Guide

Academic administration

Page 2 of 8 - Records retention management

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Records retention management

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Superseded + 10 yearsInstitutional business requirements.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Superseded + 10 yearsInstitutional business requirements.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 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.

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