Records retention management

The function of:

• developing and delivering learning support resources to support taught students in developing academic and personal skills
• delivering the institution’s taught programmes which lead to academic awards for teaching programmes which do not lead to academic award

This includes the delivery of all learning support resources, whatever they are and however they are made available to students.

Learning support resources includes:

• guidance materials in a range of media/formats
• training for individuals or groups (eg lectures, workshops)
• individual coaching/advice (eg on academic writing skills or presentation skills)

It includes the delivery of all taught programmes, whatever the type of award they lead to, whatever the delivery method (eg includes distance learning, e-learning, blended learning, workplace learning, as well as traditional methods), and whether the programme is delivered in collaboration with other institutions or organisations.

For teaching programmes which do not lead to academic awards use ‘knowledge transfer and enterprise’.

Sample business activity: taught programme development

The activities involved in developing the institution’s taught programmes.

Activities include: designing and developing new programmes and new modules specifications in existing programmes; revising existing programmes and modules; withdrawing programmes or modules; obtaining and maintaining accreditation for programmes.

• Trigger: life of the programme
• Retention: 10 years
• Action: review/archive
• Rationale: institutional business requirements

Sample business activity: taught programme review

The activities involved in reviewing the institution's taught programmes to inform ongoing programme development.

Activities include: collecting and analysing student numbers and other programme statistics; collecting, reviewing and responding to feedback on programmes from staff, students, external examiners and others.

• Trigger: end of academic year
• Retention: 6 years
• Action: destroy
• Rationale: institutional business requirements

Please refer to the combined BCS/RRS spreadsheet for a full list of business activities related to this function.

The function of managing and providing administrative support for the institution's academic programmes, student assessment, and awards, and of managing the institution’s relationships with its students and providing student support services; maintaining evidence of fitness to practise and carrying out fitness to practise investigations.

Sample business activity: student core record

The activities involved in documenting marks/grades given to submitted/completed summative assessments and, where appropriate, awards and classifications.

This is the minimal record kept to provide references for former students and may be retained for the lifetime of the student (80 years). A core (minimal) transcript may be retained indefinitely after this time and transferred to the archive if the institution has one. This depends on the requirements of the individual institution and their archival facilities/policies. The core record may vary according to the policy of each institution but is likely to contain name and dates of study, modules studied, and the qualifications conferred.

• Trigger: end of student enrolment
• Retention: 60 years
• Action: review/archive
• Rationale: institutional business requirements

Sample business activity: student recruitment

The activities involved in recruiting students to the institution.

Activities include: designing and conducting student recruitment campaigns; designing and organising student recruitment events (eg open days and recruitment fairs); designing and operating student recruitment schemes (eg school liaison); issuing recruitment materials (eg to schools); analysing recruitment and retention data; managing international agents; visa advice for international students

• Trigger: end of academic year
• Retention: 3 years
• Action: destroy
• Rationale: institutional business requirements

Please refer to the combined BCS/RRS spreadsheet for a full list of business activities related to this function.

The function of:

• undertaking academic research
• delivering the institution’s supervised research programmes
• publishing materials for internal or external distribution

For intellectual property rights entries, including copyright and patents, use ‘knowledge transfer and enterprise’.

Sample business activity: publication production

The activities involved in producing publications. Publications can be in any medium and format, including print, audio-visual, web pages and online information services.

Activities include: planning and preparing content (commissioning, research, writing, editing) for publication; designing publications; producing publications.

• Trigger: date of publication
• Retention: 1 year
• Action: review/destroy
• Rationale: institutional business requirements

Sample business activity: research programme development and review

The activities involved in developing the institution's research programmes, reports of routine internal and independent reviews of research programmes, data on, and analyses of, student numbers and other programme statistics.

• Trigger: end of academic year
• Retention: 6 years
• Action: review/destroy
• Rationale: Institutional business requirements

Please refer to the combined BCS/RRS spreadsheet for a full list of business activities related to this function.

The function of managing knowledge transfer, innovation and partnership including:

• commercial exploitation of the institution’s intellectual property
• providing consultancy to external organisations on a commercial basis
• delivering education and training programmes to external organisations and the public
• setting up and managing related companies
• providing services to external organisations or the public on a commercial basis

Sample business activity: consultancy project delivery and management

The activities involved in providing consultancy.

Activities depend on the type of consultancy being provided. They might include: conducting research; conducting surveys/audits; providing advice; giving presentations; facilitating workshops; providing training; monitoring and tracking the progress of work; preparing reports for clients and other stakeholders; arranging appropriate insurance; managing project resources and ensuring compliance with institutional policies and procedures; maintaining project records.

