Academic Section Retention Schedule

Records Management overview

Records retention and disposal is the process by which the University decides whether records that are no longer current should be destroyed or transferred to the archive. All University records fall into three categories:

  • Current (when data may be added to the record)
  • Semi-current (when the record has been closed but is used as a reference tool for administrative purposes)
  • Archived (when it has been selected for permanent retention)

The retention period refers to the life of the record as a “current” or “semi-current” record. When a record reaches the end of its retention period, it must be either destroyed or archived permanently.

Records retention schedule

The following retention schedule provides a structured framework for the retention and disposal of all records managed by all the offices in the Academic Section. The schedule is divided up according to the offices of the Section and should be read and used in conjunction with the Section’s records management policy and relevant procedure documents. Please note that offices are listed in alphabetic order but the records are listed in no particular order within each office. The records are categorised according to the JISC Study of the Records Lifecycle: HEI Function and Activity Model.

Acronym key

  • CAY Current Academic Year (October to September)
  • CFY Current Financial Year (July to August)
  • CCY Current Calendar Year (January to December)
  • TofR Termination of Relationship (the point at which someone stops being a student or member of staff)

Academic Registrar's Office


Item How long to keep it for Notes
Academic Section Staff files Termination of relationship + 2 The main staff file is held in HR
Annual Review of Staff, including the summary CAY + 3
Staff Performance and Development Review Termination of relationship + 6
Academic Section Financial Records CFY + 6
Student legal cases Resolution of dispute + 6 The Registrar and Secretary’s Office holds permanent copies.
School Board Papers CAY
Current Projects Files Pruned annually N/A
Notes from USG CAY + 2N/A
Stationery Purchase OrdersCAY N/A

Academic Standards and Partnerships Office


Item How long to keep it for Notes
Documentation relating to Periodic Review of Programmes of Study CAY + 5
Reports of Periodic Reviews of Programmes of Study Permanent
Subject Review Reports Permanent
Subject Review Procedures Permanent
External Examiner Reports and Departmental Responses CAY + 6
External Examiner Files TofR + 1
Personal information retained on the External Examiner Database Permanent
Academic Standards Committee Papers and Minutes Permanent
Quality Enhancement Committee Papers and Minutes Permanent
Quality Assurance and Enhancement Committee Papers Permanent
QAA correspondence CAY + 6
University of Essex QAA Code of Practice Compliance Grids Permanent - updated periodically
Professional and Statutory Bodies Accreditation Reports Held until publication of new report
Institutional Audit documentation Date of last audit + 6
QAA Audit Reports Permanent Two copies held in the QAEO
Annual Monitoring Reports Permanent CAY + 6

Exams and Timetable Office


Item How long to keep it for Notes
Temporary staff: contracts of employment CAY
Temporary staff: timesheets CAY
Temporary staff: spreadsheet for hours workedCAY + 1
Candidate/Exam Paper lists for Exam PeriodsCAY
Incidents Report Forms CAY + 1
Correspondence with students CAY
Requests for room bookings CAY + 1
Handbooks for Invigilators CAY + 6
Examination Guide for Students CAY + 6
Teaching Timetables CAY + 5
Examination Timetables CAY + 5
CMIS Procedure Document Permanent working document - Updated as necessary

Graduate School


Item How long to keep it for Notes
Individual student files CAY + 6 See separate policy on the management, retention and disposal of students records
Student correspondence 3 months
Student authority to register forms CAY + one term
Student personal details forms CAY
Pass lists for Masters students Permanent Academic Departments also retain a copy. Graduate Schools copies are held in Academic Section archive
Examiners’ reports for research students Permanent Held in the Academic Section archive
Student requests for transcripts CAY + one term
Certificate of Registration requests CAY
Chairs of Boards of Examiners Reports CAY + 6 Academic Departments also retain copies together with the marks grid and any other documentation associated with the Board.
Student withdrawal details CAY + 1
University Studentship details CAY + 6
Research Council Awards CAY + 3
Research Council Submission Rates Permanent
School Board Papers and Committees of the Board Permanent Held in the Academic Section archive
Working Parties/Reviews CAY + 5 See separate policy on the management, retention and disposal of working party papers
Periodic Review of Programmes of Study CAY + 5
Annual Monitoring Reports CAY +
Programme of Study Structures and Rules of Assessment CAY Academic Departments hold permanent copies
Programme Specifications CAY Academic Departments hold permanent copies
Departmental Files CAY + 1 N/A
Topic Files CAY + 1 N/A
Budget Reports CAY + 3 N/A
Stafford Loan Certification CAY + 6 N/A
Record of students going into completion and further completion CAY + 2 N/A
Year assessment list for research students CAY + 1 N/A

