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Guide

Records retention management

Guidance and retention schedules for information held in higher and further education institutions.

About this guide

  • Published: 30 July 2019
  • Updated: 30 July 2019

This guide is limited to retention guidance for records and information in higher and further education institutions.

It is aimed at information and records professionals working within these institutions, as well as anyone working within those institutions who comes into regular contact with records such as administrative, teaching and IT staff.

To achieve effective information management, it is crucial for all teams and individuals that create and handle information to be aware of the institution’s retention strategy. This will help to prevent unnecessary duplication, over-retention and data protection risk.

This guide is designed to be a strategic document rather than a complete practical guide. As there are so many different variables regarding the structure of institutions and the systems and processes they use, it was felt that trying to produce a complete how-to guide would be impractical.

For more information on student records in particular, read our guidance document (pdf).

Updates from the 2007 guidance

This is an updated version of the HE and FE records retention schedules from 2007. It has been decided to combine both the HE and FE schedules as there was a lot of repetition so items that appear in only the FE version have been added to the HE version where necessary.

Excess columns have also been removed as it was noted that the old version was difficult to navigate and contained a lot of repetitive information. The citations have been amended to reflect current legislation, and with the General Data Protection Regulation (GDPR) and Data Protection Act (DPA) 2018 in mind.

In many cases, there is not a mandated legal requirement for a specific retention period; with some items, it is dependent on individual institutional needs. In these cases, the citation will state “institutional business requirements”. Often you can use 6 years as a starting point as that is the period specified by the Limitation Act 1980 within which any legal action must be brought. But many document types may not need to be retained for this long, particularly working papers that support an official record.

General note on the Data Protection Act 2018 and General Data Protection Regulation (GDPR) (EU) 2016/679

As with the Data Protection Act 1998, GDPR Article 5(1)(e) about storage limitation specifies that personal data shall be kept for no longer than is necessary for the purposes for which the personal data are processed. Personal data may be stored for longer periods insofar as it will be processed solely for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes in accordance with Article 89(1) of GDPR.

Lawful basis should be explained in plain language in a privacy notice when personal data is collected. You can find further information on what you should include in a privacy notice on the ICO website.

Personal data that is in an identifiable form must be periodically reviewed in accordance with the HEI/FEI’s retention schedules and if it is no longer needed it should be deleted or anonymised[1] as appropriate.

Any challenges to the retention of personal data must be considered in accordance with GDPR Article 17 (Right to erasure). The right to erasure does not apply where you are legally obliged to process personal data or where the processing is necessary for performing institutional functions.

Where an HE/FE institution would be required to erase personal data but the personal data must be maintained as evidence for legal purposes or for reasons of important public interest, the HEI/FEI must (instead of erasing the personal data) restrict its processing.

Maintaining an information asset register and a record of processing activities (ROPA) as well as information flows regarding personal data will help to ensure compliance with GDPR and provide evidence in the event of a data breach if reporting a breach to the ICO.

For more information and guidance on GDPR, see the ICO website and our GDPR page.


[1] Anonymisation: managing data protection risk code of practice, ICO (2012).

Freedom of Information Act 2000

Freedom of Information (FoI) and Environmental Information (EIR) legislation provides the public with a right to access information held by a UK public authority, which includes most universities, colleges, or publicly-funded research institutions. It was enacted in 2000 with the full provisions coming into force on 1st January 2005 and has since been amended to include datasets.

In Scotland, the Freedom of Information (Scotland) Act 2002 fulfils the same purpose. This covers public bodies over which the Holyrood parliament, rather than Westminster, has jurisdiction.

HE and FE institutions are subject to the Act under Schedule 1 Part IV. Institutions are required to maintain a Publications Scheme which is a guide detailing the information they intend to publish routinely to comply with their obligations under the act. For help creating this document please refer to ‘definition document for universities and other higher education institutions’ or ‘definition document for colleges of further education’ ICO (2013).

Academic administration

Records retention tables

Student administration and progress

ActivityRecord groupRetention periodCitations and notes
Student administration policy developmentRecords documenting the development and establishment of the institution's student administration policies: key records.Superseded + 10 yearsInstitutional business requirements.
Student administration policy and procedures developmentRecords documenting the development and establishment of the institution's student administration policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Student administration procedure developmentMaster copies of procedures relating to student administration.Superseded + 10 yearsInstitutional business requirements.
Student administration and supportRecords containing personal data on
individual students.
Minimum requirement varies for different types of personal data

Recommended maximum retention: End of 'registered student' relationship with institution + 6 years.
Limitation Act, 1980.

If the information forms part of the core record/transcript the retention may be longer (see below).

Please note that this RRS applies to records from 01/08/2019 onwards, we advise users to observe any separate funding rules handed down by ESFA/appropriate funding bodies or any separate contract providers.

More stringent safeguards are needed for special category data which includes information about an individual’s:

race;
ethnic origin;
politics;
religion;
trade union membership;
genetics;
biometrics (where used for ID purposes);
health;
sex life; or
sexual orientation

See the ICO website for more information.
Student administration and supportThe core record of a student as a learnerThis is the minimal record kept to provide references for former students and may be retained for the lifetime of the student (80 years). A core (minimal) transcript may be retained indefinitely after this time and transferred to the archive if the institution has one. This depends on the requirements of the individual institution and their archival facilities/policies. The core record may vary according to the policy of each institution but is likely to contain name and dates of study, modules studied, and the qualifications conferred.Sector norms/Institutional business requirements/Institutional charter/Institutional memory and archival requirements.

For details on what may constitute the core student record see: The European Credit Transfer and Accumulation System (ECTS) User Guide 2015

What Is a Student Record? A Case Study by King’s College London, Appendix IV For more details on the HEAR, see the HEAR website and ‘Beyond the Honours Degree – the Burgess Group Final Report’ (October 2007)

Guidelines for HE Progress Files, QAA (2001)

Guide to the Diploma Supplement, UK HE Europe Unit (2006)
Student administration and supportRecords documenting the initial assessment of students including:
1. Student Qualifications on Entry
2. Key Skills Assessments
3. Care Student Assessments
Termination of student relationship + 6 yearsLimitation Act 1980 c.58
1973 Prescription and Limitation (Scotland) Act 1973
Student progress administrationIndividualised Student Record (ISRS). Individualised Learner Records.Termination of student relationship + 6 yearsInstitutional business requirements.
Student progress administrationRecords containing standard analyses of data from individual students' records.Current academic year + 5 yearsInstitutional business requirements.
Student progress administrationRecords documenting the handling of requests for ad hoc analyses of data from individual students' records.Last action on request + 1 yearInstitutional business requirements.
Student progress administrationRecords documenting the handling of individual students'/employers’ requests for statements of results/transcripts and requests for confirmation of individual students' awards, attendance or conduct from employers and other educational institutions.Last action on request + 1 yearInstitutional business requirements.
Student progress administrationRecords documenting the design and conduct of Graduate Outcomes Surveys and (anonymised) summaries and analyses of the results of First Destination Surveys.Current academic year + 5 yearsInstitutional business requirements.
Student progress administrationGraduate Outcomes Surveys: individual responsesCompletion of analysis of responsesThese should not be kept longer than necessary, and this should be stated in the privacy notice when the data was collected. After this period, responses can be anonymised for the purposes of analysis to ensure compliance with GDPR.
Student progress administrationRecords documenting the academic progress of individual students and formal action taken by the institution to deal with unsatisfactory progress, the transfer of individual students to new programmes or to new courses within programmes, the withdrawal of individual students from the institution, and the termination of individual students' programmesTermination of relationship with student + 6 yearsLimitation Act 1980 c. 58 s 5
Student disciplinary and appeals case handlingRecords documenting the conduct and results of disciplinary proceedings against individual students and academic appeals.Last action on case + 6 yearsLimitation Act 1980 c. 58 s 5
Student complaint handlingRecords documenting the handling of complaints by individual students where the formal complaints procedure is not initiated.Last action on complaint + 3 yearsInstitutional business requirements.
Student complaint handlingRecords documenting the handling of formal complaints made by individual students against the institution.Last action on case + 6 yearsLimitation Act 1980, c.58
Student services strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's student services strategy and policies: key records.Superseded + 3 yearsInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.
Student services strategy, policy and proceduresRecords documenting the development and establishment of the institution's student services strategy, policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.

Student support and welfare management

ActivityRecord groupRetention periodCitations and notes
Student support and welfare managementStudent counselling services: case notes, letters to doctors etc.Varies

Sector Overview 003, University and College Counselling Services (BACP) says:

In making decisions as to how long to retain client records, services should take account of the sometimes conflicting considerations listed below:
  • The Data Protection Act, which states that sensitive data should not be kept for longer than is necessary
  • The policy of the institution
  • The ability of the service to store confidential records safely and securely over time
  • The likelihood that a client’s records could be needed in the future, for example, for a criminal case or civil suit, in a claim for compensation, or for an internal university or college procedure such as an academic appeal or formal complaint. The length of time needed to retain records in such scenarios is extremely difficult to predict.
Each service will need to decide a realistic timescale that can best accommodate these considerations and what best practice would be in their context. An alternative position would be to shred all session notes, keeping minimal factual information for a limited amount of time. What is important is that a service has a stated policy on the length of time notes are retained, that clients are aware of it, and that this policy is adhered to.
Limitation Act, 1980.

British Association for Counselling and Psychotherapy (BACP) recommendations.

The BACP Ethical Framework 2018 does not mandate the keeping of records but advises “keeping accurate and appropriate records”, you should balance this against the requirements of data protection legislation which state that personal information should be kept no longer than necessary.

Counselling files contain Sensitive Information and are confidential.
Student support and welfare managementRecords relating to the provision of sports and recreational facilities.Current year +3Institutional business requirements.
Student support and welfare managementRecords relating to careers advice.Duration of enrolment +3 yearsThe Equality Act 2010.
Student support and welfare managementSafeguarding and support records (including Prevent records)Suggested maximum recommended: 6 years from last actionThere is not explicit retention guidance from DfE for Prevent records though there is guidance on the Prevent duty generally:
  • The Prevent Duty in higher education (HE): training and guidance for practitioners - GOV.UK
  • Prevent duty: Framework, Office for Students 
  • The Channel data privacy information notice states a maximum of 6 years retention of records from the date of 12 month review 
Limitation Act, 1980.

Student recruitment

ActivityRecord groupRetention periodCitations and notes
Student recruitment schemes and campaignsRecords documenting the design, operation and summary results of student recruitment schemes and campaigns.Current academic year + 5 years OR Termination of scheme/campaign + 5 yearsInstitutional business requirements.
Student recruitmentRecords documenting the design, organisation and summary results of student recruitment events.Completion of event + 5 yearsInstitutional business requirements.

If any personal data is involved, this should not be kept longer than needed to administer the event. Data can be anonymised afterwards in order to provide summaries.
Student recruitmentRecords documenting the issue of student recruitment materials in bulk to schools and other organisations.Current academic yearInstitutional business requirements.
Student recruitmentRecords documenting the handling of enquiries from prospective students (subsequently registered as student).Current academic year + 5 years

Where students did not subsequently enrol at the institutional, the records can be retained current academic year + 1 year.
Competitive Market Authority

 
Student recruitmentSummaries and analyses of enquiry, recruitment and retention data.Current academic year + 5 yearsInstitutional business requirements.

Student admission, registration and induction

ActivityRecord groupRetention periodCitations and notes
Student admissionRecords documenting the development and establishment of the institution's admission criteria and policies.Superseded + 10 yearsInstitutional business requirements.
Student admissionRecords documenting the handling of applications for admission: successful applications.End of student relationship + 6 yearsLimitation Act 1980 c. 58 s 5
Student admissionRecords documenting the handling of applications for admission: unsuccessful applications.Recommended:
Current academic year + 1 year.
The Equality Act 2010

Minimum: Actions under discrimination legislation must usually be brought within 6 months.

Reporting requirements for Office for Students.
Student admissionRecords documenting the administration of the clearing process.Current academic year + 1 yearInstitutional business requirements.
Student admissionRecords containing data on overall student numbers.Current academic year + 1 yearInstitutional business requirements.
Immigration advice and
compliance
Records documenting immigration casework/compliance for students, including the retention of immigration
permission from students.
6 years from last interaction relating to casework or 6 years after permanent withdrawal relating to immigration permission.OISC Code of Standards: 2016
Student registrationRecords documenting the registration of individual students on programmes.Termination of student relationship + 6 yearsLimitation Act 1980 c. 58 s 5
Student registrationRecords containing summaries and analyses of data on registration of students on programmesCurrent academic year + 5 yearsInstitutional business requirements.
Student inductionRecords documenting the design, conduct and review of induction programmes for new students.Completion of induction programme + 5 yearsInstitutional business requirements.
Student inductionRecords documenting the administration of induction programmes and events for new students.Current academic year + 1 yearInstitutional business requirements.

Teaching

ActivityRecord groupRetention periodCitations and notes
Teaching strategy and policy developmentRecords documenting the development and establishment of the institution's teaching strategy and policies: key records.Superseded + 10 yearsInstitutional business requirements.
Teaching strategy, policy, and procedures developmentRecords documenting the development and establishment of the institution's teaching strategy, policies, and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Teaching procedure developmentMaster copies of procedures relating to teaching.Superseded + 5 yearsInstitutional business requirements.
Teaching quality and standards managementRecords documenting the development of the institution's internal quality assurance processes.While currentInstitutional business requirements.
Teaching quality and standards managementRecords documenting the conduct and results of formal internal and external reviews of teaching quality and standards, and responses to the results.Current academic year + 5 yearsInstitutional business requirements.
Taught programme developmentRecords documenting the design and development of (modules of) taught programmes.Life of programme + 10 yearsInstitutional business requirements.
Taught programme developmentRecords documenting the process of obtaining approval and/or accreditation for (modules of) taught programmes from professional, statutory or other accreditation bodies.Life of programmeInstitutional business requirements.
Taught programme reviewData on, and analyses of, student numbers and other taught programme statistics.Current academic year + 5 yearsInstitutional business requirements.
Taught programme reviewRoutine solicited feedback on taught programmes from staff and examiners: individual feedback.Current academic year + 5 years OR Life of course + 1 yearInstitutional business requirements.
Taught programme reviewRoutine solicited feedback on taught programmes from students: individual feedbackCompletion of analysis of feedbackInstitutional business requirements
Taught programme review(Anonymised) summaries and analyses of routine solicited feedback on taught programmes from staff, examiners and students.Current academic year + 5 years OR Life of course + 1 yearInstitutional business requirements.
Taught programme reviewReports of routine internal reviews of taught programmes and documentation of formal independent reviews of taught programmes, and the responses to the results.Current academic year + 5 yearsInstitutional business requirements.
Taught programme deliveryRecords documenting the preparation of teaching and learning materials, the planning and conduct of teaching and learning events.Current academic year + 1 yearInstitutional business requirements.
Taught student assessmentRecords documenting the design and development of assessments.Life of programmeInstitutional business requirements.
Taught student assessmentSubmitted/completed assessments (formative and summative assessments) and marks/grades given to submitted/completed summative assessments and, where appropriate, awards and classifications.Current academic year + 6 yearsLimitation Act 1980 c. 58 s 5
Taught student monitoring and supportFeedback on academic progress, and general academic guidance and support, given to individual taught students.Completion of student's programme + 6 yearsLimitation Act 1980 c. 58 s 5

Learning support

ActivityRecord groupRetention periodCitations and notes
Learning support strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's learning support strategy, policies and procedures: key records.Superseded + 10 yearsInstitutional business requirements.
Learning support strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's learning support strategy, policies, and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Learning support procedure developmentMaster copies of procedures relating to learning support.Superseded + 5 yearsInstitutional business requirements.
Learning support resource developmentThe types of records produced will depend on the type of resource being developed.Life of resource + 2 years OR Current year + 1 yearInstitutional business requirements.
Learning support administrationRecords relating to Learning Support for Students with specific needs.Current year + 7 yearsThe Equality Act 2010

Student relations

ActivityRecord groupRetention periodCitations and notes
Student relations strategy and policy developmentRecords documenting the development and establishment of the institution's student relations strategy and policies: key records.Superseded + 5 yearsInstitutional business requirements.
Student relations strategy developmentRecords documenting the development and establishment of the institution's student relations strategy, policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Student relations procedure developmentMaster copies of procedures relating to student relations.Superseded + 3 yearsInstitutional business requirements.
Student communications managementRecords documenting the establishment and operation of staff-student liaison committees.Life of committee + 3 yearsInstitutional business requirements.
Student communications managementRecords documenting the operation of staff-student liaison committees.Current academic year + 3 yearsInstitutional business requirements.
Student communications managementRecords documenting the design and conduct of student surveys.Completion of survey + 5 yearsInstitutional business requirements.
Student communications managementResults of student surveys: individual responsesCompletion of analysis of survey responsesThe retention period will depend on what was stated in the privacy notice when the data was collected. After this period, responses can be anonymised for the purposes of analysis to ensure compliance with GDPR.
Student communications managementResults of student surveys: summaries and analyses of responsesCompletion of survey + 5 yearsInstitutional business requirements.
Student communications managementRecords documenting the design of, and overall response to, student suggestion schemes.Closure of scheme + 5 yearsInstitutional business requirements.
Student communications managementRecords documenting the handling of suggestions from individual students.Last action on suggestion + 1 yearInstitutional business requirements.

Academic programme administration and awards

ActivityRecord groupRetention periodCitations and notes
Academic programme administration policy and procedure developmentRecords documenting the development and establishment of the institution's academic programme administration policies, policies and procedures: key records.Superseded + 5 yearsInstitutional business requirements.
Academic programme administration policy and procedure developmentRecords documenting the development and establishment of the institution's academic programme administration policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Academic programme co-ordinationRecords documenting the administration of academic programmes.Current academic year + 3 yearsInstitutional business requirements.
Academic award administration policy and procedures developmentRecords documenting the development and establishment of the institution's academic award administration policies and procedures (and master copies): key records.Superseded + 5 yearsInstitutional business requirements.
Academic award administration policy and procedures developmentRecords documenting the development and establishment of the institution's academic award administration policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Academic award confermentRecords documenting the notification of awards to students and the issue of awards certificates.Conferment of award + 1 yearInstitutional business requirements.
Academic award confermentRecords documenting the process of inviting, receiving and considering nominations for honorary awards.Conferment of award + 1 yearInstitutional business requirements.
Academic award confermentRecords documenting offers of honorary awards and responses received.Conferment of award + 1 yearInstitutional business requirements.
Award ceremony administrationRecords documenting the organisation of award ceremonies.Completion of ceremony + 1 yearInstitutional business requirements.
Award ceremony administrationRecords documenting the production of award certificates.Completion of ceremony + 1 yearInstitutional business requirements.
Award ceremony administrationRecords documenting the mailing of award certificates to students who do not attend ceremonies.Completion of ceremony + 1 yearInstitutional business requirements.
Prizes administrationRecords documenting nominations for prizes, the consideration of nominations and notifications to recipients of prizes.Current academic year + 5 yearsInstitutional business requirements.
Prizes administrationList of prize winnersWhile prize is awardedInstitutional business requirements.

Assessment and examination

ActivityRecord groupRetention periodCitations and notes
Academic assessment administration policy developmentRecords documenting the development and establishment of the institution's academic assessment administration policies: key records.Superseded + 10 yearsInstitutional business requirements.
Academic assessment administration policy developmentRecords documenting the development and establishment of the institution's academic assessment administration policies: working papers.Issue of policy + 1 yearInstitutional business requirements.
Academic assessment administration procedure developmentRecords documenting the development of the institution's procedures relating to academic assessment administration.Issue of procedures + 1 yearInstitutional business requirements.
Academic assessment administration procedure developmentMaster copies of procedures relating to academic assessment administration.Superseded + 10 yearsInstitutional business requirements.
External examiner administrationRecords documenting the selection and appointment of external examiners.Termination of appointment + 1 yearInstitutional business requirements.
External examiner administrationRecords documenting liaison with external examiners on administrative matters.Current academic year + 1 yearInstitutional business requirements.
Assessment administrationRecords documenting the selection and appointment of examination invigilators.Current academic year + 1 yearInstitutional business requirements.
Assessment administrationRecords documenting the design and delivery of training for examination invigilators.Current academic year + 1 yearInstitutional business requirements.
Assessment administrationRecords documenting the control of examination papers and examination scripts.Current academic year + 1 yearInstitutional business requirements.
Assessment administrationRecords documenting the timetabling of examinations.Current academic year + 1 yearInstitutional business requirements.
Assessment administrationRecords documenting the organisation of examination facilities, including special arrangements for students with special needs.Current academic year + 1 yearInstitutional business requirements.
Assessment administrationRecords documenting individual students' attendance at examinations, and the handling of reports of mitigating circumstances.Current academic year + 1 year (minimum)Institutional business requirements.
Assessment administrationRecords documenting the collation of examination results and compilation of pass lists and individual notifications of results.Current academic year + 1 yearInstitutional business requirements.
Assessment administrationRecords documenting individual students' submission of assessed work and handling of reports of mitigating circumstances.Current academic year + 1 yearInstitutional business requirements.
Assessment administrationRecords documenting the issue of awards lists and individual notifications of awards.Current academic year + 1 yearInstitutional business requirements.
Assessment administrationQualification Lists/Pass Lists/Awards lists.Issue of list + 10 yearsInstitutional business requirements.
DissertationsCertain specified examples of past dissertations made available as examples to students of an excellent display of academic rigor.Preserve in relevant University department once student consent for ongoing storage and access by third parties is receivedInstitutional business requirements.
Examination board administrationRecords documenting the arrangements for meetings of a Board.Current year + 1 yearInstitutional business requirements.
Examination board administrationRecords documenting the conduct of the business of a committee:  agenda, minutes and papers.Current academic year + 6 yearsInstitutional business requirements.
Examination board administrationRecords 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 + 6 yearsInstitutional business requirements.