• Trigger: termination of contract
• Retention: 6 years
• Action: destroy

Rationale

• Limitation Act 1980 c. 58 s 5
• Prescription and Limitation (Scotland) Act 1973 c.52 s 6, as amended

Information/records provided by clients may be returned to them at the end of projects, for their own institutions retention schedule to take effect.

Sample business activity: IPR Licensing

The activities involved in licensing the institution's intellectual property rights (IPR) rights to external organisations.

Activities include: negotiating terms of licences; registering licences (and cancelling licences) with The UK Intellectual Property Office; determining arrangements for revenue sharing between the institution and the inventor.

• Trigger: expiry of licence
• Retention: 6 years
• Action: review/destroy

Rationale

• Limitation Act 1980 c. 58 s 5
• Prescription and Limitation (Scotland) Act 1973 c.52 s 6, as amended

Please refer to the combined BCS/RRS spreadsheet for a full list of business activities related to this function.

The function of developing and establishing the institution’s overall strategy, developing its strategic plan, producing and disseminating business intelligence and management information to support the institution’s management processes, co-ordinating projects to meet strategic and operational plans, managing overall quality in the institution, and managing the institution’s overall performance against strategic and operational plans.

Sample business activity: strategic planning

The activities involved in developing the institution's strategic plans.

Strategic plans are plans which set the academic aims and objectives of the institution and identify the financial, physical and staff strategies necessary to achieve these aims and objectives.

Activities include: developing plans; reviewing plans.

• Trigger: end of academic year
• Retention: 6 years
• Action: review/destroy
• Rationale: Institutional business requirements

Sample business activity: quality and standards management

The activities involved in documenting the conduct and results of formal internal and external reviews of quality and standards, and responses to the results.

• Trigger: end of academic year
• Retention: 6 years
• Action: destroy
• Rationale: institutional business requirements

Please refer to the combined BCS/RRS spreadsheet for a full list of business activities related to this function.

The function of:

• developing and establishing the institution’s corporate governance structure and rules, and of conducing its business in accordance with its governance structure and rules
• developing the institution’s organisational structure and culture
• managing risks to the viability or success of the institution
• assessing the institution’s liabilities and insurance needs, and of maintaining adequate insurance cover
• conducting internal and external audits of the institution's affairs and operations for internal control purposes and to ensure compliance with internal and external requirements

Sample business activity: corporate registers

The activities involved in creating, maintaining corporate registers which hold very limited, core information about processes undertaken.

Records might include training, corporate risk, asbestos, waste management, incident, accident, document retention and record disposal registers

• Trigger: closure of register
• Retention: permanent archival (review every 10 years to ensure longevity and access)
• Action: archive
• Rationale: schedule 1, Part 2 of RIDDOR 2013

Sample business activity: business continuity planning

The activities involved in anticipating incidents which would disrupt the institution's operations, and in developing response and recovery plans. Records documenting the formulation, testing and maintenance of disaster response and recovery plans.

• Trigger: end of academic year
• Retention: 1 year
• Action: review/archive
• Rationale: institutional business requirements

Please refer to the combined BCS/RRS spreadsheet for a full list of business activities related to this function.

The function of managing the institution’s legal affairs.

Sample business activity: litigation management

The activities involved in managing legal actions by or against the institution.

Activities include: briefing counsel; providing documents required by a court; consulting with other agencies.

Use 'legal affairs management - legal advice' for any records documenting litigation between the institution and third parties where legal precedents are set.

• Trigger: settlement (or end) of claim
• Retention: 6 years
• Action: review/archive

Rationale

• Limitation Act 1980 c. 58 ss 2 and 5
• Prescription and Limitation (Scotland) Act 1973 c.52 s 6, as amended

Sample business activity: contracts and agreements management

The activities involved in managing the legal aspects of negotiating, establishing, maintaining and reviewing contracts and agreements.

• Trigger: termination of contract
• Retention: 6 years
• Action: destroy

Rationale

• Limitation Act 1980 c. 58 ss 2 and 5
• Prescription and Limitation (Scotland) Act 1973 c.52 s 6, as amended

Please refer to the combined BCS/RRS spreadsheet for a full list of business activities related to this function.

The function of managing the institution’s financial resources, including purchasing goods, works and services from external organisations, and other procurement processes.

Sample business activity: Financial accounting

The activities involved in processing, recording, classifying and analysing financial transactions between the institution and third parties, and between the institution and its employees.

Activities include: accounting for income; accounting for expenditure; accounting for payments (other than salaries) to employees; accounting for payments to honorary appointees and other third parties.

