UCL Records Retention Schedule

1.1.1

Published regulations and Academic Manual

PERMANENT

PERMANENT

UCL

1.1.2

Conduct and results of formal internal and external reviews of teaching quality and standards, and responses to the results

QAA, Higher Education Review and TEF

PERMANENT

PERMANENT

UCL

1.1.3

Conduct and results of periodic formal internal quality reviews of teaching and quality standard and responses to results

IQR

PERMANENT

PERMANENT

UCL

1.1.4

Reports of routine internal reviews of taught programmes and documentation of formal independent reviews of taught programmes, and the responses to the results

Annual Student Experience Review - records used to inform continuing programme development including statistics

PERMANENT

PERMANENT

UCL

1.1.5

Records documenting the design and development of (modules of) taught programmes

Programme approval documentation

Life of programme

10

JISC

1.1.6

Records documenting the process of obtaining approval and/or accreditation for (modules of) taught programmes from professional, statutory or other accreditation bodies

Reports of accreditation/approval visits and certification

Life of programme

10

UCL

1.1.7

Teaching and learning materials

Moodle materials

Life of programme

0

UCL

1.1.8

Audio-visual or other media recordings for teaching and learning or of their events

Educational recordings

Event

3

UCL

1.1.9

Attendance registers [1]

Register UCL logs

End of student relationship

6

UCL

1.1.10

Submitted/completed assessments (formative and summative) along with feedback where relevant and marks/grades given (electronic records) [2]

Assessed research projects, dissertations, coursework and mark sheet, essays, assignments, exam scripts submitted electronically.

AY

6

Limitation Act 1980, s.5

1.1.11

Submitted/completed assessments (formative and summative) along with feedback where relevant and marks/grades given. (Paper records)

Assessed research projects, dissertations, coursework and mark sheet, essays, assignments, exam scripts submitted in paper form.

Exam Board meeting

1

UCL

1.1.12

All student work subject to RIBA validation visit

Board of Examiners meeting

2

REVIEW

RIBA

1.1.13

PhD assessment

Thesis submitted for research degree (successful students)

PERMANENT

PERMANENT

UCL

1.1.14

Special circumstances [3]

Records relevant to special circumstances, such as change of programme
programme withdrawal
change of mode of study
interruption of study
extenuating circumstances
fitness to study
learning agreements
fitness to practice
academic insufficiency
suspension of regulations

End of student relationship

6

Limitation Act 1980, s.5

1.2.1

Archive of web pages containing specific admissions criteria or advice

End of admissions cycle

6

CMA

1.2.2

Development of admission criteria

ARP reports & minutes
Admissions selection criteria templates

AY

10

UCL

1.2.3

Initial assessment of application against agreed admission selection criteria (Successful applicants) [4]

Qualifications on Entry
English Language
WP student assessment
Fee status assessment

End of student relationship

6

Limitation Act 1980, s.5

1.2.4

Admissions decision (successful applicants) [5]

Correspondence with department
Offer letter
Response from students

End of student relationship

6

Limitation Act 1980, s.5

1.2.5

Documents confirming prior qualifications, English language proficiency or other requirements (successful applicants) [6]

Certificates
Test results
Transcripts

End of student relationship

6

Limitation Act 1980, s.5

1.2.6

Admissions record for unsuccessful applicants

Application
Supporting documents
Background Checks (professional regulated students)

End of admissions cycle

1

Equality Act 2010, s.118

1.2.7

Background checks for professional regulated students (successful applicants) [7]

DBS check: outcome only
Occupational health check - outcome letter

End of student relationship

6

Limitation Act 1980, s.5

1.3.1

Immigration casework/compliance for students, including the retention of immigration permission from students

End of student relationship

6

OISC 5.10

1.3.2

Immigration casework/compliance for applicants who do not enrol

Last interaction relating to casework

6

OISC 5.10

1.4.1

Core Student Record [8]

PERMANENT

PERMANENT

UCL

1.4.2

Information about individual students which is not covered by a specific entry in this schedule

End of student relationship

 6

Limitation Act 1980, s.5

1.4.3

Exam papers

PERMANENT

PERMANENT

UCL

1.4.4

Invigilator Administration

Records documenting the selection, appointment and training of examination invigilators.

AY

3

UCL

1.4.5

Organisation of examination facilities, including special arrangements for students with special needs [9]

Attendance report detailing examination adjustments

AY

6

UCL

1.4.6

Records documenting individual students' attendance at examinations, and the handling of reports of mitigating circumstances [10]

Individual exam timetable, attendance forms, exam paper query forms, invigilation report forms.

AY

6

Limitation Act 1980, s.5

1.4.7

External Examiner Administration

Records documenting the selection and appointment of external examiners.

