualstudents.
Last action on case + 6years
Catherine Mills (Head of Graduate School)
252 Student ComplaintHandling
Records documenting the handling of formal complaints made by individual studentsagainst the institution.
Last action on case + 6years
Catherine Mills (Head of Graduate School)
253 Careers & EmployabilityAdvice and Support
Careers Registration Data. End of student relationship+ 5 years
David Ebden (Careers Information and Communications Manager)
254 Records of Students Use of Careers Service. End of student relationship+ 6 years
David Ebden (Careers Information and Communications Manager)
255 Records of Jobs for Students. 6 years after termination ofemployment
David Ebden (Careers Information and Communications Manager)
256 Records of Customer Feedback and Surveys (Quantative and Qualitative). Last action on survey + 3years
David Ebden (Careers Information and Communications Manager)
Function Sub function Records Retention Period
257 Records of Job Adverts and Descriptions. Completion of recruitmentprocess + 3 months
David Ebden (Careers Information and Communications Manager)
258 Department and Team Operational Plans. Superseded + 5 years David Ebden (Careers Information 259 Employer Events booking forms and reports. Completion of event + 1
yearDavid Ebden (Careers Information and Communications Manager)
260 DLHE Reports and Data. 7 years from year end David Ebden (Careers Information and Communications Manager)
261 Team DSE Records. Superseded + 5 years David Ebden (Careers Information and Communications Manager)
262 Student AccommodationManagement
Records documenting the allocation and ongoing management of studentaccommodation.
Termination of relationshipwith student + 6 years
Karen Horner (Residential Services)
263 Records associated with charges for student accommodation including damagecharges.
Termination of relationshipwith student + 6 years
Karen Horner (Residential Services)
264 Records documenting student complaints from those students living in studentaccommodation.
Termination of relationshipwith student + 6 years
Karen Horner (Residential Services)
265 Records documenting student incidents that take place within studentaccommodation.
Termination of relationshipwith student + 6 years
Karen Horner (Residential Services)
Distance Learning The function of administering distance learning courses. IAM266 Student Recruitment Records documenting marketing materials to target students for courses under
distance learning opportunities.Completion of campaign +5 years
Vicci Jarman
267 Student Registration Records documenting student applications for distance learning courses. End of student relationship+ 6 years
Vicci Jarman
268 Student SupportServices
Records documenting requests from students to access student support services. Request + 1 year Vicci Jarman
269 Student Complaints Records documenting student complaints. Last action on case + 6years
Vicci Jarman
270 Student ProgressAdministration
Records documenting student progress. Completion of studentprogramme + 6 years
Vicci Jarman
Student Financial Support Administration
The function of administering the allocation of financial support funds available to the institution's students.
271 Hardship FundsAdministration
Records documenting the provision of hardship payments to individual students. Current financial/academicyear + 6 years
Rita Lewin (Head of Student Support)
272 Bursaries Administration Records documenting the award of bursaries to individual students. Current financial/academicyear + 6 years
Rita Lewin (Head of Student Support)
273 Scholarships andFellowships Administration
Records documenting the award of scholarships and fellowships to individualstudents.
Current financial/academicyear + 6 years
Rita Lewin (Head of Student Support)
Student Support Services Delivery
The activities involved in delivering student support services.
274 Student Counselling Statistical Anonymous reports for Counselling Service. Last contact + 7 years Rita Lewin (Head of Student Support)
275 Records of Individuals Users of Counselling Services (case notes/process notes). Last contact + 7 years Rita Lewin (Head of Student Support)
276 Disability ServicesSupport
Records of Personal Learning Plans Last contact + 7 years Rita Lewin (Head of Student Support)
277 Support service records including medical evidence, disclosure form and educationalpsychologists reports.
Last contact + 7 years Rita Lewin (Head of Student Support)
278 Health and WellbeingSupport
Chaplaincy services. Last contact + 7 years Rita Lewin (Head of Student Support)
279 Records of student support officers providing pastoral advice and deliver study skillssupport to individual students.
Last contact + 7 years Rita Lewin (Head of Student Support)
Function Sub function Records Retention Period IAM280 Records of student financial support. Current financial/academic
year + 6 yearsRita Lewin (Head of Student Support)
281 Records relating to the safeguarding of students. End of student relationship+ 6 years
Rita Lewin (Head of Student Support)
282 Widening Participation Records of MMU contact with schools and colleges. 3 years from the year end Peter Riley
283 First Generation Scheme. 1 year after last contactwith student
Peter Riley (Head of Widening Participation)_
284 Greater Manchester Higher records documenting the activities involved between thecollaboration of universities and FE colleges across Greater Manchester to provide outreach activities.
Paper copies - 1 year afterlast contact with student.
Electronic copies – as set out in HEAT Data Sharing Agreement
Bristol Online Survey – 3 years after the end of the programme
Peter Riley (Head of Widening Participation)
285 Student Ambassador Records. 1 year after termination ofemployment
Peter Riley (Head of Widening Participation)
286 School Governor Support Scheme. While current Peter Riley (Head of Widening Participation)
287 Focus Group recordings. While current Peter Riley (Head of Widening Participation)
Academic Programme Administration
The function of administering the delivery of the institution's academic programmes.
