Freedom of Information & Records Management Group. Archive and Retention Policy

Transcription

1 Freedom of Information & Records Management Group Archive and Retention Policy

2 Document Control: Issued By: Freedom of Information and Records Management Group (FIRM) Version Reason for Change Author Date 1.0 Initial Issue B Dale 06/08/ Amendments from S Kerridge B Dale 01/10/ Amendments from FIRM Group meeting B Dale 30/11/ Amendments from C Gales C Gales 13/01/ Amendments from FIRM Group (13/1/11) and C Gales (8/2/11) FIRM and C Gales 8/2/ Final check B Dale 10/3/11 Version control of a document is vital for good records management and consistency across the whole organisation. The latest version of this document will be made available on the University website, please ensure that you use the most up-to-date version.

3 University of Sunderland 5. Archive and Retention Policy 1. Introduction The Archive and Retention Policy is a subsidiary of the University s Records Management Policy. Its purpose is to provide a framework for the implementation of archiving and retention practices in line with the Lord Chancellor s Code of Practice on the Management of Records issued under Section 46 of the Freedom of Information Act Public Authorities need to maintain records which they will need for business, regulatory, legal and accountability purposes. The accepted method for maintaining a record in an orderly and structured system is by the use of a business classification scheme which describe the functions and activities of an organisation (see Appendix 1) and an accompanying retention schedule which sets out how long various records need to be retained in order to comply with business and legal requirements. JISC have developed a Business Classification Scheme and a Records Retention Schedule for Higher Education Institutions. Those records which do need permanent preservation are generally known as archives, this policy also covers those records which need to be preserved semi-permanently. 2. Scope of the Policy This policy applies to all records which were created, received or maintained by staff of the University in the course of carrying out their responsibilities as a University employee. Records and documentation created in the course of research, whether internally or externally-funded, are also subject to contractual record-keeping requirements. Appendix 2 contains the JISC Ready Reckoner which will help you determine the value of the information you are considering whether to retain. The Lord Chancellor s Code of Practice states that a retention schedule should contain as a minimum the following:- A description of the record, including reference numbers Identify the function to which the records relate and the relevant faculty or service Specify the retention period i.e. how long they will be kept Specify what will happen to them at the end of that period i.e. dispose or review Note the legal, regulatory reason behind the retention period

4 3. The Archive and Retention Policy The University Records Management Policy Statement says that The University is committed to creating, keeping and managing its records in a manner that accurately documents its principal activities and that meets its statutory obligations. All records created or received, by University staff in the course of their employment are the property of the University and subject to its control. Employees leaving the University, or changing posts within it, are required to leave all records for their successors. In order to achieve the aims of the Records Management Policy Statement, the University will adopt and utilise the JISC Business Classification Scheme and Records Retention Schedule as a basis for organising retention of its records and when they can be reviewed for destruction. The University s Records Management Policy states that records should not be retained for any longer than is necessary for the efficient operation of the University to meet operational, statutory and regulatory obligations and to protect the University s legal position and that of its staff and stakeholders. Records that have outlived their administrative usefulness or statutory retention period should be destroyed systematically in accordance with the retention schedule. Anyone who is unsure as to how long they should keep their records should consult the JISC HE retention model. Semi-permanent material should be held either at the University s offsite storage facility or within your specific area designated for archive use. Use of offsite storage is recommended (see Appendix 3 for advice on preparation of records for offsite storage). It is the responsibility of each faculty and department to allocate appropriate storage for all types of formats. All semipermanent archive material should be reviewed every year to ensure that it is being stored in suitable conditions. Legal and Governance will undertake an annual inspection of the University s offsite storage facility in order to check the condition of the storage facilities but will not be responsible for checking the condition of each box and its contents. Archive and records material should be retained in accordance with the Guidance on Creation and Storage of Physical and Electronic Files in section 8 of this Handbook. The University will use the following definitions:- Archives are not the same as records. Archives can be described as non-active records that are preserved permanently. Archives is also the term used to describe the storage space where such records are kept. The University of Sunderland has agreed to extend this to include records that are preserved semi-permanently. Permanent records are materials identified for permanent retention to form part of the University s archive. Such material is no longer current but has been identified as been of such value and importance that they shouldn t be destroyed. Examples of such information may include the material pertinent to the University s history, such as minute books, University publications, photographs, research records, records of collaboration with partner organisations and some senior officer correspondence. This is not an exhaustive list.