Termination of appointment

5

UCL

1.4.8

External Examiner Administration

Records documenting liaison with external examiners on the formal moderation process
External examiners reports and departmental response to the report

AY

6

UCL

1.4.9

Informing professional bodies of accreditation

List of graduates, letter from accrediting body confirming graduate’s accreditation

PERMANENT

PERMANENT

UCL

1.4.10

Providing transcripts

Transcript request and response

Date of request

1

UCL

1.5.1

Records of the collection of tuition fees

End of student relationship

6

UCL

1.6.1

Applications for financial aid / hardship funds /emergency loans

Correspondence with student, completed application form, evidence of financial position, outcome letter, record of decision making process, annual spreadsheet of allocated funds

End of student relationship

6

Limitation Act 1980, s.5

1.6.2

Allocating scholarship, grants, bursaries and prizes

Records generated by assessment of application, including student's proposal, application, correspondence, committee minutes and award notification, reports of the project funded by the grant or bursary

End of student relationship

6

Limitation Act 1980, s.5

1.6.3

Administering UK student loans: cross checking with Student Loan Company whether applicants are registered with UCL and annually cross checking with SLC whether they have a correct record of student's year and programme

Download of applicants from SLC
Information from SLC on year and programme

FY

7

UCL

1.7.1

Conduct and results of disciplinary or academic misconduct proceedings against individual students

Records of cases handled by Registrar, Discipline Committee, Discipline Review Body including outcome letter, notice of appeal, reports and correspondence

Last action on case

6

Limitation Act 1980, s.5

1.7.2

Handling of complaints by individual students where the formal complaints procedure is not initiated

Correspondence, notes of meetings

Last action on complaint

3

UCL

1.7.3

Handling of formal complaints and academic appeals made by individual students against the institution

Complaint form and supporting evidence, departmental response, outcome letters, completion of procedures letters, notes of panel hearings, correspondence.

Last action on case

6

Limitation Act 1980, s.5

1.8.1

Routine solicited feedback from students: identifiable individual responses [11]

End of module feedback, student evaluation questionnaires, focus groups, student suggestions schemes

Completion of analysis of feedback

0

UCL

1.8.2

(Anonymised) summaries and analyses of routine solicited feedback from students

Summaries of feedback, aggregated data from feedback

Completion of analysis

10

UCL

1.8.3

Routine solicited feedback on taught programmes from staff and examiners: individual feedback

Completion of analysis of feedback

0

UCL

1.8.4

Records documenting the design and conduct of student surveys

Completion of survey

10

UCL

1.8.5

Results of student surveys: identifiable individual responses [12]

Institutional surveys as well as ad hoc surveys and feedback about specific schemes and projects

Completion of analysis of survey responses

UCL

UCL

1.8.6

Results of student surveys: summaries and analyses of responses

Survey closure date

10

UCL

1.8.7

Records documenting the design and conduct of Graduate Outcomes Surveys and (anonymised) summaries and analyses of the results of First Destination Surveys

Survey closure date

10

UCL

1.9.1

Student counselling services

Student information form and confidentiality agreement, database entry on presenting problems and use of service, voluntary clinical outcomes feedback forms, letters to academic staff involved with the student

Last contact

6
REVIEW

Limitation Act 1980, s.5
BACP

1.9.2

Learning Support for Students with specific needs including reasonable adjustments and exam adjustments

Information from individual students, information from schools, institutions, doctors, access centres, educational psychologists or other professionals who have assessed the student. Documents informing relevant academic and admin staff about special needs of particular students, DSA records

End of student relationship

6
REVIEW

Limitation Act 1980, s.5

1.9.3

Learning Support for Students with specific needs who do not enrol at UCL

Information from individual students, information from schools, institutions, doctors, access centres, educational psychologists or other professionals who have assessed the student.

Academic year

1

Equality Act 2010

1.9.4

Careers advice

Contact details
Interview dates
Record of employment

End of student relationship

3

Equality Act 2010

JISC

1.10.1

Unsuccessful applications and applications not taken up

Application, correspondence

AY

1

UCL

1.10.2

Successful applications

Application, correspondence

Superseded by contract

0

Limitation Act 1980, s.5

1.10.3

The establishment of formal contractual relationship between institutional accommodation and student

Tenancy agreements and terminations, inventories, transfer forms

Termination of contract

6

Limitation Act 1980, s.5

1.10.4

Student applications for accommodation provided by UCL: supporting evidence

Medical letters/evidence

Decision

3 months

JISC

1.10.5

Student Lists

The collation of students in list format for information purposes.

