Owner:
Version number:
Effective date:
Date of last review:
Due for review:
Educational Development and Quality
3.0
15th September 2014 (For 2014-15 and 2015-16 Academic Years)
August 2014
Every 3 years
[Title] Policy
This document is part of the Academic Regulations, Policies and Procedures which govern
the University’s academic provision. Each document has a unique document number to
indicate which section of the series it belongs to.
10A - Quality Management Records Retention: Policy and
Procedure
1.
SCOPE AND PURPOSE
1.1
This policy and procedure is intended for Bournemouth University (BU) staff.
1.2
This policy and procedure provides a guide for the retention of documentation generated
through the quality management activities of the University in relation to teaching, learning
and student administration. This document is based upon the earlier University Records
Retention Schedule and is informed by JISC infoNET guidance.
1.3
BU staff are required to adhere to the procedure given within this document for quality
assurance purposes. Members of staff need to be able to access information and
documentation where necessary to respond to external queries and therefore it is important
that the guidelines given here are reflected in the practice employed within Professional
Services and Faculties.
1.4
The procedure outlines responsibilities for the core documentation, therefore clarifying the
requirements for staff and their respective departments.
2.
KEY RESPONSIBILITIES
2.1
Faculties and Professional Services: to maintain records as specified within this document.
3.
LINKS TO OTHER BU DOCUMENTS
3.1
Other documents with direct relevance to this one are:




10B - Committees: Policy and Procedure
10C - Committees: Guidelines
Use of Cohort for online applications
Data Protection Policy
Policy
4.
PRINCIPLES
4.1
All records relating to an individual student should be complete, accurate and up to date. A
record of education needs to be kept in perpetuity for all students.
4.2
All personal data should be adequate, relevant and not excessive in relation to the purpose for
which it is retained.
4.3
Records should be held securely to prevent unauthorised access to them and duplication of
student information should be kept to a minimum.
1
10A - Quality Management Records Retention: Policy and Procedure
4.4
Some professional, statutory or regulatory bodies (PSRBs) may have additional requirements
which need to be adhered to in addition to those stated for BU.
4.5
BU aims to retain the majority of records in electronic format, although it should be
remembered that for retention purposes the format of the record is immaterial.
Procedures
5.
RESPONSIBILITIES AND RETENTION PERIODS FOR CORE RECORDS
5.1
Retention periods vary considerably depending upon the type of record.
separates out records into four key areas:
2
This procedure

Student Records – where information will relate specifically to individual students,
applicants or enquirers;

Programme Documentation - includes all documentation relevant to programme
creation, delivery, management and monitoring;

Assessment Records - details documentation relating to assessment including
assignment/examination briefs and papers through to assessment board paper
management;

Meetings and Documentation held centrally - includes guidance on committee
paperwork, External Examiners, PSRBs, Partner contracts and Audit materials.
10A - Quality Management Records Retention: Policy and Procedure
5.2
Student Records
Core student record.
To include at a
minimum:
Student name
Date of birth
Address at start and
end of programme
Previous qualifications/
fulfilment of
admissions criteria
Programmes
undertaken (with
dates)
Overall grades and
classification achieved
Name, date and result
of award
Professional
registrations with
PSRBs
Where core record
is held
Are additional
copies
required
Held in Unit-e (or
other locations e.g.
HEMIS where
records were not
transferred over).
Other information
may be held on
student file for as
long as is
necessary for
operational
purposes within
Faculty/ Partner
Normally kept
as an
electronic
record within
the student
record system
Faculty/ Partner
No
Format of
record electronic
or hard
copy
(E or H)
E or H1
Retention Period
E or H
6 years from graduation
or any subsequent
action/ correspondence
whichever is later.