Graduation Office


Item How long to keep it for Notes
Degree Congregation Main Programme Permanent Held in the Degree Congregation Office
Degree Congregation Special Programme: Standard Documents Permanent Held in the Degree Congregation Office
Records relating to DOATAP (Formerly DIKATSA) CAY + 4
Duplicate Certificate requests CAY + 1
Honorary Graduands: Personal Information CAY
Honorary Graduates: Orations and Responses Permanent Held in the Vice-Chancellor’s Office and Albert Sloman Library
Honorary Degrees Committee Agendas, Papers and Minutes Permanent Held electronically only after 2 years
Honorary Degrees Committee database Permanent
Correspondence relating to prizes and their recipients CAY + 4
Writtle College Pass Lists CAY + 4
Writtle College Booklets Permanent Held in Degree Congregation Office
SEC Pass Lists CAY + 4
SEC Booklets Permanent Held in Degree Congregation Office
Statistics on student conferral CAY + 4
University of Essex Pass Lists CAY
Degree Congregation Ceremony Videos Permanent Held in the Academic Section archive
Budget Information CAY + 4
Documentation relating to Degree Congregation ceremony arrangements CAY + 4
Degree Congregation Ceremony Lists CAY + 4

Registry


Item How long to keep it for Notes
Individual student files TofR + 6 See separate policy on the management, retention and disposal of student records
Student Authority to Register Forms CAY N/A
Student personal details forms CAY
First Year Extenuating Circumstances Forms CAY + 9
Second and Final Year Extenuating Circumstances Forms TofR + 6
Board of Examiners file Permanent Held in the Academic Section archive
Student monitoring information/progress reports CAY + 1
Outcomes of progress committees Held on individual student files
Outcomes of academic offences Reference copy: CAY + 2 Original copy held on individual student file
Appeals Working Papers: CAY + 1 Record of appeal case and outcome held on individual student file
Transcript requests CAY
Certificate of registration requests CAY
Tuition fee and attendance confirmation report information CAY + 6
Weekly withdrawal lists and R41 forms CAY + 1
Information requests from/about students Purged every 6 months
Student summer vacation addresses Duration of summer vacation
School Board Papers Permanent Held in the Academic Section archive
Papers for School-related Committees CAY + 5
Paperwork relating to Periodic Review of Programmes of Study CAY + 2
Module structures Permanent Held in the Academic Section archive
Academic Department Files CAY + 1
Enlightenment Module (CS101): Administrative Correspondence CAY + 5
Enlightenment Module (CS101): Class Lists CAY
Enlightenment Module (CS101): Student Marks CAY + 2
Enlightenment Module (CS101): Exam Scripts CAY + 2
Undergraduate Schools Office Staff files TofR + 2 Human Resources hold the main staff file
Maths Management Committee Papers and Minutes Permanent
Standard Letter Templates Most recent version
Masters forms files Permanent – updated as necessary
"How to file" Policy and Procedure Handbook Permanent – updated as necessary
Academic Offences and Progress Procedures Held until procedures updated
Departmental Handbooks CAY + 1
Handbook for Chairs of Exam Boards Held until handbook updated
Undergraduate Assessment Procedures Held until procedures updated
Blank Intermission/Withdrawal Forms and related guidance CAY + 6
Blank Extenuating Circumstances Forms and related guidance CAY + 6
General information from external sources: DfES, Student Loans Company CAY + 5
Working Party Files CAY + 5 See separate policy on the management, retention and disposal of working party papers

Student Progress Team


Item How long to keep it for Notes
Academic Offences Committee Outcomes CAY + 1
Appeals for taught students CAY
Appeals for research students Held on individual student files
Student complaints 6 academic years after the year in which the dispute is resolved
Student complaints: Summary Report to the Vice-Chancellor 6 academic years after the year in which the dispute is resolved Held in the Academic Registrar’s Office
Student appeals 6 academic years after the year in which the dispute is resolved
Student Conduct Committee Cases 6 academic years after the academic year in which the incident is dealt with See separate policy on the management of individual student records relating to non-academic disciplinary offences
Cases dealt with by the Proctor: No further action 6 academic years after the academic year in which the incident is dealt with See separate policy on the management of individual student records relating to non-academic disciplinary offences
Cases dealt with by the Proctor: Sanction imposed 6 academic years after the academic year in which the incident is dealt with See separate policy on the management of individual student records relating to non-academic disciplinary offences
Running List for Student Conduct Committee Cases CAY + 10
Running List for cases dealt with by the Proctor CAY + 10
Student Conduct Panel: Minutes and Papers Permanent
Equal Opportunity Monitoring Statistics Permanent Held with Student Disciplinary Panel Papers
Security reports resulting in no action taken by the Proctor CAY
Running list of security incidents CAY