IAM
288 Academic ProgrammeCo-ordination
Records documenting the administration of academic programmes. Current academic year + 3years
Faculty SAS [TBC]
289 Research ProgrammesCo-ordination
Records on the internal and external review of taught research programmes. While current Alex Thorley (Interim Head of CASQE) and Catherine Mills (Head of Graduate School)
290 Records on research degree regulations and student handbooks. Current version + 10 years Catherine Mills (Head of Graduate School)
291 Records documenting attendance records for research student developmentprogramme.
Current academic year + 3years
Catherine Mills (Head of Graduate School)
292 Postgraduate Research Experience Survey. Current academic year + 2years
Catherine Mills (Head of Graduate School)
293 Records documenting the appointment of supervisors. Termination ofappointment + 1 year
Faculty SAS [TBC]
294 Records relating to appointment of external examiners, CVs, appointments, lettersand expense claims.
Termination ofappointment + 1 year
Faculty SAS [TBC]
Function Sub function Records Retention Period IAM295 Postgraduate research student administrative records (including feedback on
assessed work, application forms, supervisory logs, students references, annual review progress reports).
Completion of studentsprogramme + 6 years
Faculty SAS [TBC]
296 Internal and external quality assurance processes relating to research students. Current academic year + 5years
Alex Thorley (Interim Head of CASQE) and Catherine Mills (Head of Graduate School)
Academic Award Administration
The function of administering the conferment of the institution's academic awards.
IAM
297 Academic AwardConferment
Records documenting the notification of awards to students and the issue of awardscertificates.Records documenting the process of inviting, receiving and considering nominations for honorary awards.Records documenting offers of honorary awards and responses received.
Conferment of award + 1year
Hayley Preston (Director of Registry Services)
298 Award CeremonyAdministration
Records documenting the organisation of award ceremonies.Records documenting the production of award certificates.Records documenting the mailing of award certificates to students who do not attend ceremonies.
Completion of ceremony +1 year
Hayley Preston (Director of Registry Services)
Student Assessment Administration
The function of administering the conduct of student assessment.
299 External ExaminerAdministration
Records documenting the selection and appointment of external examiners includingadministrative matters.
Termination ofappointment + 1 year
Alex Thorley (Interim Head of CASQE)
300 Records documenting liaison with external examiners annual reports. Current academic year + 3years
Alex Thorley (Interim Head of CASQE)
301 External AssessorsAdministration
Records documenting the selection and appointment of external assessors includingadministrative matters.
Current academic year + 1year
Alex Thorley (Interim Head of CASQE)
302 Home PartnershipAgreements
Records documenting the formal arrangements for home partnerships. End of contract + 6 years Alex Thorley (Interim Head of CASQE)
303 Internal Student andProfessional Service Surveys
Records documenting response to surveys. Completion of survey + 5years
Alex Thorley (Interim Head of CASQE)
304 AssessmentAdministration
Records documenting the design and delivery of training for examination invigilators.Records documenting the control of examination papers and examination scripts. Records documenting the timetabling of examinations.Records documenting the organisation of examination facilities, including special arrangements for students with special needs.Records documenting individual students' attendance at examinations, and the handling of reports of mitigating circumstances.Records documenting the collation of examination results and compilation of pass lists and individual notifications of results.Records documenting individual students' submission of assessed work and handling of reports of mitigating circumstances.Records documenting the issue of awards lists and individual notifications of awards.
Current academic year + 1year
Hayley Preston (Director of Registry Services)
305 Pass Lists/Awards lists Issue of list + 10 years Faculty Head of SAS [TBC]306 Records documenting the arrangements for meetings of a Board. Current year + 1 year Faculty Head of SAS [TBC]307 Examination Board
AdministrationRecords documenting the conduct of the business of a committee: agenda, minutesand papers.Records documenting the conduct of the business of a committee: correspondence and other records relating to the preparation of committee business or to actions to be taken (or not taken) as a result of committee decisions.
Current academic year + 6years
Faculty Head of SAS [TBC]
Function Sub function Records Retention Period IAMInformation & Records Management
The function of managing the institution's information and records.
308 Information and RecordsManagement
Records documenting recordkeeping requirements for specific business activities andprocesses.
Superseded David Worrall (Head of Legal Services)
309 Records Retention Records documenting the determination of retention periods for records includingarchive preservation requirements.
Completion of revisedRecords Retention Schedule + 1 year
David Worrall (Head of Legal Services)
310 Final versions of Records Retention Schedules. Permanent David Worrall (Head of Legal Services)
311 Records documenting the review of individual records to determine requirements forongoing retention, where records are disposed of.
Life of records + 25 years David Worrall (Head of Legal Services)
312 Records Disposal Records documenting authorisation for the disposal of redundant records. Disposal of records + 25years
David Worrall (Head of Legal Services)
313 Archive Management Records of the appraisal, selection and acquisition of records for preservation asinstitutional archives and the management of those archives.
Life of archives David Worrall (Head of Legal Services)
Education & Training The function of developing and delivering education and training programmes for external organisations, and for the public.
