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Records retention and disposal is the process by which the University decides whether records that are no longer current should be destroyed or transferred to the archive.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

CAY = Current Academic YearCFY = Current Financial YearCCY = Current Calendar Year

Academic registrar's office: AS01


Description of Record Retention Period Action taken at the end of the record lifecycle Archive Details/Notes
Academic Section Staff files Termination of relationship + 2 DestroyedPersonnel retains full files for member of staff for the statutory period after departure
Annual Review of Staff, including the summaryCAY + 3 DestroyedN/A
Staff Performance and Development ReviewTermination of relationship + 6DestroyedN/A
Academic Section Financial RecordsCFY + 6Destroyed N/A
Student legal cases Resolution of dispute + 6Destroyed The Registrar and Secretary’s Office holds permanent copies.
School Board Papers CAYDestroyedN/A
Council Papers and Minutes PermanentArchive Papers are stored in the Academic Section strong room.
Council working file for current academic yearCAY + 1 Destroyed N/A
Council Files:
Lay member Personal Files Academic year during which Council membership ceases + 1Destroyed N/A
Former Lay member contact detailsPermanent listArchive Held in the Academic Registrar’s Office
Council Procedural Changes PermanentArchiveHeld in the Academic Registrar’s Office
Induction and training InformationRetain permanently most recent informationDestroyedN/A
Annual Council Lunch:
Lunch arrangements
Lunch speakers
CAY
Permanent
Destroyed Archive N/A
Held in the Academic Registrar’s Office
Nominations Committee: Papers and MinutesPermanent ArchiveHeld in the Academic Registrar’s Office
Nominations Committee: Working file for current academic year CAY + one termDestroyedN/A
Current Projects Files Pruned annuallyDestroyed/retained as appropriateN/A
Notes from the Vice-Chancellor’s Advisory Group CAY + 2DestroyedN/A
Stationery Purchase OrdersCAYDestroyed N/A

Court: AS04


Description of Record Retention Period Action taken at the end of the record lifecycle Archive Details/Notes
Individual membership filesDuration of membership DestroyedN/A
Court Meeting Papers and MinutesPermanentArchived PermanentlyHeld in the Academic Section
Budget InformationF28.12DestroyedN/A
Attendance AnalysisDestroyedN/A
General file per academic yearCAY + 5Destroyed N/A
Letter templates Revised as necessaryDestroyed N/A

Student Appeals, Complaints and Conduct Office: AS05


Description of Record Retention Period Action taken at the end of the record lifecycle Archive Details/Notes
Academic Offences Committee OutcomesCAY + 1Destroyed N/A
Appeals for taught studentsCAYDestroyed N/A
Appeals for research studentsHeld on individual student filesDestroyedN/A
Student complaints 6 academic years after the year in which the dispute is resolvedDestroyed N/A
Student complaints: Summary Report to the Vice-Chancellor 6 academic years after the year in which the dispute is resolvedArchiveHeld in the Academic Registrar’s Office
Student appeals 6 academic years after the year in which the dispute is resolvedDestroyed N/A
Student Conduct Committee Cases6 academic years after the academic year in which the incident is dealt withDestroyed 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 Destroyed 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 Destroyed See separate policy on the management of individual student records relating to non-academic disciplinary offences
Running List for Student Conduct Committee CasesCAY + 10 DestroyedN/A
Running List for cases dealt with by the ProctorCAY + 10 DestroyedN/A
Student Conduct Panel: Minutes and PapersPermanentArchive Held in Discipline Office
Equal Opportunity Monitoring Statistics PermanentArchiveHeld with Student Disciplinary Panel Papers
Security reports resulting in no action taken by the Proctor CAYDestroyedN/A
Running list of security incidentsCAYDestroyed N/A

Exams and timetable office: AS06


Description of Record Retention Period Action taken at the end of the record lifecycle Archive Details/Notes
Temporary staff: contracts of employment CAYDestroyed N/A
Temporary staff: timesheetsCAYDestroyed N/A
Temporary staff: spreadsheet for hours workedCAY + 1 DestroyedN/A
Candidate/Exam Paper lists for Exam PeriodsCAY DestroyedN/A
Incidents Report Forms CAY + 1DestroyedN/A
Correspondence with studentsCAYDestroyed N/A
Requests for room bookings CAY + 1DestroyedN/A
Handbooks for Invigilators CAY + 6DestroyedN/A
Examination Guide for StudentsCAY + 6Destroyed N/A
Teaching Timetables CAY + 5DestroyedN/A
Examination Timetables CAY + 5DestroyedN/A
CMIS Procedure Document Permanent working document - Updated as necessaryN/AN/A