Student Support Office


Item How long to keep it for Notes
Student Database Academic year during which last contact was made + 6
Individual Student Files Academic year during which last contact was made + 6
Individual Student Files: students who have died while registered at the University Academic Year of Death + 6
Student correspondence CAY + 2
Student Support Office Financial Records CFY + 6
One-off enquiries CAY + 6
Access to Learning Fund Applications CAY + 6
Summary Records of Hardship Payments CAY + 6
Disabled Applicant Files CAY + 1
Work undertaken by the ACCESS Centre: Needs Assessment Notes and Final Report Internal Assessments: Transferred to individual student file External Assessments: CAY + 2
Work Undertaken by ACCESS Centre: Financial Records CAY + 6
Student files on dyslexia/study skills tuition TofR + 6
Timetable and application for dyslexia/study skills tuition TofR
Recharging paperwork for dyslexia/study skills tuition CAY + 3
Individual examination disability recommendations CAY + 2
Student Support Office Personnel Files TofR + 3
Student Support Worker (SSW) personal files TofR + 3
Community Service Volunteer (CSV) personal files TofR + 3
Student Support Worker timesheets CAY + 3
Recharging paperwork for Student Support Worker CAY + 3
Recruitment papers for CSV not appointed CAY + 1
Recruitment papers for SSW not appointed CAY + 1
Residents Support Network: Applications CAY + 2
Residents Support Network: Recruitment and Selection Papers CAY + 2
Residents Support Network: Personal Files TofR + 6
University Students Union Consultative Committee Permanent Held in Student Support Office
Welfare Forum Papers CAY + 5
Access to Learning Fund Committee Papers CAY + 6
Papers relating to Sub-Committees that report to a Committee of Council or Senate CAY + 5
Working Party files CAY + 5

Systems Administration Office


Item How long to keep it for Notes
Senate Papers and Minutes Permanent Papers are stored in the Academic Section archive
Correspondence and submissions of text relating to the University Calendar CAY + 3 N/A
Correspondence and submissions of text relating to the University Regulations, Policy and Procedures CAY + 3 N/A
Correspondence and submissions of text relating to the Higher Degree Regulations and Procedures CAY + 3 N/A
Correspondence and submissions of text relating to the Student Handbook CAY + 3 N/A
University Calendar Permanent Five copies for each academic year are held for ten years in the University Strong Room. Two copies are then retained permanently at the end of the initial ten year period.
University Regulations, Policy and Procedures Permanent Five copies for each academic year are held for ten years in the Academic Section archive. Two copies are then retained permanently at the end of the initial ten year period.
Higher Degree Regulations and Procedures Permanent Five copies for each academic year are held for ten years in the Academic Section archive. Two copies are then retained permanently at the end of the initial ten year period.
Student Handbook Permanent Five copies for each academic year are held for ten years in the Academic Section archive. Two copies are then retained permanently at the end of the initial ten year period.
Correspondence and submissions of text relating to University Committees CAY + 1
Correspondence relating to the University fees schedule CAY + 1
General Files on Systems Administration Office activity Pruned annually
Student Equal Opportunities forms Destroyed
Student Photographs Destroyed
Programmes of Study structures Permanent – amended as necessary
Directory of modules Permanent – amended as necessary
Directory of modules: Correspondence with Departments CAY + 1
Correspondence about students CAY
Information on Students on the Away Year CAY
Load: Information from Departments/Centres CAY + 2
Crossload CAY
Information on New Modules/Structures CAY + 1
Budget Information CAY + 1
Systems Administration Office Meetings Minutes and Papers CAY + 2
Academic Section Briefing Meeting Minutes and Papers CAY + 6
Email correspondence with users and programmers of Systems Administration Office Databases CAY + 1
Training Documents for Systems Administration Office Databases Permanent
Enhancement and Development Information for Systems Administration Office Databases CAY + 1
Academic Section website development CAY + 2
Student Satisfaction Survey: Raw data relating to the student responses CAY + 1
Student Satisfaction Survey: Quantitative and qualitative reports generated by the SSS software CAY + 6
Student Satisfaction Survey: Statistical summary reports of the quantitative data CAY + 6
Student Satisfaction Survey: Office procedures document Permanent – amended as necessary
Student Satisfaction Survey: Quality assurance policy documentation CAY + 6
Student Assessment of Teaching: Results CAY + 5
Student Assessment of Teaching: Final Reports Permanent Held in the Academic Section archive
Working Party Papers CAY + 5