Corporate Affairs & Compliance

Records Retention Schedule for files relating to corporate affairs & compliance.

Corporate affairs & compliance is made up of the following headings:

7.1 Governance

Ref	Record group	Examples	Trigger	Retention	Citation	Notes
7.1.1	Charter.		PERMANENT	PERMANENT	UCL
7.1.2	Formal committees.	Terms of Reference Agenda; Minutes; Supporting papers.	PERMANENT	PERMANENT	UCL
7.1.3	Ethics review committees, e.g. Research Ethics Committee, Biobank Ethical Review Committee.	Terms of Reference; Agenda; Minutes; Supporting papers.	AY	25 REVIEW	SI 2004/1031 reg 6(5)
7.1.4	Other committees, including Board of Examiners.	Terms of Reference; Agenda; Minutes; Supporting papers.	AY	6 REVIEW	Limitation Act 1980, s. 5
7.1.5	Statutory/Non-Statutory Committee Administration.	Records documenting the conduct of reviews of the effectiveness and performance of a committee or council effectiveness reviews.	Completion of two subsequent reviews.	Completion of two subsequent reviews.	JISC	Retaining records of previous reviews provides evidence of effective monitoring over time, as well as compliance with regulatory requirements/recommendations to undertake reviews.
7.1.6	Records documenting the development and establishment of the institution's strategies: key records.		Superseded.	10	UCL
7.1.7	Policy development - key records.		When superseded.	10	UCL
7.1.8	Master copies of procedures.		When superseded.	10	UCL
7.1.9	Strategy, policy and procedure development - working papers.		AY	1	UCL
7.1.10	Senior Officers' Appointments Administration.	Records documenting the appointment/ election/designation of the institution's senior officers.	Termination of appointment.	6	Limitation Act 1980, s.5	The institution may wish to transfer these records to the archive once they are no longer in active use.

7.2 Strategic planning and performance management

Ref	Record group	Examples	Trigger	Retention	Citation	Notes
7.2.1	Development of corporate strategy and planning.	Corporate Plan; Annual Review; UCL White Paper.	PERMANENT	PERMANENT	UCL
7.2.2	Development of local strategy and planning.	CSS strategies; Divisional, faculty, departmental Strategic Plans.	AY	6 REVIEW	UCL
7.2.3	Corporate performance management.	Analyses of performance against strategic plan; Audits and reviews of strategic planning and performance and responses.	AY	6	UCL
7.2.4	Internal and external audit reports.	Records documenting the conduct and results of audits, and action taken to address issues raised.	Completion of audit.	5	JISC
7.2.5	Risk Management.	Risk assessment reports; Contingency plans; Business recovery plans; Disaster plans; Emergency planning exercise documentation.	AY	10	UCL

7.3 Legal affairs management

Ref	Record group	Examples	Trigger	Retention	Citation	Notes
7.3.1	Negotiation, establishment and review of contracts and agreements between the institution and third parties: agreements and contracts under seal (by deed).	Contracts; Agreements; Contractor review reports.	Termination of contract.	12	Limitation Act 1980, s.8
7.3.2	Negotiation, establishment and review of contracts and agreements between the institution and third parties: other contracts and agreements.	Contracts; Agreements; Contractor review reports.	Termination of contract.	6	Limitation Act 1980, s.5
7.3.3	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 OR Withdrawal of claim.	6	Limitation Act 1980, ss 2 and 5
7.3.4	Litigation between the institution and third parties.		Life of institution.	Life of institution.	JISC
7.3.5	Legal advice requested by, and provided to, the institution.	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 industrial relations issues; health, safety and environmental issues; the institution's relationships with government bodies and HE regulators; industrial relations issues; health, safety and environmental issues.	Life of institution.	Life of institution.	JISC
7.3.6	Legal advice on other matters requested by, and provided to, the institution.		PERMANENT	PERMANENT	UCL