Graduate school: AS07


Description of Record Retention Period Action taken at the end of the record lifecycle Archive Details/Notes
Individual student files CAY + 6DestroyedSee separate policy on the management, retention and disposal of students records
Student correspondence 3 monthsDestroyedN/A
Student authority to register formsCAY + one term DestroyedN/A
Student personal details formsCAYDestroyed N/A
Pass lists for Masters studentsPermanentArchive Academic Departments also retain a copy. Graduate Schools copies are held in Academic Section archive
Examiners’ reports for research studentsPermanentArchive Held in the Academic Section archive
Student requests for transcriptsCAY + one term DestroyedN/A
Certificate of Registration requestsCAYDestroyed N/A
Chairs of Boards of Examiners ReportsCAY + 6Destroyed Academic Departments also retain copies together with the marks grid and any other documentation associated with the Board.
Student withdrawal details CAY + 1DestroyedN/A
University Studentship details CAY + 6Destroyed N/A
Research Council Awards CAY + 3DestroyedN/A
Research Council Submission RatesPermanentArchived Held in the Graduate School
School Board Papers and Committees of the BoardPermanent ArchivedHeld in the Academic Section archive
Working Parties/Reviews CAY + 5DestroyedSee separate policy on the management, retention and disposal of working party papers
Periodic Review of Programmes of StudyCAY + 5Destroyed N/A
Annual Monitoring Reports CAY + DestroyedN/A
Programme of Study Structures and Rules of AssessmentCAY DestroyedAcademic Departments hold permanent copies
Programme Specifications CAYDestroyedAcademic Departments hold permanent copies
Departmental FilesCAY + 1DestroyedN/A
Topic FilesCAY + 1 DestroyedN/A
Budget Reports CAY + 3DestroyedN/A
Stafford Loan Certification CAY + 6DestroyedN/A
Record of students going into completion and further completion CAY + 2DestroyedN/A
Year assessment list for research studentsCAY + 1 DestroyedN/A

Graduation office: AS08


Description of Record Retention Period Action taken at the end of the record lifecycle Archive Details/Notes
Degree Congregation Main ProgrammePermanentPermanent Held in the Degree Congregation Office
Degree Congregation Special Programme: Standard Documents PermanentPermanentHeld in the Degree Congregation Office
Records relating to DOATAP (Formerly DIKATSACAY + 4 DestroyedN/A
Duplicate Certificate requestsCAY + 1Destroyed N/A
Honorary Graduands: Personal InformationCAYDestroyed N/A
Honorary Graduates: Orations and Responses Permanent Archive Held in the Vice-Chancellor’s Office and Albert Sloman Library
Honorary Degrees Committee Agendas, Papers and Minutes retained permanently electronically/archive Archive
Honorary Degrees Committee database Permanent Archive
Correspondence relating to prizes and their recipients CAY + 4 Destroyed N/A
Writtle College Pass Lists CAY + 4 Destroyed N/A
Writtle College Booklets Permanent Permanent Held in Degree Congregation Office
SEC Pass ListsCAY + 4DestroyedN/A
SEC Booklets PermanentPermanentHeld in Degree Congregation Office
Statistics on student conferralCAY + 4Destroyed N/A
University of Essex Pass ListsCAYDestroyed N/A
Degree Congregation Ceremony VideosPermanentArchived Held in the Academic Section archive
Budget Information CAY + 4DestroyedN/A
Documentation relating to Degree Congregation ceremony arrangements CAY + 4Destroyed N/A
Degree Congregation Ceremony ListsCAY + 4Destroyed N/A