Tuition fees

ActivityRecord groupRetention periodCitations and notes
Tuition fees administration policy developmentRecords documenting the development and establishment of the institution's tuition fees policies: key records.Superseded + 10 yearsInstitutional business requirements.
Tuition fees administration policy and procedures developmentRecords documenting the development and establishment of the institution's tuition fees policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Tuition fees administration procedure developmentMaster copies of procedures relating to tuition fees administration.Superseded + 10 yearsInstitutional business requirements.
Tuition fee remissionRecords documenting the handling of applications for remission of tuition fees: successful applications.Determination of application + 6 yearsLimitation Act 1980 c. 58 s 5
Tuition fee remissionRecords documenting the handling of applications for remission of tuition fees: unsuccessful applications.Determination of application + 1 yearInstitutional business requirements.
Tuition fee collectionRecords documenting the collection of tuition fees.Current academic year + 1 yearInstitutional business requirements.

Student financial support

ActivityRecord groupRetention periodCitations and notes
Student financial support administration policy developmentRecords documenting the development and establishment of the institution's student financial support policies: key records.Superseded + 5 yearsInstitutional business requirements.
Student financial support administration policy developmentRecords documenting the development and establishment of the institution's student financial support policies: working papers.Issue of policy + 1 yearInstitutional business requirements.
Student financial support administration procedure developmentRecords documenting the development of the institution's procedures relating to student financial support.Issue of procedures + 1 yearInstitutional business requirements.
Student financial support administration procedure developmentMaster copies of procedures relating to student financial support.Superseded + 5 yearsInstitutional business requirements.
Financial aid funds administrationRecords documenting the provision of financial aid funds to individual students.Current financial year + 6 yearsLimitation Act 1980 c. 58 s 5
Crisis/hardship funds administrationRecords documenting the provision of crisis/hardship payments to individual students.Current financial year + 6 yearsLimitation Act 1980 c. 58 s 5
Bursaries administrationRecords documenting the award of bursaries to individual students.Current financial year + 6 yearsLimitation Act 1980 c. 58 s 5
Scholarships and fellowships administrationRecords documenting the award of scholarships and fellowships to individual students.Current financial year + 6 yearsLimitation Act 1980 c. 58 s 5
Student financial and employment supportRecords of administration of Student Financial and employment support such as:
-New Deal Records
-Modern Apprenticeship Records
-Access Fund Applications.
Current year + 6 yearsInstitutional business requirements.

Download these tables as a spreadsheet (.xslx).

Research

Records retention tables

Policy and planning

ActivityRecord groupRetention periodCitations and notes
Research strategy and policy developmentRecords documenting the development and establishment of the institution's research strategy and policies: key records.Superseded + 10 yearsInstitutional business requirements.
Research strategy, policy, and procedures developmentRecords documenting the development and establishment of the institution's research strategy, policies, and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Research procedure developmentMaster copies of procedures relating to research.Superseded + 10 yearsInstitutional business requirements.
Research programme developmentRecords documenting the development of the institution's research programmes.Life of programme + 10 yearsInstitutional business requirements.
Research programme developmentRoutine monitoring of external developments and trends to inform the development of the institution's research programmes.Current academic year + 1 yearInstitutional business requirements.
Research business developmentLiaison with research sponsors to monitor their research policies and to promote the institution's capabilities.Current academic year + 5 yearsInstitutional business requirements.
Research business developmentRecords documenting the identification and exploration of new research opportunities which lead to research projects.Completion of projectInstitutional business requirements.
Research business developmentRecords documenting the identification and exploration of new research opportunities which do not lead to research projects.Last action + 5 yearsInstitutional business requirements.
Research business developmentRecords documenting the formation and management of partnerships and other collaborative arrangements to undertake research.Life of partnership/arrangement + 6 yearsLimitation Act 1980 c. 58 s 5
Research design and PlanningRecords documenting the design and planning of research projects which are not undertaken.Abandonment of plans + 1 yearRetention for a longer period may be advisable, depending on the reasons for abandoning the project.
Research design and planningRecords documenting the design and planning of research projects which are undertaken: key records.Completion of project + 10 yearsThis recommended retention period is in line with retention period for records documenting the conduct of research.
Research design and planningRecords documenting the design and planning of European Union (EU) funded research projects which are undertaken: key records.Minimum retention: Date of last funding payment + 10 yearsSee ERDF website and individual project agreements with funding bodies.

Interreg Europe Programme Manual, 19 December 2018 (version 6)

Page 28 suggests 10 years to demonstrate state aid (or lack of), however this may vary according to the national archiving laws (see page 105)
Research funding administrationPreparation and submission of applications for funding, where the application is unsuccessful (i.e. does not result in the offer of a funding award).Receipt of notification that application was unsuccessful + 1 yearInstitutional business requirements.
Research funding administrationPreparation and submission of applications for funding, where the application is successful (i.e. results in the offer of a funding award).Completion of project (i.e. termination of award) + 6 years (or period stated by funder/s)Limitation Act 1980 c. 58 s 5

Check the individual funder/s requirements as the retention period may differ.

Conduct and monitoring

ActivityRecord groupRetention periodCitations and notes
Research quality and standards managementRecords documenting the development of the institution's internal quality assurance processes.While currentInstitutional business requirements.
Research quality and standards managementConduct and results of formal internal and external reviews of research quality, and responses to the results.Current academic year + 5 yearsInstitutional business requirements.
Research project managementRecords documenting the management of internally-funded research projects.Completion of project + 3 yearsCommon internal audit requirement
Research project managementRecords documenting the management of externally-funded research projects.Completion of project + 6 yearsLimitation Act 1980 c. 58 s 5

A longer retention period for these records may be required by a research sponsor.
Research project managementRecords documenting the management of European Union (EU)-funded research projects.Date of last funding payment + 10 yearsSee ERDF website and individual project agreements with funding bodies.

Interreg Europe Programme Manual, 19 December 2018 (version 6)

Page 28 suggests 10 years to demonstrate state aid (or lack of), however this may vary according to the national archiving laws (see page 105).
Research conductRecords documenting the conduct of research funded by the Medical Research Council, except where other requirements are specified (see citations).Completion of project + 10 yearsMedical Research Council, Good Research Practice, section 5.2

Minimum requirement.
The Medical Research Council requirement is specifically for primary research data.  However, retaining full records of research studies is recommended.

MRC Regulatory Support Centre: Retention framework for research data and records 

Medical Research Council (2017)
Research conductRecords 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 + 20 yearsMedical Research Council, Good Research Practice, section 5.2
Medical Research Council, Personal Information in Medical Research, section 7.1.2

MRC Regulatory Support Centre: Retention framework for research data and records, Medical Research Council (2017)
The Medical Research Council requires full records of these studies to be retained for this minimum period and advises that retention for a longer period may be required where studies were of historical importance, where novel clinical interventions were first used, where studies have proved controversial or where research is ongoing.

MRC Regulatory Support Centre: Retention framework for research data and records 
Medical Research Council (2017)
Research conductRecords documenting the protocol, the consent procedure, the participants and adverse effects in all studies (for which consent was obtained) funded by the Medical Research Council.Completion of project + 30 yearsMedical Research Council, Personal Information in Medical Research, section 7.1.2

MRC Regulatory Support Centre: Retention framework for research data and records 
Medical Research Council (2017)
Research conductRecords documenting the conduct of all other research funded by all other organisations.Completion of project + 10 years (date of last funding payment + 10 years for projects funded by the European Union)Stated or implied requirements of UK Research Councils and other significant research sponsors.  See Guidance on Managing Research Records, Jisc (2007).

A shorter or longer retention period may be appropriate, depending on the discipline and the characteristics of the project, or may be required by a research sponsor.

Reporting and review

ActivityRecord groupRetention periodCitations and notes
Research reportingWorking papers for the preparation of publications, audio-visual presentations etc. to disseminate research results (NOT interim or final research reports).Publication/Delivery + 1 yearThis category does NOT include interim or final reports of research studies, which are covered by RESEARCH - RESEARCH CONDUCT.
Research reportingFinal versions of publications and presentations made to disseminate research results (NOT interim or final research reports).Publication/Delivery + 3 yearsThis category does NOT include interim or final reports of research studies, which are covered by RESEARCH - RESEARCH CONDUCT.
Research programme reviewData on, and analyses of, student numbers and other programme statistics.Current academic year + 3 yearsInstitutional business requirements.
Research programme reviewReports of routine internal and independent reviews of research programmes.Current academic year + 5 yearsInstitutional business requirements.
Research programme assessmentRecords documenting the conduct of formal assessments of work undertaken by research students.Completion of student's programme + 6 yearsLimitation Act 1980 c.58 s 5
Research programme assessmentRecords documenting awards and classifications, including reviews in response to notifications of mitigating circumstances or academic appeals.Current academic year + 6 yearsLimitation Act 1980 c.58 s 5
Research supervisor appointment and trainingRecords documenting the appointment of supervisors for research students.Termination of appointment + 1 yearInstitutional business requirements.
Research student monitoring and supportAcademic advice and guidance to individual students on the selection of research subjects and on the progress and standard of their work.Completion of student's programme + 6 yearsLimitation Act 1980 c.58 s 5

Download these tables as a spreadsheet (.xslx).

Corporate management and compliance

Records retention tables

Planning and operation

ActivityRecord groupRetention periodCitations and notes
Corporate planning and performance management and strategyRecords documenting the development and establishment of the institution's corporate planning and performance management policies and strategy: key records.Superseded + 10 yearsInstitutional business requirements.
Corporate planning and performance management, strategy, and proceduresRecords documenting the development and establishment of the institution's corporate planning and performance management policies, strategy, and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Corporate planning and performance management procedure developmentMaster copies of procedures relating to corporate planning and performance management.Superseded + 5 yearsInstitutional business requirements.
Strategic performance managementData on, and analyses of, the institution's performance against its strategic plan.Current academic year + 5 yearsInstitutional business requirements.
Strategic performance managementReports on the institution's performance against its strategic plan.Current academic year + 10 yearsInstitutional business requirements.
Strategic performance managementRecords 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 + 5 yearsInstitutional business requirements.
Operational planningRecords documenting the development of the institution's annual operating plans: key records.Current year + 5 yearsInstitutional business requirements.
Operational planningRecords documenting the development of the institution's annual operating plans: working papers.Current year + 1 yearInstitutional business requirements.
Operational performance managementRecords documenting the development of the institution's key performance indicators.SupersededInstitutional business requirements.
Operational performance managementRecords documenting benchmarking exercises with other comparable institutions.Current + 1 yearInstitutional business requirements.
Operational performance managementRecords documenting performance monitoring and analysis.Current year + 1 yearInstitutional business requirements.

Legal and governance

ActivityRecord groupRetention periodCitations and notes
Governance strategy developmentRecords documenting the development and establishment of the institution's governance strategy: key records.Superseded + 10 yearsInstitutional business requirements.
Governance strategy developmentRecords documenting the development and establishment of the institution's governance strategy: working papers.Issue of strategy + 1 yearInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.
Governance framework developmentRecords documenting the establishment and development institution's governance structure and rules.Life of institutionInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.
Legal framework developmentRecords documenting the establishment and development of the institution's legal framework.Life of institutionInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.
Senior officers' appointments administrationRecords documenting the appointment/ election/designation of the institution's senior officers.Termination of appointment + 6 yearsLimitation Act 1980 c. 58 s 5

The institution may wish to transfer these records to the archive once they are no longer in active use.
Public interest disclosure (whistle blowing) investigationRecords documenting the investigation, determination and resolution of an allegation made by a member of staff under the Public Interest Disclosure Act 1998 (c.23).Closure of case + 6 yearsLimitation Act 1980 c. 58 ss 2 and 5
Official external representationRecords documenting the appointment/designation of staff to officially represent the institution.Termination of representationInstitutional business requirements.
Legal affairs management policy developmentRecords documenting the development and establishment of the institution's policies on the management of legal affairs: key records.Superseded + 5 yearsInstitutional business requirements.
Legal affairs management policy and procedures developmentRecords documenting the development and establishment of the institution's policies and procedures on the management of legal affairs: working papers.Issue of document + 1 yearInstitutional business requirements.
Legal affairs management procedure developmentMaster copies of procedures relating to the management of legal affairs.Superseded + 5 yearsInstitutional business requirements.
Contracts and agreements managementRecords documenting the negotiation, establishment and review of contracts and agreements between the institution and third parties: agreements and contracts under seal (by deed).Termination of contract + 12 yearsLimitation Act 1980 c. 58 s 8
Contracts and agreements managementRecords documenting the negotiation, establishment and review of contracts and agreements between the institution and third parties: other contracts and agreements.Termination of contract + 6 yearsLimitation Act 1980 c. 58 s 5
Legal claims managementRecords documenting the provision of legal support and representation for the institution in dealing with claims by or against the institution which do not proceed to litigation or settlement by an agreement.Settlement of claim + 6 years OR Withdrawal of claim + 6 yearsLimitation Act 1980 c. 58 ss 2 and 5
Litigation managementRecords documenting litigation between the institution and third parties where legal precedents are set.Life of institutionInstitutional business requirements.
Litigation managementRecords documenting litigation between the institution and third parties which does not set legal precedents.Settlement of case + 6 yearsLimitation Act 1980 c. 58 ss 2 and 5
Legal adviceLegal 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
Life of institutionInstitutional business requirements.
Legal adviceLegal advice on other matters requested by, and provided to, the institution.Superseded + 5 yearsInstitutional business requirements.

Committees

ActivityRecord groupRetention periodCitations and notes
Statutory/non-statutory committee administrationRecords documenting the development and establishment of the terms of reference, and the rules and procedures, for a committee.Life of institutionInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.
Statutory/non-statutory committee administrationRecords documenting the appointment/election/designation of members of a committee, training undertaken by individual members of a statutory committee and register of interests of members of the institution's governing body.Termination of appointment + 6 yearsLimitation Act 1980 c. 58 s 5

Retaining previous versions of training programmes provides evidence of effective induction and training over time.
Statutory/non-statutory committee administrationRecords documenting the development of induction and training programmes for members of a committee.Superseded + 5 yearsRetaining previous versions provides evidence of effective induction and training over time.
Statutory/non-statutory committee administrationRecords documenting the arrangements for meetings of a committee.Current year + 1 yearInstitutional business requirements.
Statutory/non-statutory committee administrationRecords documenting the conduct of the business of a committee:  agenda, minutes and supporting papers.Life of institutionInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.
Statutory/non-statutory committee administrationRecords 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 year + 5 yearsInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.
Statutory/non-statutory committee administrationRecords documenting the conduct of reviews of the effectiveness and performance of a committee.Completion of two subsequent reviewsRetaining records of previous reviews provides evidence of effective monitoring over time, as well as compliance with regulatory requirements/recommendations to undertake reviews.

Risk and quality

ActivityRecord groupRetention periodCitations and notes
Risk management strategy and policy developmentRecords documenting the development and establishment of the institution's risk management strategy and policies: key records.Superseded + 5 yearsInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.
Risk management strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's risk management strategy, policies, and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Risk management procedure developmentMaster copies of procedures relating to risk management.Superseded + 3 yearsInstitutional business requirements.
Risk identification and assessmentRecords documenting identified risks to the institution and assessments of those risks.Superseded + 1 yearInstitutional business requirements.
Business continuity planningRecords documenting the formulation, testing and maintenance of disaster response and recovery plans.Superseded + 1 yearInstitutional business requirements.
Quality strategy developmentRecords documenting the development and establishment of the institution's quality management strategy: key records.Superseded + 5 yearsInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.
Quality strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's quality management strategy, policies, and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Quality management policy developmentRecords documenting the development and establishment of the institution's quality management policies: key records.Superseded + 5 yearsInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.
Quality management procedure developmentMaster copies of procedures relating to quality management.Superseded + 3 yearsInstitutional business requirements.
Quality auditRecords documenting the conduct and results of quality audits, and action taken to address issues raised.Completion of audit + 3 yearsInstitutional business requirements.
Quality management scheme accreditation managementRecords documenting the attainment and maintenance of the institution's accreditation under established independent quality management schemes.Termination of accreditation + 1 yearInstitutional business requirements.
Audit strategy developmentRecords documenting the development and establishment of the institution's audit strategy: key records.Superseded + 5 yearsInstitutional business requirements.
Audit strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's audit strategy, policies, and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Audit policy developmentRecords documenting the development and establishment of the institution's audit policies: key records.Superseded + 5 yearsInstitutional business requirements.
Audit procedure developmentMaster copies of procedures relating to audit management.Superseded + 3 yearsInstitutional business requirements.
Audit managementRecords documenting the conduct and results of audits, and action taken to address issues raised.Completion of audit + 5 yearsInstitutional business requirements.

Equality and diversity

ActivityRecord groupRetention periodCitations and notes
Equality and diversity strategy developmentRecords documenting the development and establishment of the institution's equality and diversity strategy: key records.Superseded + 5 yearsInstitutional business requirements.
Equality and diversity strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's equality and diversity strategy, policies, and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Equality and diversity policy developmentRecords documenting the development and establishment of the institution's policies on equality and diversity: key records.Superseded + 5 yearsInstitutional business requirements.
Equality and diversity procedure developmentMaster copies of procedures relating to the management of equality and diversity.Superseded + 3 yearsInstitutional business requirements.
Equality and diversity monitoringSummary statistical information resulting from equality monitoring.Current year + 5 yearsInstitutional business requirements.
Equality and diversity trainingRecords documenting the development and delivery of training on equality and diversity issues and procedures.Current year + 5 yearsInstitutional business requirements.
Discrimination complaints handlingRecords documenting the handling of formal complaints about discrimination by or within the institution.Last action on case + 6 yearsLimitation Act 1980 c. 58 s 2
Ethnic minority mentoring scheme co-ordinationRecords documenting the handling of individual applications for the Scheme and monitoring of the mentor-mentee relationship and outcomes.Completion of the Scheme + 1 yearInstitutional business requirements.
Disability equality complianceRecords documenting the preparation/revision of the institution's Disability Equality Scheme.Superseded + 5 yearsThe Equality Act 2010 does not prescribe a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of equality over time.
Disability equality complianceRecords documenting the preparation of annual reports on the implementation of the institution's Disability Equality Scheme.Current year + 5 yearsThe Equality Act 2010 does not prescribe a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of equality over time.
Disability equality complianceRecords documenting assessments of the impact of the institution's policies and practices on equality for disabled persons.Superseded + 5 yearsRetaining previous versions provides evidence of compliance and effective management of equality over time.
Race equality complianceRecords documenting the preparation of the institution's race equality policy.Superseded + 5 yearsThe Equality Act 2010 does not prescribe a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of equality over time.
Race equality complianceRecords documenting assessments of the impact of the institution's policies on equality between different racial groups.Superseded + 5 yearsThe Equality Act 2010 does not prescribe a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of equality over time.
Race equality complianceRecords documenting the monitoring, by racial group, of student admission and progress. Current year + 5 yearsThe Equality Act 2010 does not prescribe a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of equality over time.
Race equality complianceRecords documenting the monitoring, by racial group, of employee recruitment and career progress.Current year + 5 yearsThe Equality Act 2010 does not prescribe a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of equality over time.
Gender equality complianceRecords documenting the preparation/revision of the institution's Gender Equality Scheme.Superseded + 5 yearsThe Equality Act 2010 does not prescribe a retention period for these records.

Retaining previous versions provide evidence of compliance and effective management of equality over time.
Gender equality complianceRecords documenting the preparation of annual reports on the implementation of the institution's Gender Equality Scheme.Current year + 5 yearsThe Equality Act 2010 does not prescribe a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of equality over time.
Gender equality complianceRecords documenting assessments of the impact of the institution's policies and practices on equality for men and women.Superseded + 5 yearsThe Equality Act 2010 does not prescribe a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of equality over time.

Health and safety

ActivityRecord groupRetention periodCitations and notes
Health and safety strategy developmentRecords documenting the development and establishment of the institution's health and safety strategy: key records.Superseded + 10 yearsInstitutional business requirements.
Health and safety strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's health and safety strategy, policies, and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Health and safety management policy developmentRecords documenting the development and establishment of the institution's policies on health and safety: key records.Superseded + 50 yearsThe Health and Safety at Work etc. Act 1974 (c.37), s 2(3) requires every employer to have '... a written statement of his general policy with respect to the health and safety at work of his employees and the organisation and arrangements for ... carrying out that policy ...'.

These records also meet the requirement to document the institution's health and safety arrangements for the planning, organisation, control, monitoring and review of preventive and protective measures, as set out by Regulation 5(2) of the Management of Health and Safety at Work Regulations 1999 (SI 1999/3242).

Retaining previous versions provides evidence of compliance and effective management of health and safety over time.
Health and safety management procedure developmentMaster copies of procedures relating to the management of health and safety.Superseded + 50 yearsThese records meet the requirement to document the institution's health and safety arrangements for the planning, organisation, control, monitoring and review of preventive and protective measures, as set out by Regulation 5(2) of the Management of Health and Safety at Work Regulations 1999 (SI 1999/3242).

Retaining previous versions provides evidence of compliance and effective management of health and safety over time.
Health and safety inspectionRecords documenting the conduct and results of health and safety inspections of the institution's land, buildings, facilities or operations, and action taken to address issues raised.Date of inspection + 5 years OR Superseded + 1 yearRetaining previous versions provides evidence of compliance and effective management of health and safety over time.
Health and safety auditRecords documenting the conduct and results of health and safety audits.Completion of audit + 5 yearsRetaining previous versions provides evidence of compliance and effective management of health and safety over time.
Health and safety consultationNotifications of appointments of safety representatives by trade unions under Regulation 3 of the Safety Representatives and Safety Committees Regulations 1977 (SI 1977/500).Termination of appointment + 1 yearThe Safety Representatives and Safety Committees Regulations (SI 1977/500) does not prescribe a retention period for these records.

The Health and Safety (Consultation with Employees) Regulations (SI 1996/1513) does not prescribe a retention period for these records.
Health and safety auditRecords documenting the provision of time off, and other facilities and assistance, for safety representatives appointed under the Safety Representatives and Safety Committees Regulations 1977 SI 1977/500).Current year + 5 yearsThe Safety Representatives and Safety Committees Regulations (SI 1977/500) does not prescribe a retention period for these records.