7.4 Information compliance

Ref	Record group	Examples	Trigger	Retention	Citation	Notes
7.4.1	Compliance with Data Protection Act.	Request logs, case files, notification forms and correspondence with ICO.	AY	3 REVIEW	UCL
7.4.2	Compliance with Freedom of Information Act and Environmental Information Regulations.	Request logs, case files and notification forms correspondence with ICO.	AY	10 REVIEW	UCL

7.5 Government relations

Ref	Record group	Examples	Trigger	Retention	Citation	Notes
7.5.1	General correspondence with government bodies.		AY	5	JISC
7.5.2	Institution's formal responses to consultations conducted by government bodies.	Formal responses to consultations and requests for information.	Last action on consultation.	5 REVIEW	JISC
7.5.3	Preparation and submission of reports to government bodies.	Prevent data return; OfS reportable events; OfS requests for information.	Submission of report.	5	UCL
7.5.4	Records documenting the institution's participation in formal government or public inquiries.		Last action on inquiry.	10	JISC

7.6 Health and safety

Ref	Record group	Examples	Trigger	Retention	Citation	Notes
7.6.1	Health and safety policies.	Key records relating to the establishment of policies; Master copies of policies.	Superseded.	50	SI 1999/3242 reg 5(2)
7.6.2	Risk assessment forms: Hazard Exposure	Conduct, review and revision of risk assessment forms for:  Display Screen Equipment; Noise; Hazardous Substances; Lead; Electromagnetic Fields; Asbestos; Ionising Radiation; Artificial Optical Radiation.	When superseded.	10	SI 1992/2792 reg 2; SI 2005/1643 reg 5; SI 2002/2677 reg 6; SI 2002/2676 reg 5; SI 2010/1140 reg 3; SI 2012/632 reg 6; SI 2017/1075 reg 8; SI 2016/588 reg 12.
7.6.3	Risk assessment: Other.	Conduct, review and revision of risk assessment forms.	When superseded.	5	SI 1999/3242 reg 3
7.6.4	Risk assessment: Fire safety.	Conduct, review and revision of fire safety risk assessments and arrangements.	When superseded.	5	SI 2005/1541 arts 9, 11
7.6.5	Health & Safety Hazard Exposure Control.	Health/medical surveillance records of individual employees who are exposed to: noise; lead; electromagnetic fields; asbestos; substances hazardous to health; Group 3 or Group 4 biological agents; artificial optical radiation.	Date of last entry on record.	40	SI 2005/1643 reg 9; SI 2002/2677 regs 11(3), 7(10) and Sch 3, para. 4(3) ; SI 2010/1140 reg 6; SI 2012/632 regs 22(1)(b), 19(4)(a); SI 2002/2676 reg 10 (5); SI 2016/588 reg 11.
7.6.6	Accidents, incidents and emergencies: Dangerous occurrences and notifiable diseases.	Accident / incident forms; Accident books; Statistics.	AY	3 REVIEW	SI 2013/1471 reg 12(1)(2) SI 1979/628 Regulation 25
7.6.7	Accidents, incidents and emergencies: Investigations.	Investigation of accidents, dangerous occurrences and outbreaks of notifiable diseases on the institution's premises.	Closure of investigation.	40	Limitation Act 1980, s.11
7.6.8	Accidents, incidents and emergencies: Plans and information.	Plans and information to deal with accidents, incidents and emergencies related to the presence of substances hazardous to health; the presence of lead; the presence of asbestos; radiation accidents.	When superseded.	10	JISC
7.6.9	Accidents, incidents and emergencies.	Institution's response to accidents, incidents and emergencies involving: lead; substances hazardous to health; asbestos.	Last action on event.	10	JISC
7.6.10	Substances hazardous to health: testing and general monitoring.	Records of the conduct and results of monitoring employees' general exposure to lead (in air), general exposure to asbestos and general exposure to substances hazardous to health.	AY	5	SI 2002/2676 reg 9 SI 2012/632 re9 19 SI SI 2002/2677 reg 10
7.6.11	Ionising Radiations: Contingency plans.	Investigations analysis of contingency plans for radiation accidents.	When plan is implemented.	2	SI 2017/1075 reg 13(2)
7.6.12	Ionising Radiation: Summary and immediate information.	Investigation of loss or theft of radioactive substances where no release or theft was found to have occurred.	Closure of investigation.	2	SI 2017/1075 reg 31(5)
7.6.13	Ionising Radiation: Summary and immediate information.	Dose records; Investigation of exposure reports; Immediate investigation into overexposure.	AY	2	SI 2017/1075 regs 22(7), 23(4), 26(2)(a)
7.6.14	Ionising Radiation: Accidents and exposure.	Assessments of doses of ionising radiation received by 'classified persons' which are likely to be significant; Investigations into occurrences of overexposure to ionising radiation; Investigations into occurrences of overexposure to ionising radiation; Assessments of individual doses of ionising radiation received as a result of a radiation accident.	Date of last entry.	30 years OR until the employee reaches (or would have reached, if deceased) 75 years, whichever is the later.	SI 2017/1075, regs 21(3)(a), 23(2)(b), 24(3), 25(2)(b)	Data maintained in dosimetry service for 50 years for both classified and non-classified persons.
7.6.15	Ionising Radiations: Monitoring of designated areas.		Date of monitoring.	2	SI 2017/1075 reg 20(5)
7.6.16	Ionising Radiations: Leak testing.	leak testing of sealed sources and containers.	When a leak test is conducted.	2	SI 2017/1075 reg 28
7.6.17	Ionising Radiation: Permitting.	Permits issued under reg 13 of the Environmental Permitting (England and Wales) Regulations 2016; Records required to be made by permits; Quantity and location of radioactive substances.	As long as required by EA.	As long as required by EA.	EA 2011 3.1.1(d) EA 2012 4.1.1(d)	Note: Permits and required records must be kept past the time when all radioactive substance activity has ceased until surrender of the permit.
7.6.18	Information, instruction and training.	Noise; Substances Hazardous to Health; Lead; Asbestos; Ionising Radiation; Artificial Optical Radiation; Electromagnetic Fields.	Superseded	10	JISC
7.6.19	Fire safety provision.	Assessment of fire safety requirements and facilities; Records of the appointment of 'competent persons'; Role-specific training for 'competent persons'; Fire safety training to employees; Arrangements with emergency services.	When superseded.	5	JISC
7.6.20	First aid provision.	Assessment of first aid requirements and facilities; Appointment of first aiders; Training for first aiders.	When superseded.	5	JISC