Superseded or end of AY

0

JISC

1.10.6

Complaints management process

Records of the conduct and results of accommodation complaints process (unless moves to formal complaints process – see section x)

Termination of contract

0

UCL

1.10.7

Photographs

Images of students in UCL accommodation used for identification and related accommodation purposes

Termination of contract

1

UCL

2.1.1

Assessment of workforce requirements

Development plans
Turnover projections

AY

6

JISC

2.1.2

Remuneration and reward

Pay scales

AY

6

JISC

2.1.3

Training and development

Information on workforce training and development needs
Assessment and selection of training options
Development of training and development programmes

AY

6

UCL

2.1.4

Training and development: anonymised feedback

Completion of analysis of feedback

10

UCL

2.1.5

Training and development: individual feedback

Feedback forms

Completion of analysis of feedback

0

UCL

2.1.6

Job evaluation

Role analyses
HERA scoring database
Interview records
Outline role profiles

When superseded

6

UCL

2.1.7

Induction

Development, overall delivery and assessment of induction programmes
Administration of induction programmes

When superseded

6

UCL

2.1.8

Trade unions: communication, consultation and negotiation; recognition and derecognition

Minutes
Correspondence
Procedure agreements

AY

6

JISC

2.1.9

Organisational restructuring

Planning statements
Organisation plans
Organisation charts

AY

6

UCL

2.2.1

Staff recruitment - advertising vacancies

Request to advertise
Authorisation form
Screenshots of adverts (showing URL and date)
Further particulars

AY

1

Equality Act 2010 s.118(1)
ICO 2011 1.7.1

2.2.2

Staff recruitment

Job description
Person specification

PERMANENT

PERMANENT

UCL

2.2.3

Records documenting the handling of applications for successful applicants [13]

Application forms
Interview notes, interview summary outcomes, tests
Right to work documents taken at interview stage
DBS check: outcome only
References

End of employment

6

Limitation Act 1980, s.5

2.2.4

Records documenting the handling of applications for unsuccessful applicants [14]

Application forms
Interview notes, interview summary outcomes, tests
Right to work documents taken at interview stage
DBS check: outcome only
References

Completion of the recruitment process

1

UCL

2.3.1

Advertising of vacancies (where Skilled Worker visa sponsored person was appointed)

Screenshots of adverts and any further particulars taken on first day advertised by HR showing URL and date

End of Skilled Worker visa sponsorship

1
(up to 7 years)

Immigration, Asylum and Nationality Act 2006
Limitation Act 1980, s.5

2.3.2

Records documenting the handling of applications for unsuccessful applicants (where a Skilled Worker visa sponsored person is appointed)

Application forms, interview notes, interview summary outcomes, tests;
Right to work documents taken at interview stage
References

End of Skilled Worker visa sponsorship

1
(up to 7 years)

Limitation Act 1980, s.5

2.3.3

Shortlisting information (where Skilled Worker visa sponsored person was appointed)

End of Skilled Worker visa sponsorship

1
(up to 7 years)

Limitation Act 1980, s.5

2.4.1

Permanent employee file

Basic personal details
National Insurance number
Job description
Person specification
Further particulars
Signed contract, variations and extensions
Changes in terms and conditions
Termination of employment (resignation, retirement, dismissal, redundancy)
Pension opt out form (if applicable)

PERMANENT

PERMANENT

UCL

2.4.2

Employee personal details [15]

Address
Next of kin
Emergency contacts

When superseded
or
end of employment

6

UCL

2.4.3

Declaration of interest from senior staff and disclosures of conflicts

End of employment

6

Limitation Act 1980, s.5

2.4.4

Induction, probation and training

Records of induction
Probation reports
Appraisals
Performance reviews

End of employment

6

UCL

2.4.5

Absence

Leave cards
Sick notes
Return to work forms and interview notes
Authorisation for special leave

End of employment

6

Limitation Act 1980, s.5

2.4.6

Grievances raised by staff the institution's response, action taken and the outcome.

Grievance files

End of employment

6

Limitation Act 1980, s.5

2.4.7

Disciplinary proceedings against the employee

Disciplinary files

End of employment

6

Limitation Act 1980, s.5

2.4.8

Environmental and Management Investigations

Case files

Last action on case

6

UCL

2.4.9

Register of Interest

End of employment

6

Limitation Act 1980, s.5

2.4.10

Disclosure of conflict

End of employment

6

Limitation Act 1980, s.5

2.5.1

Calculation and payment of individual salaries and other payments and deductions

Contract copies and variations
Union subscriptions
Club memberships

FY

3

SI 2015/621 reg 59(8)
SI 2003/2682 Regulation 97(1)
Taxes Management Act 1970 s.34

2.5.2

Employer PAYE records not required to be sent to HMRC

Wages sheets
Records of payments and deductions
Payslip copies

FY

3

SI 2003/2682 Reg 97(1)

2.5.3

Documentation of working hours

Timesheets
Overtime sheets

FY

2

SI 1998/1833 reg 9

2.5.4

Statutory Sick Pay

Self-certification forms
Departmental returns

FY

7

UCL

2.5.5

Statutory Maternity Pay

Self-certification forms
Departmental returns

FY

7

SI 1986/1960 reg 26
Limitation Act 1980, s.5

2.5.6

Record of P45s

End of employment

7

Limitation Act 1980, s.5

2.5.7

Employer and employee pension scheme; Individual membership of pension schemes

Application forms
Expression of wish forms

End of employment

7

Limitation Act 1980, s.5

2.5.8

Employer and employee pension scheme; Individual membership of pension schemes

Opt-out forms

PERMANENT

PERMANENT

Permanent employee file

2.5.9

Institution's relationships with pension schemes

Routine communications

Termination of relationship

7

UCL

2.6.1

Occupational health records

Case management records
Health assessments for night workers
Drivers medicals
Research passports