The Health and Safety (Consultation with Employees) Regulations (SI 1996 /1513) does not prescribe a retention period for these records.
Health and safety consultationConsultations and other communications with safety representatives appointed under the Safety Representatives and Safety Committees Regulations 1977 (SI 1977/500).Current year + 50 yearsThe Safety Representatives and Safety Committees Regulations (SI 1977/500) does not prescribe a retention period for these records.

The Health and Safety (Consultation with Employees) Regulations (SI 1996 /1513) does not prescribe a retention period for these records.
Health and safety consultationRecords documenting the establishment of a safety committee to fulfil the institution's duty under s 2(7) of the Health and Safety at Work etc. Act 1974 (c. 37) and in accordance with Regulation 9 of the Safety Representatives and Safety Committees Regulations 1977 (SI 1977/500).  Includes records documenting the objectives, role, functions, composition and administration of the committee.Dissolution of committee + 50 yearsThe Safety Representatives and Safety Committees Regulations (SI 1977/500) does not prescribe a retention period for these records.

The Health and Safety (Consultation with Employees) Regulations (SI 1996 /1513) does not prescribe a retention period for these records.
Health and safety consultationRecords documenting the election of members of a safety committee formed under the Safety Representatives and Safety Committees Regulations 1977 (SI 1977/500).Completion of election + 1 yearThe Safety Representatives and Safety Committees Regulations (SI 1977/500) does not prescribe a retention period for these records.

The Health and Safety (Consultation with Employees) Regulations (SI 1996 /1513) does not prescribe a retention period for these records.
Health and safety consultationRecords documenting the proceedings and decisions of a safety committee formed under the Safety Representatives and Safety Committees Regulations 1977 (SI 1977/500).Current year + 50 yearsThe Safety Representatives and Safety Committees Regulations (SI 1977/500) does not prescribe a retention period for these records.

The Health and Safety (Consultation with Employees) Regulations (SI 1996 /1513) does not prescribe a retention period for these records.
Health and safety consultationRecords documenting the election of representatives of employee safety under the Health and Safety (Consultation with Employees) Regulations 1996 (SI 1996/1513).Completion of election + 1 yearThe Safety Representatives and Safety Committees Regulations (SI 1977/500) does not prescribe a retention period for these records.

The Health and Safety (Consultation with Employees) Regulations (SI 1996 /1513) does not prescribe a retention period for these records.
Health and safety consultationRecords documenting consultations and other communications with representatives of employee safety elected under the Health and Safety (Consultation with Employees) Regulations 1996 (SI 1996/1513), or with all employees directly.Current year + 50 yearsThe Safety Representatives and Safety Committees Regulations (SI 1977/500) does not prescribe a retention period for these records.

The Health and Safety (Consultation with Employees) Regulations (SI 1996 /1513) does not prescribe a retention period for these records.
Health and safety consultationRecords documenting the provision of training (specifically related to their functions as representatives) for representatives of employee safety elected under the Health and Safety (Consultation with Employees) Regulations 1996 (SI 1996/1513).Current year + 5 yearsThe Safety Representatives and Safety Committees Regulations (SI 1977/500) does not prescribe a retention period for these records.

The Health and Safety (Consultation with Employees) Regulations (SI 1996 /1513) does not prescribe a retention period for these records.
Health and safety consultationRecords documenting the provision of time off, and other facilities and assistance, for representatives of employee safety appointed under the Health and Safety (Consultation with Employees) Regulations 1996 (SI 1996/1513).Current year + 5 yearsThe Safety Representatives and Safety Committees Regulations (SI 1977/500) does not prescribe a retention period for these records.

The Health and Safety (Consultation with Employees) Regulations (SI 1996 /1513) does not prescribe a retention period for these records.
Health and safety information, instruction and training provisionRecords documenting the provision of health and safety information, instruction and training for employees, students and others, except where specified elsewhere in this Records Retention Schedule.Current year + 5 years or Superseded + 5 yearsThe following regulations require information, instruction and training to be provided but do not prescribe retention periods for records relating to this activity:
The Electricity at Work Regulations (SI 1989/635)
Health and Safety Information for Employees Regulations (SI 1990/606)
The Health and Safety (Display Screen Equipment) Regulations (SI 1992/2792)
The Manual Handling Operations Regulations (SI 1992/2793)
The Health and Safety (Safety Signs and Signals) Regulations (SI 1996/341)
The Provision and Use of Work Equipment Regulations (SI 1998/2306)
The Management of Health and Safety at Work Regulations (SI 1999/3242)
Health and safety hazard identification and risk assessmentRecords documenting the conduct, review and revision of risk assessments made to fulfil 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 yearsThe Management of Health and Safety at Work Regulations (SI 1999/3242) does not prescribe a retention period for these records.

As a minimum, risk assessments should be retained until they are superseded.

Retaining previous versions provides evidence of compliance and effective management of health and safety over time.
Health and safety hazard exposure control - display screen equipmentRecords documenting the conduct, review and revision of assessments of risks to health and safety created by using workstations, to fulfil the institution's duties under Regulation 2 of the Health and Safety (Display Screen) Equipment Regulations 1992 (SI 1992/2792).Superseded + 10 yearsThe Health and Safety (Display Screen Equipment) Regulations (SI 1992/2792) does not prescribe a retention period for these records.

As a minimum, risk assessments should be retained until they are superseded.

Retaining previous versions provides evidence of compliance and effective management of health and safety over time.
Health and safety hazard exposure control - display screen equipmentRecords documenting the provision of training and information for employees using workstations, to fulfil the institution's duties under Regulations 6 and 7 of the Health and Safety (Display Screen) Equipment Regulations 1992 (SI 1992/2792).Superseded + 5 yearsThe Health and Safety (Display Screen Equipment) Regulations (SI 1992/2792) does not prescribe a retention period for these records.
Health and safety hazard exposure control - noiseRecords documenting the conduct, review and revision of assessments of the risks to health and safety created by exposure to noise, made to fulfil the institution's duties under Regulation 5 of the Control of Noise at Work Regulations 2005 (SI 2005/1643).Superseded + 10 yearsControl of Noise at Work Regulations (SI 2005/1643) does not prescribe a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of health and safety over time.
Health and safety hazard exposure control - noiseRecords documenting the provision of personal protective equipment to employees, to fulfil the institution's duties under Regulation 7of the Control of Noise at Work Regulations 2005 (SI 2005/1643).Return of issued equipment + 1 yearCommon audit requirement

A record of the issue of personal protective equipment should be included in an employee's staff record.  See HUMAN RESOURCES MANAGEMENT - EMPLOYEE CONTRACT MANAGEMENT.
Health and safety hazard exposure control - noiseRecords documenting the maintenance of equipment provided to control exposure to noise, to fulfil the institution's duties under Regulation 8 of the Control of Noise at Work Regulations 2005 (SI 2005/1643).Date of examination/test/repair + 5 yearsControl of Noise at Work Regulations (SI 2005/1643) does not prescribe a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of health and safety over time.
Health and safety hazard exposure control - noiseRecords documenting health surveillance of employees who are exposed to noise, carried out to fulfil the institution's duties under Regulation 9 of the Control of Noise at Work Regulations 2005 (SI 2005/1643).Date of last entry in record + 40 yearsControl of Noise at Work Regulations (SI 2005/1643) does not specify a retention period for these records.
Health and safety hazard exposure control - noiseRecords documenting the provision of information, instruction and training for employees who are exposed to noise, to fulfil the institution's duties under Regulation 10 of the Control of Noise at Work Regulations 2005 (SI 2005/1643).Superseded + 10 yearsControl of Noise at Work Regulations (SI 2005/1643) does not prescribe a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of health and safety over time.
Health and safety hazard exposure control - hazardous substancesList of employees exposed to Group 3 or Group 4 biological agents, and records of exposures, accidents and incidents involving these agents, required by Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677), Schedule 3, para. 4.Current + 40 yearsThe Control of Substances Hazardous to Health Regulations (SI 2002/2677) Regulation 7(10) and Schedule 3, para. 4(3)
Health and safety hazard exposure control - hazardous substancesRecords documenting the conduct, review and revision of assessments of the risks to health created by work with substances hazardous to health, to fulfil the institution's duties under Regulation 6 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677).Superseded + 10 yearsThe Control of Substances Hazardous to Health Regulations (SI 2002/2677) does not prescribe a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of health and safety over time.

A longer retention period may be appropriate if there have been potentially dangerous exposures.
Health and safety hazard exposure control - hazardous substancesRecords documenting the maintenance of equipment provided to control exposure to substances hazardous to health, to fulfil the institution's duties under Regulation 9 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677).Date of examination/test/repair + 5 yearsThe Control of Substances Hazardous to Health Regulations (SI 2002/2677) Regulation 9(4)
Health and safety hazard exposure control - hazardous substancesRecords documenting the conduct and results of monitoring the personal exposures of individual employees to substances hazardous to health, to fulfil the institution's duties under Regulation 10 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677).Last entry + 40 yearsThe Control of Substances Hazardous to Health Regulations (SI 2002/2677) Regulation 10(5)(a)
Health and safety hazard exposure control - hazardous substancesRecords documenting the conduct and results of monitoring employees' general exposure to substances hazardous to health, to fulfil the institution's duties under Regulation 10 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677).Last entry + 5 yearsThe Control of Substances Hazardous to Health Regulations (SI 2002/2677) Regulation 10(5)(b)
Health and safety hazard exposure control - hazardous substancesRecords documenting health surveillance of individual employees who are exposed to substances hazardous to health, to fulfil the institution's duties under Regulation 11 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677).Date of last entry in record + 40 yearsThe Control of Substances Hazardous to Health Regulations (SI 2002/2677) Regulation 11(3)
Health and safety hazard exposure control - hazardous substancesRecords documenting the provision of information, instruction and training for employees who are exposed to substances hazardous to health, to fulfil the institution's duties under Regulation 12 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677).Superseded + 10 yearsThe Control of Substances Hazardous to Health Regulations (SI 2002/2677) does not prescribe a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of health and safety over time.

A longer retention period may be appropriate if there have been potentially dangerous exposures.
Health and safety hazard exposure control - hazardous substancesRecords documenting the development of plans and information to deal with accidents, incidents and emergencies related to the presence of substances hazardous to health, to fulfil the institution's duties under Regulation 13 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677).Superseded + 10 yearsThe Control of Substances Hazardous to Health Regulations (SI 2002/2677) does not prescribe a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of health and safety over time.
Health and safety hazard exposure control - hazardous substancesRecords documenting the institution's response to accidents, incidents and emergencies involving substances hazardous to health, to fulfil the institution's duties under Regulation 13 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677).Last action on event + 10 yearsThe Control of Substances Hazardous to Health Regulations (SI 2002/2677) does not prescribe a retention period for these records.

Retaining records for a long period provides evidence of effective management of emergency situations.

A longer retention period may be appropriate if there have been potentially dangerous exposures.
Health and safety hazard
Exposure control (non-ionising radiation)
Records documenting controlling and investigating exposure, assessing the risks to health, providing and maintain equipment to control exposure following ICNiRP guidelines, providing information, instruction and training for employees who are exposed to non-ionising radiation, monitoring levels of non-ionising radiation, testing to detect leakage from articles or equipment transmitting non-ionising radiations.Date of inspection/test/repair/training + 5 yearsEC Directives 2013/35/EC
+ ICNiRP guidelines
Health and safety hazard exposure control - leadRecords documenting the conduct, review and revision of assessments of the risks to health created by work involving lead, to fulfil the institution's duties under Regulation 5 of the Control of Lead at Work Regulations 2002 (SI 2002/2676).Superseded + 10 yearsThe Control of Substances Hazardous to Health Regulations (SI 2002/2676) Regulation 5 implies that the records should be retained until the risk assessment is superseded.

Retaining previous versions provides evidence of compliance and effective management of health and safety over time.

A longer retention period may be appropriate if there have been potentially dangerous exposures.
Health and safety hazard exposure control - leadRecords documenting the maintenance of equipment provided to control exposure to lead, to fulfil the institution's duties under Regulation 8 of the Control of Lead at Work Regulations 2002 (SI 2002/2676).Date of examination/test/repair + 5 yearsThe Control of Substances Hazardous to Health Regulations (SI 2002/2676) Regulation 8(4)
Health and safety hazard exposure control - leadRecords documenting the conduct and results of monitoring employees' general exposure to lead (in air), to fulfil the institution's duties under Regulation 9 of the Control of Lead at Work Regulations 2002 (SI 2002/2676).Last entry + 5 yearsThe Control of Substances Hazardous to Health Regulations (SI 2002/2676) Regulation 9(4)
Health and safety hazard exposure control - leadRecords documenting medical surveillance of individual employees who are exposed to lead, to fulfil the institution's duties under Regulation 10 of the Control of Lead at Work Regulations 2002 (SI 2002/2676).Date of last entry on record + 40 yearsThe Control of Substances Hazardous to Health Regulations (SI 2002/2676) Regulation 10(5)
Health and safety hazard exposure control - leadRecords documenting the provision of information, instruction and training for employees who are exposed to lead, to fulfil the institution's duties under Regulation 11 of the Control of Lead at Work Regulations 2002 (SI 2002/2676).Superseded + 10 yearsThe Control of Substances Hazardous to Health Regulations (SI 2002/2676) does not prescribe a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of health and safety over time.

A longer retention period may be appropriate if there have been potentially dangerous exposures.
Health and safety hazard exposure control - leadRecords documenting the development of plans and information to deal with accidents, incidents and emergencies related to the presence of lead, to fulfil the institution's duties under Regulation 12 of the Control of Lead at Work Regulations 2002 (SI 2002/2676).Superseded + 10 yearsThe Control of Substances Hazardous to Health Regulations (SI 2002/2676) does not prescribe a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of health and safety over time.
Health and safety hazard exposure control - leadRecords documenting the institution's response to accidents, incidents and emergencies involving lead, to fulfil the institution's duties under Regulation 12 of the Control of Lead at Work Regulations 2002 (SI 2002/2676).Last action on event + 10 yearsThe Control of Substances Hazardous to Health Regulations (SI 2002/2676) does not prescribe a retention period for these records.

Retaining records for a long period provides evidence of effective management of emergency situations.

A longer retention period may be appropriate if there have been potentially dangerous exposures.
Health and safety hazard exposure control - asbestosRecords documenting assessments of the presence and condition of asbestos, as required by Regulation 5 of the Control of Asbestos Regulations 2012 (SI 2012/632).Completion of work to which the assessment relates + 10 yearsControl of Asbestos Regulations (SI 2012/632) does not prescribe a retention period for these records.

Retaining assessments provides evidence of effective management of risks over time.
Health and safety hazard exposure control - asbestosRecords documenting the conduct, review and revision of assessments of the risks to health created by exposure to asbestos, to fulfil the institution's duties under Regulation 6 of the Control of Asbestos Regulations 2012 (SI 2012/632).Superseded + 10 yearsControl of Asbestos Regulations (SI 2012/632) does not specify a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of health and safety over time.

A longer retention period may be appropriate if there have been potentially dangerous exposures.
Health and safety hazard exposure control – asbestosPlans of work for undertaking work with asbestos, as required by Regulation 7 of the Control of Asbestos Regulations 2012 (SI 2012/632).Completion of work to which plan relates.Control of Asbestos Regulations (SI 2012/632) Regulation 7(2)
Health and safety hazard exposure control - asbestosRecords documenting notifications to enforcing authorities of proposed work with asbestos, to fulfil the institution's duties under Regulation 9 of the Control of Asbestos Regulations 2012 (SI 2012/632).Duration of work + 10 yearsControl of Asbestos Regulations (SI 2012/632) Regulation 9 does not prescribe a retention period for these records.

Retaining assessments provides evidence of effective management of risks associated with works carried out.
Health and safety hazard exposure control - asbestosRecords documenting the provision of information, instruction and training for employees who are exposed to asbestos, to fulfil the institution's duties under Regulation 10 of the Control of Asbestos Regulations 2012 (SI 2012/632).Superseded + 10 yearsControl of Asbestos Regulations (SI 2012/632) Regulation 10 does not prescribe a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of health and safety over time.

A longer retention period may be appropriate if there have been potentially dangerous exposures.
Health and safety hazard exposure control - asbestosRecords documenting the maintenance of equipment provided to control exposure to asbestos, to fulfil the institution's duties under Regulation 13 of the Control of Asbestos Regulations 2012 (SI 2012/632).Date of examination/test/repair + 5 yearsControl of Asbestos Regulations (SI 2012/632) Regulation 13(3)
Health and safety hazard exposure control - asbestosRecords documenting the development of plans and information to deal with accidents, incidents and emergencies related to the presence of asbestos, to fulfil the institution's duties under Regulation 15 of the Control of Asbestos Regulations 2012 (SI 2012/632).Superseded + 10 yearsControl of Asbestos Regulations (SI 2012/632) Regulation 15 does not prescribe a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of health and safety over time.
Health and safety hazard exposure control - asbestosRecords documenting the institution's response to accidents, incidents and emergencies involving asbestos, to fulfil its duties under Regulation 15 of the Control of Asbestos Regulations 2012 (SI 2012/632).Last action on event + 10 yearsControl of Asbestos Regulations (SI 2012/632) Regulation 15 does not prescribe a retention period for these records.

Retaining records for a long period provides evidence of effective management of emergency situations.

A longer retention period may be appropriate if there have been potentially dangerous exposures.
Health and safety hazard exposure control - asbestosRecords documenting the conduct and results of monitoring the personal exposures of individual employees (who are required to be under medical surveillance) to asbestos, to fulfil the institution's duties under Regulation 19 of the Control of Asbestos Regulations 2012 (SI 2012/632).Date of monitoring + 40 yearsControl of Asbestos Regulations (SI 2012/632) Regulation 19(4)(a)
Health and safety hazard exposure control - asbestosRecords documenting the conduct and results of monitoring employees' general exposure to asbestos, to fulfil the institution's duties under Regulation 19 of the Control of Asbestos Regulations 2012 (SI 2012/632).Date of monitoring + 5 yearsControl of Asbestos Regulations (SI 2012/632) Regulation 19(4)(b)
Health and safety hazard exposure control - asbestosRecords documenting medical surveillance of individual employees who are exposed to asbestos, to fulfil the institution's duties under Regulation 22 of the Control of Asbestos Regulations 2012 (SI 2012/632).Date of last entry on record + 40 yearsControl of Asbestos Regulations (SI 2012/632) Regulation 22(1)(b)
Health and safety hazard exposure control – asbestosEmployer's copies of certificates of medical examinations of identifiable employees who are exposed to asbestos, as required by Regulation 22 of the Control of Asbestos Regulations 2012 (SI 2012/632).Date of certificate + 4 yearsControl of Asbestos Regulations (SI 2012/632) Regulation 22(4)

In practice, these are likely to be retained as part of the health records required by Regulation 22 of SI 2012/632.
Health and safety hazard exposure control - ionising radiationRecords documenting the conduct, review and revision of assessments of the risks to health created by work with ionising radiation, to fulfil the institution's duties under Regulation 7 of the Ionising Radiations Regulations 2017 (SI 2017/1075).Superseded + 10 yearsIonising Radiations Regulations (SI 2017/1075) Regulation 7 does not prescribe a retention period for these records. 

Retaining previous versions provides evidence of compliance and effective management of health and safety over time.

A longer retention period may be appropriate if there have been potentially dangerous exposures.
Health and safety hazard exposure control - ionising radiationRecords documenting the maintenance of personal protective equipment provided to control exposure to ionising radiation, to fulfil the institution's duties under Regulation 10 of the Ionising Radiations Regulations 2017 (SI 2017/1075).Date of examination/test/repair + 2 yearsIonising Radiations Regulations (SI 2017/1075) Regulation 10(2)
Health and safety hazard exposure control - ionising radiationRecords documenting the maintenance of other equipment provided to control exposure to ionising radiation, to fulfil the institution's duties under Regulation 10 of the Ionising Radiations Regulations 2017 (SI 2017/1075).Date of examination/test/repair + 5 yearsIonising Radiations Regulations (SI 2017/1075) does not prescribe a retention period for these records.
Health and safety hazard exposure control - ionising radiationRecords documenting the preparation of contingency plans to deal with radiation accidents, to fulfil the institution's duties under Regulation 12 of the Ionising Radiations Regulations 2017 (SI 2017/1075).SupersededIonising Radiations Regulations (SI 2017/1075) does not prescribe a retention period for these records.
Health and safety hazard exposure control - ionising radiationRecords documenting the provision of information, instruction and training for employees who are exposed to ionising radiation, to fulfil the institution's duties under Regulation 14 of the Ionising Radiations Regulations 2017 (SI 2017/1075).Superseded + 10 yearsSI 1999/3232 does not prescribe a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of health and safety over time.