IAM
314 Education & TrainingProgramme Development
Records documenting the development of education and training programmes. Life of programme + 5years
Alex Thorley (Interim Head of CASQE)
315 Education & TrainingProgramme Assessment
Records documenting the design and development of assessments. Life of programme Heads of Departments in Faculties
316 Records documenting submitted/completed assessments: formative assessments. Current academic year Faculty SAS [TBC]
317 Records documenting submitted/completed assessments: summative assessments. Confirmation ofmarks/grades + 6 months
Faculty SAS [TBC]
318 Records documenting marks/grades given to submitted/completed summativeassessments and, where appropriate, awards and classifications.
Confirmation ofmarks/grades + 6 months
Faculty SAS [TBC]
International Partnerships and Student Exchange
The function of developing and agreeing international partnerships and providing opportunities for student exchange.
319 InternationalPartnerships
Records documenting the formal arrangements for International partnerships. End of contract + 6 years Adam Hall (Head of International) and Alex Thorley (Interim Head of CASQE)
320 Student ExchangePartnerships
Records documenting the formal arrangements for partner or prospective partneruniversities.
End of contract + 6 years Adam Hall (Head of International)
321 Student ExchangeProgramme
Records documenting the admission process for student exchange students or studyabroad students.
End of student relationshipwith university
Adam Hall (Head of International)
322 Records for the administration of outbound students on exchange to universitiesacross the world where we have existing partnerships.
End of student relationshipwith University + 6 years. 7 years - EU Commission information
Adam Hall (Head of International)
323 Staff Mobility Records documenting the process for staff mobility including Erasmus funding whereapplicable.
Current academic year + 1year. 7 years - EU commission information
Adam Hall (Head of International)
Apprenticeships The activities involved in the delivery of the institution's apprenticeship programme
Records of individuals' applications for apprenticeship programmes. 31 December 2030 or 6 years after archive of the learning record (whichever is later) due to ESF match funding drawn down by the ESFA.
Function Sub function Records Retention Period IAM324 Records of apprenticeships' study work. Indefinitely for assessment
marks and qualifications awarded as part of the apprenticeship.
31 December 2030 or 6 years after archive of the learning record (whichever is later) due to ESF match funding drawn down by the ESFA for submitted work.
Elizabeth Gorb (Apprenticeships Manager)
325 Records of attendance. 31 December 2030 or 6years after archive of the learning record (whichever is later) due to ESF match funding drawn down by the ESFA
Elizabeth Gorb (Apprenticeships Manager)
326 Records of leave, suspensions, personal support plans and illnesses. 31 December 2030 or 6years after archive of the learning record (whichever is later) due to ESF match funding drawn down by the ESFA.
Elizabeth Gorb (Apprenticeships Manager)
327 Three way learner agreements. For contract for service 31December 2030 or 7 years after expiry of the contract or where the contract is superseded (whichever is later) due to ESF match funding drawn down by the ESFA.
31 December 2030 or 6 years after archive of the learning record (whichever is later) due to ESF match funding drawn down by the ESFA
Elizabeth Gorb (Apprenticeships Manager)
328 Contracts with Businesses for Apprenticeships Training. 31 December 2030 or 6years after archive of the learning record (whichever is later) due to ESF match funding drawn down by the ESFA
Elizabeth Gorb (Apprenticeships Manager)
Function Sub function Records Retention Period IAM329 Contracts with Third Party Providers. For contract for service 31
December 2030 or 6 years after expiry of the contract or where the contract is superseded (whichever is later) due to ESF match funding drawn down by the ESFA.
330 Marketing material. Destroy upon request Ruth Jenkins (University 331 Records about Employers. Destroy upon request Ruth Jenkins (University 332 Records of financial transactions with Employers. 31 December 2030 or 6
years after archive of the learning record (whichever is later) due to ESF match funding drawn down by the ESFA.
Ruth Jenkins (University Librarian), Paul Everitt (Deputy Librarian), Ian Harter (Library Services Manager)
Library Management Library Services Records documenting the authorised use of the University library and library services.
Data held for duration of registration plus three years and then anonymised. Anonymised data is held in the database permanently
333 Entry and exit logs. Current year + 5 years Ruth Jenkins (University Librarian), Paul Everitt (Deputy Librarian), Ian Harter (Library Services Manager)
334 Records documenting complaint or queries and associated issues records. Last action on complaint +6 years
Ruth Jenkins (University Librarian), Paul Everitt (Deputy Librarian), Ian Harter (Library Services Manager)
335 Records relating to the Health and Safety issues associated with library use. End of relevance +5 years Ruth Jenkins (University Librarian), Paul Everitt (Deputy Librarian), Ian Harter (Library Services Manager)
336 Records documenting customer feedback. 7 years Ruth Jenkins (University Librarian), Paul Everitt (Deputy Librarian), Ian Harter (Library Services Manager)
337 Records documenting teaching. Completion of analyses +3 years
Ruth Jenkins (University Librarian), Paul Everitt (Deputy Librarian), Ian Harter (Library Services Manager)
338 Research outputs. Permanently Ruth Jenkins (University Librarian), Paul Everitt (Deputy Librarian), Ian Harter (Library Services Manager)
339 Research data. Normally ten years afterlast access but may vary according to funder
Ruth Jenkins (University Librarian), Paul Everitt (Deputy Librarian), Ian Harter (Library
340 Records documenting physical environment records. Permanently Ruth Jenkins (University Librarian), Paul Everitt (Deputy Librarian), Ian Harter (Library Services Manager)
341 Records documenting bar codes for digital and physical assets. Permanently Ruth Jenkins (University Librarian), Paul Everitt (Deputy Librarian), Ian Harter (Library Services Manager)