Quality office (now Academic Standards and Partnerships Office): AS09


Description of Record Retention Period Action taken at the end of the record lifecycle Archive Details/Notes
Documentation relating to Periodic Review of Programmes of Study CAY + 5 Destroyed Held in the QAEO
Reports of Periodic Reviews of Programmes of Study Permanent Archive Held in the QAEO
Subject Review Reports Permanent Archive Held in the QAEO
Subject Review Procedures Permanent Archive Held in the QAEO
External Examiner Reports and Departmental Responses CAY + 6 Destroyed Held in the QAEO
External Examiner Files Termination of relationship + 1 Destroyed N/A
Personal information retained on the External Examiner Database Permanent Archive Held in the QAEO
Academic Standards Committee Papers and Minutes Permanent Archive Held in the QAEO
Quality Enhancement Committee Papers and Minutes Permanent Archive Held in the QAEO
Quality Assurance and Enhancement Committee Papers Permanent Archive Held in the QAEO
QAA correspondence CAY + 6 Destroyed N/A
University of Essex QAA Code of Practice Compliance Grids Permanent - updated periodically Relevant information archived Held in the QAEO
Professional and Statutory Bodies Accreditation Reports Held until publication of new report Destroyed N/A
Institutional Audit documentation Date of last audit + 6 Destroyed N/A
QAA Audit Reports Permanent Archive Two copies held in the QAEO
Annual Monitoring Reports CAY + 6 Destroyed N/A

Records management office: AS10


Description of Record Retention Period Action taken at the end of the record lifecycle Archive Details/Notes
Data Protection Subject Access Requests CAY + 6Destroyed N/A
Data Protection Subject Access Request LogPermanent Held permanently Held in the RMO
Data Protection Subject Access Request Process Documentation Permanent – amended as necessary Held permanentlyHeld in the RMO
Data Protection Annual Notification PapersCAY + 6 DestroyedN/A
Data Protection Act Texts, Policy Statements, Collection Notices Reviewed annually Year of amendment + 6 DestroyedN/A
Data Protection Queries CAY + 2DestroyedN/A
Non Standard Freedom of Information RequestsCAY + 6 DestroyedN/A
Freedom of Information Texts and Policy StatementsReviewed annuallyYear of amendment + 6 DestroyedN/A
Freedom of Information Publication Schemes: Current version Permanent – amended as necessary Held permanentlyPublished on the Records Management webpages
Freedom of Information Publication Schemes: Library Hard Copies CAY + 5 Destroyed N/A
Freedom of Information Queries CAY + 2Destroyed N/A
Freedom of Information Requests: Annual Report to University Steering Group CAY + 5Destroyed N/A
Records Management PoliciesReviewed every three years Year of amendment + 6Destroyed N/A
Records Management Good Practice GuidesReviewed every three years Year of amendment + 3Destroyed N/A
Records Management Steering Group Minutes and PapersCAY + 5DestroyedN/A
Records Management Network: Correspondence, communication and records relating to Network activity CAY + 2DestroyedN/A
Records Management Policy Index and Review Record PermanentOngoing document – updated as necessaryHeld in the RMO
Records Management TrainingReviewed annually Pruned as necessaryN/A
Budget and Financial InformationCAY + 6Destroyed N/A
General RMO Correspondence CAY + 2DestroyedN/A

