Academic Archiving – Crosby Training

POLICIES & PROCEDURES:
ACADEMIC ARCHIVING

How should files be stored?

To meet the requirement of the AEB funding regulations (and ESF if appropriate) it is recommended:

that learner files should be stored electronically. Electronic data records and documents should be secured in off site cloud based servers that meet accepted security standards and security standards and legal requirements so can be relied on for audit purposes.

However, if records are kept in paper-based formats, they should be stored in individual wallets, one wallet per learner per academic year.

All records should be stored in secure, lockable, fireproof, non portable storage containers and access should be strictly controlled and limited to staff that need to access the records.

It is recommended that learners’ files should be stored in electronic systems or wallets that contain the following information:

Learners surname, first name
Course studied (include ref number, funder)
ESF/ AEB contract number if applicable
Academic year
ESF contract number (if applicable) Destruction date (6 years from study ended or 31.12.30 if ESF funded).

There are 2 distinct archive types, which are treated separately in accordance with the requirements and guidance from different bodies, the responsibility for the different archive type is clearly defined below.

The internal verifier coordinator will oversee the archiving system of learner portfolios, both paper based and electronic.

It will be their responsibility to ensure all internal verifiers are fully conversant with the company procedure.

It is the overall responsibility of the internal verifiers to ensure the secure archiving of learner’s portfolios within their remit.

The following documentation and records must be available for audit or inspection purposes:

All registration and certification records

Assessment and verification records

External verification records

Minutes of standardisation meetings

Minutes from assessor support meetings

Assessor and internal verifier’s competence records

1. Procedure for archiving internal verification documents

1.1. Paper based portfolios

1.1.1 Following final internal verification of learners’ portfolios that have been accepted, they are to be placed in the archive cabinets for the following external verification visit. All files will have been labeled with the date that internal verification took place.

1.1.2 Following the external verifier’s visit all learners’ portfolios will be returned. It is the responsibility of the internal verifier to ensure all assessors are informed immediately as the portfolios are the property of the learner. Prior to return all assessment documentation must be retrieved from the file and retained for a period of three years, this is for the purpose of inspection. Assessment documents must be transferred to the second archive, labeled with the learner’s details and the date for release (ie three years)

1.1.3 Any learner who has left employment must be contacted at their home address, either in writing or by telephone and given the opportunity to have the portfolio posted to them or to pick it up.

1.1.4 Any documents associated with awarding bodies must be accessible for audit and inspection purposes for a period of three year.

1.2. Electronic portfolios

1.2.2 Following the external verifier’s visit all learners’ electronic portfolios will be re-archived electronically.

1.2.3 Any documents associated with awarding bodies must be accessible for audit and inspection purposes for a period of three years, as the electronic portfolios contain evidence of in learning, these electronic portfolios must be held for a period of 13 years, to meet the requirements of ESF match funding.

1.3 Procedure for archiving learner personal files and required evidence.

The Company administrator will oversee this system. It will be their responsibility to ensure admin are fully conversant with the company procedure.

It is the overall responsibility of admin to ensure the secure archiving of learner’s personal files within their remit.

All documentation and records held within the learners’ personal file along with any required documents for PFA purposes must be available for audit or inspection purposes.

1.3.1 On completion or withdrawal from learning, the personal file will be internally audited to ensure all required documentation has been submitted, meeting the required standards. Any documentation not yet received will be noted in the internal audit and requested from the relevant person.

1.3.2 The personal file will be transferred to the filing cabinets in the completers section alphabetically.

1.3.3 Once all certificates and required documentation have been submitted the personal file will be held in the completers section for a period of up to 12 months to ensure continued storage capacity for completers.

1.3.4 As required admin will produce a list of completed learners alphabetically by completion date and transfer the completers personal files to archive boxes noting on the list the box number the file has been placed in and labeling the box according to completion date and alphabet letter which will then be transferred to a secure external facility.

1.3.5 The lists will be held by admin in a file for reference and retrieval purposes as required.

1.3.6 The files will be held for (6 years from study ended or 31.12.30 if ESF funded)

_{Policy docs: Archiving Policy and Procedures: V2022 MP. Review Jan 2026}