342 Records documenting liaison and programmes operated internally and with academiccollaborative partners.
For duration of partnershipplus five years
Ruth Jenkins (University Librarian), Paul Everitt (Deputy Librarian), Ian Harter (Library Services Manager)
343 Records documenting the virtual helpdesk. 2 years Ruth Jenkins (University Librarian), Paul Everitt (Deputy Librarian), Ian Harter (Library Services Manager)
345 Copyright ComplianceAdministration
Records documenting the compilation of statistical and other data required by theCopyright Licensing Agency, and the submission of this data to the Agency.
Current year + 1 year Ruth Jenkins (University Librarian), Paul Everitt (Deputy Librarian), Ian Harter (Library Services Manager)
346 Records documenting the institution's participation in inspections undertaken bycopyright owners or their representatives to check the institution's compliance with legal / contractual requirements.
Last action on case + 1year
Ruth Jenkins (University Librarian), Paul Everitt (Deputy Librarian), Ian Harter (Library Services Manager)
347 Purchase Management Records documenting purchase and management of physical assets and electronicservices and resources.
Current financial year + 6years
Ruth Jenkins (University Librarian), Paul Everitt (Deputy Librarian), Ian Harter (Library Services Manager)
348 Records documenting individual library purchases. Current financial year + 6years
Ruth Jenkins (University Librarian), Paul Everitt (Deputy Librarian), Ian Harter (Library Services Manager)
Collections Management
The function of managing the institution's collections of artworks, artefacts and manuscripts.
Function Sub function Records Retention Period IAM349 Special Collections
ManagementRecords documenting the authorised use of collections or objects, and actions takento facilitate, monitor or control use (e.g. checking environmental conditions, handling / operating objects; taking samples from objects).
Current year + 5 years Ruth Jenkins (University Librarian), Paul Everitt (Deputy Librarian), Ian Harter (Library Services Manager)
350 Records documenting the acquisition of objects for the institution's collectionsincluding information regarding purchases gifts, grants, bids for funding, exhibitions, events, conservation projects.
Permanent Ruth Jenkins (University Librarian), Paul Everitt (Deputy Librarian), Ian Harter (Library Services Manager)
351 Records of copyright owners for the use of images. Life of archives Ruth Jenkins (University Librarian), Paul Everitt (Deputy Librarian), Ian Harter (Library Services Manager)
352 Records of individuals who want to take photographs, for personal use, publicationsand loans.
Current year + 6 years Ruth Jenkins (University Librarian), Paul Everitt (Deputy Librarian), Ian Harter (Library Services Manager)
356 North West Film Archive Records documenting the objects that form the North West Film Archive including thesupport documentation and movement of further material.
Life of archives Ruth Jenkins (University Librarian), Paul Everitt (Deputy Librarian), Ian Harter (Library Services Manager)
Information & Communications Technology (ICT) Systems Management
The function of managing the institution's information and communications technology (ICT) systems.
IAM
357 ICT SystemsDevelopment
Records documenting the initial development and post-implementation modificationand maintenance of ICT systems.
Decommissioning ofsystem + 5 years
Shaz Ashraf (Head of IT Infrastructure) and David Picton (Head of IT Service Delivery)
358 Records documenting the initial development of ICT systems which are notimplemented.
Last action ondevelopment + 5 years
Shaz Ashraf (Head of IT Infrastructure) and David Picton (Head of IT Service Delivery)
359 Records documenting the management of ICT systems development projects (i.e.project management records).
Termination of project + 5years
Shaz Ashraf (Head of IT Infrastructure) and David Picton (Head of IT Service Delivery)
360 ICT Systems OperationsManagement
Records documenting the routine monitoring and testing of the operation of ICTsystems, and action taken to rectify problems and optimise performance.
Records documenting the management of system data storage, including the operation of routine data backup, archiving and deletion routines.
Current year + 1 year Shaz Ashraf (Head of IT Infrastructure)
361 Records documenting faults reported by users of ICT systems, and action taken toinvestigate and resolve the problem.
Last action on fault + 1year
Shaz Ashraf (Head of IT Infrastructure) and David Picton (Head of IT Service Delivery)
362 Records associated with agreed changes to ICT systems. Decommissioning ofsystem + 5 years
David Picton (Head of IT Service Delivery)
363 Records associated with the Helpline Out of Hours service to provide support to ICTusers.
Current year + 1 year David Picton Head of IT Service Delivery)
364 Records documenting user requests to recover data from backup or archive stores,and action taken.
Last action on request + 3months
Shaz Ashraf (Head of IT Infrastructure) and David Picton (Head of IT Service Delivery)