Student support office: AS11


Description of Record Retention Period Action taken at the end of the record lifecycle Archive Details/Notes
Student Database Academic year during which last contact was made + 6DestroyedN/A
Individual Student Files Academic year during which last contact was made + 6DestroyedN/A
Individual Student Files: students who have died while registered at the UniversityAcademic Year of Death + 6 DestroyedN/A
Student correspondence CAY + 2DestroyedN/A
Student Support Office Financial RecordsCFY + 6Destroyed N/A
One-off enquiries CAY + 6DestroyedN/A
Access to Learning Fund ApplicationsCAY + 6Destroyed N/A
Summary Records of Hardship PaymentsCAY + 6Destroyed N/A
Disabled Applicant Files CAY + 1Destroyed or transferred to individual student fileN/A
Work undertaken by the ACCESS Centre: Needs Assessment Notes and Final ReportInternal Assessments: Transferred to individual student file External Assessments: CAY + 2 DestroyedN/A
Work Undertaken by ACCESS Centre: Financial RecordsCAY + 6DestroyedN/A
Student files on dyslexia/study skills tuitionTermination of relationship + 6Destroyed N/A
Timetable and application for dyslexia/study skills tuition Termination of relationshipPruned and either destroyed or transferred to individual student fileN/A
Recharging paperwork for dyslexia/study skills tuitionCAY + 3 DestroyedN/A
Individual examination disability recommendationsCAY + 2DestroyedN/A
Student Support Office Personnel FilesTermination of relationship + 3DestroyedN/A
Student Support Worker (SSW) personal filesTermination of relationship + 3Destroyed N/A
Community Service Volunteer (CSV) personal files Termination of relationship + 3 DestroyedN/A
Student Support Worker timesheetsCAY + 3Destroyed N/A
Recharging paperwork for Student Support WorkerCAY + 3 DestroyedN/A
Recruitment papers for CSV not appointedCAY + 1Destroyed N/A
Recruitment papers for SSW not appointedCAY + 1Destroyed N/A
Residents Support Network: ApplicationsCAY + 2Destroyed N/A
Residents Support Network: Recruitment and Selection Papers CAY + 2DestroyedN/A
Residents Support Network: Personal FilesTermination of relationship + 6Destroyed N/A
University Students Union Consultative CommitteePermanent ArchiveHeld in Student Support Office
Welfare Forum Papers CAY + 5DestroyedN/A
Access to Learning Fund Committee PapersCAY + 6Destroyed N/A
Papers relating to Sub-Committees that report to a Committee of Council or SenateCAY + 5Destroyed N/A
Working Party files CAY + 5DestroyedN/A

Systems administration office: AS12


Description of Record Retention Period Action taken at the end of the record lifecycle Archive Details/Notes
Senate Papers and Minutes PermanentArchivePapers are stored in the Academic Section archive
Information Systems Strategy Committee Papers and Minutes PermanentArchivePapers are stored within the Academic Section archive
Correspondence and submissions of text relating to the University CalendarCAY + 3Destroyed N/A
Correspondence and submissions of text relating to the University Regulations, Policy and Procedures CAY + 3DestroyedN/A
Correspondence and submissions of text relating to the Higher Degree Regulations and ProceduresCAY + 3 DestroyedN/A
Correspondence and submissions of text relating to the Student HandbookCAY + 3Destroyed N/A
University Calendar PermanentSurplus copies held in Systems Administration Office for current academic year before being destroyed 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 ProceduresPermanent Surplus copies held in Systems Administration Office for current academic year before being destroyedFive 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 ProceduresPermanentSurplus copies held in Systems Administration Office for current academic year before being destroyedFive 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 PermanentSurplus copies held in Systems Administration Office for current academic year before being destroyed 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 the Records Management websiteCAY + 1Destroyed N/A
Correspondence and submissions of text relating to University CommitteesCAY + 1Destroyed N/A
Correspondence relating to the University fees schedule CAY + 1DestroyedN/A
General Files on Systems Administration Office activityPruned annuallyDestroyedN/A
Student Equal Opportunities formsDestroyedWithin six months of registrationN/A
Student Photographs DestroyedWithin six months of registrationN/A
Programmes of Study structuresPermanent – amended as necessaryHeld permanently Held in the Systems Administration Office
Directory of modules Permanent – amended as necessary Held permanentlyHeld in the Systems Administration Office
Directory of modules: Correspondence with DepartmentsCAY + 1DestroyedN/A
Correspondence about studentsCAYDestroyed N/A
Information on Students on the Away YearCAYDestroyed N/A
Load: Information from Departments/Centres CAY + 2DestroyedN/A
Crossload CAY Destroyed N/A
Information on New Modules/Structures CAY + 1 Destroyed N/A
Budget Information CAY + 1 Destroyed N/A
Systems Administration Office Meetings Minutes and Papers CAY + 2 Destroyed N/A
Academic Section Briefing Meeting Minutes and Papers CAY + 6 Destroyed N/A
E-mail correspondence with users and programmers of Systems Administration Office Databases CAY + 1 Destroyed N/A
Training Documents for Systems Administration Office Databases Permanent Held permanently Held in the Systems Administration Office
Enhancement and Development Information for Systems Administration Office Databases CAY + 1 Destroyed N/A
Academic Section website development CAY + 2 Destroyed N/A
Student Satisfaction Survey: Raw data relating to the student responses CAY + 1 Destroyed N/A
Student Satisfaction Survey: Quantitive and qualitative reports generated by the SSS software CAY + 6 Destroyed N/A
Student Satisfaction Survey: Statistical summary reports of the quantitive data CAY + 6 Destroyed N/A
Student Satisfaction Survey: Office procedures document Permanent – amended as necessary Held permanentlyHeld in the Systems Administration Office
Student Satisfaction Survey: Quality assurance policy documentation CAY + 6DestroyedN/A
Student Assessment of Teaching: ResultsCAY + 5Destroyed N/A
Student Assessment of Teaching: Final ReportsPermanent ArchiveHeld in Academic Section archive
Working Party Papers CAY + 5DestroyedN/A