End of employment

6

Limitation Act 1980, s.5

2.6.2

Health surveillance and health protection measures

Health surveillance and health protection measures for employees who are exposed to noise; lead; asbestos; substances hazardous to health; Group 3 or Group 4 biological agents

Date of last entry

40

SI 2002/2677 regs 7(10), 10(5)(a), 11(3) and Schedule 3, para. 4(3)

2.6.3

Health surveillance and health protection measures: Ionising radiation

Health surveillance and health protection measures for employees who are exposed to ionising radiation and are required to be under health surveillance

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 reg 25

2.6.4

Pre-enrolment student health assessments (enrolled students)

Records of health checks for professional regulated students

End of student relationship

6

Limitation Act 1980 , s.5

2.6.5

Pre-enrolment student health assessments (unsuccessful applicants)

Records of health checks for professional regulated students

AY

1

The Equality Act 2010

2.6.6

Student Immunisation Records

Childhood immunisation records provided upon enrolment
Immunisation received while at UCL

Date of last entry

40

SI 2002/2677 regs 7(6)(f)

3.1.1

Records of interventional (IMPs, blood, devices, radiation beyond standard clinical practice, surgical intervention) and non-interventional clinical trials used in regulatory submissions except ATMPs

Trial master file
Investigator site file
Information referred to in SI 2005/50 reg 7(3)(a), 7(5) and 7(6)
Information specified in SI 2005/50 reg 8(1) and Schedule Part 6 Section B
Serious adverse events
Lab books

End of trial

25

2003/63/EC Annex 1 Pt 1 5.2(c)
SI 2004/1031 reg 31A(7)
SI 2005/50 regs 7(1)(g), 7(4), 8(3)(b), 12A(1)(a)
CPMP 5.5.12

3.1.2

Records of interventional (IMPs, blood, devices, radiation beyond standard clinical practice, surgical intervention) and non-interventional clinical trials used in regulatory submissions except ATMPs: no marketing applications in the EU pending or contemplated

Trial master file
Investigator site file
Information referred to in SI 2005/50 reg 7(3)(a), 7(5) and 7(6)
Information specified in SI 2005/50 reg 8(1) and Schedule Part 6 Section B
Serious adverse events
Lab books

Last marketing authorisation

2

2003/63/EC Annex 1 Pt 1 5.2(c)
SI 2004/1031 reg 31A(7A)
SI 2005/50 regs 7(1)(g), 7(4), 8(3)(b), 12A(1)(a)
CPMP 4.9.5, 5.5.8, 5.5.11

3.1.3

Records of interventional (IMPs, blood, devices, radiation beyond standard clinical practice, surgical intervention) and non-interventional clinical trials not used in regulatory submissions except ATMPs

Trial master file
Investigator site file
Information referred to in SI 2005/50 reg 7(3)(a), 7(5) and 7(6)
Information specified in SI 2005/50 reg 8(1) and Schedule Part 6 Section B
Serious adverse events
Lab books

End of trial

5

SI 2004/1031 reg 31A(7)
SI 2005/50 regs 7(1)(g), 7(4), 8(3)(b), 12A(1)(a)

3.1.4

Records of clinical trials of ATMPs, including viral vectors, whether or not used in regulatory submissions

Trial master file
Investigator site file
Traceability records
Serious adverse events
Lab books

Expiry of product

30

SI 2012/1916 Sch 4 para 27
ENTR 7.3

3.1.5

Records of population health or clinical studies funded by MRC

End of research

20

MRC GRP B.3

3.1.6

Records of basic research funded by MRC

End of research

10

MRC GRP B.3

3.1.7

Animal research

Project licences
Personal licences
ASPA inspectors' reports
Information mentioned in 2010/63/EC art 30.1
Records of regulated procedures
Health records of animals
Records of the source, use and disposal of protected animals used in procedures
Lab books

End of research

5

Animals (Scientific Procedures) Act 1986 c 14 ss 4(5), 5E(1), 18(2E), Sch 2C para 8(b)
HO

3.1.8

Animal research

Records of AWERB advice provided under 2010/63/EC art 27.1
Records specified in 1986 c 14 s 5G(2)
Individual history files of dogs, cats or NHPs which have died or have been set free or re-homed

End of research

3

Animals (Scientific Procedures) Act 1986 c 14 Sch 2C paras 6(4), 9(1)(e)
1986 c 14 s 5G(1)

3.1.9

Records documenting the conduct of all other research funded by all other organisations [16]