A longer retention period may be appropriate if there have been potentially dangerous exposures.
Health and safety hazard exposure control - ionising radiationRecords documenting the maintenance and testing of equipment for monitoring levels of ionising radiation, to fulfil the institution's duties under Regulation 19 of the Ionising Radiations Regulations 2017 (SI 2017/1075).Date of maintenance/testing + 2 yearsIonising Radiations Regulations (SI 2017/1075) Regulation 19(4)(c)
Health and safety hazard exposure control - ionising radiationRecords documenting the monitoring of levels of ionising radiation in designated controlled areas, to fulfil the institution's duties under Regulation 19 of the Ionising Radiations Regulations 2017 (SI 2017/1075).Date of monitoring + 2 yearsIonising Radiations Regulations (SI 2017/1075) Regulation 19(4)(c)
Health and safety hazard exposure control - ionising radiationRecords documenting assessments of doses of ionising radiation received by 'classified persons' which are likely to be significant, to fulfil the institution's duties under Regulation 21 of the Ionising Radiations Regulations 2017 (SI 2017/1075).Date of assessment + 50 years OR Until the employee reaches (or would have reached, if deceased) 75 years, whichever is the later.Ionising Radiations Regulations (SI 2017/1075) Regulation 21(3)(a)

Dose records are usually made and maintained by a dosimetry service on behalf of an employer.  A dosimetry service provides summaries of dose records to an employer on whose behalf it makes and maintains the records.
Health and safety hazard exposure control - ionising radiationSummaries of dose records, as required by Regulation 21 of the Ionising Radiations Regulations 2017 (SI 2017/1075).Current year + 2 yearsIonising Radiations Regulations (SI 2017/1075) Regulation 21(7)
Health and safety hazard exposure control - ionising radiationRecords documenting investigations into the exposure of 'classified persons' to ionising radiation, to fulfil the institution's duties under Regulation 22 of the Ionising Radiations Regulations 2017 (SI 2017/1075).Date of report of investigation + 2 yearsIonising Radiations Regulations (SI 2017/1075) Regulation 22(4)
Health and safety hazard exposure control - ionising radiationRecords documenting assessments of individual doses of ionising radiation received as a result of a radiation accident, to fulfil the institution's duties under Regulation 23 of the Ionising Radiations Regulations 2017 (SI 2017/1075).Date of accident + 50 years OR Until the employee reaches (or would have reached, if deceased) 75 years, whichever is the later.Ionising Radiations Regulations (SI 2017/1075) Regulation 23(2)(b)
Health and safety hazard exposure control - ionising radiationRecords documenting medical surveillance of individual employees who are exposed to ionising radiation and are required to be under medical surveillance, to fulfil the institution's duties under Regulation 24 of the Ionising Radiations Regulations 2017 (SI 2017/1075).Date of last entry + 50 years OR Until the employee reaches (or would have reached, if deceased) 75 years, whichever is the later.Ionising Radiations Regulations (SI 2017/1075) Regulation 24(3)
Health and safety hazard exposure control - ionising radiationReports of immediate investigations into possible overexposure to ionising radiation, to fulfil the institution's duties under Regulation 25 of the Ionising Radiations Regulations 2017 (SI 2017/1075).Date of report of investigation + 2 yearsIonising Radiations Regulations (SI 2017/1075) Regulation 25(2)(a)
Health and safety hazard exposure control - ionising radiationReports of investigations into occurrences of overexposure to ionising radiation, to fulfil the institution's duties under Regulation 25 of the Ionising Radiations Regulations 2017 (SI 2017/1075).Date of report + 50 years OR Until the employee reaches (or would have reached, if deceased) 75 years, whichever is the later.Ionising Radiations Regulations (SI 2017/1075) Regulation 25(2)(b)
Health and safety hazard exposure control - ionising radiationRecords documenting tests to detect leakage from articles containing or embodying radioactive substances, to fulfil the institution's duties under Regulation 27 of the Ionising Radiations Regulations 2017 (SI 2017/1075).Completion of subsequent test on article OR Disposal of article + 2 years.Ionising Radiations Regulations (SI 2017/1075) Regulation 27(3)
Health and safety hazard exposure control - ionising radiationRecords of the quantity and location of radioactive substances, to fulfil the institution's duties under Regulation 28 of the Ionising Radiations Regulations 2017 (SI 2017/1075).Disposal of radioactive substance + 2 years OR Date of record + 2 years, whichever is the longer.Ionising Radiations Regulations (SI 2017/1075) Regulation 28
Health and safety incident recording, reporting and investigationRecords documenting immediate investigations into possible accidental release or theft of radioactive substances, where no release or theft was found to have occurred, to fulfil the institution's duties under Regulation 30 of the Ionising Radiations Regulations 2012 (SI 2012/632).Date of report + 2 yearsIonising Radiations Regulations (SI 2017/1075) Regulation 30
Health and safety incident recording, reporting and investigationRecords documenting immediate investigations into possible accidental release or theft of radioactive substances, where accidental release or theft was found to have occurred, to fulfil the institution's duties under Regulation 30 of the Ionising Radiations Regulations 2012 (SI 2012/632).Date of report + 50 yearsIonising Radiations Regulations (SI 2017/1075) Regulation 30
Health and safety incident recording, reporting and investigationRecords of injuries, dangerous occurrences and outbreaks of notifiable diseases on the institution's premises, to fulfil the institution's duties under Regulation 7 of the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013 (SI 2013/1471).Date of recording + 3 yearsThe Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (SI 2013/1471) Regulation 7(3)
The Social Security (Claims and Payments) Amendment (No. 3) Regulations (SI 1993/2113) Regulation 2

The contents of records to be kept are specified in Schedule 4 of (SI 2013/1471).
Health and safety incident recording, reporting and investigationRecords documenting the investigation of accidents, dangerous occurrences and outbreaks of notifiable diseases on the institution's premises.Closure of investigation + 40 yearsLimitation Act 1980 c. 58 s 11
Health and safety incident recording, reporting and investigationRecords documenting the notification and reporting (to the relevant enforcing authorities) of reportable accidents, dangerous occurrences and outbreaks of notifiable diseases to enforcing authorities.Date of notification + 3 yearsThe Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (SI 2013/1471) Regulation 7(3)
Health and safety incident managementRecords documenting the conduct, review and revision of fire safety risk assessments to fulfil the institution's duties under Article 9 of the Regulatory Reform (Fire Safety) Order 2005 (SI 2005/1541) or Section 53 and/or Section 54 of the Fire (Scotland) Act 2005 (asp 5).Superseded + 5 yearsNeither SI 2005/1541 nor 2005 asp 5 prescribes a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of health and safety over time.
Health and safety incident managementRecords documenting fire safety arrangements made to fulfil the institution's duties under Article 11 of the Regulatory Reform (Fire Safety) Order 2005 (SI 2005/1541).Superseded + 5 yearsSI 2005/1541 does not prescribe a retention period for these records.

Retaining previous versions provides evidence of compliance and effective management of health and safety over time.
Health and safety incident managementRecords documenting the nomination of 'competent persons' to implement fire-fighting measures to fulfil the institution's duties under Article 13 of the Regulatory Reform (Fire Safety) Order 2005 (SI 2005/1541).Termination of status as 'competent person'SI 2005/1541 does not prescribe a retention period for these records.

Retention of these records must comply with the provisions of the Data Protection Act 2018 and General Data Protection Regulation (GDPR) (EU) 2016/679.

'Competent persons' in this context are often referred to as 'fire wardens' or similar.
Health and safety incident managementRecords documenting the provision of role-specific training for 'competent persons' to implement fire-fighting measures in the institution's premises to fulfil the institution's duties under Article 13 of the Regulatory Reform (Fire Safety) Order 2005 (SI 2005/1541).Current year + 5 years OR Superseded + 5 yearsSI 2005/1541 does not prescribe a retention period for these records.

Retaining information about previous training provides evidence of compliance and effective management of health and safety over time.
Health and safety incident managementRecords documenting the conduct, review and revision of assessments of requirements 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).Review of assessment + 5 yearsSI 2005/1541 does not prescribe a retention period for these records.

Retaining information about previous assessments provides evidence of compliance and effective management of health and safety over time.
Health and safety incident managementRecords documenting the maintenance of premises, facilities and equipment to fulfil the institution's duties under Article 17 of the Regulatory Reform (Fire Safety) Order 2005 (SI 2005/1541).Current year + 5 yearsSI 2005/1541 does not prescribe a retention period for these records.

Retaining maintenance history provides evidence of compliance and effective management of health and safety over time.

Also see: ESTATE MANAGEMENT - PREMISES MAINTENANCE; FACILITIES MANAGEMENT - FACILITIES MAINTENANCE; EQUIPMENT and CONSUMABLES MANAGEMENT - EQUIPMENT MAINTENANCE.
Health and safety incident managementRecords documenting the appointment of 'competent persons' to assist in implementing fire safety measures to fulfil the institution's duties under Article 18 of the Regulatory Reform (Fire Safety) Order 2005 (SI 2005/1541).Termination of status as 'competent person'SI 2005/1541 does not prescribe a retention period for these records.

'Competent persons' in this context are often referred to as 'fire wardens' or similar.
Health and safety incident managementRecords documenting the conduct and review of safety drills to fulfil the institution's duties under Article 15 of the Regulatory Reform (Fire safety) Order 2005 (SI 2005/1541).Current year + 5 years OR Superseded + 5 yearsSI 2005/1541 does not prescribe a retention period for these records.

Retaining information about previous drills etc. provides evidence of compliance and effective management of health and safety over time.
Health and safety incident managementRecords documenting arrangements with external emergency services for the provision of first-aid, emergency medical care, fire-fighting and rescue services (including the provision of information on the institution's emergency procedures and arrangements) to fulfil the institution's duties under Article 16 of the Regulatory Reform (Fire Safety) Order 2005 (SI 2005/1541).Current year + 5 years OR Superseded + 5 yearsSI 2005/1541 does not prescribe a retention period for these records.

Retaining information about previous arrangements provides evidence of compliance and effective management of health and safety over time.
Health and safety incident managementRecords documenting the maintenance of premises, facilities and equipment provided for the use by, or the protection of, fire-fighters to fulfil the institution's duties under Article 38 of the Regulatory Reform (Fire Safety) Order 2005 (SI 2005/1541).Current year + 5 yearsSI 2005/1541 does not prescribe a retention period for these records.

Retaining maintenance history provides evidence of compliance and effective management of health and safety over time.

Also see: ESTATE MANAGEMENT - PREMISES MAINTENANCE; FACILITIES MANAGEMENT - FACILITIES MAINTENANCE; EQUIPMENT and CONSUMABLES MANAGEMENT - EQUIPMENT MAINTENANCE.
Health and safety incident managementRecords documenting the provision of fire safety training to employees to fulfil the institution's duties under Article 21 of the Regulatory Reform (Fire Safety) Order 2005 (SI 2005/1541).Current year + 5 years OR Superseded + 5 yearsSI 2005/1541 does not prescribe a retention period for these records.

Retaining information about previous training provides evidence of compliance and effective management of health and safety over time.
Health and safety incident managementRecords documenting the appointment of first aiders.Termination of appointmentInstitutional business requirements.
Health and safety incident managementRecords documenting the provision of approved training for first aiders to fulfil the institution's duties under Regulation 3 of the Health and Safety (First Aid) Regulations 1981 (SI 1981/917).Current year + 3 years OR Superseded + 3 yearsSI 1981/917 does not prescribe a retention period for these records.

Retaining information about previous training provides evidence of compliance and effective management of health and safety over time.
Health and safety incident managementRecords documenting the provision of information about first aid arrangements to employees, to fulfil the institution's duties under Regulation 4 of the Health and Safety (First Aid) Regulations 1981 (SI 1981/917).Superseded + 3 yearsSI 1981/917 does not prescribe a retention period for these records.

Retaining previous information provides evidence of compliance and effective management of health and safety over time
Health and safety incident managementRecords 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 yearsSI 1981/917 does not prescribe a retention period for these records.

Retaining information about previous arrangements provides evidence of compliance and effective management of health and safety over time.

Environmental

ActivityRecord groupRetention periodCitations and notes
Environmental strategy and policy developmentRecords documenting the development and establishment of the institution's environmental management strategy, and policies: key records.Superseded + 10 yearsInstitutional business requirements.
Environmental strategy developmentRecords documenting the development and establishment of the institution's environmental management strategy, policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Environmental management procedure developmentMaster copies of procedures relating to environmental management.Superseded + 10 yearsInstitutional business requirements.
Environmental auditRecords documenting the conduct and results of environmental audits, and action taken to address issues raised.Completion of audit + 5 yearsInstitutional business requirements.
Environmental hazard identification and risk assessmentRecords documenting identified environmental hazards to the institution, or created by its operations, and the conduct and results of risk assessments.Elimination of risk + 5 years OR Updating of risk assessment + 5 yearsInstitutional business requirements.
Environmental management scheme accreditation managementRecords documenting the attainment and maintenance of the institution's accreditation under established environmental management schemes.Termination of accreditation + 1 yearInstitutional business requirements.
Environmental awareness promotionRecords documenting action taken by the institution to raise awareness of environmental issues among its employees, other staff and students.Current + 5 yearsInstitutional business requirements.
Environmental incident recording, reporting and investigationRecords documenting the recording of environmental incidents on the institution's premises or caused by its operations.Last action on incident + 40 yearsInstitutional business requirements.
Environmental incident recording, reporting and investigationRecords documenting the investigation of environmental incidents on the institution's premises or caused by its operations.Closure of investigation + 40 yearsInstitutional business requirements.
Environmental incident recording, reporting and investigationNotification and reporting of reportable environmental incidents to enforcing authorities.Date of notification + 5 yearsInstitutional business requirements.
Energy managementRoutine monitoring of the institution's use and consumption of energy.Current year + 5 yearsInstitutional business requirements.
Energy managementRecords documenting the conduct and results of formal reviews of the institution's use and consumption of energy, and action taken to address issues raised.Completion of review + 5 yearsInstitutional business requirements.
Waste managementRegister of 'special waste' removed from the premises for disposal by registered/licensed contractors, as required by Regulation 15 of the Special Waste Regulations 1996 (SI 1996/972).Removal of waste consignment + 3 yearsThe Special Waste Regulations (SI 1996/972) Regulation 15(4)

The Hazardous Waste (England and Wales) Regulations (SI 2005/894) repealed SI 1996/972 but SI 2005/894 Regulation 51(4) requires registers made under SI 1996/972 Regulation 15(4) to be retained for the period specified here.
Waste managementRecords 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 waste + 3 yearsSI 2005/894 Regulation 49(3)

The Hazardous Waste (England and Wales) Regulations (SI 2005/894) Regulation 49(1) specifies the content of these records.

Download these tables as a spreadsheet (.xslx).

Human resources

Records retention tables

Strategy and planning

ActivityRecord groupRetention periodCitations and notes
Human resources strategy and policy developmentRecords documenting the development and establishment of the institution's human resources strategy, and policies: key records.Superseded + 10 yearsInstitutional business requirements.
Human resources strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's human resources strategy, policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Human resources management procedure developmentMaster copies of procedures relating to human resources management.Superseded + 10 yearsInstitutional business requirements.
Workforce planningAssessment and analysis of workforce requirements, and the identification and evaluation of options for meeting these requirements.Current year + 3 yearsInstitutional business requirements.
Workforce planningRecords documenting management succession plans.Superseded + 5 yearsInstitutional business requirements.
Workforce planningRecords documenting the development and evaluation of job specifications.Superseded + 5 yearsInstitutional business requirements.

Recruitment and selection

ActivityRecord groupRetention periodCitations and notes
Recruitment and selectionRecords documenting internal authorisation for recruitment.Current year + 1 yearInstitutional business requirements.
Recruitment and selectionRecords documenting job evaluation information.While employment continues and up to 7 years after employment ceasesLimitation Act 1980
Recruitment and selectionRecords documenting the advertising of vacancies including screenshots of adverts and any further particulars taken on first day advertised by HR showing URL and dateCompletion of recruitment process + 9 months unless post holder recruited is a
Tier 2 visa holder, in which case the life of the sponsorship plus 1 year (7 years max)
Immigration, Asylum and
Nationality Act 2006 and
Limitation Act 1980
The Equality Act 2010.

Employment Practices Code, Section 1.7.1 (Information Commissioner's Office, 2011)

A recruitment process is completed when an offer of employment has been made and has been accepted, AND when all unsuccessful applicants have been notified.
Recruitment and selectionManagement analyses of recruitment effectiveness e.g. use of advertising media.Current year + 1 yearInstitutional business requirements.
Recruitment and selectionRecords documenting enquiries about vacancies and requests for application forms.Completion of recruitment processInstitutional business requirements.

A recruitment process is completed when an offer of employment has been made and has been accepted, AND when all unsuccessful applicants have been notified
Recruitment and selectionRecords documenting the handling of unsolicited applications for employment.Receipt of application + 1 yearSee Section 1.7 of the Employment Practices Code (Information Commissioner's Office, 2011).
Recruitment and selectionRecords of application forms (for all appointed applicants).While employment continues and up to 7 years after employment ceasesLimitation Act 1980
Recruitment and selectionRecords documenting the handling of applications for vacancies: successful applications.Termination of employment + 6 years (as part of employee contract records) except information which is not relevant to the ongoing employment relationship.Limitation Act 1980 c. 58 s 5

See Section 1.7 of the Employment Practices Code (Information Commissioner's Office, 2011).

For employment records, see HUMAN RESOURCES MANAGEMENT - EMPLOYEE CONTRACT MANAGEMENT).
Recruitment and selectionRecords documenting the handling of applications for vacancies: unsuccessful applications.Completion of recruitment process + 1 year.The Equality Act 2010.

See Section 1.7 of the Employment Practices Code (Information Commissioner's Office, 2011).

Actions under discrimination legislation must generally be brought within 6 months.

The Chartered Institute of Personnel and Development recommends '1 year'.  See the factsheet Retention of personnel and other related records (2006).

Anonymised data may be held for a longer period (e.g. for equality monitoring purposes).
Recruitment and selectionCopies of unsuccessful candidate's right to work documents and qualifications taken at interview stage.Completion of the recruitment processInstitutional business requirements.
Recruitment and selectionRecords of application forms for unsuccessful applicants where no Tier 2 sponsored person was appointed.6 months after notifying unsuccessful candidatesInformation Commissioner:
Employment Practice Code
Part 1: Recruitment and
Selection (1.7.5)
Recruitment and selectionRecords of application forms for unsuccessful applicants in the medium received where a Tier 2 sponsored person was appointed.For the life of the sponsorship plus 1 year (up to 7 years max)Limitation Act 1980
Recruitment and selectionRecords documenting shortlisting information where no Tier 2 sponsored person was appointed.6 months after the offer has been accepted by successful candidateInformation Commissioner:
Employment Practice Code
Part 1: Recruitment and
Selection (1.7.5)
Recruitment and selectionRecords documenting shortlisting information for a role where a Tier 2 sponsored person was appointed.For the life of the sponsorship plus 1 year (up to 7 years max)Limitation Act 1980
Recruitment and selectionRecords of interview notes, interview summary outcomes and any tests (appointee and unsuccessful interviewees) where no Tier 2 sponsored person was appointed.6 monthsInformation Commissioner:
Employment Practice Code
Part 1: Recruitment and
Selection (1.7.5)
Recruitment and selectionRecords of interview notes, interview summary outcomes and any tests for all interviewed candidates (appointee and unsuccessful interviewees) where a Tier 2 sponsored person was appointed.For the life of the sponsorship plus 1 year (up to 7 years max)Limitation Act 1980
Recruitment and selectionCopy of job description and person specification for a role where a Tier 2 sponsored person was appointed.For the life of the sponsorship plus 1 year (up to 7 years max)Limitation Act 1980
Recruitment and selectionCopies of unsuccessful candidate's right to work documents and qualifications taken at interview stage.Completion of the recruitment processInstitutional business requirements.
Recruitment and selectionAny references obtained for
unsuccessful candidates.
6 months after the offer has been accepted by successful candidateInstitutional business requirements.
Recruitment and selectionRecords documenting references provided in confidence in support of the employee's application(s) for employment by another organisation.Provision of reference + 1 yearInstitutional business requirements.

Induction and training

ActivityRecord groupRetention periodCitations and notes
Workforce inductionRecords documenting the development, overall delivery and assessment of induction programmes for new employees.

For records documenting individual employees' induction programmes, see Employee Contract Management.
Current year + 6 yearsInstitutional business requirements.
Workforce inductionRecords documenting the administration of induction programmes.Completion of programme + 1 year OR Termination of programme + 1 yearInstitutional business requirements.
Workforce training andamp; developmentSummary information on workforce training and development needs.

For records documenting individual employees' training and development needs, see Employee Contract Management.
Current year + 6 yearsInstitutional business requirements.
Workforce training andamp; developmentRecords documenting the development of training and development programmes to meet defined needs. Completion of programme + 5 yearsInstitutional business requirements.
Workforce training andamp; developmentIndividual feedback on training and development programmes.Completion of analysis of feedbackInstitutional business requirements.
Workforce training andamp; development(Anonymised) workforce feedback on training and development programmes.Current year + 5 yearsInstitutional business requirements.
Workforce training andamp; developmentManagement analyses of the impact of training and development programmes.Current year + 5 yearsInstitutional business requirements.

Performance and reward

ActivityRecord groupRetention periodCitations and notes
Workforce performance managementRecords documenting the development of workforce performance assessment systems.Life of system + 5 yearsInstitutional business requirements.
Workforce performance managementSummary (anonymised) results of employees' performance assessments.Current year + 5 yearsInstitutional business requirements.
Workforce performance managementManagement analyses of the impact of workforce performance assessment systems.Current year + 5 yearsInstitutional business requirements.
Workforce remuneration andamp; reward managementRecords documenting the development of the institution's remuneration structure.Current year + 10 yearsInstitutional business requirements.
Workforce remuneration andamp; reward managementPay reviews.Current year + 6 yearsInstitutional business requirements.
Workforce remuneration andamp; reward managementRecords documenting special reward schemes (e.g. Merit Reviews).Termination of scheme + 6 yearsInstitutional business requirements.

Welfare and relations

ActivityRecord groupRetention periodCitations and notes
Workforce welfare managementRecords documenting the hours worked by employees, including those who have agreed to work more than 48 hours a week, as required by the Working Time Regulations 1998 (SI 1998/1833).Date of record + 2 yearsWorking Time Regulations (SI 1998/1833) Regulations 5 and 9
Workforce welfare managementHealth assessments for night workers, and the results of assessments, as required by the Working Time Regulations 1998 (SI 1998/1833).Date of record + 2 yearsWorking Time Regulations (SI 1998/1833) Regulations 5 and 9
Workforce relations managementRecords documenting the design of workforce surveys and consultations.Completion of survey/consultation + 5 yearsInstitutional business requirements.
Workforce relations management(Identifiable) individual responses to workforce surveys and consultations.Completion of analysis of responsesThe retention period will depend on what was stated in the privacy notice when the data was collected. After this period, responses can be anonymised for the purposes of analysis to ensure compliance with GDPR.
Workforce relations managementSummary (anonymised) results of workforce surveys and consultations.Completion of survey + 5 yearsInstitutional business requirements.
Workforce relations managementGrievances raised by staff (which do not relate directly to their own contracts of employment), the institution's response, action taken and the outcome.Last action on case + 6 yearsLimitation Act 1980 c. 58 s 5

Industrial relations and pensions

ActivityRecord groupRetention periodCitations and notes
Industrial relations managementRecords documenting institutional recognition/derecognition of trades unions.Derecognition + 6 yearsLimitation Act 1980 c. 58 s 5
Industrial relations managementRecords documenting agreements with trade unions.Termination of agreement + 10 yearsChartered Institute of Personnel and Development, Retention of personnel and other related records (2018)
Industrial relations managementRecords documenting routine communications with trade union representatives, including minutes of meetings.Current year + 20 yearsInstitutional business requirements.
Industrial relations managementRecords documenting consultations/negotiations with trade unions on specific issues.Last action on issue + 20 yearsInstitutional business requirements.
Pension schemes administrationRecords documenting the institution's relationships with pension schemes to which all or part of its workforce belongs.Termination of relationship + 5 yearsInstitutional business requirements.
Pension schemes administrationRecords documenting routine communications with the pension schemes.Current year + 5 yearsInstitutional business requirements.