Note: The UKBA require
that visa and passport
copies are kept for 1
year after the student
completes their
programme
Permanently retained
For Partners under the
Validation Model: the
Partner will maintain
the core record within
their own database
system
Student files and any
associated information
(such as that relating
to application, transfer,
withdrawal, ALS,
mitigation etc) students on
programmes that do
not lead to a
professional
registration with a
PSRB
1
3
Pre-Electronic Student Records
10A - Quality Management Records Retention: Policy and Procedure
Where core
record is held
Are additional
copies required
Student files and any
associated information
(such as that relating
to application, transfer,
withdrawal, ALS ,
mitigation etc) students on
programmes that do
lead to a professional
registration with a
PSRB
Faculty/ Partner
No
Additional Learning
Support (ALS) student
records (initial
assessment,
screening, diagnostic
assessment, medical
evidence, Disabled
Students Allowance
(DSA), Individual
Learning Programme
(ILP), independent
study management
info, all e-mails, letters,
texts and general
communications)
ALS
Marked student work
not collected by
students
Faculty/ Partner
Note: students to be
advised at the start of
the programme that
any uncollected work
will be destroyed after
one year
4
Format of
record electronic
or hard
copy
(E or H)
E or H
Retention Period
Copy of ALS advice
note to be kept on
the student file
within the Faculty/
Partner
E or H
6 years from
graduation or any
subsequent action/
correspondence
whichever is later
No
E or H
(Electronic
records
held in
myBU can
be retrieved
if
necessary)
Current academic year
+ 1 year
10A - Quality Management Records Retention: Policy and Procedure
6 years from
graduation or any
subsequent action/
correspondence
whichever is later providing information
relating to the
professional aspect of
the programme is
available within the
electronic student
record, ie. nursing/
midwifery - records
need to be
permanently retained.
Note: The UKBA
require that visa and
passport copies are
kept for 1 year after
the student completes
their programme
5
Where core record is
held
Are
additional
copies
required
Format of
record electronic
or hard
copy
(E or H)
E or H
Retention Period
Academic Appeals
For appeals resolved
at Local Stage, core
record will be the
documentation held on
student file by the
Faculty/Partner. For
appeals that reach the
Mediation/Formal
Stage, Academic
Services hold the
definitive record
Yes, in
student core
record
Admissions Appeals
For appeals resolved
at Local Stage, core
record will be the
documentation held on
student file by the
Faculty/Partner. For
appeals that reach the
Mediation/Formal
Stage, Academic
Services hold the
definitive record
Yes, in
applicant file
E or H
6 years from last action
on appeal
Student Complaints
For complaints
resolved at Local
Stage, core record will
be the documentation
held on student file by
the Faculty/ Partner.
For complaints that
reach the
Mediation/Formal
Stage, Academic
Services hold the
definitive record
Yes, in
student core
record
E or H
6 years from graduation
or 6 years from last
action on complaint,
whichever is later
10A - Quality Management Records Retention: Policy and Procedure
6 years from graduation
or 6 years from last
action on appeal,
whichever is later
Disciplinary records
Successful
applicants who then
enrol as students
Application forms may
have been submitted
electronically via
Cohort or UCAS or be
in hard copy format to include personal
data, previous
education and
qualifications,
employment details
etc, supporting
documentation or
evidence
Where core record is
held
Are
additional
copies
required
For disciplinaries
resolved at Local
Stage, core record will
be the documentation
held on student file by
the Faculty/ Partner.
For disciplinaries that
reach the Mediation/
Formal Stage,
Academic Services
hold the definitive
record
Yes, in
student core
record.