Research data not covered by specific entry in this schedule, including lab books

Completion of project + 10 years (date of last funding payment + 10 years for projects funded by the European Union)

10
REVIEW

JISC

3.2.2

Applications for ethical approval

High Risk studies

End of research

6

UCL

3.2.3

Applications for ethical approval

Minimal-risk studies

End of research

1

UCL

3.2.4

REF staff data

Discussions of staff selection strategies and decisions (SSRG and REFSG papers) Staff eligible for REF and those selected Appeals against non-selection Individual staff circumstances Output data Research environment data and statements

REF submission

6

UCL

3.2.5

REF staff data - original notes

Forms and notes relating to individual staff circumstances

REF submission

1

UCL

3.2.6

Full REF submission

REF submission

12

UCL

3.2.7

Full REF submission

REF impact case studies

PERMANENT

PERMANENT

UCL

3.2.8

Full REF submission

REF preparations report

PERMANENT

PERMANENT

UCL

3.2.9

External clinical quality assessment - pathology

Returns, Correspondence, ethical approval and consent, Reference samples of material capable of long-term storage

AY

5

RCP 9.2

3.2.10

External clinical quality assessment - pathology

Samples of degradable pathology materials

Assessment

1M (if possible)

RCP 9.3

3.2.11

Research misconduct

Case files on the investigation and resolution of allegations or research misconduct

Closure

6

Limitation Act 1980 s.11

4.1.1

Acquisition of property by purchase, and disposal (executed as deeds)

Land Registry records
Valuations
Surveys

Disposal of property

12
REVIEW

Limitation Act 1980 s.8

4.1.2

Evidence of title

Title deeds

Disposal of property

Transfer to new owner

JISC

4.1.3

Acquisition of property by lease

Lease

End of lease

15

Limitation Act 1980, s.14B

4.1.4

Negotiations for properties not acquired

End of negotiations

6

Limitation Act 1980, s.2

4.1.5

Leasing-out to third parties

Subletting or wayleave agreements

End of lease

6

Limitation Act 1980, s.2

4.1.6

Leasing-out to third parties

Subletting or wayleave agreements executed as deeds

End of lease

12

Limitation Act 1980, s.8

4.1.7

Property access controls to secure areas

Key registers
Signing-in and absence books
Security logs

Creation

1

JISC

4.1.8

Security passes issued to visitors

Security passes
Swipe cards
Parking permit records

Expiry

1

JISC

4.1.9

Security surveillance of property

CCTV images

Creation

18 days

UCL CCTV 13.3

4.1.10

Security incidents, and action taken

Last action on incident

6

SI 2013/1471 reg 12(1)

4.1.11

Enforcement inspections

Fire certificates

When superseded

0

UCL

4.2.1

Major works

Project files
Contract for building works
Contractor review reports

End of works

15
REVIEW

Limitation Act 1980, s.14B(1)

4.2.2

Minor works

End of works

6

UCL

4.2.3

Routine inspections of property.

Records of routine inspections of property (e.g. risk assessments, written examination schemes and testing of items and systems including lifts, fabric, pressure systems, fire systems, alarms, water hygiene, electrical systems)

Date of inspection OR Superseded

5 years (date of inspection) OR 1 year (superseded)

UCL

4.2.4

Health and safety and operational and maintenance files

Disposal of property

Transfer to new owner

SI 2015/51 regs 4(7), 12

4.2.5

Planning and building control

Planning and building regulations applications and consents granted

Disposal of property (Transfer to new owner)
OR expiry of consent

Transfer to new owner
OR 0

JISC

4.2.6

Monitoring of the condition of asbestos in premises, and of maintaining or removing it.

Removal of asbestos OR
Subsequent inspection

10

SI 2012/632 reg 13(3)

4.2.7

Assessments made to determine the presence (or likely presence) of asbestos in premises.

Disposal of property

Transfer to new owner

JISC [17]

4.3.1

Environmental Audit

Conduct and results of environmental audits, and action taken to address issues raised.

Completion of audit

5

JISC

4.3.2

Environmental hazard identification and risk assessment – short term

Records of identified environmental hazards to UCL, or created by its operations, and the conduct and results of risk assessments.

Elimination of risk OR Updating of risk assessment

10

JISC

4.3.3

Environmental hazard identification and risk assessment – long term

Records of identified environmental hazards UCL, or created by its operations, and the conduct and results of risk assessments. Includes: letters for non-compliance; assessment of risks created by exposure to regulated biological agents, lead, asbestos, and ionising radiation; selection of equipment and consumables associated with hazardous operations.

Elimination of risk OR Updating of risk assessment

40

JISC

4.3.4

ISO Management Standard certification

Attainment and maintenance of the institution's accreditation under established environmental management schemes.

Termination of accreditation

1

ISO 50001, ISO 14001

4.3.5

Water [18]

Trade effluent consent

While scheduled activities are current.