Employee contract management

ActivityRecord groupRetention periodCitations and notes
Employee contract managementRecords documenting the employee's initial application for employment with the institution and supporting documentation supplied by third parties (e.g. references,
Disclosure and Barring Service (DBS) checks).
Termination of employment + 6 years (as part of employee contract records) except information which is not relevant to the ongoing employment relationship.Limitation Act 1980 c. 58 s 5

See Section 1.7 of the Employment Practices Code (Information Commissioner's Office, 2011).

For employee contract records, see HUMAN RESOURCES MANAGEMENT - EMPLOYEE CONTRACT MANAGEMENT).
Employee contract managementRecords documenting the employee's subsequent applications for other jobs within the institution.Duration of job + 1 yearInstitutional business requirements.
Employee contract managementRecords documenting the employee's contract(s) of employment with the institution.Termination of employment + 6 yearsLimitation Act 1980 c. 58 s 5
Employee contract managementRecords documenting changes to the employee's terms and conditions of employment.Termination of employment + 6 yearsLimitation Act 1980 c. 58 s 5
Employee contract managementJob descriptions of positions held by the employee within the institution.Duration of job + 1 yearInstitutional business requirements.
Employee contract managementRecords documenting induction programmes attended by the employee.Completion of induction + 1 yearInstitutional business requirements.
Employee contract managementRecords documenting the employee's training and development needs, and the action taken to meet these needs.Completion of actions + 5 yearsInstitutional business requirements.
Employee contract managementRecords documenting job-specific statutory/regulatory training requirements for the employee, and the training provided to meet these requirements. Expiry of certification + 6 years OR Superseded + 6 yearsLimitation Act 1980 c. 58 s 5
Employee contract managementRoutine assessments/reviews of the employee's performance, and any consequent action taken.Superseded + 3 yearsInstitutional business requirements.
Employee contract managementRecords documenting disciplinary proceedings against the employee, where employment continues.Closure of case + 6 yearsCommon HR practice

Chartered Institute of Personnel and Development recommends '6 years after employment ceases'.  See Retention of personnel and other related records (Chartered Institution of Personnel and Development, 2018).
Employee contract managementRecords documenting grievances raised by the employee which relate directly to his/her own contract of employment, the institution's response, action taken and the outcome.Closure of case + 6 yearsCommon HR practice

Chartered Institute of Personnel and Development recommends '6 years after employment ceases'.  See Retention of personnel and other related records (Chartered Institute of Personnel and Development, 2018).
Employee contract managementRecords documenting the employee's remuneration and rewards (e.g. bonuses, merit awards, long service awards).Minimum:
Current tax year + 3 years

Recommended:
Current tax year + 6 years
Limitation Act 1980 c. 58 s 5

Minimum:
The Income Tax (Pay As You Earn) Regulations (SI 2003/2682) Regulation 97(8)
The National Minimum Wage Regulations 2015 (Part 7)

Recommended:
Taxes Management Act 1970 c. 9 s 34

For payroll records, see FINANCE MANAGEMENT - PAYROLL ADMINISTRATION.
Employee contract managementRecords relating to the administration of the employee's contractual holiday entitlement.Current year + 1 yearInstitutional business requirements.
Employee contract managementRecords documenting the employee's absence due to sickness.End of employment + 6 yearsThe Statutory Sick Pay (Maintenance of Records) (Revocation) Regulations 2014 (SI 2014/55).

Limitation Act, 1980.

SI 2014/55 abolished the former obligation on employers to keep these records. Although there is no longer a specific statutory retention period, employers still have to keep sickness records to best suit their business needs. It is advisable to keep records for at least 3 months after the end of the period of sick leave in case of a disability discrimination claim. However, if there were to be a contractual claim for breach of an employment contract it may be safer to keep records for 6 years after the employment ceases.
Employee contract managementRecords documenting the authorisation and administration of special leave, e.g. compassionate leave, study leave.Current year + 1 yearInstitutional business requirements.
Employee contract managementRecords documenting the authorisation and administration of statutory leave entitlements, e.g. parental leave.Completion of entitlement + 6 yearsThe Maternity and Parental Leave etc. Regulations 1999 (SI 1999/3312)
Employee contract managementRecords documenting entitlements to, and calculations of, Statutory Maternity Pay.Current Tax Year + 3 yearsThe Statutory Maternity Pay (General) Regulations (SI 1986/1960 Regulation 26)
Employee contract managementRecords containing employee's basic personal details (e.g. address, next of kin, emergency contacts).SupersededInstitutional business requirements.
Employee contract managementRecords documenting pre-employment health screening of an employee: employees exposed to hazardous substances during employment.See HEALTH andamp; SAFETY MANAGEMENT - HAZARDOUS SUBSTANCE EXPOSURE CONTROL.Institutional business requirements.
Employee contract managementRecords documenting pre-employment health screening of an employee: other employees.Termination of employment + 6 yearsLimitation Act 1980 c. 58 s 5
Employee contract managementRecords documenting the issue of personal protective equipment/other special equipment to an employee.Termination of employment + 6 yearsLimitation Act 1980 c. 58 s 5
Employee contract managementRecords documenting major injuries to an employee arising from accidents in the workplace.Termination of employment + 40 yearsHealth and Safety Regulations.
Employee contract managementRecords documenting the employee's termination of employment by voluntary resignation, redundancy, retirement (including on medical grounds) or dismissal.Termination of employment + 6 yearsLimitation Act 1980 c. 58 s 5
Employee contract managementRecords documenting references provided in confidence in support of the employee's application(s) for employment by another organisation.Provision of reference + 1 yearInstitutional business requirements.
Employee contract managementRecords documenting right to work
and immigration information.
2 years after the
termination of employment
Immigration, Asylum and
Nationality Act 2006 and
Limitation Act 1980

Payroll

ActivityRecord groupRetention periodCitations and notes
Payroll administrationRecords documenting employees' authorisation for non-statutory payroll deductions.Current tax year + 6 yearsLimitation Act 1980 c. 58 s 5
Payroll administrationRecords documenting calculation and payment of employees' salaries and other payments.Minimum:
Current tax year + 3 years
Recommended:
Current tax year + 6 years
Minimum:
The National Minimum Wage Regulations (SI 2015/621) Regulation 59(8)
The Income Tax (Pay As You Earn) Regulations (SI 2003/2682) Regulation 97(8)
Recommended:
Taxes Management Act 1970 c. 9 s 34
Payroll administrationEmployer's PAYE records which are not required to be sent to the Inland Revenue (under the provisions of the Income Tax (Pay As You Earn) Regulations 2003.Minimum:
Current tax year + 3 years
Recommended:
Current tax year + 6 years
The Income Tax (Pay As You Earn) Regulations (SI 2003/2682) Regulation 97(8)

'PAYE records' are defined in Regulation 97(2) of the Income Tax (Paye As You Earn) Regulations 2003 (SI 2003/2682).
Payroll administrationRecords documenting the administration of payments made under the Statutory Sick Pay scheme.Minimum:
Current tax year + 3 years
Recommended:
Current tax year + 6 years
The Statutory Sick Pay (Maintenance of Records) (Revocation) Regulations 2014 (SI 2014/55).
Payroll administrationRecords documenting the administration of payments made under the Statutory Maternity Pay scheme.Minimum:
Current tax year + 3 years
Recommended:
Current tax year + 6 years
The Statutory Maternity Pay (General) Regulations (SI 1986/1960) Regulation 26
Payroll administrationRecord of P45sWhile employment continues and up to 7 years after employment ceasesLimitation Act, 1980
Pension contributions administrationRecords documenting payments of the institution's employers' contributions to pensions schemes for its employees.Death of last known beneficiary of member + 6 yearsThe Retirement Benefits Schemes (Information Powers) Regulations 1995 s.15 (SI 1995/3103)
Pension contributions administrationRecords documenting payments of the institution's employees' contributions to pension schemes.Death of last known beneficiary of member + 6 yearsThe Retirement Benefits Schemes (Information Powers) Regulations 1995 s.15 (SI 1995/3103)

Download these tables as a spreadsheet (.xslx).

Corporate resources

Records retention tables

Estates

ActivityRecord groupRetention periodCitations and notes
Estate strategy and policies developmentRecords documenting the development and establishment of the institution's estate strategy and policies: key records.Superseded + 10 yearsInstitutional business requirements.
Estate strategy, policy, and procedures developmentRecords documenting the development and establishment of the institution's estate strategy, policies, and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Estate management procedure developmentMaster copies of procedures relating to estate management.Superseded + 10 yearsInstitutional business requirements.
Property acquisitionRecords documenting the acquisition of ownership of properties.Disposal of property + 12 yearsLimitation Act 1980 c. 58 s 8

This retention period assumes that property contracts are executed as deeds.  For other types of contracts, the retention period may be 6 years rather than 12 years.
Property acquisitionDeeds of title for properties owned by the institution.Disposal of propertyDeeds of title for a property are transferred to the new owner when the property is sold.
Property acquisitionRecords documenting negotiations for properties where the property was not acquired.Closure of negotiations + 6 yearsLimitation Act 1980 c. 58 s 2
Property acquisitionRecords documenting the negotiation of leases and original lease agreements.Expiry of lease + 15 yearsLimitation Act 1980 c. 58 s 14B
Property developmentRecords documenting the development of properties.Disposal of propertyInstitutional business requirements.

Some of these records may be transferred to the new owner when property is sold.
Property developmentHealth and Safety File for a structure, as required by Regulation 12 of the Construction (Design and Management) Regulations 2015 (SI 2015/51).Demolition of property OR Disposal of interest in propertyThe Construction (Design and Management) Regulations (SI 2015/51) Regulation 12

SI 2015/51 does not prescribe a retention period for these records, but Regulation 12 implies that the Health and Safety File for a structure should be retained for the life of the structure by the person responsible for the property.  Regulation 12(2) requires that a Health and Safety File is transferred to the new owner when ownership transfers.
Property developmentApplications for planning consents required to (re)develop property and consents granted.Disposal of property or expiry of consent.Planning consents which are valid when a property is sold are transferred to the new owner.
Property maintenanceRecords documenting routine inspections of property.Date of inspection + 5 years OR Superseded + 1 yearRetaining inspection records provides evidence of effective property management.
Property maintenanceRecords documenting major maintenance works on property.Disposal of propertySome of these records may be transferred to new owners when land is sold.
Property maintenanceRecords documenting minor maintenance works on property.Completion of works + 15 yearsLimitation Act 1980 c. 58 s 14B
Property maintenanceRecords documenting assessments made to determine the presence (or likely presence) of asbestos in premises, as required by Regulation 4(3) of the Control of Asbestos Regulations 2012 (SI 2012/632).Review of assessment + 10 yearsInstitutional business requirements.

Control of Asbestos Regulations (SI 2012/632) does not prescribe a retention period for these records. 

Retaining assessments provides evidence of effective management of risks associated with works carried out.
Property maintenanceRecords documenting the monitoring of the condition of asbestos in premises, and of maintaining or removing it.Removal of asbestos + 10 years OR Subsequent inspection + 10 yearsRetaining these records provides evidence of compliance with SI 2012/632.
Property disposalRecords documenting the disposal of properties by sale, transfer or donation.Disposal of property + 12 yearsLimitation Act 1980 c. 58 s 8

This retention period assumes that property contracts are executed as deeds.  For other types of contracts, the retention period may be 6 years rather than 12 years.
Property security managementRecords documenting the conduct and results of security inspections of properties, and action taken to address issued raised.Date of inspection + 5 years OR Superseded + 1 yearInstitutional business requirements.
Property security managementRecords documenting property access controls to secure areas (e.g. access registers, key registers, security data logs).Creation + 2 yearsInstitutional business requirements.
Property security managementRecords of security passes issued to visitorsExpiry of pass + 1 monthInstitutional business requirements.
Property security managementRecords of security passes issued to employees, other staff and students.Expiry of pass + 1 yearInstitutional business requirements.
Property security managementRecords documenting the conduct of routine security surveillance of properties.Creation + 1 monthInstitutional business requirements.
Property security managementRecords documenting security breaches or incidents, and action taken.Last action on incident + 1 yearInstitutional business requirements.
Property leasing-outRecords documenting leasing-out arrangements for properties.Expiry of lease + 12 yearsLimitation Act 1980 c. 58 s 8

This retention period assumes that leases are executed as deeds.  For other types of contracts, the retention period may be 6 years rather than 12 years.
Space managementRecords documenting the conduct and outcomes of space audits.Completion of subsequent audit + 5 yearsInstitutional business requirements.

Staff and student accommodation

ActivityRecord groupRetention periodCitations and notes
Accommodation contractRecords documenting the establishment of formal contractual relationship between institutional accommodation and
student.
Termination of contract + 6 yearsLimitation Act 1980
Allocation plan and policyRecords documenting the development
and establishment of the institution’s accommodation allocation plan and policy for the corresponding year.
Superseded + 10 yearsInstitutional business requirements.
Accommodation applicationRecords documenting the student’s application to accommodation provided by institution’s accommodation: Successful applications.Superseded by the contract if accepted (see contracts)Limitation Act 1980
Accommodation
Application
Records documenting the student’s application to accommodation provided by institution’s accommodation: Unsuccessful applications.Start of current academic year + 1 yearInstitutional business requirements.
Accommodation applicationRecords documenting the students
application to accommodation provided
by institution’s accommodation: Specific
requirements – supporting evidence
Decision + 3 monthsInstitutional business requirements.
Accommodation enquiresRecords documenting the handling of enquiries from prospective and current students.Current academic year + 2 yearsInstitutional business requirements.
InventoriesRecords documenting the room facilities associated with the contracted room and common areas.End of academic year + 6
years
Limitation Act 1980
RentsRecords documenting the development and establishment of institution’s accommodation rents for the corresponding year.Superseded + 10 yearsInstitutional business requirements.
Students listsRecords documenting the collation of students in list format for information purposes: Business need.Superseded or end of
academic year
Institutional business requirements.
Transfer
Requests form
Records documenting the request to alter student allocation.End of current academic
Year
Institutional business requirements.
Incident reportsIncidence reports relating to student accommodation (unless covered under HEALTH AND SAFETY section).Last action + 1 yearInstitutional business requirements.
Academic
Withdrawal
Requests
Record documenting student’s withdrawal request that may result in termination of accommodation licence: [Institution] accommodation resident.End of licence + 1 yearInstitutional business requirements.
Off-campus accommodationRecords documenting enquiries from current and prospective landlords (Head Leasing Scheme enquiries).Last action + 1 yearInstitutional business requirements.
Off-campus accommodationRent assessments-records documenting the development and establishment of proposed rents offered to landlords for the corresponding yearSuperseded + 1 yearInstitutional business requirements.
Off-campus accommodationRecords documenting the landlord’s application to Head Leasing Scheme (HLS) provided by [Institution] Accommodation: Successful applications.Superseded by the contract if accepted (see contracts)Institutional business requirements.
Off-campus accommodationRecords documenting the landlord’s application to HLS provided by [Institution] Accommodation: Unsuccessful applications (institution rejects property).Start of current academic yearInstitutional business requirements.
Off-campus accommodationRecords documenting the landlord’s application to HLS provided by [Institution] Accommodation: Unsuccessful applications (landlord rejects offer).Start of current academic year + 1 yearInstitutional business requirements.
Off-campus accommodationRecords documenting the establishment of formal contractual relationship between institution and landlord.Termination of contract + 6 yearsLimitation Act 1980
Off-campus accommodationRecords documenting landlord property ownership for information purposes: Business need.While current + 1 yearInstitutional business requirements.
Off-campus accommodationRecords documenting the landlord/company landlord name and address; contact details, in list format for information purposes: Business need (landlord lists).Superseded or end of academic yearInstitutional business requirements.
Off-campus accommodationLandlord Invoices-records documenting remedial and compliance work.End of licence + 6 yearsInstitutional business requirements.
Off-campus accommodationLandlord bank details.End of licence + 6 yearsInstitutional business requirements.
Off-campus accommodationRecords documenting landlord's proposed contractual arrangement: Agreed.End of licence + 6 yearsInstitutional business requirements.
Off-campus accommodationRecords documenting landlord's proposed contractual arrangement: Not agreed.Current + 1 yearInstitutional business requirements.
Staff and family housingAssured shorthold tenancy agreement.Termination of contract + 6 yearsHousing Act 1988 and Limitation Act 1980
Staff and family housingStaff and family accommodation applications: Successful.Superseded by the contract if acceptedLimitation Act 1980
Staff and family housingStaff and family accommodation applications: Unsuccessful.End of decision process or add to waiting listInstitutional business requirements.
Staff and family housingWaiting lists.End of academic year if unsuccessfulInstitutional business requirements.
Staff and family housingRecords documenting the individual’s occupation of staff and family housing and the activities that facilitate the occupancy: Council tax, Utility Bills, rent collection etc.Termination of tenancy + 1 yearInstitutional business requirements.
Staff and family housingRecords documenting the landlord’s application to lodgings list provided by staff and family housing; Successful applications.Current year + 1 (annually reviewed)Institutional business requirements.
Staff and family housingRecords documenting the landlord’s application to lodgings list provided by staff and family housing: Unsuccessful applications.End of decision processInstitutional business requirements.
Staff and family housingRight to rent check-records documenting checks are carried out to confirm that a tenant or lodger can legally rent a residential property in England.End of tenancy + 1 yearSection 22 of the Immigration Act 2014
Staff and family housingRelocation service-records documenting the individuals enquiry for assistance when relocating to the institution and processes associated.End of enquiry and annually reviewedInstitutional business requirements.

Facilities

ActivityRecord groupRetention periodCitations and notes
Facilities Strategy and Policy DevelopmentRecords documenting the development and establishment of the institution's facilities strategy and policies: key records.Superseded + 10 yearsInstitutional business requirements.
Facilities strategy developmentRecords documenting the development and establishment of the institution's facilities strategy, policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Facilities management procedure developmentMaster copies of procedures relating to facilities management.Superseded + 10 yearsInstitutional business requirements.
Facilities developmentRecords documenting the specification of requirements for facilities.Completion of works + 15 yearsLimitation Act 1980 c. 58 s 14
Facilities developmentRecords documenting the development of interior design and fit-out schemes.Completion of works + 15 yearsLimitation Act 1980 c. 58 s 14
Facilities developmentRecords documenting the carrying out of interior decoration and fitting-out works.Completion of works + 15 yearsLimitation Act 1980 c. 58 s 14
Facilities maintenanceRecords documenting routine inspections of facilities.Completion of two subsequent inspectionsRetaining inspection records provides evidence of effective property management over time.
Facilities maintenanceRecords documenting the carrying out of major maintenance works within facilities.Completion of works + 15 yearsLimitation Act 1980 c. 58 s 14B
Facilities maintenanceRecords documenting the carrying out of minor maintenance works within facilities.Current year + 5 yearsInstitutional business requirements.
Facilities security managementRecords documenting the conduct and outcomes of security inspections of facilities.Completion of two subsequent inspectionsRetaining inspection records provides evidence of effective property management over time.
Facilities security managementRecords documenting the conduct of routine surveillance of facilities.Creation + 1 monthInstitutional business requirements.
Facilities security managementRecords documenting occurrences of unauthorised access to facilities, and action taken.Last action on incident + 1 yearInstitutional business requirements.
Facilities compliance managementRecords documenting the conduct and outcomes of inspections of facilities by enforcing authorities.Completion of subsequent inspectionA longer retention period may be advisable for particular types of facilities (e.g. where there are significant health and safety risks) in order to maintain evidence of effective management over time.
Facilities compliance managementOriginal licences and certificatesSupersededInstitutional business requirements.