Ensure info
on student
file is
destroyed
after the
appropriate
period
Electronic - within Unite under student profile
No
Format of
record electronic
or hard
copy
(E or H)
E or H
6 years from
graduation or 6
years from last
disciplinary,
whichever is later
Note: normally
written warnings will
be held on file for a
specified time. They
should then be
removed and
destroyed
E or H
Hard copy Faculty/Partner (on
student file)
RPL information, fee
status forms etc (may
be held on hard copy
file)
6
Retention Period
10A - Quality Management Records Retention: Policy and Procedure
6 years from
graduation or any
subsequent
correspondence
whichever is later
Unsuccessful
applicants or
applicants who do not
enrol
Application forms may
have been submitted
electronically via Cohort
or UCAS or be in hard
copy format - to include
personal data, previous
education and
qualifications,
employment details etc,
supporting
documentation or
evidence
Where core record is
held
Are
additional
copies
required
Electronic - within
Unit-e under student
profile
Not unless
there is an
appeal
Format of
record electronic
or hard
copy
(E or H)
E or H
Retention Period
E or H
Current academic
year + 1 year
Hard copy Faculty/Partner (on
student file)
Current academic
year + 1 year (or
remainder of
academic year plus
one year from date of
last activity on
application)
RPL information, fee
status forms etc (may
be held on hard copy
file)
Records documenting
the handling of
enquiries by
prospective students
5.3
7
Academic Services
No
Programme Documentation
Annual Reports on
Framework/Programme
Monitoring
(ARFM/ARPM)
EDQ
No
E
Current academic year +
6 years
Design Phase
documentation to
include Briefing and
Resources document,
Framework/Programme
Specification, Unit
Specifications, Course
Costing Form
EDQ
No
E
Current academic year +
10 years
10A - Quality Management Records Retention: Policy and Procedure
Where core record is
held
Are
additional
copies
required
Retention Period
No
Format of
record electronic
or hard
copy
(E or H)
E
Evaluation Phase
documentation to
include Briefing and
Resources document,
Framework/Programme
Specification, Unit
Specifications, CVs,
ARFMs
EDQ
Modifications
EDQ
No
E
Current academic
year + 10 years
Final Approved
Programme
Specification and Unit
Specifications
EDQ
No
E
Permanently retained
All programme files
which includes a
historical record of
programme evaluation
events – include email
correspondence, EPM
documentation
EDQ
No
E or H
Permanently retained
Records documenting
the design, conduct and
review of induction
programmes for new
students
Faculty/Partner
No
E or H
Completion of
induction programme
+ 5 years
Records documenting
the administration of
induction programmes
and events for new
students
Faculty/Partner
No
E or H
Current academic
year + 1 year
Student Handbook
Faculty/Partner
No
E or H
6 years from
graduation of the last
student on the cohort
Faculty
No
E or H
Remainder of
academic year +1
year to allow for trend
data
Current academic
year + 5 years
As ARFM
As Committee papers
Student Feedback
Unit Level Feedback
data
SES data
Student Reps Feedback
Student Forum
Discussion
8
Academic Services
Faculty - ARFM
Faculty - Committee
papers
E
E
E
10A - Quality Management Records Retention: Policy and Procedure
Current academic
year + 10 years
5.4
9
Where core record is
held
Are
additional
copies
required
Retention Period
No
Format of
record electronic
or hard
copy
(E or H)
E or H
Registers and
attendance records
Faculty/Partner
Final version of taught
unit material
Faculty/Partner
No
E
No formal requirement
but myBU retains
content indefinitely
and can be retrieved/
accessed on request
Current academic
year + 1 year (if
necessary)
Assessment Records
Assignment briefs
Faculty/Partner
No
E or H
Current academic year
+ 1 year
Exam papers
Faculty/Partner
LLS
No
E or H
E
Current academic year
+ 1 year
Permanently retained
Exam scripts
Faculty/Partner
Academic Services Exams office
No
H
E
Current academic year
+
1 year, although for
exams contributing to
the final award end of
programme + 1 year
Assessment Board
spreadsheets and
minutes
Faculties (pre 2006
records held by
Academic Services)
This is the document
with the Chair and EE
signatures
Yes, for as
long as
required for
operational
purposes
held
electronically
in Academic
Services
folders