0

UCL

4.3.6

Energy management: routine monitoring of the institution's use and consumption of energy.

Reviews of energy use (meter readings)

Current year

5

UCL

4.3.7

Energy management: conduct and results of formal reviews of the institution's use and consumption of energy, and action taken to address issues raised.

Completion of review + 5 years

5

UCL

4.3.8

Waste management: Waste transfer notes (non-hazardous waste)

Confidential waste

Removal of waste

2

SI 2011/988 reg 35(6)

4.3.9

Waste management: waste consignment notes (hazardous waste) [19]

Removal of waste

3

SI 2005/894 Regulation 49(3)

4.4.1

Selection of major items

Development of specifications for, and the selection of major Items of equipment/consumables

Life of item

6

Limitation Act 1980, s 5

4.4.2

Installation/Commissioning of major items

Records of the installation of equipment

Decommissioning/ removal

6

Limitation Act 1980, s 5

4.4.3

Installation/Commissioning of lifting equipment

Reports of pre-commissioning examinations required by Regulation 9(1) and 9(2) of the Lifting Operations and Lifting Equipment Regulations

Decommissioning

N/A

SI 1998/2307 regs 11(2)(a)(i), 11(2)(a)(iii)

4.4.4

Installation/Commissioning of accessories for lifting

Reports of pre-commissioning examinations required Regulation 9(1) of the Lifting Operations and Lifting Equipment Regulations

Date of report

2

SI 1998/2307 regs 11(2)(a)(ii)

4.4.5

Inspection of lifting equipment.

Reports of inspection and 'thorough examination' of lifting equipment required by Regulation 9 of the Lifting Operations and Lifting Equipment Regulations

Date of subsequent report

2

SI 1998/2307 reg 11(2)(a)(iv)

4.4.6

Maintenance logs for equipment

Life of equipment

6

SI 1998/2306 reg 5(2)

Limitation Act 1980 s.5

4.4.7

Inspections of equipment

Required by Regulation 6 of the Provision and Use of Work Equipment Regulations

Completion of subsequent inspection

0

SI 1998/2306 reg 6(3)

4.4.8

Ionising Radiations - calibration, testing and inspection of monitoring equipment

When equipment is calibrated

2

SI 2017/1075 reg 20(5)

4.4.9

Ionising Radiations -
Maintenance and examination of engineering controls etc. and personal protective equipment

Date of maintenance/testing

2

SI 2017/1075 reg 11

4.4.10

Air conditioning system inspection reports (Fluorinated Green House gases) [20]

When superseded

Expiry

SI 2012/3118 reg 20(1)

4.4.11

Cleaning of equipment/consumables prior to disposal: items used in connection with operations involving substances hazardous to health

Record of the cleaning/sanitisation

Disposal of item

15

Limitation Act 1980, s.14

4.4.12

Cleaning of equipment/consumables prior to disposal: other items

Record of the cleaning/sanitisation

Disposal of item

6

Limitation Act 1980, s.5

5.1.1

Annual accounts

Records documenting the preparation and submission of:
Annual Accounts
Statutory accounts.

FY

7

Taxes Management Act 1970, s.34
Limitation Act 1980, s.5

5.1.2

Records of capital assets and decisions to dispose of them

Inventory
Asset register
Disposal forms

FY

7

Taxes Management Act 1970, s.34
Limitation Act 1980, s.5

5.1.3

Management accounting

Monitoring income and expenditure against annual operating budgets
Action to deal with variances
Analyses of internal deployment of financial resources

FY

7

Taxes Management Act 1970 c. 9 s 34
Limitation Act 1980 c. 58 s 5
Value Added Tax Act 1994 c. 23
HMRC VAT Notice 700/21 para. 5.3

5.1.4

Budgeting

Records documenting the preparation of annual operating budgets.

FY

1

UCL

5.1.5

Tax returns and VAT

Records documenting the preparation and filing of the institution's tax returns
Records documenting the institution's accounting for VAT.

FY

7

Taxes Management Act 1970, s.34
Value Added Tax Act 1994, s.58, sch11, para. 6(3)
SI 1995/2518 s.31
HMRC 700/21 para. 2.4

5.1.6

Capital Goods Scheme

Records of items falling under the Capital Goods Scheme

FY

11

HMRC 706/2 para 2.2

5.1.7

Records documenting the administration of bank accounts

Standing orders
Direct debit mandates
Paying-in and withdrawal slips

FY

7

Taxes Management Act 1970, s.34
Limitation Act 1980, s.5

5.1.8

Purchases and incoming payments

Invoices
Credit notes
Delivery notes
Income and expenditure batches
Receipts
BACS reports
Till rolls
Petty cash records
Payment of accommodation fees

FY

7

Taxes Management Act 1970, s.34
Limitation Act 1980, s.5
Value Added Tax Act 1994, s.77(1)
HMRC 700/21 para. 2.4