Finance

ActivityRecord groupRetention periodCitations and notes
Finance strategy and policy developmentRecords documenting the development and establishment of the institution's finance strategy and policies: key records.Superseded + 10 yearsInstitutional business requirements.
Finance strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's finance strategy, policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Finance management procedure developmentMaster copies of procedures relating to finance management.Superseded + 10 yearsInstitutional business requirements.
Financial accountingRecords documenting the issue of sales invoices and the processing of incoming payments.Current financial year + 6 yearsTaxes Management Act 1970 c. 9 s 34
Limitation Act 1980 c. 58 s 5
Value Added Tax Act 1994 c. 23
HMRC VAT Notice 700/21 para. 5.2
Financial accountingRecords documenting the receipt and payment of purchase invoices.Current financial year + 6 yearsTaxes Management Act 1970 c. 9 s 34
Limitation Act 1980 c. 58 s 5
Value Added Tax Act 1994 c. 23
HMRC VAT Notice 700/21 para. 5.2
Financial accountingRecords documenting the payment and/or reimbursement of employees' expenses.Current financial year + 6 yearsTaxes Management Act 1970 c. 9 s 34
Limitation Act 1980 c. 58 s 5
Financial accountingRecords documenting the payment of honoraria to third parties.*

*Unless honoraria are administered through the payroll.
Current financial year + 6 yearsTaxes Management Act 1970 c. 9 s 34
Limitation Act 1980 c. 58 s 5
Financial accountingRecords documenting the payment of expenses to third parties (e.g. honorary appointees).Current financial year + 6 yearsTaxes Management Act 1970 c. 9 s 34
Limitation Act 1980 c. 58 s 5
Financial accountingRecords documenting the handling of petty cash.Current financial year + 6 yearsLimitation Act 1980 c. 58 s 5
Value Added Tax Act 1994 c. 23
HMRC VAT Notice 700/21 para. 5.2
Financial accountingRecords documenting the receipt and processing of tuition fees.Current financial year + 6 yearsTaxes Management Act 1970 c. 9 s 34
Limitation Act 1980 c. 58 s 5
Financial accountingApprenticeship levy recordsCurrent financial year + 3 yearsIncome Tax (Pay As You Earn) (Amendment) Regulations 2017, 147N.
Financial accountingRecords documenting the preparation of annual accountsCurrent financial year + 6 yearsLimitation Act 1980 c. 58 s 5
Financial accountingAnnual AccountsCurrent financial year + 6 yearsLimitation Act 1980 c. 58 s 5
Management accountingAnalyses of the internal deployment of the institution's financial resources.Current financial year + 1 yearInstitutional business requirements.
Statutory accountingRecords documenting the preparation of the institution's statutory accounts.Current financial year + 6 yearsLimitation Act 1980 c. 58 s 5
Internal accountingRecords documenting the processing of internal accounting transactions between operating units (i.e. cross-charges).Current financial year + 1 yearInstitutional business requirements.
Internal accountingRecords documenting the negotiation and administration of formal contracts between operating units (e.g. for the provision of services.)Termination of contract + 1 yearInstitutional business requirements.
Funding managementRecords documenting the administration of annual funding allocations from the appropriate statutory funding body.Current financial year + 10 yearsInstitutional business requirements.
Funding managementRecords documenting the administration of research grants provided by research councils or corporate sponsors.Termination of grant + 6 yearsLimitation Act 1980 c. 58 s 5
Funding managementRecords documenting the administration of funding from European Structural Funds.Final payment on the programme to the UK + 3 years from 31 December following the submission of the accounts in which the expenditure of the operation is included (see note)Council Regulation (EC) No. 1303/2013 Article 140.

Documents relating to the implementation and financing of ESF funded projects must be retained until 3 years after the European Commission makes the final payment for the programme to the UK.

The dates may be changed so it is advisable to retain all documents relating to ESF funded projects until a Government Office advises that they may be destroyed.
Funding managementRecords documenting the administration of scholarship funds.Current financial year + 6 yearsLimitation Act 1980 c. 58 s 5
Financial planning and budgetingRecords documenting the preparation of annual operating budgets.Current financial year + 1 yearInstitutional business requirements.
Financial planning and budgetingRecords documenting the monitoring of income and expenditure against annual operating budgets, and action taken to deal with variances.Current financial year + 1 yearInstitutional business requirements.
Investment managementRecords documenting the overall management of the institution's financial investment portfolio.Divestment + 6 yearsLimitation Act 1980 c. 58 s 5
Investment managementRecords documenting the purchase/sale of investments.Current financial year (of transaction) + 6 yearsTaxes Management Act 1970 c. 9 s 34
Asset managementRecords documenting the value of the institution's capital assets.Current financial year + 6 yearsTaxes Management Act 1970 c. 9 s 34
Asset managementRecords documenting decisions (and authorisations) to dispose of capital assets.Current financial year (of disposal) + 6 yearsTaxes Management Act 1970 c. 9 s 34
Limitation Act 1980 c. 58 ss 2 and 5

Tax and cash management

ActivityRecord groupRetention periodCitations and notes
Tax managementRecords documenting the preparation and filing of the institution's tax returns.Current tax year + 6 yearsTaxes Management Act 1970 c. 9 s 34
Tax managementRecords documenting the institution's accounting for VAT.Current tax year + 6 yearsValue Added Tax Act 1994 c. 23 s 58 and Schedule 11, para. 6(3)
The Value Added Tax Regulations (SI 1995/2518) s 31
HMRC VAT Notice 700/21 para. 5.2
Cash managementRecords documenting the opening, closure and routine administration of bank accounts.Closure of account + 6 yearsLimitation Act 1980 c. 58 s 5
Cash managementRecords documenting standing orders, direct debits etc.Life of instruction + 6 yearsLimitation Act 1980 c. 58 s 5
Cash managementRecords documenting routine bank account deposits/withdrawals/transfers (paying-in slips, transfer instructions, bank statements etc.)Current financial year + 6 yearsTaxes Management Act 1970 c. 9 s 34
Limitation Act 1980 c. 58 s 5

Publications

ActivityRecord groupRetention periodCitations and notes
Publications strategy and policy developmentRecords documenting the development and establishment of the institution's publications strategy and policies: key records.Superseded + 5 yearsInstitutional business requirements.
Publications strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's publications strategy, policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Publications management procedure developmentMaster copies of procedures relating to publications management.Superseded + 3 yearsInstitutional business requirements.
Publications acquisitionRecords documenting the process of selecting publications to purchase.Completion of purchaseInstitutional business requirements.
Publications acquisitionRecords documenting decisions to (dis)continue purchase of publications.Last action on issue + 1 yearInstitutional business requirements.
Publications organisationRecords documenting the institution's scheme(s) for classifying and cataloguing publications.Until all catalogues based on the scheme are supersededInstitutional business requirements.
Publications organisationCatalogues/indexesSupersededInstitutional business requirements.
Publications storage and handlingRecords documenting the monitoring and control of storage conditions.Current year + 1 yearInstitutional business requirements.
Publications storage and handlingRecords documenting the movement of items from/to storage.Return of items + 1 yearInstitutional business requirements.
Publications conservationRecords documenting conservation work undertaken on publications.Life of itemsInstitutional business requirements.
Publications disposalRecords documenting the authorisation for the disposal of redundant publications.Disposal of publications + 1 yearInstitutional business requirements.
Publishing strategyRecords documenting the development and establishment of the institution's publishing strategy: key records.Superseded + 5 yearsInstitutional business requirements.
Publishing strategyRecords documenting the development and establishment of the institution's publishing strategy: working papers.Issue of strategy + 1 yearInstitutional business requirements.
Publishing policyRecords documenting the development and establishment of the institution's publishing policies: key records.Superseded + 5 yearsInstitutional business requirements.
Publishing policyRecords documenting the development and establishment of the institution's publishing policies: working papers.Issue of policy + 1 yearInstitutional business requirements.
Publishing procedureRecords documenting the development of the institution's procedures relating to the management of publishing.Issue of procedures + 1 yearInstitutional business requirements.
Publishing procedureMaster copies of procedures relating to the management of publishing.Superseded + 3 yearsInstitutional business requirements.
Publication productionRecords documenting the design, commissioning, editing and production of publications.Issue of publication + 1 yearInstitutional business requirements.
Publication distributionRecords documenting the distribution of publications.Current year + 1 yearInstitutional business requirements.
Publication marketingRecords documenting the development of marketing plans for publications.Life of publicationInstitutional business requirements.
Management information collectionDataset specifications and protocols for submission and collation of data.SupersededIf datasets are archived, dataset specifications and protocols should be archived with them.
Management information analysis and reportingManagement information reportsCurrent year + 3 yearsInstitutional business requirements.

Copyright

ActivityRecord groupRetention periodCitations and notes
Copyright compliance administrationApplications for permission to copy from published works which are not covered by Copyright Licensing Agency licences, where permission is not granted.Last action on application + 1 yearInstitutional business requirements.
Copyright compliance administrationApplications for permission to copy from published works which are not covered by Copyright Licensing Agency licences, where permission is granted.Period for which permission is granted + 6 yearsLimitation Act 1980 c. 58 s 5
Copyright compliance administrationRecords documenting the compilation of statistical and other data required by the Copyright Licensing Agency, and the submission of this data to the Agency.Current year + 1 yearInstitutional business requirements.
Copyright compliance administrationRecords documenting the institution's participation in surveys / audits undertaken by the Copyright Licensing Agency.Completion of survey/auditInstitutional business requirements.
Copyright compliance administrationResults of surveys / audits undertaken by the Copyright Licensing Agency (provided to the institution by the Agency).Current + 5 yearsInstitutional business requirements.
Copyright compliance administrationRecords documenting the institution's participation in inspections undertaken by copyright owners or their representatives to check the institution's compliance with legal / contractual requirements.Last action on case + 1 yearInstitutional business requirements.

Intellectual Property Rights (IPR)

ActivityRecord groupRetention periodCitations and notes
IPR management policy and procedures developmentRecords documenting the development and establishment of the institution's IPR management policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
IPR management procedure developmentMaster copies of procedures relating to IPR management.Superseded + 3 yearsInstitutional business requirements.
IPR protectionRecords documenting the institution's applications for patents and patent certificates.Life of patent + 50 yearsLegal opinion
IPR protectionRecords documenting the institution's applications for other forms of IPR protection (registered trademarks, registered designs) and certificates of registrationEnd of registration + 6 yearsLimitation Act 1980 c. 58 s 5
IPR protectionApplications for renewal of IPR protection, up to the maximum period permitted.Life of patent/End of registrationInstitutional business requirements.
IPR protectionRoutine monitoring of third-party activity to detect infringements of the institution's IPR.Current year + 5 yearsInstitutional business requirements.
IPR protectionRecords documenting identified infringements of the institution's IPR, and action taken other than litigation.Last action on case + 6 yearsLimitation Act 1980 c.58 s 5
IPR exploitation strategy and policy developmentRecords documenting the development and establishment of the institution's IPR exploitation strategy and policies: key records.Superseded + 10 yearsInstitutional business requirements.
IPR exploitation strategy, policy, and procedures developmentRecords documenting the development and establishment of the institution's IPR exploitation strategy, policies, and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
IPR exploitation procedure developmentMaster copies of procedures relating to IPR exploitation.Superseded + 5 yearsInstitutional business requirements.
IPR assignmentRecords documenting the negotiation and completion of IPR assignments to third parties.Life of IPR + 6 yearsLimitation Act 1980 c. 58 s 5
IPR licensingRecords documenting the negotiation and completion of IPR licence agreements to third parties.Termination of licence + 6 yearsLimitation Act 1980 c. 58 s 5

Information Communication Technology (ICT)

ActivityRecord groupRetention periodCitations and notes
ICT systems strategy and policy developmentRecords documenting the development and establishment of the institution's ICT systems strategy and policies: key records.Superseded + 5 yearsInstitutional business requirements.
ICT systems strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's ICT systems strategy, policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
ICT systems management procedure developmentMaster copies of procedures relating to the management of ICT systems.Superseded + 3 yearsInstitutional business requirements.
ICT systems developmentRecords documenting the initial development and post-implementation modification and maintenance of ICT systems.Decommissioning of system + 5 yearsInstitutional business requirements.
ICT systems developmentRecords documenting the initial development of ICT systems which are not implemented.Last action on development + 5 yearsInstitutional business requirements.
ICT systems developmentRecords documenting the management of ICT systems development projects (i.e. project management records).Termination of project + 5 yearsInstitutional business requirements.
ICT systems operations managementRoutine monitoring and testing of the operation of ICT systems, and action taken to rectify problems and optimise performance.Current year + 1 yearInstitutional business requirements.
ICT systems operations managementRecords documenting faults reported by users of ICT systems, and action taken to investigate and resolve the problem.Last action on fault + 1 yearInstitutional business requirements.
ICT systems operations managementRecords documenting the management of system data storage, including the operation of routine data backup, archiving and deletion routines.Current year + 1 yearInstitutional business requirements.
ICT systems operations managementUser requests to recover data from backup or archive stores, and action taken.Last action on request + 3 monthsInstitutional business requirements.
ICT systems operations managementRecords documenting the maintenance of appropriate software licences for live ICT systems.Issue of new licenceInstitutional business requirements.
ICT systems security managementRecords documenting the security arrangements for ICT systems. Decommissioning of system + 5 yearsInstitutional business requirements.
ICT systems security managementRecords documenting the opening, maintenance and closure of user accounts for ICT systems.Closure of account + 1 yearInstitutional business requirements.
ICT systems security managementRecords documenting routine monitoring of the use of ICT systems to ensure compliance with legal requirements and institutional policies.Current year + 1 yearInstitutional business requirements.
ICT systems security managementRecords documenting attempted or actual security breaches of the institution's ICT systems, and action taken.Last action on incident + 1 yearInstitutional business requirements.
ICT systems security managementRequests for, and authorisation of, connections of third-party equipment to the institution's networks, either on institutional premises or via dial-up communications links.Termination of connection + 1 yearInstitutional business requirements.
ICT systems security managementRecords documenting the removal/return of mobile ICT systems hardware and software from/to the institution's premises.Return of equipment + 3 monthsInstitutional business requirements.
ICT systems security managementRecords documenting arrangements for the sanitisation of institutional ICT equipment prior to disposal.Disposal of equipment + 1 yearInstitutional business requirements.
ICT systems trainingRecords documenting the development of technical and application training for ICT system users.Superseded + 1 yearInstitutional business requirements.

Equipment

ActivityRecord groupRetention periodCitations and notes
Equipment and consumables strategy and policy developmentRecords documenting the development and establishment of the institution's equipment and consumables strategy and policies: key records.Superseded + 5 yearsInstitutional business requirements.
Equipment and consumables strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's equipment and consumables strategy, policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Equipment and consumables management procedure developmentMaster copies of procedures relating to the management of equipment and consumables.Superseded + 3 yearsInstitutional business requirements.
Equipment and consumables selectionRecords documenting the development of specifications for, and the selection of, equipment/consumables: major itemsLife of item + 6 yearsLimitation Act 1980 c.58 s 5
Equipment and consumables selectionRecords documenting the development of specifications for, and the selection of, equipment/consumables: items which are safety critical or associated with hazardous operationsLife of item + 40 yearsRetaining these records for a long period is in line with requirements/recommendations for retention of Heath and Safety records.
Equipment and consumables selectionRecords documenting the development of specifications for, and the selection of, equipment/consumables: other itemsLife of itemInstitutional business requirements.
Equipment and consumables storageMonitoring of the condition of stored equipment/consumables.Current year + 1 yearInstitutional business requirements.
Equipment and consumables storageStock inventory for equipment/consumables.SupersededInstitutional business requirements.
Equipment and consumables storageRoutine stocktaking and stock checking.Current year + 1 yearInstitutional business requirements.
Equipment and consumables storageRecords documenting the movement of stock into and from storage.Current year + 1 yearInstitutional business requirements.
Equipment installation/commissioningRecords documenting the installation of equipment: major items.Decommissioning/removal + 6 yearsLimitation Act 1980 c. 58 s 5
Equipment installation/commissioningRecords documenting the installation of equipment: items which are safety critical or associated with hazardous operations.Decommissioning/removal + 40 yearsInstitutional business requirements.
Equipment installation/commissioningRecords documenting the installation of equipment: other items.Decommissioning/removalInstitutional business requirements.
Equipment installation/commissioningHealth and Safety File for fixed plant which is a 'structure' as defined in Regulation 2 of the Construction (Design and Management) Regulations 1994 (SI 1994/3140).Decommissioning/removal of plantConstruction (Design and Management) Regulations 2015 (pdf) does not prescribe a retention period for these records but implies that the Health and Safety File for a structure should be retained for the life of the structure.

A Health and Safety File is transferred to the new owner when a structure is sold. 
Equipment installation/commissioningReports of pre-commissioning examinations of lifting equipment, as required by Regulation 9(1) and 9(2) of the Lifting Operations and Lifting Equipment Regulations 1998 (SI 1998/2307).DecommissioningThe Lifting Operations and Lifting Equipment Regulations (SI 1998/2307) Regulation 11(2)(a)(i) and 11(2)(a)(iii)
Equipment installation/commissioningReports of pre-commissioning examinations of accessories for lifting, as required Regulation 9(1) of the Lifting Operations and Lifting Equipment Regulations 1998 (SI 1998/2307).Date of report + 2 yearsThe Lifting Operations and Lifting Equipment Regulations (SI 1998/2307) Regulation 11(2)(a)(ii)
Equipment inspection, testing and maintenanceRecords documenting the inspection, testing and maintenance of equipment, except as specified elsewhere.Disposal of item + 1 yearInstitutional business requirements.
Equipment inspection, testing and maintenanceRecords documenting the inspection, testing and maintenance of equipment: major items other than those specified elsewhere.Decommissioning/Removal + 6 yearsLimitation Act 1980 c.58 s 5
Equipment inspection, testing and maintenanceMaintenance logs for equipmentLife of equipment + 6 yearsThe Provision and Use of Work Equipment Regulations (SI 1998/2306) Regulation 5(2)
Limitation Act 1980 c. 58 s 5
Equipment inspection, testing and maintenanceRecords documenting inspections of equipment, made under Regulation 6 of the Provision and Use of Work Equipment Regulations 1998 (SI 1998/2306).Completion of subsequent inspectionThe Provision and Use of Work Equipment Regulations (SI 1998/2306) Regulation 6(3)
Equipment inspection, testing and maintenanceRecords documenting the inspection, testing and maintenance of equipment: items which are safety critical or are associated with hazardous operations.Decommissioning/Disposal + 15 yearsLimitation Act 1980 c.58 s 14

The Fire Precautions (Workplace) Regulations (SI 1997/1840) Regulation 6 requires the maintenance of fire detection and fire-fighting equipment but does not prescribe a retention period for records in relation to this activity.

Retaining a maintenance history provides evidence of compliance and effective management of health and safety over time.
Equipment inspection, testing and maintenanceRecords documenting the examination, testing and repair of plant and equipment provided to control exposure to substances hazardous to health, as required by Regulation 9 of the Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677).Date of examination/test/repair + 5 yearsThe Control of Substances Hazardous to Health Regulations (SI 2002/2677) Regulation 9(4)
Equipment inspection, testing and maintenanceRecords documenting the examination, testing and repair of plant and equipment provided to control exposure to asbestos, as required by Regulation 13 of the Control of Asbestos Regulations 2006 (SI 2006/2739).Date of examination/test/repair + 5 yearsThe Control of Asbestos Regulations (SI 2012/632) Regulation 13(3)
Equipment inspection, testing and maintenanceRecords documenting the examination, testing and repair of plant and equipment provided to control exposure to lead, as required by Regulation 8 of the Control of Lead at Work Regulations 2002 (SI 2002/2676).Date of examination/test/repair + 5 yearsThe Control of Lead at Work Regulations (SI 2002/2676) Regulation 8(4)
Equipment inspection, testing and maintenanceRecords documenting the examination, testing and repair of personal protective equipment provided to control exposure to ionising radiation, as required by Regulation 10(2) of the Ionising Radiations Regulations 1999 (SI 1999/3232).Date of examination/test/repair + 2 yearsThe Ionising Radiations Regulations (SI 2017/1075) Regulation 11(2)(b)
Equipment inspection, testing and maintenanceRecords documenting the examination, testing and repair of other equipment provided to control exposure to ionising radiation, as required by Regulation 10(1) of the Ionising Radiations Regulations 1999 (SI 1999/3232).Date of examination/test/repair + 5 yearsThe Ionising Radiations Regulations (SI 2017/1075) does not prescribe a retention period for these records.
Equipment inspection, testing and maintenanceRecords documenting the maintenance and testing of equipment for monitoring levels of ionising radiation, as required by Regulation 19(2) of the Ionising Radiations Regulations 1999 (SI 1999/3232).Date of maintenance/testing + 2 yearsThe Ionising Radiations Regulations (SI 1999/3232) Regulation 19(4)(c)
Equipment inspection, testing and maintenanceReports of inspection and 'thorough examination' of lifting equipment, as required by Regulation 9 of the Lifting Operations and Lifting Equipment Regulations 1998 (SI 1998/2307).Date of subsequent report OR Date of report + 2 years, whichever is the laterThe Lifting Operations and Lifting Equipment Regulations (SI 1998/2307) Regulation 11(2)(a)(iv)
Equipment and consumables disposalRecords documenting authorisation for the disposal of equipment/consumables, and the evaluation of alternative methods of disposal.Disposal of item + 1 yearInstitutional business requirements.
Equipment and consumables disposalRecords documenting the cleaning/sanitisation of equipment/consumables prior to disposal: items used in connection with operations involving substances hazardous to health.Disposal of item + 15 yearsLimitation Act 1980 c.58 s 14
Equipment and consumables disposalRecords documenting the cleaning/sanitisation of equipment/consumables prior to disposal: other items.Disposal if item + 6 yearLimitation Act 1980 c. 58 s 5
Equipment and consumables disposalRecords documenting the transfer of ownership of equipment/consumables.Disposal of item + 1 yearInstitutional business requirements.

Insurance

ActivityRecord groupRetention periodCitations and notes
Insurance strategy and policy developmentRecords documenting the development and establishment of the institution's insurance strategy and policies: key records.Superseded + 5 yearsInstitutional business requirements.
Insurance strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's insurance strategy, policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Insurance management procedure developmentMaster copies of procedures relating to the management of insurance cover and claims.Superseded + 3 yearsInstitutional business requirements.
Insurance policy managementRecords documenting the arrangement and renewal of insurance policies: employers' liability insurance.

See also Employers' Liability Insurance Certificates.
Expiry of policy + 6 yearsLimitation Act 1980 c.58 s 5
Insurance policy managementEmployers' Liability Insurance CertificatesCommencement/Renewal of policy + 40 yearsThe Employers' Liability (Compulsory Insurance) Regulations (SI 1998/2573) Regulation 4(4)
Insurance policy managementRecords documenting the arrangement and renewal of insurance policies: all other insurance.Expiry of policy + 6 yearsLimitation Act 1980 c.58 s 5
Insurance claim administrationRecords documenting claims, and the outcomes of claims, against insurance policies.Settlement of claim + 6 yearsLimitation Act 1980 c.58 s 5

Procurement

ActivityRecord groupRetention periodCitations and notes
Procurement strategy and policy developmentRecords documenting the development and establishment of the institution's procurement strategy and policies: key records.Superseded + 5 yearsInstitutional business requirements.
Procurement strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's procurement strategy, policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Procurement procedure developmentMaster copies of procedures relating to the management of procurement.Superseded + 3 yearsInstitutional business requirements.
Supplier approvalRecords documenting supplier evaluation criteria.Superseded + 5 yearsInstitutional business requirements.
Supplier approvalRecords documenting invitations to prospective suppliers to apply for approval.Expiry of invitation OR Rejection of application + 6 months OR Completion of approvalInstitutional business requirements.
Supplier approvalRecords documenting the evaluation of applications for approval from prospective suppliers, and notification of the outcome: approved suppliers.Termination of approvalInstitutional business requirements.
Supplier approvalRecords documenting the evaluation of applications for approval from prospective suppliers, and notification of the outcome: rejected suppliers.Rejection + 1 yearInstitutional business requirements.