365 Records documenting the maintenance of appropriate software and server licencesfor live ICT systems.
Issue of new licence Shaz Ashraf (Head of IT Infrastructure) and David Picton (Head of IT Service Delivery)
366 Records documenting the maintenance of appropriate systems requiring access toActive Directory information.
Closure of account + 1year
Shaz Ashraf (Head of IT Infrastructure)
367 Records documenting data feeds to and from academic systems across theUniversity.
Superseded + 1 year David Picton (Head of IT Service Delivery)
368 Records documenting the use of plagiarism software across the University. Decommissioning ofsystem + 5 years
David Picton (Head of IT Service Delivery)
369 Records documenting the creation and maintenance of a shared knowledge base. Superseded + 1 year David Picton (Head of IT Service Delivery)
370 Records documenting work activities for team management. Superseded Shaz Ashraf (Head of IT Infrastructure)
371 ICT Systems SecurityManagement
Records documenting the security arrangements for ICT systems. Decommissioning ofsystem + 5 years
David Harmes (Head of IT Strategy and Projects)
372 Records documenting the opening, maintenance and closure of user accounts for ICTsystems.
Closure of account + 1year
Shaz Ashraf (Head of IT Infrastructure)
373 Records documenting routine monitoring of the use of ICT systems to ensurecompliance with legal requirements and institutional policies.
Current year + 1 year Shaz Ashraf (Head of IT Infrastructure) and David Harmes (Head of IT Strategy and Projects)
Function Sub function Records Retention Period IAM374 Records documenting attempted or actual security breaches of the institution's
information processing systems, and action taken.Last action on incident + 1year
David Harmes (Head of IT Strategy and Projects)
375 Requests for, and authorisation of, connections of third party equipment to theinstitution's networks, either on institutional premises or via dial-up communications links.
Termination of connection+ 1 year
David Picton (Head of IT Service Delivery)
376 Records documenting the management of service providers who support MMUinfrastructure or provide support contracts to the University.
Decommissioning ofsystem + 5 years
Shaz Ashraf (Head of IT Infrastructure) and David Picton (Head of IT Service Delivery)
377 Records documenting the removal/return of mobile ICT systems hardware andsoftware from/to the institution's premises.
Return of equipment + 3months
David Picton (Head of IT Service Delivery)
378 Records documenting arrangements for the sanitisation of institutional ICT equipmentprior to disposal.
Disposal of equipment + 1year
David Picton (Head of IT Service Delivery)
379 Records documenting system logs Current year + 1 year David Picton (Head of IT Service Delivery)
380 ICT Systems Training Records documenting the development of technical and application training for ICTsystem users.
Superseded + 1 year Rachel Treece
381 ICT Communicationsand Engagement
Records documenting the development and distribution of ICT communications. Last action ondevelopment + 5 years
David Harmes (Head of IT Strategy and Projects)
Human Resources Management
The function of managing the institution's workforce and its contractual relationship with individual employees.
IAM
382 Workforce Planning Records documenting the assessment and analysis of workforce requirements, andthe identification and evaluation of options for meeting these requirements.
Current year + 3 years Heather Adkins Whitehead (HR Business Partner) and Phil Royle (HR Systems and MI Manager)
383 Records documenting management succession plans.
Records documenting the development and evaluation of job specifications.
Superseded + 5 years Heather Adkins Whitehead (HR Business Partner) and Phil Royle (HR Systems and MI Manager)
384 Workforce Recruitment Records documenting internal authorisation for recruitment. Current year + 1 year Julie Griggs (Head of Talent and Resourcing)
385 Records documenting the advertising of vacancies. Completion of recruitmentprocess + 3 months
Julie Griggs (Head of Talent and Resourcing)
386 Records documenting enquiries about vacancies and requests for application forms. Completion of recruitmentprocess
Julie Griggs (Head of Talent and Resourcing)
387 Records documenting the handling of applications for vacancies: unsuccessfulapplications.
Completion of recruitmentprocess + 18 months
Julie Griggs (Head of Talent and Resourcing)
388 Records documenting the handling of applications for vacancies: successfulapplications.
Termination ofemployment + 6 years (as part of employee contract records) except information which is not relevant to the ongoing employment relationship.
Kelly Russell (Head of HR Service Centre and Advisory Teams)
389 Records containing management analyses of recruitment effectiveness e.g. use ofadvertising media.
Current year + 1 year Stuart McKenna, Julie Griggs and Katherine Wrigglesworth (HR Talent, Engagement and Development)
390 Records documenting the sponsorship of overseas workers - Tier 2 Sponsorship Duration of employment +6 months
Kelly Russell (HR Service Centre and Advisory Teams), Julie Griggs and Katherine Wrigglesworth (HR Talent, Engagement and Development)
391 Workforce Induction Records documenting the development, overall delivery and assessment of inductionprogrammes for new employees.
Current year + 5 years Julie Griggs (Head of Talent and Resourcing)
Function Sub function Records Retention Period IAM392 Workforce Training &
DevelopmentRecords containing summary information on workforce training and developmentneeds.
Records documenting (anonymised) workforce feedback on training and development programmes.
Records documenting management analyses of the impact of training and development programmes.