List of citations

Acts of Parliament

• Limitation Act 1980.

Statutory Instruments and EU Regulations

• 1979/628: The Social Security (Claims and Payments) Regulations.
• 1992/2792: Health & Safety (Display Screen) Equipment Regulations.
• 1999/3242: Management of Health and Safety at Work Regulations.
• 2002/2676: Control of Lead at Work Regulations.
• 2002/2677: Control of Substances Hazardous to Health Regulations.
• 2004/1031: Medicines for Human Use (Clinical Trials) Regulations.
• 2005/1541: Regulatory Reform (Fire Safety) Order.
• 2005/1643: Control of Noise at Work Regulations.
• 2010/1140: Control of Artificial Optical Radiation at Work Regulations.
• 2012/632: Control of Asbestos Regulations.
• 2013/1471: Reporting of Injuries, Diseases and Dangerous Occurrences Regulations.
• 2016/588: Control of Electromagnetic Fields at Work Regulations.
• 2017/1075: Ionising Radiations Regulations.    

UK and EU statutory guidance

• EA 2011 3.1.1d: How to comply with your EPR RSR environmental permit – sealed sources 2011.
• EA 2012 4.1.1d: How to comply with your EPR RSR environmental permit – open sources and receipt, accumulation and disposal of radioactive waste on non-nuclear sites 2012.
• JISC: Model records retention schedule 2019.