Undergraduate schools office (now Registry): AS13


Description of Record Retention Period Action taken at the end of the record lifecycle Archive Details/Notes
Individual student files Termination of relationship + 6 Destroyed See separate policy on the management, retention and disposal of student records
Student Authority to Register FormsCAYDestroyed at the beginning of the following academic year N/A
Student personal details formsCAYDestroyed at the beginning of the following academic year N/A
First Year Extenuating Circumstances FormsCAY + 9 DestroyedN/A
Second and Final Year Extenuating Circumstances Forms Termination of relationship + 6 DestroyedN/A
Board of Examiners file PermanentArchive permanently The files are held in the Academic Section archive
Student monitoring information/progress reportsCAY + 1 DestroyedN/A
Outcomes of progress committeesHeld on individual student filesDestroyedN/A
Outcomes of academic offencesReference copy: CAY + 2 Original copy held on individual student fileDestroyedN/A
AppealsWorking Papers: CAY + 1
Record of appeal case and outcome held on individual student file
Destroyed N/A
Transcript requests CAYDestroyedN/A
Certificate of registration requestsCAYDestroyed N/A
Tuition fee and attendance confirmation report informationCAY + 6DestroyedN/A
Weekly withdrawal lists and R41 formsCAY + 1Destroyed N/A
Information requests from/about studentsPurged every 6 months DestroyedN/A
Student summer vacation addressesDuration of summer vacation Destroy at the beginning of each new academic yearN/A
School Board Papers PermanentArchive permanently Held in the Academic Section archive.
Papers for School-related CommitteesCAY + 5Destroyed N/A
Paperwork relating to Periodic Review of Programmes of StudyCAY + 2DestroyedN/A
Module structures PermanentArchived permanently Held in Academic Section archive
Academic Department Files CAY + 1DestroyedN/A
Enlightenment Module (CS101):
Administrative Correspondence
CAY + 5DestroyedN/A
Enlightenment Module (CS101):
Class Lists
CAY DestroyedN/A
Enlightenment Module (CS101):
Student Marks
CAY + 2 DestroyedN/A
Enlightenment Module (CS101):
Exam Scripts
CAY + 2 DestroyedN/A
Undergraduate Schools Office Staff filesTermination of relationship + 2DestroyedPersonnel retains full files for member of staff for the statutory period after departure
Maths Management Committee Papers and MinutesPermanent Archive PermanentlyHeld in USO
Standard Letter Templates Most recent version Destroyed N/A
Masters forms files Permanent – updated as necessary Held PermanentlyHeld in the USO
“How to file” Policy and Procedure HandbookPermanent – updated as necessaryHeld PermanentlyHeld in the USO
Academic Offences and Progress ProceduresHeld until procedures updatedOne copy archived permanentlyHeld in USO
Departmental Handbooks CAY + 1DestroyedN/A
Handbook for Chairs of Exam BoardsHeld until handbook updated One copy archived permanentlyHeld in USO
Undergraduate Assessment ProceduresHeld until procedures updated One copy archived permanentlyHeld in USO
Blank Intermission/Withdrawal Forms and related guidanceCAY + 6DestroyedN/A
Blank Extenuating Circumstances Forms and related guidance CAY + 6DestroyedN/A
General information from external sources: DfES, Student Loans CompanyCAY + 5Destroyed N/A
Working Party Files CAY + 5Destroyed See separate policy on the management, retention and disposal of working party papers