Current year + 5 years Stuart McKenna, Julie Griggs and Katherine Wrigglesworth (HR Talent, Engagement and Development)
393 Records documenting the development of training and development programmes tomeet defined needs.
Completion of programme+ 5 years
Stuart McKenna, Julie Griggs and Katherine Wrigglesworth (HR Talent, Engagement and Development)
394 Records documenting the training needs for staff exiting the University. Completion of actions + 5Years
Stuart McKenna, Julie Griggs and Katherine Wrigglesworth (HR Talent, Engagement and Development)
395 Records documenting ILM candidate records. Completion of programme+ 5 years
Stuart McKenna, Julie Griggs and Katherine Wrigglesworth (HR Talent, Engagement and Development)
396 Records documenting 360 degree feedback exercises. Current year + 3 years Stuart McKenna, Julie Griggs and Katherine Wrigglesworth (HR Talent, Engagement and Development)
397 Workforce PerformanceManagement
Records documenting the development of workforce performance assessmentsystems.
Current version + 6 years All IAMs
398 Records documenting the management of poor performance. Current year + 3 years Kelly Russell (Head of HR Service Centre and Advisory Teams)
399 WorkforceRemuneration & Reward Management
Records documenting the development of the institution's remuneration structure. Current year + 10 years ?
340 Records documenting pay reviews. Current year + 5 years ?341 Records documenting special reward schemes (e.g. Merit Reviews). Termination of scheme + 5
Years?
342 Workforce WelfareManagement
Records documenting the hours worked by employees, including those who haveagreed to work more than 48 hours a week, as required by the Working Time Regulations 1998 (SI 1998/1833).
Records documenting health assessments for night workers, and the results of assessments, as required by the Working Time Regulations 1998 (SI 1998/1833).
Date of record + 2 years Kelly Russell (Head of HR Service Centre and Advisory Teams)
343 Workforce RelationsManagement
Records documenting the design of workforce surveys and consultations. Last entry + 40 years -hazardous substances
Julie Griggs (Head of Talent and Resourcing)
344 Records containing summary (anonymised) results of workforce surveys andconsultations.
Completion of survey + 5Years
Julie Griggs (Head of Talent and Resourcing)
345 Records documenting grievances raised by staff (which do not relate directly to theirown contracts of employment), the institution's response, action taken and the outcome.
Last action on case + 6years
Kelly Russell (Head of HR Service Centre and Advisory Teams)
346 Employee ContractManagement
Records documenting the employee's initial application for employment with theinstitution and supporting documentation supplied by third parties (e.g. references, DBS checks) once an initial offer of employment has been made.
Termination ofemployment + 6 years (as part of employee contract records) except information which is not relevant to the ongoing employment relationship.
Kelly Russell (Head of HR Service Centre and Advisory Teams)
347 Records documenting the employee's subsequent applications for other jobs withinthe institution: successful applications only.
Termination ofemployment + 6 years (as part of employee contract records) except information which is not relevant to the ongoing employment relationship.
Kelly Russell (Head of HR Service Centre and Advisory Teams)
348 Records documenting the employee's contract(s) of employment with the institution. Termination ofemployment + 6 years
Kelly Russell (Head of HR Service Centre and Advisory Teams)
Function Sub function Records Retention Period IAM349 Records documenting changes to the employee's terms and conditions of
employment.Termination ofemployment + 6 years
Kelly Russell (Head of HR Service Centre and Advisory Teams)
350 Records documenting the job descriptions of positions held by the employee within theinstitution.
Termination ofemployment + 6 years
Kelly Russell (Head of HR Service Centre and Advisory Teams)
351 Records documenting the employee's training and development needs, and the actiontaken to meet these needs.
Completion of actions + 5years
?
352 Records documenting job-specific statutory/regulatory training requirements for theemployee, and the training provided to meet these requirements.
Expiry of certification + 6years
All IAMs
353 Records documenting disciplinary proceedings against the employee, whereemployment continues.
Closure of case + 6 years Kelly Russell (Head of HR Service Centre and Advisory Teams)
354 Records documenting grievances raised by the employee which relate directly tohis/her own contract of employment, the institution's response, action taken and the outcome.
Closure of case + 6 years Kelly Russell (Head of HR Service Centre and Advisory Teams)
355 Records documenting the employee's remuneration and rewards (e.g. bonuses, meritawards, long service awards).
Current tax year + 6 years Kelly Russell (Head of HR Service Centre and Advisory Teams)
356 Records relating to the administration of the employee's contractual and statutoryholiday/leave entitlement (including parental leave or special leave).
Completion of entitlement+ 6 years
Kelly Russell (Head of HR Service Centre and Advisory Teams)
357 Records documenting the employee's absence due to sickness. Review 6 years afteremployee leaves.Retain asbestos absence records for termination of
Kelly Russell (Head of HR Service Centre and Advisory Teams)
358 Records documenting entitlements to, and calculations of, Statutory Maternity Pay andAccess to Work payments.
Current Tax Year + 3years
Kelly Russell (Head of HR Service Centre and Advisory Teams)
359 Records documenting pre-employment health screening of an employee. Termination ofemployment + 6 years
Kelly Russell (Head of HR Service Centre and Advisory Teams)
360 Records documenting the issue of personal protective equipment/other specialequipment to an employee.
Termination ofemployment + 6 years
All IAM
361 Records documenting access to eye care for employees required to use VDUs. Termination ofemployment + 6 years
Kelly Russell (Head of HR Service Centre and Advisory Teams)
362 Records documenting major injuries to an employee arising from accidents in theworkplace.
Termination ofemployment + 40 years
Marie Parkinson (Head of Health and Safety)
363 Records documenting the employee's termination of employment by voluntaryresignation, redundancy, retirement (including on medical grounds) or dismissal.