E or H
Permanently
retained
Results lists
Faculties (pre 2006
records held by
Academic Services)
Yes, for as
long as
required for
operational
purposes
E or H
Permanently retained
Schedules for
submission, marking &
return of coursework
Faculty/ Partner
No
E or H
Current academic year
10A - Quality Management Records Retention: Policy and Procedure
5.5
10
Where core
record is held
Are
additional
copies
required
Format of
record electronic
or hard
copy
(E or H)
E or H
Retention Period
Samples of student
assessment
Faculty/Partner
No
Summary assignment
marksheets with
first/second marker
signatures
Faculties
No
E or H
(preferably
H)
Current academic year +
1 year
Invigilation and
Absence Sheets for
Examinations
Dissertations
Faculties
No
H
Current academic year +
1 year
Faculty/Partner
LLS (accept
up to 20 from
each Faculty
per annum)
H or E
LLS
Yes –
Library,
BURO and
British
Library
H – LLS
E – BURO
and British
Library
Current academic year +
1 year for dissertations
generally. Current
academic year + 3 years
for those dissertations
held by LLS
Permanently retained –
access to electronic
copies is sometimes
restricted depending upon
content and authorisation
Theses (PhD or DBA)
Theses (MPhil,
PhD,DBA)
Current academic year +
1 year
(often the sample kept is
the same as that sent to
the EE)
Meetings and Documentation held centrally
Papers and Minutes of
formal BU Committee
meetings
Servicing
Faculty/Profession
al Service
No
E
(preferably
as
combined
pdf
document)
Permanently retained.
Further guidance on the
management of
committee papers is
available in the
Committee Policy and
Procedures document
Papers and Minutes of
other Committee
meetings
Servicing
Faculty/Profession
al Service
No
E
Will depend on the nature,
purpose and composition
of the meeting.
Minutes of meetings with
individual students/staff
should be placed on the
student/staff file. See
note above about further
guidance
10A - Quality Management Records Retention: Policy and Procedure
Where core
record is held
Are
additional
copies
required
Retention Period
No
Format of
record electronic
or hard
copy
(E or H)
E
External Examiner
reports
EDQ
External Examiner
appointment files
EDQ
No
E or H
3 years after termination
of contract
Partnership Contracts
Academic
Partnerships
No
H
Permanently retained
Key partnership
correspondence
Academic
Partnerships
No
E or H
Permanently retained
Internal and External
Audits
EDQ
No
E or H
Current academic year +
5 years
PSRB information and
approvals
EDQ
No
E or H
Permanent retention
6 years (also included in
ARFM/ARPM)
6
ELECTRONIC STORAGE
6.1
It should be noted that any requirement to retain records applies to records in all formats
therefore the format of the record (i.e. electronic or hard copy) is irrelevant for retention
purposes.
6.2
Where electronic records are not retained within a business application or service e.g.
business documents, it is recommended that staff use the BU central storage area.
See links below for further information
I Drive Appropriate Use Policy
Personal and Shared Electronic Storage
Backup Policy
6.3
Where electronic records, not retained within a business application, require archiving the
recommended method for storage is CDR or DVDR. CDRW or DVDRW should not be used. 2
It is recommended that CDRs or DVDRs are adequately named to enable ease of retrieval of
information. It is recommended that Faculties determine a standard method and annotation
for records storage.
6.4
myBU units are archived 90 days after the end date of a unit in Unit-e. Units can be reenabled for a chosen length of time, either with or without enrolments also enabled. To gain
access to archived materials, staff are requested to log an IT job by the standard method
through the Staff Intranet.
2
Guidance received from Enterprise Architecture – August 2013
11
10A - Quality Management Records Retention: Policy and Procedure
General
7
REFERENCES AND FURTHER INFORMATION
If further guidance is required, access can be gained to the JISC recommendations at the link
below:
http://www.jiscinfonet.ac.uk/partnerships/records-retention-he
7.1
12
This document has been mapped against the requirements outlined in meeting the equality
duty in policy and decision-making at Bournemouth University.
10A - Quality Management Records Retention: Policy and Procedure