• Trigger: end of financial year
• Retention: 6 years
• Action: destroy

Rationale

• Taxes Management Act 1970 c. 9 s 34
• Limitation Act 1980 c. 58 s 5
• Prescription and Limitation (Scotland) Act 1973 c.52 s 6, as amended
• Value Added Tax Act 1994 c. 23
• HMRC VAT Notice 700/21 para. 5.2

Sample business activity: funding management

The activities involved in administering the institution's income.

Activities include: acknowledging receipt of funds; monitoring the use of funds and ensuring compliance with terms and conditions of funding; preparing reports and other information on the use of funds for funding providers.

Use money management - 'funding (European social fund receipts)' for European funding.

• Trigger: termination of grant
• Retention: 6 years
• Action: review/destroy

Rationale

• Limitation Act 1980 c. 58 ss 2 and 5
• Prescription and Limitation (Scotland) Act 1973 c.52 s 6, as amended
• Council Regulation (EC) No. 1303/2013 Article 140.

Please refer to the combined BCS/RRS spreadsheet for a full list of business activities related to this function.

The function of:

• managing the institution’s compliance with legislation on equal opportunities
• managing the institution’s workforce as a whole and its contractual relationship with individuals who have an employment contract with the institution.

For establishing and managing contract with employment agencies for the supply of temporary staff, use the procurement activities under 'money management - contract management'.

Sample business activity: employee and worker contract management (staff files)

The activities involved in managing the institution's contractual relationships with individual workers and employees.

Activities include: maintaining complete and accurate records of individuals’ recruitment (authorising recruitment; advertising vacancies; handling enquiries about vacancies; processing employment applications; DBS checks and Right to Work checks documentation); equality and diversity information, induction, performance management, disciplinaries (where a case is found), training and development records, occupational health and welfare, leave, pensions and termination; providing employment references for current and former employees.

There may be additional record-keeping requirements if you are employing a sponsored migrant - see Rationale for a link to details.

• Trigger: termination of employment
• Retention: 6 years
• Action: destroy

Rationale

• Limitation Act 1980 c. 58 s 5
• Prescription and Limitation (Scotland) Act 1973 c.52 s 6, as amended
• Information commissioners office: retaining employment information
• Guidance for sponsors

Sample business activity: pension schemes administration

The activities involved in administering the institution's involvement with external pension schemes of which its staff are members.

Pension schemes may include the Universities Superannuation Scheme; Teachers' Pension Scheme (in England); Scottish Teachers' Superannuation Scheme (in Scotland); Local Government Pension Scheme.

This activity pertains to external pension schemes only. Internally run schemes are out of scope for this schedule.

• Trigger: termination of relationship with pension scheme
• Retention: 6 years
• Action: destroy

Rationale

• Institutional business requirements
• Gov.uk record keeping for pension trustees

Please refer to the combined BCS/RRS spreadsheet for a full list of business activities related to this function.

The function of managing the institution’s impact on the physical environment. This function includes:

• its physical estate
• facilities
• equipment and consumables
• the health and safety of staff, students and others interacting with the institution, and ensuring compliance with legislation on these matters

Managing the institution’s impact on the physical environment includes environmental sustainability and ensuring compliance with legislation on environmental matters.

Sample business activity: facilities development and property works (major)

The activities involved in developing new facilities and re-developing existing facilities.

Activities include: specifying requirements; preparing design schemes; obtaining permits for specific types of work; inspecting completed works and arranging external inspections to obtain necessary certifications. For indoor facilities, activities include: decorating; installing fixtures, fittings and furnishings. For outdoor facilities, activities include: groundwork; gardening; installing fixtures, fittings and furniture.

• Trigger: completion of works
• Retention: 15 years
• Action: review/destroy

Rationale

• Limitation Act 1980 c. 58 s 5
• Prescription and Limitation (Scotland) Act 1973 c.52 s 6, as amended
• Latent damage act. 1986 - NB England and Wales only

Sample business activity: nursery management

The activities involved in the running of nurseries, including safeguarding arrangements

Further detailed retentions can be found in the rationale.

• Trigger: closure of nursery
• Retention: 60 years
• Action: review/destroy

Rationale

• Recommended by IRMS Retention Guidelines for Schools – Early Years Provision (Section 16.2.5)
• The day care and child minding (national standards) regulations 2003 - England only
• The childcare (voluntary registration) regulations 2007

Please refer to the combined BCS/RRS spreadsheet for a full list of business activities related to this function.

The function of managing the information and collections created or acquired by the Institution in the course of its work or to support its research, teaching or other work.

This function incudes managing the institution’s:

• collections of publications
• object collections
• records
• corporate archive
• compliance with information legislation
• the information technology (IT) systems which support the institution’s functions and activities.