Termination ofemployment + 6 years
Kelly Russell (Head of HR Service Centre and Advisory Teams)sell
364 Records documenting references provided in confidence in support of the employee'sapplication(s) for employment by another organisation.
Provision of reference + 1year
Kelly Russell (Head of HR Service Centre and Advisory Teams)
365 Industrial RelationsManagement
Records documenting institutional recognition/derecognition of trade unions. Derecognition + 6 years Heather Adkins Whitehead and Phil Royle (HR Strategic Planning)
366 Records documenting agreements with trade unions. Termination of agreement+ 10 years
Kelly Russell (Head of HR Service Centre and Advisory Teams)
367 Records documenting routine communications with trade union representatives,including minutes of meetings.
Current year + 20 years Kelly Russell (Head of HR Service Centre and Advisory Teams)
368 Records documenting consultations/negotiations with trade unions on specific issues. Last action on issue + 20years
Kelly Russell (Head of HR Service Centre and Advisory Teams)
369 Pension SchemesAdministration
Records documenting the institution's relationships with pension schemes to which allor part of its workforce belongs.
Termination of relationship+ 5 years
?
370 Private Health Insurance Records documenting the institution's relationships with the private health insuranceprovider currently The Permanent Health Company (PHC)
Expiry of policy + 6 years ?
371 Salary SurveyAdministration
Records documenting a list of jobs sent to Education Consulting Consortium, givingthem information on grades for each role. Lowest/highest pay point. Recruitment retention issues.
UCEA Salary Survey - Details around everyone that works here and who has worked here within last 12 months.
Completion of survey + 5years
?
Equality & Diversity Management
The function of managing the institution's compliance with legislation on equal opportunities.
Function Sub function Records Retention Period IAM372 Equality & Diversity
MonitoringRecords containing summary statistical information resulting from equality monitoring. Current year + 5 years Stuart McKenna (Equality and
Diversity Manager)373 Equality & Diversity
TrainingRecords documenting the development and delivery of training on equality anddiversity issues and procedures.
Current year + 5 years Stuart McKenna (Equality and Diversity Manager)
374 DiscriminationComplaints Handling
Records documenting the handling of formal complaints about discrimination by orwithin the institution by staff.
Last action on case + 6years
Kelly Russell (Head of HR Service Centre and Advisory Teams)
375 Records documenting the handling of formal complaints about discrimination by orwithin the institution by students.
Last action on case + 6years
Stuart McKenna (Equality and Diversity Manager)
376 Equality Act Compliance Records documenting compliance with the Equality Act and general Equality duty. Superseded + 5 years Stuart McKenna (Equality and Diversity Manager)
377 Equality Assessments Records documenting equality impact assessments Current year + 5 years Stuart McKenna (Equality and Diversity Manager)
378 Equality Fora Records documenting various equality groups including LGBT, Race, Disability andGender
Current year + 5 years Stuart McKenna (Equality and Diversity Manager)
Communications and Media Management
The function of raising and maintaining the institution's public profile, and of managing its relationships with the media and members of the public.
379 CommunicationsManagement
Records documenting enquiries/feedback from members of the media and/or publicand the responses provided.
Records documenting the creation of media briefings.
Last action onenquiry/feedback/briefing+ 1 year
Helen Keefe (Director of MCD)
380 Records documenting the design and conduct of public surveys.Results of public surveys: summaries and analyses of responses.
Completion of survey + 3years
Helen Keefe (Director of MCD)
381 Results of public surveys: individual responses. Completion of analysis ofsurvey responses
Helen Keefe (Director of MCD)
382 Records documenting complaints from members of the public, the internal handling ofthese complaints and the responses provided.
Last action on complaint +1 year
Helen Keefe (Director of MCD)
383 Records documenting the planning and organisation of media interviews. Subsequenttranscripts of media briefings and interviews.
Date of briefing/interview +5 years
Helen Keefe (Director of MCD)
384 Press Releases. Current year + 5 years(press releases)
Helen Keefe (Director of MCD)
385 Records documenting the monitoring and analysis of media coverage of the institution.
Current year + 5 years(monitoring)
Helen Keefe (Director of MCD)
386 Press cuttings. Creation + 1 year (presscuttings)
Helen Keefe (Director of MCD)
387 Student and StaffCommunications Management
Records documenting the establishment and operation of staff-student liaisoncommittees.
Life of committee + 3years
Helen Keefe (Director of MCD)
388 Records documenting the design and conduct of student and/or staff surveys. Completion of survey + 5years
Helen Keefe (Director of MCD)
389 Results of student and/or staff surveys: summaries and analyses of responses
Results of student and/or staff surveys: individual responses
Completion of analysis ofsurvey responses
Helen Keefe (Director of MCD)
390 Records documenting the design of, and overall response to, student suggestionschemes.
Closure of scheme + 5years
Helen Keefe (Director of MCD)
391 Records documenting the handling of suggestions from individual students. Last action on suggestion+ 1 year
Helen Keefe (Director of MCD)
392 CommunityRepresentation
Records documenting the institution's membership of local community organisations.