5.1.9

Records documenting the payment and/or reimbursement of expenses

FY

7

Taxes Management Act 1970, s.34
Limitation Act 1980, s.5

5.1.10

Research funding

Allocations from statutory funding councils
Research project applications, award letters, invoices

FY

7

Limitation Act 1980, s.5

5.1.11

Internal accounting

Records documenting administration and processing of Inter Departmental Transfers and Inter Departmental Journals

FY

1

UCL
JISC

5.1.12

Investment management

Fund managers' reports
Records of purchase and sale of investments

FY

7

Taxes Management Act 1970, s.34
Limitation Act 1980, s.5

5.2.1

Evaluation of tenders and negotiations with prospective suppliers - successful bids

Evaluation scores, award letters. Form of contract, OJEU contract award notices

End of contract

6

Limitation Act 1980, s.5

5.2.2

Evaluation of tenders and negotiations with prospective suppliers - unsuccessful bids

Evaluation scores, correspondence

Award of contract

1

JISC

5.2.3

Supply contract management

Contract variations, performance management

End of Contract

6
REVIEW

HMRC 700/21 para. 2.4

5.2.4

Documentation of progress and decisions made in public procurement

Termination of contract

6 [21]

Public Contracts Regulations 2015 (SI 2015/102)
JISC

5.3.1

Insurance certificates

Expiry

40

UCL

5.3.2

Policies

Insurance policies

Expiry

6

UCL

5.3.3

Claims

Arrangements and renewal correspondence
Claims correspondence

Expiry

6

UCL

5.3.4

Employers Liability Insurance certificates

Expiry

40

SI 1998/2573 reg 4(4)

6.1.1

Initial development and post-implementation modification and maintenance of IT systems.

Network configuration and maps
Change control documents

Decommissioning of system

6

JISC

6.1.2

Management of IT systems development projects

Project management documents

Termination of project

6
REVIEW

JISC

6.1.3

Routine monitoring and testing of the operation of IT systems, and action taken to rectify problems and optimise performance

Usage reports
Network traffic logs
Network alerts
System Logs
Audit and exception files produced during network and email use
History files produced during network and email use

AY

6

JISC

6.1.4

User requests for support or reporting of faults and action taken to investigate and resolve the problem

Call logs
Incident reports
Job sheets
Communications with helpdesk

Last action on fault

6

JISC

6.1.5

Management of system data storage, including the operation of routine data backup, archiving and deletion routines

Server maintenance log sheets
Backup reports
Registers of backup tapes

AY

6

JISC

6.1.6

User requests to recover data from backup or archive stores, and action taken

Last action on request

6 months

JISC

6.1.7

Records of the opening, maintenance and closure of user accounts for IT systems

Registration forms
Auditable log of account administration activity within identity management service
Requests for account closures

Closure of account

1

JISC

6.1.8

Records of used email addresses to prevent reissue

Closure of account

30

UCL

6.1.9

Removal/return of mobile IT systems hardware and software from/to the institution's premises

Disposal of equipment

3 months

UCL

6.1.10

Arrangements for the sanitisation of institutional IT equipment prior to disposal

Disposal of equipment

3

UCL

6.1.11

Security arrangements for IT systems

Requests for SSL certificates
Device hardening plans
Penetration testing reports

Decommissioning of system

1

JISC

6.1.12

Monitoring of the use of IT systems to ensure compliance with legal requirements and institutional policies [22]

Monitoring forms
Case files

Closure of case

1, then transfer for retention as part of HR files where relevant

JISC

6.1.13

Records of attempted or actual security breaches of IT systems, and action taken

Investigation reports

Last action on incident

1

JISC

6.1.14

Requests for, and authorisation of, connections of third-party equipment to the institution's networks, either on institutional premises or via dial-up communications links

Departmental Network Administrators authorisations

Termination of connection

1

UCL Connection to Network Policy

6.1.15

Connection of third-party equipment to the UCL networks: IP address allocation

DHCP logs

Date of allocation

6M

UCL Connection to Network Policy

6.2.1

Applications for permission to copy from published works which are not covered by Copyright Licensing Agency licences, where permission is granted

Period for which permission is granted

6

Limitation Act 1980, s.5

6.2.2

Copyright declaration forms
CLA Audits
Logs of copying and recording carried out under licence

AY

6

Limitation Act 1980, s.5

6.2.3

Intellectual Property Rights (IPR): Records of the institution's applications for patents

Patent applications, certificates of grant, supplementary certificates, extensions

PERMANENT

PERMANENT

UCL

6.2.4

Records of the institution's applications for other forms of IPR protection (registered trademarks, registered designs) and certificates of registration

Applications, trade mark certificates

PERMANENT

PERMANENT

UCL

6.2.5

Records of the negotiation and completion of IPR licence agreements to third parties

Identification of licensing requirements, acquisitions and maintenance of licenses, management of compliance with license conditions