 
Supplier approvalSupplier databaseWhile currentInstitutional business requirements.
Contract tenderingRecords documenting the process of inviting and evaluating pre-qualification submissions from prospective suppliers.Award of supply contract + 1 yearInstitutional business requirements.
Contract tenderingInvitations to Tender and tender evaluation criteria.Termination of supply contract awarded + 6 yearsLimitation Act 1980 c. 58 s 5
Contract tenderingRecords documenting the issue of Invitations to Tender and handling of incoming tenders.Award of supply contract + 1 yearInstitutional business requirements.
Contract tenderingRecords documenting the evaluation of tenders, the conduct of negotiations with tenderers and the notification of the results of the tender evaluation process: rejected tenders.Award of supply contract + 1 yearInstitutional business requirements.

 
Contract tenderingRecords documenting the evaluation of tenders, the conduct of negotiations with tenderers and the notification of the results of the tender evaluation process: accepted tenders.Termination of contract + 6 yearsLimitation Act 1980 c. 58 s 5
Contract tenderingContract award notices sent to the Official Journal, as required by Regulation 31 of the Public Contracts Regulations 2015 (SI 2015/102) or by Regulation 31 of the Public Contracts (Scotland) Regulations 2015 (SSI 2015/446).Termination of contract + 6 yearsLimitation Act 1980 c. 58 s 5

The Public Contracts Regulations (SI 2015/102) does not prescribe a retention period for these records.

SSI 2006/1 does not prescribe a retention period for these records.
Contract tenderingRecords documenting contracts awarded, containing the information specified in Regulation 32 (14) of the Public Contracts Regulations 2015 (SI 2015/102) or by Regulation 32(14) of the Public Contracts (Scotland) Regulations 2015 (SSI 2015/446).Termination of contract + 10 yearsLimitation Act 1980 c. 58 s 5

The Public Contracts Regulations (SI 2015/102) does not prescribe a retention period for these records.

The Public Contracts (Scotland) Regulations (SSI 2015/446) states that “documentation must be kept for a period of at least 3 years from the date of award of the

contract”. 

These are summary records of each contract awarded and retention of these for a longer period than the complete contract 'files' provides evidence of effective and compliant procurement practice over time.
Contract tenderingStatistical and other reports on contracts awarded prepared for the Office of Government Commerce, as required by Regulation 40 of the Public Contracts Regulations 2015 (SI 2015/102) or for the Scottish Ministers, as required by the Public Contracts (Scotland) Regulations 2015 (SSI 2015/446).Current year + 3 yearsSI 2015/102 does not prescribe a retention period for these records.

The Public Contracts (Scotland) Regulations (SSI 2015/446) states that “documentation must be kept for a period of at least 3 years from the date of award of the

contract”.
PurchasingRecords documenting purchasing authorisation limits.Superseded + 1 yearInstitutional business requirements.
PurchasingRecords documenting internal authorisation for procurement.Current financial year + 1 yearInstitutional business requirements.
PurchasingPurchase ordersCurrent financial year + 6 yearsLimitation Act 1980 c. 58 s 5
HMRC 700/21 para. 5.2
PurchasingGoods received notes/goods inwards notesCurrent financial year + 6 years1980 c. 58 s 5
HMRC 700/21 para. 5.2
Contract managementRecords documenting variations to contracts (e.g. revisions, extensions).Termination of contract + 6 yearsLimitation Act 1980 c. 58 s 5
Contract managementRecords documenting the monitoring of supplier performance and action taken regarding under-performance.Termination of contract + 6 yearsLimitation Act 1980 c. 58 s 5

Education and training

ActivityRecord groupRetention periodCitations and notes
Education and training strategy and policy developmentRecords documenting the development and establishment of the institution's education and training strategy and policies: key records.Superseded + 10 yearsSuperseded + 10 years
Education and training strategy and policy developmentRecords documenting the development and establishment of the institution's education and training strategy, policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Education and training procedure developmentMaster copies of procedures relating to education and training.Superseded + 5 yearsInstitutional business requirements.
Education and training programme developmentRecords documenting the development of education and training programmes.Life of programme + 5 yearsInstitutional business requirements.
Education and training programme reviewRecords containing data on, and analyses of, student numbers and other programme statistics.Current academic year + 5 yearsInstitutional business requirements.
Education and training programme deliveryRecords documenting the preparation of teaching and learning materials.Current academic year + 1 yearInstitutional business requirements.
Education and training programme deliveryRecords documenting the planning and conduct of teaching and learning events.Current academic year + 1 yearInstitutional business requirements.
Education and training programme assessmentRecords documenting the design and development of assessments.Life of programmeInstitutional business requirements.
Education and training programme assessmentRecords documenting submitted/completed assessments: formative assessments.Current academic yearInstitutional business requirements.
Education and training programme assessmentRecords documenting submitted/completed assessments: summative assessments.Confirmation of marks/grades + 6 months.Institutional business requirements.
Education and training programme assessmentRecords documenting marks/grades given to submitted/completed summative assessments and, where appropriate, awards and classifications.Current academic year + 6 yearsLimitation Act, 1980 c. 58 s 5
Education and training contract managementRecords documenting the negotiation and establishment of contracts.Termination of contract + 6 yearsLimitation Act, 1980 c. 58 s 5

Consultancy

ActivityRecord groupRetention periodCitations and notes
Consultancy strategy and policy developmentRecords documenting the development and establishment of the institution's consultancy strategy and policies: key records.Superseded + 5 yearsInstitutional business requirements.
Consultancy strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's consultancy strategy, policies, and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Consultancy procedure developmentMaster copies of procedures relating to consultancy.Superseded + 3 yearsInstitutional business requirements.
Consultancy promotionDirectories of expertiseCurrentRetention of these records must comply with the provisions of current data protection laws (the Data Protection Act 2018 and General Data Protection Regulation (GDPR) (EU) 2016/679).
Consultancy prospect managementRecords documenting the handling of enquiries about consultancy, where no further action is taken.Last action on enquiry + 1 yearInstitutional business requirements.
Consultancy prospect managementRecords documenting the preparation and submission of consultancy proposals/tenders, where the proposal/tender is unsuccessful (i.e. does not result in a contract).Receipt of notification that proposal/tender was unsuccessful + 1 yearInstitutional business requirements.
Consultancy prospect managementRecords documenting the preparation and submission of consultancy proposals/tenders, where the proposal/tender is successful (i.e. results in a contract): key records.Termination of contract + 6 yearsLimitation Act 1980 c. 58 s 5
Consultancy contract managementRecords documenting the negotiation and agreement of contracts, and subsequent variations to contracts: key records.Termination of contract + 6 yearsLimitation Act 1980 c. 58 s 5
Consultancy contract managementRecords documenting the negotiation and agreement of contracts, and subsequent variations to contracts: working papers.Agreement of contractInstitutional business requirements.
Consultancy project managementRecords documenting the management of consultancy projects: key records.Termination of contract + 3 yearsCommon audit requirement
Consultancy project management and deliveryRecords documenting the management of consultancy projects, scheduling of meetings, interviews, deliverables/outcomes, draft versions and other project work: working papers.Termination of contractInstitutional business requirements.
Consultancy project deliveryRecords documenting substantive project work.Termination of contract + 3 yearsCommon audit requirement

Information/records provided by clients may be returned to them at the end of projects.
Consultancy project deliveryRecords documenting project deliverables/outcomes: final versions and confirmations of client acceptance.Termination of contract + 6 yearsLimitation Act 1980 c. 58 s 5

Related companies

ActivityRecord groupRetention periodCitations and notes
Related companies strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's related companies strategy, policies and procedures: key records.Superseded + 10 yearsInstitutional business requirements.
Related companies strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's related companies strategy, policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.

Commercial services management

ActivityRecord groupRetention periodCitations and notes
Commercial services strategy and policy developmentRecords documenting the development and establishment of the institution's commercial services strategy and policies: key records.Superseded + 5 yearsInstitutional business requirements.
Commercial services strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's commercial services strategy, policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Commercial services procedure developmentMaster copies of procedures relating to the management of commercial services.Superseded + 3 yearsInstitutional business requirements.

Download these tables as a spreadsheet (.xslx).

Information compliance

Records retention tables

Information strategy and data protection

ActivityRecord groupRetention periodCitations and notes
Information compliance strategy and policy developmentRecords documenting the development and establishment of the institution's information compliance strategy and policies: key records.Superseded + 5 yearsInstitutional business requirements.
Information compliance strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's information compliance strategy, policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Information compliance management procedure developmentMaster copies of procedures relating to information compliance.Superseded + 3 yearsInstitutional business requirements.
Data protection complianceThe institution's notification of data controller details (to be added to the public register of data controllers) to the Information Commissioner's Office, as required by the Data Protection Act 2018.Current year + 1 yearNotification must be renewed annually to maintain an entry in the public register of data controllers.
Data protection complianceRecords documenting the handling of requests for access to personal information held by the institution under the General Data Protection Regulation (GDPR).Last action on request + 1 yearCommon practice

GDPR does not prescribe a retention period for these records and the ICO does not advise a specific retention period. 

A longer retention period may be appropriate for records documenting the handling of requests which resulted in complaints or aThe link for the CM reg page is here: https://www.eventsforce.net/jiscevents/1079/registerppeals.
Data protection compliance(Anonymised) statistics, analyses and reports of requests for access to personal information held by the institution under current data protection laws (the Data Protection Act 2018 and General Data Protection Regulation (GDPR) (EU) 2016/679).Current year + 10 yearsInstitutional business requirements.
Data protection compliancePrivacy Notices.Conclusion of the activity to
which the Privacy Notice
relates + 6 years
GDPR 5(1) (e)
Limitation Act 1980

Freedom of information

ActivityRecord groupRetention periodCitations and notes
Freedom of information complianceRecords documenting the development and maintenance of the institution's Publication 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 of Publication Scheme + 5 yearsFreedom of Information Act 2000

See:

‘Model publication scheme Freedom of Information Act’ 2015 (ICO).

‘Definition document for universities and other
higher education institutions’ and ‘Definition document for colleges of further
education’ ICO (2013)
Freedom of information complianceRecords documenting the handling of 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 (asp 13).Completion of request handling process + 3 yearsFreedom of Information Act 2000

Records created by a public body fulfilling its obligations under the Freedom of Information Act 2000 (The National Archives).

The National Archives recommends '3 Years after date of creation'. See Model Retention Schedule for Records Created by a Public Body Fulfilling FOI obligations (The National Archives).

Records (or information extracted from them) relating to cases which set legal precedents, or which establish principles for handling requests for certain types of information should be kept for longer, possibly as part of policy development records (see INFORMATION COMPLIANCE MANAGEMENT - INFORMATION COMPLIANCE POLICY DEVELOPMENT).

A request handling process is completed when the request has been fulfilled or when all complaints and/or appeals (against non-disclosure of information or methods of handling the request) have been determined.

See ‘Definition document for universities and other
higher education institutions’ and ‘Definition document for colleges of further
education’ ICO (2013)
Freedom of information compliance(Anonymised) management statistics, analyses and reports of 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 (asp 13).Current year + 10 yearsFreedom of Information Act 2000

Records created by a public body fulfilling its obligations under the Freedom of Information Act 2000 (The National Archives).

See ‘Definition document for universities and other
higher education institutions’ and ‘Definition document for colleges of further
education’ ICO (2013)
Freedom of information compliance(Anonymised) management statistics, analyses and reports of 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 (asp 13).Current year + 10 yearsFreedom of Information Act 2000

Records created by a public body fulfilling its obligations under the Freedom of Information Act 2000 (The National Archives).

See ‘Definition document for universities and other
higher education institutions’ and ‘Definition document for colleges of further
education’ ICO (2013)

Environmental information compliance

ActivityRecord groupRetention periodCitations and notes
Environmental information complianceRecords documenting the handling of 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).Completion of request handling process + 3 yearsThis recommended retention period is in line with the period recommended by The National Archives for retention of records relating to the handling of requests for information under the Freedom of Information Act 2000.  See Records created by a public body fulfilling its obligations under the Freedom of Information Act 2000 (The National Archives).

Records (or information extracted from them) relating to cases which set legal precedents or which establish principles for handling requests for certain types of information should be kept for longer, possibly as part of policy development records (see INFORMATION COMPLIANCE MANAGEMENT - INFORMATION COMPLIANCE POLICY DEVELOPMENT).
Environmental information compliance(Anonymised) management statistics, analyses and reports of 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).Current year + 10 yearsRecords created by a public body fulfilling its obligations under the Freedom of Information Act 2000 (The National Archives).

Records management

ActivityRecord groupRetention periodCitations and notes
Records management strategy developmentRecords documenting the development and establishment of the institution's records management strategy: key records.Superseded + 5 yearsInstitutional business requirements.
Records management strategy developmentRecords documenting the development and establishment of the institution's records management strategy: working papers.Issue of strategy + 1 yearInstitutional business requirements.
Records management policy developmentRecords documenting the development and establishment of the institution's records management policies: key records.Superseded + 5 yearsInstitutional business requirements.
Records management policy developmentRecords documenting the development and establishment of the institution's records management policies: working papers.Issue of policy + 1 yearInstitutional business requirements.
Records management procedure developmentRecords documenting the development of the institution's procedures relating to records management.Issue of procedures + 1 yearInstitutional business requirements.
Records management procedure developmentMaster copies of procedures relating to records management.Superseded + 3 yearsInstitutional business requirements.
Records creation and captureRecords documenting recordkeeping requirements for specific business activities and processes.SupersededInstitutional business requirements.
Records organisation and descriptionRecords documenting classification and indexing schemes for records.Superseded + 5 yearsInstitutional business requirements.
Records storage and handlingRecords documenting storage locations of records.SupersededInstitutional business requirements.
Records storage and handlingRecords documenting the movement of records to/from storage.Return of records + 1 yearInstitutional business requirements.
Records access controlRecords documenting the provision of access to records.Date of access + 1 yearInstitutional business requirements.
Records retentionRecords documenting the determination of retention periods for records.Completion of revised Records Retention Schedule + 1 yearInstitutional business requirements.
Records retentionFinal versions of Records Retention SchedulesPermanentRetaining a history of retention periods provides evidence of effective control of records and the basis for disposal of records.
Records retentionReview of individual records to determine requirements for ongoing retention, where records are disposed of.Life of records + 25 yearsInstitutional business requirements.
Records maintenanceRecords documenting conservation work undertaken on records.Disposal of recordsInstitutional business requirements.
Records disposalRecords documenting authorisation for the disposal of redundant records.Disposal of records + 25 yearsInstitutional business requirements.
Records survey/auditRecords documenting the conduct and results of records surveys/audits.Completion of subsequent survey/auditThis retention period assumes that the purpose and scope of the subsequent audit is comparable.  If it is not, a longer retention period may be appropriate.

Archives and collections

ActivityRecord groupRetention periodCitations and notes
Archives strategy and policy developmentRecords documenting the development and establishment of the institution's archives strategy and policies: key records.Superseded + 5 yearsInstitutional business requirements.
Archives strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's archives strategy, policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.

 
Archives management procedure developmentMaster copies of procedures relating to archives management.Superseded + 3 yearsInstitutional business requirements.
Archives acquisitionRecords documenting the development and establishment of the selection criteria for records to be preserved as archives.Life of archivesInstitutional business requirements.
Archives acquisitionRecords documenting the appraisal, selection and acquisition of records for preservation as institutional archives.Life of recordsInstitutional business requirements.
Archives acquisitionRecords documenting the accessioning of records acquired for preservation as archives.Life of archivesInstitutional business requirements.
Archives organisation and descriptionRecords documenting the institution's scheme of arrangement for its archives.Life of records arranged according to the schemeInstitutional business requirements.
Archives organisation and descriptionRecords documenting the development of the institution's standard descriptive model for its archives.Life of records described using the modelInstitutional business requirements.
Archives organisation and descriptionRecords containing the descriptions of the records held as archives.Life of recordsInstitutional business requirements.
Archives storage and handlingRecords documenting the monitoring and control of the storage of archives.Current year + 1 yearInstitutional business requirements.
Archives storage and handlingRecords documenting the movement of archives from/to storage.Return of items + 1 yearInstitutional business requirements.
Archives access controlRequests for access to archives.Last action on request + 1 yearInstitutional business requirements.
Archives conservationRecords documenting conservation work undertaken on items in the archives.Life of recordsInstitutional business requirements.
Archives disposalRecords documenting authorisation for the disposal of de-accessioned records.Completion of disposal process + 6 yearsLimitation Act 1980 c. 58 s 5
Archives promotion and exploitationRecords documenting the development and maintenance of specialised finding aids to promote and facilitate access to (items in) the archives.SupersededInstitutional business requirements.
Archives promotion and exploitationRecords documenting the design and distribution of promotional materials to raise awareness and encourage use of (items in) the archives.SupersededInstitutional business requirements.
Archives promotion and exploitationRecords documenting enquiries about (items in) the archives, and the responses provided.

Note: key information from substantive enquiries may be extracted and indexed to avoid repetitive research.
Last action on enquiry + 1 yearInstitutional business requirements.
Archives promotion and exploitationRecords documenting the selection and use of items from the archives by institutional staff (e.g. for teaching events, publications, exhibitions).Current + 5 yearsInstitutional business requirements.
Archives promotion and exploitationRecords documenting the selection and use of items from the archives by third parties (e.g. for exhibitions, publications, television programmes).Last action on project + 5 yearsInstitutional business requirements.
Archives promotion and exploitationRecords documenting loans of items from the archives to third parties.Termination of loan + 6 yearsLimitation Act 1980 c.58 s 5

Collections

ActivityRecord groupRetention periodCitations and notes
Collections strategy developmentRecords documenting the development and establishment of the institution's collections strategy: key records.Superseded + 5 yearsInstitutional business requirements.
Collections strategy developmentRecords documenting the development and establishment of the institution's collections strategy: working papers.Issue of strategy + 1 yearInstitutional business requirements.
Collections management policy developmentRecords documenting the development and establishment of the institution's collections management policies: key records.Superseded + 5 yearsInstitutional business requirements.
Collections management policy developmentRecords documenting the development and establishment of the institution's collections management policies: working papers.Issue of policy + 1 yearInstitutional business requirements.
Collections management procedure developmentRecords documenting the development of the institution's procedures relating to collections management.Issue of procedures + 1 yearInstitutional business requirements.
Collections management procedure developmentMaster copies of procedures relating to collections management.Superseded + 3 yearsInstitutional business requirements.
Collections promotionRecords documenting the design and development of promotional materials.While materials are currentSelect significant materials for permanent retention.
Collections promotionRecords documenting the design and implementation of promotional events.Last action on event + 5 yearsSelect key records of significant events for permanent retention.
Collections promotionEnquiries about collections and the responses given.Last action on enquiry + 1 yearKey information from substantive enquiries may be extracted and indexed to avoid repetitive research.
Collections useRecords documenting the receipt and evaluation of requests / proposals for use of collections or objects, where the requests / proposals are rejected.Last action on request / proposal + 1 year.Institutional business requirements.
Collections useRecords documenting the receipt and evaluation of requests / proposals for use of collections or objects, where the requests / proposals are authorised.Completion of use + 5 years.Institutional business requirements.
Collections useRecords documenting the authorised use of collections or objects, and actions taken to facilitate, monitor or control use (e.g. checking environmental conditions, handling / operating objects; taking samples from objects)Completion of use + 5 years.Information about actions which have a direct impact on the condition of objects should be recorded in the object's catalogue record.

Objects

ActivityRecord groupRetention periodCitations and notes
Object receiptRecords documenting the receipt of objects which are not currently part of the institution's collections.

SPECTRUM: Object Entry records
Current year + 10 yearsInstitutional business requirements.
Object borrowingRecords documenting loans of objects to the institution by other organisations or by individuals.

SPECTRUM: Loan In records
Permanenthttps://collectionstrust.org.uk/wp-content/uploads/2016/09/Loans-in-spectrum-factsheet-2015.pdf
Spectrum Advice, Collections Trust, Version 4.0, Jan 2015, Section 6.
Object acquisitionRecords documenting the acquisition of objects for the institution's collections.

SPECTRUM: Accession records
Permanenthttps://collectionstrust.org.uk/wp-content/uploads/2016/11/Acquisition-spectrum-factsheet-2015.pdf
Spectrum Advice, Collections Trust, Version 4.0, Jan 2015, Section 4.
Object location and movement controlRecords documenting the location and movement of objects within the institution's premises.

SPECTRUM: Location and Movement Records
Permanenthttps://collectionstrust.org.uk/wp-content/uploads/2016/11/Acquisition-spectrum-factsheet-2015.pdf
Spectrum Advice, Collections Trust, Version 4.0, Jan 2015, Section 4.
Object cataloguingRecords documenting key information about objects in the institution's collections.

SPECTRUM: Catalogue records
Permanenthttps://collectionstrust.org.uk/wp-content/uploads/2016/11/Acquisition-spectrum-factsheet-2015.pdf
Spectrum Advice, Collections Trust, Version 4.0, Jan 2015, Section 4.
Object dispatchRecords documenting objects which have left the institution's premises.

SPECTRUM: Object Exit Records
Return of item + 10 yearsInstitutional business requirements.

 
Object lendingRecords documenting loans of objects to other organisations or to individuals.

SPECTRUM: Loan Out records
Return of loaned item + 10 yearsInstitutional business requirements.

Download these tables as a spreadsheet (.xslx).