Records documenting the institution's participation in the activities of local community organisations (including committees).
Termination ofmembership/involvement+ 1 year
Helen Keefe (Director of MCD)
Function Sub function Records Retention Period IAM393 Events Management Records documenting the planning and impact/results of public and community
events.
Records documenting the organisation and administration of public and community events.
Completion of event + 3years
Completion of event + 1 year
Helen Keefe (Director of MCD)
Alumni Relations Management
The function of managing the institution's relationship with its alumni and selected University stakeholders.
394 Alumni and StakeholderRecords Administration
Records containing personal data on individual alumni and University stakeholders. While current (or likely tobe current)
Helen Keefe (Director of MCD)
395 Summary (anonymised) statistical records of alumni Current year + 10 years Helen Keefe (Director of MCD)396 Alumni Communications
ManagementRecords documenting the design, planning and production of official alumnicommunications or surveys.
Issue of communication +1 year
Helen Keefe (Director of MCD)
397 Alumni communications. Issue + 1 year Helen Keefe (Director of MCD)398 Records documenting enquiries from alumni and the responses provided.
Records documenting the handling of complaints from alumni.
Last action on enquiry + 1year
Last action on complaint + 3 years
Helen Keefe (Director of MCD)
399 Records documenting unsolicited feedback from alumni, the internal handling of thisfeedback and the responses provided.
Last action on feedback +1 year
Helen Keefe (Director of MCD)
400 Results of alumni surveys: summaries and analyses of responses.
Results of alumni surveys: individual responses.
Completion of survey + 3years
Individual responses - dispose once completed survey
Helen Keefe (Director of MCD)
401 Alumni EventsManagement
Records documenting the organisation and administration of institutional events foralumni.
Records documenting the planning and impact/results of institutional events for alumni.
Completion of event + 3years
Helen Keefe (Director of MCD)
402 Records documenting requests for contact details for alumni, action taken and theresponses provided.
Last action on request + 1year
Helen Keefe (Director of MCD)
Fundraising The function of soliciting funds directly from organisations and individuals, and of managing relationships with donors.
403 Fundraising CampaignManagement
Records documenting the design, conduct and summary results of fundraisingcampaigns.
Last action on campaign +5 years
Helen Keefe (Director of MCD)
404 Records containing details of individual responses to fundraising campaigns. Completion of analysis ofdata
Helen Keefe (Director of MCD)
405 Donations Management Records documenting the handling of enquiries about making donations to theinstitution.
Last action on enquiry + 1year
Helen Keefe (Director of MCD)
406 Records documenting donations to the institution. Current year +6 years Helen Keefe (Director of MCD)
Marketing The function of marketing the institution.407 Market Research Records documenting the design and development of market research tools.
Market research data: aggregated data and analyses including website usability studies.
Completion of research +5 years
Helen Keefe (Director of MCD)
408 Market research data: data relating to identifiable individuals. Completion of analysis ofdata
Helen Keefe (Director of MCD)
409 Marketing CampaignManagement
Records documenting the design, implementation and review of marketingcampaigns.
Completion of campaign +3 years
Helen Keefe (Director of MCD)
Function Sub function Records Retention Period IAM410 Corporate Identity &
Brand ManagementRecords documenting the design of the institution's corporate identity marks (logosetc).Records documenting the development of corporate style guides for official use of corporate identity marks.
Superseded Helen Keefe (Director of MCD)
411 AdvertisingManagement
Records documenting the development, placement and impact of advertisements. Current + 5 years Helen Keefe (Director of MCD)
412 Faculty Marketing Records documenting the generation of leads for prospective students, theorganisation of events to market the University and specific Faculties.
Completion of event + 2year
Helen Keefe (Director of MCD)
413 Records documenting the development and organisations of graduation events. Completion of event + 1year
Helen Keefe (Director of MCD)
414 Records documenting the development and running of targeted advertisingCampaigns
Current year + 5 years Helen Keefe (Director of MCD)
415 Records documenting specific student projects to include within marketing materialused to promote University activity and student profiles.
Date of publication + 3year
Helen Keefe (Director of MCD)
416 Business Growthprogramme
Records documenting the activity of marketing activity to Businesses (small, mediumand large).
End of academic year + 5years
Helen Keefe (Director of MCD)
417 Academic marketing Records documenting the activities of individual academics to market current studentsand course content.
Date of publication + 2year
Helen Keefe (Director of MCD)
Publishing The function of publishing materials for internal or external distribution.418 Publication Production Records documenting the design, commissioning, editing, production and distribution
of publications.Permanent Helen Keefe (Director of MCD)
419 Publication Marketing Records documenting the development of marketing plans for publications. Life of publication Helen Keefe (Director of MCD)420 Publication Organisation Records documenting the organisation and administration of institutional events for
central Marketing.
Records documenting the planning and impact/results of institutional events for central Marketing.
Completion of event + 5years
Helen Keefe (Director of MCD)