This function does not cover the management of the business units which are responsible for the collections, or the associated services and facilities.

Sample business activity: information and collections acquisition and receipt

The activities involved in acquiring items (eg by purchase, donation, or unsolicited gift), and adding them to the institution’s collections.

Activities include: identifying and selecting publications to purchase; receiving and appraising archives, and returning or otherwise disposing of unwanted material; activities described in the SPECTRUM Acquisition and Object Entry procedures.

• Trigger: date last modified
• Retention: 6 years
• Action: review/archive
• Rationale: institutional business requirements

Sample business activity: information and collections organisation, cataloguing and description

The activities involved in organising, classifying, cataloguing, describing and indexing publications, objects or archives.

Activities include: creating and maintaining records of the provenance, history and management of archives (including remedial conservation, de-accession and disposal); compiling and maintaining key information which formally identifies and describes objects in the institution's collections; developing business classification schemes; developing file plans; developing thesauri; developing metadata schemes.

• Trigger: date last modified
• Retention: 6 years
• Action: review/destroy
• Rationale: institutional business requirements

Please refer to the combined BCS/RRS spreadsheet for a full list of business activities related to this function.

The function of marketing the institution, raising and maintaining its public profile, fundraising, and of managing the institution’s formal corporate relationships with its students’ union; its alumni; its donors; organisations and individuals in its local community; organisations in the further and higher education sectors; government bodies; parliamentary bodies; and the wider public.

This function is intended to cover formal relationships between the institution and external stakeholders at a corporate level. It does not cover routine contact relating to a specific function or activity which is covered elsewhere in this BCS.

For managing the institution’s relationship with its students see 'academic and student management'.

Sample business activity: corporate identity and brand management

The activities involved in managing the institution's corporate identity and brands.

Activities include: designing the institution's corporate identity marks (logos, etc.); controlling use of corporate identity marks; compiling and ensuring use of corporate style guides.

• Trigger: date superseded
• Retention: -
• Action: review/archive
• Rationale: institutional business requirements.

The institution may wish to transfer these records to the archive once they are no longer in active use.

Sample business activity: events management (recurring events)

The activities involved in organising events for specific stakeholder groups.

Activities include: determining dates and times; arranging venues, catering, security, transport etc.; planning programmes; issuing invitations; designing publicity materials (eg brochures, posters) and arranging production; designing event materials (eg delegate packs, menus) and arranging production; organising publicity (eg official photography, media coverage); issuing tickets; registering attendees; reviewing events; writing reports on events.

• Trigger: date superseded
• Retention: 1 year
• Action: destroy

Rationale

• Limitation Act 1980 c. 58 s 5
• Prescription and Limitation (Scotland) Act 1973 c.52 s 6, as amended

Please refer to the combined BCS/RRS spreadsheet for a full list of business activities related to this function.

This additional section (not a function) provides details of activities that are common to many business functions. These activities may be added to any of the functions above wherever they are required.

Sample common function: policy development

The activities involved in developing and establishing policies.

Activities include: identifying requirements for new/revised policy; undertaking research; developing policy proposals; consulting on policy proposals; reviewing and revising policy proposals in the light of comments received; drafting policy documents; consulting on policy documents; reviewing draft policy documents in the light of comments received; producing final policy documents; submitting final policy documents for formal approval; formally approving policy documents; disseminating policy documents; reviewing policy.

Sample business activity: procedure development

The activities involved in developing procedures.

Activities include: identifying needs for new/revised procedure; undertaking research; analysing work processes; drafting procedure documents; consulting on procedure documents; reviewing draft procedure documents in the light of comments received; trialling procedure; refining procedure as a result of trials; submitting final procedure documents for formal approval; formally approving procedure documents; disseminating procedure documents; reviewing procedure.

Please refer to the combined BCS/RRS spreadsheet for a full list of common activities.

Functions have been named and defined to enhance their context. We have tried to avoid using the names of departments within organisational structures to prevent confusion between the ‘function’ and the team that may have primary responsibility for a function. Institutions should not assume all records of a particular activity are produced by a particular team or need to be held in the same place.

The resources provided can be used as:

• a reference guide – by browsing the web links provided
• the basis for a taxonomy to ‘tag’ records with metadata indicating the function and activity which created them, possibly linked to automated retention policies
• a downloadable resource (the excel spreadsheet) which can be adapted to suit your institution’s uses (amending retention periods, renaming activities, turning into a local resource, for example using a SharePoint List)

As part of our on-going commitment with IRMS to embed the BCS/RRS as the main reference for the management of records in the FE and HE sector, advice and guidance on using the BCS/RRS in practice will be disseminated. Documentation and potential training opportunities will be announced in due course.