Communications

Records retention tables

Policy and planning

ActivityRecord groupRetention periodCitations and notes
Public relations strategy and policies developmentRecords documenting the development and establishment of the institution's public relations strategy and policies: key records.Superseded + 5 yearsInstitutional business requirements.
Public relations strategy, policy, and procedures developmentRecords documenting the development and establishment of the institution's public relations strategy, policies, and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Public relations procedure developmentMaster copies of procedures relating to public relations.Superseded + 3 yearsInstitutional business requirements.
Public communications managementEnquiries from members of the public and the responses provided.Last action on enquiry + 1 yearInstitutional business requirements.
Public communications managementUnsolicited feedback from members of the public, the internal handling of this feedback and the responses provided.Last action on feedback + 1 yearInstitutional business requirements.
Public communications managementRecords documenting the design and conduct of public surveys.Completion of survey + 3 yearsInstitutional business requirements.
Public communications managementResults of public surveys: individual responsesCompletion of analysis of survey responsesThe retention period will depend on what was stated in the privacy notice when the data was collected. After this period, responses can be anonymised for the purposes of analysis to ensure compliance with GDPR.
Public communications managementResults of public surveys: summaries and analyses of responsesCompletion of survey + 3 yearsInstitutional business requirements.
Public communications managementComplaints from members of the public, the internal handling of these complaints and the responses provided.Last action on complaint + 1 yearInstitutional business requirements.
Public events managementRecords documenting the planning and impact/results of public events.Completion of event + 3 yearsInstitutional business requirements.
Public events managementRecords documenting the organisation and administration of public events.Completion of event + 1 yearInstitutional business requirements.
Official visits managementRecords documenting the organisation and administration of official visits.Completion of visit + 1 yearInstitutional business requirements.
Sponsorship managementRecords documenting the arrangements for corporate sponsorship of public events by the institution.Termination of sponsorship + 6 yearsLimitation Act 1980 c. 58 s 5
Welsh and Gaelic languageRecords documenting the development of the institution's language policy for example Welsh Language Schemes.Permanent (review for archival value)Gaelic Language (Scotland) Act 2005
Welsh Language Act 1993
Northern Ireland Act 1998
Welsh and Gaelic languageRecords documenting the implementation of the institution's language policy.Current year + 6 yearsLimitation Act, 1980
Welsh and Gaelic languageRecords monitoring and auditing the implementation of the language policy.Completion of next audit + 3 yearsInstitutional business requirements.

Media relations

ActivityRecord groupRetention periodCitations and notes
Media relations strategy developmentRecords documenting the development and establishment of the institution's media relations strategy: key records.Superseded + 5 yearsInstitutional business requirements.
Media relations strategy developmentRecords documenting the development and establishment of the institution's media relations strategy: working papers.Issue of strategy + 1 yearInstitutional business requirements.
Media relations policy developmentRecords documenting the development and establishment of the institution's media relations policies: key records.Superseded + 5 yearsInstitutional business requirements.
Media relations policy developmentRecords documenting the development and establishment of the institution's media relations policies: working papers.Issue of policy + 1 yearInstitutional business requirements.
Media relations procedure developmentRecords documenting the development of the institution's procedures relating to media relations.Issue of procedures + 1 yearInstitutional business requirements.
Media relations procedure developmentMaster copies of procedures relating to media relations.Superseded + 3 yearsInstitutional business requirements.
Media communications managementRecords documenting the institution's media contacts.SupersededInstitutional business requirements.
Media communications managementRecords documenting the planning and organisation of media briefings.Date of briefing + 1 yearInstitutional business requirements.
Media communications managementTranscripts of media briefingsDate of briefing + 5 yearsInstitutional business requirements.
Media communications managementRecords documenting the planning and organisation of media interviews.Date of interview + 1 yearInstitutional business requirements.
Media communications managementTranscripts of media interviewsDate of interview + 5 yearsInstitutional business requirements.
Media communications managementPress ReleasesCurrent year + 5 yearsInstitutional business requirements.
Media communications managementRecords documenting media enquiries, the internal handling of these enquiries and responses provided.Last action on enquiry + 3 yearsInstitutional business requirements.
Media monitoringRecords documenting the monitoring and analysis of media coverage of the institution.Current year + 5 yearsInstitutional business requirements.
Media monitoringPress cuttingsCreation + 1 yearCreation + 1 year

Sector relations

ActivityRecord groupRetention periodCitations and notes
HE/FE sector relations strategy developmentRecords documenting the development and establishment of the institution's HE/FE sector relations strategy: key records.Superseded + 5 yearsInstitutional business requirements.
HE/FE sector relations strategy developmentRecords documenting the development and establishment of the institution's HE/FE sector relations strategy: working papers.Issue of strategy + 1 yearInstitutional business requirements.
HE/FE sector relations policy developmentRecords documenting the development and establishment of the institution's HE/FE sector relations policies: key records.Superseded + 5 yearsInstitutional business requirements.
HE/FE sector relations policy developmentRecords documenting the development and establishment of the institution's HE/FE sector relations policies: working papers.Issue of policy + 1 yearInstitutional business requirements.
HE/FE sector relations procedure developmentRecords documenting the development of the institution's procedures relating to HE/FE sector relations.Issue of procedures + 1 yearInstitutional business requirements.
HE/FE sector relations procedure developmentMaster copies of procedures relating to HE/FE sector relations.Superseded + 3 yearsInstitutional business requirements.
HE/FE sector communications developmentGeneral communications with other HE/FE institutions, other educational institutions, professional associations and learned bodies.Current year + 5 yearsInstitutional business requirements.
HE/FE sector communications developmentRecords documenting the production of publications specifically intended for the HE and/or FE sector(s).Publication + 1 yearInstitutional business requirements.
HE/FE sector communications developmentPublicationsWhile current + 1 yearInstitutional business requirements.
HE/FE sector communications developmentGeneral enquiries from institutions and other bodies in the sector, the internal handling of these enquiries and the responses given.Last action of enquiry + 1 yearInstitutional business requirements.
HE/FE sector consultations managementRecords documenting the preparation of the institution's formal responses to consultations conducted by HE/FE sector organisations (including records of internal consultation processes).Last action on consultation + 1 yearInstitutional business requirements.
HE/FE sector consultations managementRecords documenting the institution's formal responses to consultations conducted by HE/FE sector organisations.Last action on consultation + 3 yearsInstitutional business requirements.
HE/FE sector reportingRecords documenting the preparation and submission of reports to HE/FE regulatory bodies.Submission of report + 3 yearsInstitutional business requirements.
HE/FE sector events managementRecords documenting the planning and impact/results of events for the HE sector.Completion of event + 3 yearsInstitutional business requirements.
HE/FE sector events managementRecords documenting the organisation and administration of events for the HE sector.Completion of event + 1 yearInstitutional business requirements.
HE/FE sector representationRecords documenting the institution's membership of organisations.Termination of membership + 1 yearInstitutional business requirements.
HE/FE sector representationRecords documenting the institution's participation in the activities of external organisations (including committees).Termination of involvement + 1 yearInstitutional business requirements.
HE/FE sector collaborationRecords documenting the establishment of formal contractual relationships between the institution and other HE/FE institutions.Termination of contractual relationship + 6 yearsLimitation Act 1980 c. 58 s 5

Government and parliamentary relations

ActivityRecord groupRetention periodCitations and notes
Government relations strategy and policy developmentRecords documenting the development and establishment of the institution's government relations strategy: key records.Superseded + 5 yearsInstitutional business requirements.
Government relations strategy, policy and procedures developmentRecords documenting the development and establishment of the institution's government relations strategy, policies and procedures: working papers.Issue of document + 1 yearInstitutional business requirements.
Government relations procedure developmentMaster copies of procedures relating to government relations.Superseded + 3 yearsInstitutional business requirements.
Government communications managementGeneral correspondence with government bodies.Current year + 5 yearsInstitutional business requirements.
Government communications managementRequests for information from government bodies, the consideration of the requests, preparation of responses and the responses provided.Last action on request + 5 yearsInstitutional business requirements.
Government consultations managementRecords documenting the consideration and preparation of the institution's formal responses to consultations conducted by government bodies (including records of internal consultation processes).Last action on consultation + 1 yearInstitutional business requirements.
Government consultations managementRecords documenting the institution's formal responses to consultations conducted by government bodies.Last action on consultation + 5 yearsInstitutional business requirements.
Government reportingRecords documenting the preparation and submission of reports to government bodies.Submission of report + 3 yearsInstitutional business requirements.
Government inquiries/investigations managementRecords documenting the institution's participation in formal government or public inquiries.Last action on inquiry + 10 yearsInstitutional business requirements.
Parliamentary relations strategy developmentRecords documenting the development and establishment of the institution's parliamentary relations strategy: key records.Superseded + 5 yearsInstitutional business requirements.
Parliamentary relations strategy developmentRecords documenting the development and establishment of the institution's parliamentary relations strategy: working papers.Issue of strategy + 1 yearInstitutional business requirements.
Parliamentary relations policy developmentRecords documenting the development and establishment of the institution's parliamentary relations policies: key records.Superseded + 5 yearsInstitutional business requirements.
Parliamentary relations policy developmentRecords documenting the development and establishment of the institution's parliamentary relations policies: working papers.Issue of policy + 1 yearInstitutional business requirements.
Parliamentary relations procedure developmentRecords documenting the development of the institution's procedures relating to parliamentary relations.Issue of procedures + 1 yearInstitutional business requirements.
Parliamentary relations procedure developmentMaster copies of procedures relating to parliamentary relations.Superseded + 3 yearsInstitutional business requirements.
Parliamentary communications managementGeneral correspondence with parliamentary bodies.Current year + 5 yearsInstitutional business requirements.
Parliamentary communications managementRequests for information from parliamentary bodies, the consideration of the requests, preparation of responses and the responses provided.Last action on request + 5 yearsInstitutional business requirements.
Parliamentary consultations managementRecords documenting the preparation of the institution's formal responses to consultations conducted by parliamentary bodies (including records of internal consultation processes).Last action on consultation + 1 yearInstitutional business requirements.
Parliamentary consultations managementRecords documenting the institution's formal responses to consultations conducted by parliamentary bodies.Last action on consultation + 3 yearsInstitutional business requirements.
Parliamentary inquiries & investigations managementRecords documenting the institution's participation in formal parliamentary inquiries.Last action on inquiry + 10 yearsInstitutional business requirements.

Community relations

ActivityRecord groupRetention periodCitations and notes
Community relations strategy developmentRecords documenting the development and establishment of the institution's community relations strategy: key records.Superseded + 5 yearsInstitutional business requirements.
Community relations strategy developmentRecords documenting the development and establishment of the institution's community relations strategy: working papers.Issue of strategy + 1 yearInstitutional business requirements.
Community relations policy developmentRecords documenting the development and establishment of the institution's community relations policies: key records.Superseded + 5 yearsInstitutional business requirements.
Community relations policy developmentRecords documenting the development and establishment of the institution's community relations policies: working papers.Issue of policy + 1 yearInstitutional business requirements.
Community relations procedure developmentRecords documenting the development of the institution's procedures relating to community relations.Issue of procedures + 1 yearInstitutional business requirements.
Community relations procedure developmentMaster copies of procedures relating to community relations.Superseded + 3 yearsInstitutional business requirements.
Community communications managementEnquiries from members of the local community and the responses provided.Last action of enquiry + 1 yearInstitutional business requirements.
Community communications managementUnsolicited feedback from members of the local community, the internal handling of this feedback and the responses provided.Last action on feedback + 1 yearInstitutional business requirements.
Community communications managementRecords documenting the design and conduct of community surveys.Completion of survey + 3 yearsInstitutional business requirements.
Community communications managementResults of community surveys: individual responsesCompletion of analysis of survey responsesThe retention period will depend on what was stated in the privacy notice when the data was collected. After this period, responses can be anonymised for the purposes of analysis to ensure compliance with GDPR.
Community communications managementResults of community surveys: summaries and analyses of responsesCompletion of survey + 3 yearsInstitutional business requirements.
Community communications managementComplaints from members of the local community, the internal handling of these complaints and the responses provided.Last action on complaint + 1 yearInstitutional business requirements.
Community events managementRecords documenting the planning and impact/results of local community events.Completion of event + 3 yearsInstitutional business requirements.
Community events managementRecords documenting the organisation and administration of local community events.Completion of event + 1 yearInstitutional business requirements.
Community representationRecords documenting the institution's membership of local community organisations.Termination of membership + 1 yearInstitutional business requirements.
Community representationRecords documenting the institution's participation in the activities of local community organisations (including committees).Termination of involvement + 1 yearInstitutional business requirements.

Students union

ActivityRecord groupRetention periodCitations and notes
Students' union relations strategy developmentRecords documenting the development and establishment of the institution's students' union relations strategy: key records.Superseded + 10 yearsInstitutional business requirements.
Students' union relations strategy developmentRecords documenting the development and establishment of the institution's students' union relations strategy: working papers.Issue of strategy + 1 yearInstitutional business requirements.
Students’ union relations policy developmentRecords documenting the development and establishment of the institution's policies on students' union relations: key records.Superseded + 5 yearsInstitutional business requirements.
Students’ union relations policy developmentRecords documenting the development and establishment of the institution's policies on students' union relations: working papers.Issue of policy + 1 yearInstitutional business requirements.
Students’ union relations policy developmentRecords documenting the development and establishment of the institution's code of practice on the oversight of the operations and finances of its students' union, as required by Section 22(3) of the Education Act 1994.Issue of revised Code of Practice + 1 year1994 c. 30 does not prescribe a retention period.
Students’ union relations policy developmentCode of Practice required by Section 22(3) of the Education Act 1994.Superseded + 10 yearsInstitutional business requirements.
Students’ union relations procedure developmentRecords documenting the development of the institution's procedures relating to students' union relations.Issue of procedures + 1 yearInstitutional business requirements.
Students’ union relations procedure developmentMaster copies of procedures relating to students' union relations.Superseded + 5 yearsInstitutional business requirements.
Students’ union constitution review & approvalRecords documenting the process of reviewing the students' union's constitution, as required by s. 22(2) of the Education Act 1994.NAThe governing body's formal review and approval of the students union's constitution will be recorded in the minutes of the appropriate meetings of the governing body.  These records will be retained with the records of the governing body.
Students’ union fundingRecords documenting the process of negotiating and agreeing funding to be provided by the institution to its students' union.Current financial year + 1 yearInstitutional business requirements.
Students’ union financial monitoringRecords documenting the process of reviewing the students' union's budgets, as required by s. 22(2) of the Education Act 1994.NAThe governing body's formal review and approval of the students union's budgets will be recorded in the minutes of the appropriate meetings of the governing body.  These records will be retained with the records of the governing body.
Students’ union financial monitoringRecords documenting the monitoring of the students' union's financial affairs, as required by s. 22(2) of the Education Act 1994.NAThe governing body's formal review and approval of the students union's financial reports will be recorded in the minutes of the appropriate meetings of the governing body.  These records will be retained with the records of the governing body.
Students’ union operations monitoringRecords documenting the monitoring of elections to major offices in the institution's students' union, as required by s. 22(2) of the Education Act 1994 (1994 c. 30).NAThe governing body's formal review of the students union's elections will be recorded in the minutes of the appropriate meetings of the governing body.  These records will be retained with the records of the governing body.
Students’ union operations monitoringRecords documenting the monitoring of students' union affiliations, as required by s. 22(2) of the Education Act 1994 (1994 c. 30).NAThe governing body's formal review of the students union's affiliations will be recorded in the minutes of the appropriate meetings of the governing body.  These records will be retained with the records of the governing body.
Students’ union operations monitoringRecords documenting the investigation and reporting on complaints against the students' union by independent investigators appointed by the institution's governing body.Settlement of complaint + 6 yearsLimitation Act 1980 c.58 s. 5

Alumni relations

ActivityRecord groupRetention periodCitations and notes
Alumni relations strategy developmentRecords documenting the development and establishment of the institution's alumni relations strategy: key records.Superseded + 5 yearsInstitutional business requirements.
Alumni relations strategy developmentRecords documenting the development and establishment of the institution's alumni relations strategy: working papers.Issue of strategy + 1 yearInstitutional business requirements.
Alumni relations policy developmentRecords documenting the development and establishment of the institution's alumni relations policies: key records.Superseded + 5 yearsInstitutional business requirements.
Alumni relations policy developmentRecords documenting the development and establishment of the institution's alumni relations policies: working papers.Issue of policy + 1 yearInstitutional business requirements.
Alumni relations procedure developmentRecords documenting the development of the institution's procedures relating to alumni relations.Issue of procedures + 1 yearInstitutional business requirements.
Alumni relations procedure developmentMaster copies of procedures relating to alumni relations.Superseded + 3 yearsInstitutional business requirements.
Alumni records administrationRecords containing personal data on individual alumni.While current (or likely to be current)Institutional business requirements.
Alumni records administrationSummary (anonymised) statistical records of alumniCurrent year + 10 yearsInstitutional business requirements.
Alumni communications managementRecords documenting the design, planning and production of official alumni communications.Issue of communication + 1 yearInstitutional business requirements.
Alumni communications managementAlumni communicationsIssue + 1 yearInstitutional business requirements.
Alumni communications managementRecords documenting enquiries from alumni and the responses provided.Last action on enquiry + 1 yearInstitutional business requirements.
Alumni communications managementUnsolicited feedback from alumni, the internal handling of this feedback and the responses provided.Last action on feedback + 1 yearInstitutional business requirements.
Alumni communications managementRecords documenting the design and conduct of alumni surveys.Completion of survey + 3 yearsInstitutional business requirements.
Alumni communications managementResults of alumni surveys: individual responsesCompletion of analysis of survey responsesThe retention period will depend on what was stated in the privacy notice when the data was collected. After this period, responses can be anonymised for the purposes of analysis to ensure compliance with GDPR.
Alumni communications managementResults of alumni surveys: summaries and analyses of responsesCompletion of survey + 3 yearsInstitutional business requirements.
Alumni communications managementRecords documenting the handling of complaints from alumni.Last action on complaint + 6 yearsRetention for a longer period may be appropriate if the complaint, or the handling of the complaint, could be a basis for legal action against the institution.
Alumni events managementRecords documenting the planning and impact/results of institutional events for alumni.Completion of event + 3 yearsInstitutional business requirements.
Alumni events managementRecords documenting the organisation and administration of institutional events for alumni.Completion of event + 1 yearInstitutional business requirements.
Alumni events managementRecords documenting the administration of financial and other support given to individual alumni organisations.Current financial year + 1 yearInstitutional business requirements.
Alumni supportRequests from alumni associations for financial or other support, the internal handling of these requests and the responses provided.Last action on request + 1 yearInstitutional business requirements.
Alumni supportRecords documenting the administration of financial and other support to alumni organisations.Current financial year +1 yearInstitutional business requirements.
Alumni supportRequests for contact details for alumni, action taken, and the responses provided.Last action on request + 1 yearInstitutional business requirements.

Fundraising and donations

ActivityRecord groupRetention periodCitations and notes
Fundraising strategy developmentRecords documenting the development and establishment of the institution's fundraising strategy: key records.Superseded + 5 yearsInstitutional business requirements.
Fundraising strategy developmentRecords documenting the development and establishment of the institution's fundraising strategy: working papers.Issue of strategy + 1 yearInstitutional business requirements.
Fundraising policy developmentRecords documenting the development and establishment of the institution's fundraising policies: key records.Superseded + 5 yearsInstitutional business requirements.
Fundraising policy developmentRecords documenting the development and establishment of the institution's fundraising policies: working papers.Issue of policy + 1 yearInstitutional business requirements.
Fundraising procedure developmentRecords documenting the development of the institution's procedures relating to fundraising.Issue of procedures + 1 yearInstitutional business requirements.
Fundraising procedure developmentMaster copies of procedures relating to fundraising.Superseded + 3 yearsInstitutional business requirements.
Fundraising campaign managementRecords documenting the design, conduct and summary results of fundraising campaigns.Last action on campaign + 5 yearsInstitutional business requirements.
Fundraising campaign managementIndividual responses to fundraising campaigns.Completion of analysis of dataInstitutional business requirements.
Donations managementRecords documenting the management of the institution's relationship with donors to the institution (other than in response to fundraising campaigns).Duration of relationship + 6 yearsLimitation Act 1980 c. 58 s 5
Donations managementRecords documenting the process of making donations to third parties.Last action on donation + 6 yearsLimitation Act 1980 c. 58 s 5
Donations managementRecords documenting the handling of enquiries about making donations to the institution.Last action on enquiry + 1 yearInstitutional business requirements.
Donations managementRecords documenting donations to the institution.Current year + 5 yearsA shorter/longer period may be appropriate for small/substantial donations.

Marketing and communications

ActivityRecord groupRetention periodCitations and notes
Marketing strategy developmentRecords documenting the development and establishment of the institution's marketing strategy: key records.Superseded + 5 yearsInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.
Marketing strategy developmentRecords documenting the development and establishment of the institution's marketing strategy: working papers.Issue of strategy + 1 yearInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.
Marketing policy developmentRecords documenting the development and establishment of the institution's marketing policies: key records.Superseded + 5 yearsInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.
Marketing policy developmentRecords documenting the development and establishment of the institution's marketing policies: working papers.Issue of policy + 1 yearInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.
Marketing procedure developmentRecords documenting the development of the institution's procedures relating to marketing.Issue of procedures + 1 yearInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.
Marketing procedure developmentMaster copies of procedures relating to marketing.Superseded + 3 yearsInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.
Market researchRecords documenting the design and development of market research tools.Completion of research + 5 yearsInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.
Market researchMarket research data: data relating to identifiable individuals.Completion of analysis of dataInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.
Market researchMarket research data: aggregated data and analyses.Completion of research + 5 yearsInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.
Marketing campaign managementRecords documenting the design, implementation and review of marketing campaigns.Completion of campaign + 3 yearsInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.
Corporate identity & brand managementRecords documenting the design of the institution's corporate identity marks (logos etc.) and the development of style guides for use of these.SupersededInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.
Advertising managementRecords documenting the development, placement and impact of advertisements.Current + 5 yearsInstitutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.

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