PERMANENT

PERMANENT

UCL

6.3.1

Recordkeeping requirements for specific business activities and processes

Business process maps, survey and audit records

Superseded

0

UCL

6.3.2

Classification and indexing schemes for records

Business classification schemes, file plans and metadata schemes

Superseded

6

JISC

6.3.3

Storage locations of records

Superseded

1

JISC

6.3.4

Movement of records to/from storage

Return of records

1

JISC

6.3.5

Determination of retention periods for records

Completion of revised Records Retention Schedule

3

JISC

6.3.6

Final versions of Records Retention Schedules

PERMANENT

PERMANENT

UCL

6.3.7

Conservation work undertaken on record

Disposal of records

0

UCL

6.3.8

Authorisation for the disposal of redundant records

Disposal of records

6

JISC

6.4.1

Documentation of collections

Accessions registers
Object/item entry records
Selection criteria/acquisition proposals
Depositor/donor agreements, Deeds of Gift, artists agreements and commission contracts
Inventory records
Object movement records
Catalogue and box lists
Indexes
Object/item exit records
Disposal authorisations

PERMANENT

PERMANENT

UCL

6.4.2

Location registers

Current locations and location histories of accessioned objects

PERMANENT

PERMANENT

UCL

6.4.3

Registration of users

End of registration

1

UCL

6.4.4

Use of collections - research or access

Requests for access
Enquiries
Issue forms

AY

1

JISC

6.4.5

Use of collections - Object History

Handling/operating objects
Taking samples from objects

PERMANENT

PERMANENT

UCL

6.4.6

Exhibition records (exhibitions held by UCL)

Plans
Guides
Catalogues

PERMANENT

PERMANENT

UCL

6.4.7

Conservation records

Treatment, assessments, reports

PERMANENT

PERMANENT

6.4.8

Loans

Records of inward and outward loans to external organisations of library, museums, collections and archive objects for exhibition, conservation or photography

PERMANENT

PERMANENT

Collections Trust - The SPECTRUM 5.1 Acquisition and Accessioning Procedure

6.4.9

Library loans

Library user loan history

End of registration

1

UCL

6.4.10

Inter-library loan records

Order requests

AY

1

UCL

6.4.11

Use of services

Customer feedback
Customer surveys
Training evaluation responses
Enquiry feedback

AY

1

UCL

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 [23]

Completion of two subsequent reviews

JISC

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

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

6

JISC

7.2.5

Risk Management

Risk assessment reports
Contingency plans
Business recovery plans
Disaster plans
Emergency planning exercise documentation

AY

10

UCL

7.3.1

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 or withdrawal of claim

6

Limitation Act 1980, ss 2 and 5

7.3.4

Litigation between UCL and third parties.

Settlement or end of claim
REVIEW

6

Limitation Act 1980, ss 2 and 5

7.3.5

Legal advice requested by, and provided to, UCL

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, UCL

PERMANENT

PERMANENT

UCL

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

7.5.1

General correspondence with government bodies

AY

5

JISC

7.5.2

Formal responses to consultations conducted by government bodies

Formal responses to consultations and requests for information

Last action on consultation

1
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

7.6.1

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 and

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 reg 25

7.6.7

Accidents, incidents and emergencies: Investigations

Investigation of accidents, dangerous occurrences and outbreaks of notifiable diseases on UCL’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
- fires (drills and alarm tests)

When superseded

6

JISC

7.6.9

Accidents, incidents and emergencies:

UCL’s response to accidents, incidents and emergencies involving:
- lead
- substances hazardous to health
- asbestos

Last action on event

10

UCL

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) [24]

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 [25]

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)

7.6.18

Information, instruction and training

Noise
Substances Hazardous to Health
Lead
Asbestos
Ionising radiation
Artificial optical radiation
Electromagnetic fields     

Superseded

10

UCL

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

UCL

7.6.20

First aid provision

Assessment of first aid requirements and facilities
Appointment of first aiders
Training for first aiders

When superseded

5

UCL

8.1.1

Complaints from members of the public, the internal handling of these complaints and the responses provided.

Last action on complaint

1

JISC

8.1.2

Planning and impact/results of public events and official visits

Completion of event

3

JISC

8.1.3

Organisation and administration of public events and official visits

Completion of event

1

JISC

8.2.1

Media enquiries, the internal handling of these enquiries and responses provided

Last action on enquiry

6

JISC

8.2.2

Monitoring and analysis of media coverage of the institution

Current

6

JISC

8.2.3

Press releases and cuttings

Creation

5
REVIEW

UCL

8.3.1

Records documenting the design of the institution's corporate identity marks (logos etc.) and the development of style guides for use of these [26]

Superseded

0

JISC

8.3.2

Development, placement and impact of advertisements [27]

Superseded

6

JISC

8.3.3

Design, implementation and review of marketing campaigns

Completion of campaign

5

UCL

8.4.1

Records containing personal data on alumni, donors, volunteers and prospects [28]

FY

6

JISC