5 Semi-permanent records need to be retained for a certain period after which they should be reviewed for destruction in line with the records retention schedule. Examples of semi-permanent material may include contract or other legal documentation, financial records and student records. Again this is not an exhaustive list. Any record which is to be kept for a period of 5 years or more should be classed as semi-permanent. All records deemed suitable for destruction under the retention schedule will be disposed of in a secure manner using the University s central contractor for waste management and evidence should be kept of the records that have been destroyed. 4. Relationship with existing policies and guidance This policy has been formulated within the context of the following University documents: Records Management Policy Data Protection Policy Freedom of Information and Charging Policy Guidance on Creation and Storage of Paper and Electronic Files 5. Responsibilities The Executive member with overall responsibility for this policy is the Deputy Vice- Chancellor (Resources and Corporate Services) The Governance and Records Management Officer is responsible to the Freedom of Information and Records Management (FIRM) Group for drawing up guidance for good records management practice and promoting compliance with this policy in such a way as to ensure the easy, appropriate and timely retrieval of information and its secure storage and destruction. The University Deans of Faculty and Directors of Support Services have responsibility for ensuring that appropriate records management procedures are in place to ensure compliance with the University s Records Management Guidelines. This includes regular review of data storage within your Faculty and Service. In line with the University s Information Strategy they should have responsibility for ensuring that an appropriate member of staff, in each Faculty and Service, takes on the role of Information Champion to ensure that these procedures are implemented. Individual employees have responsibility for ensuring that records for which they are responsible are accurate, and are maintained and disposed of in accordance with the University s Records Management Policies and Guidelines.

6 6. Monitoring Compliance with this policy will be monitored by the Freedom of Information and Records Management (FIRM) Group. 7. Policy Review This policy will be reviewed every 5 years or after major organisational changes, legislative changes or as revised versions of the JISC HE Retention Schedule become available, whichever is the sooner, to ensure it is meeting the University s operational and legal requirements. Policy approved by Executive Board on 12 April Contacts Advice and guidance can be sought from the Governance and Records Management Officer, within the Legal, Governance and Business Assurance Section. Governance and Records Management Officer Legal, Governance and Business Assurance 4 th Floor Edinburgh Building University of Sunderland Chester Road Sunderland SR1 3ST Tel sunfoi.sunderland.ac.uk The JISC HE Retention Model is available at A list of information on the standards for Archiving is available on the National Archives website at archives.gov.uk/archives/framework.htm.

7 Appendix 1 - JISC Business Classification Structure Teaching and Learning Research Knowledge Transfer and Enterprise Academic Administration Corporate Management Corporate Resources Corporate Relations Related Companies Commercial Services Corporate Services Student Services Business Units In the retention schedule each of the above function groups contains many activities which carry definitions to clarify their meaning. Each activity entry in the retention schedule contains a scope, records group, retention period and where appropriate a reference to the legislation which defines the retention period for some records.

8 Appendix 2 - Which Information should the University Retain? When considering whether you need to archive certain information, it is worth considering the following JISC ready reckoner to determine the value of the information Does it contain useful information that I or others will need to perform a specific and known task or role? Have you or a colleague referred to this information in the last 6 months? Is this the only place where such information is available? Is it likely that an auditor would wish to see this information? Are there legal or regulatory reasons for keeping this information? Is it likely that future generations are likely to be interested in this information as a historical record? JISC Managing the Information Lifecycle Infokit p 17

9 Appendix 3 Guidance on Preparing Records for Offsite Storage If you are instructed to move records offsite it is important that you carry out a certain amount of preparation, to ensure that records can be retrieved from storage successfully and that you do not send any records which should be destroyed. 1. All files etc. must be placed in banker s storage boxes, which have lids. Existing supplies of boxes can be used, once exhausted please contact the storage contractor (via the Facilities Service Support Officer) who can supply appropriate boxes ( 1.80 per box). 2. All boxes must be uniquely numbered! This is critical to identify which box contains which files. Ask the Facilities Service Support Officer which range of numbers your department should use. To avoid confusion each section should only use part of the range e.g. Income use , Payments use etc. Executive Human Resources (incl. Health and Safety) Applied Sciences (incl. School of Computing and Technology) Marketing & Communications (formerly Corporate Affairs) Planning & Finance (Planning) Education & Society (Centre for International Education) Marketing & Communications Legal, Governance and Business Assurance (formerly Legal Services) Human Resources (Payroll) Development Trust Human Resources Planning & Finance(Finance) Student and Learning Services (incl Learning Development Services) Facilities Academic Services Applied Sciences Education and Society Business and Law Arts Design and Media Former Student Recruitment and Business Partnerships Institute of Sport NB Each number must be only be used once, so someone in each section should take responsibility for assigning numbers to avoid duplication. The unique number should be written clearly onto both end panels of the box!

10 3. All boxes must have their contents listed. A blank form is available for this purpose. A sample of a completed form is attached at Appendix A. 3.1 Write the box number onto the form 3.2 The box should be returned so the contents can be reviewed before destruction when the contents are to be reviewed please provide a title of the post who will be responsible for the review. 3.3 It is important to list on the form all the contents of the box. This list must adequately describe the box contents, so that specific files can be identified for retrieval. Be as specific as possible e.g., Invoices paid Dec 2006 Feb It will be impossible to retrieve a file if it cannot be identified from the description given on the form. 3.5 For Health and Safety reasons please do not overfill boxes. If you cannot pick up the box easily it is too full. 3.6 Once complete copy the form twice. Place one copy in the box, send one copy to the Facilities Service Support Officer and keep one copy for your department s own records, so that you can use the list to identify items for retrieval. 4. Once all boxes have been numbered and the contents listed, notify the Facilities Service Support Officer. 5. Once the boxes are in storage retrieval and collection of boxes should be arranged through the Facilities Service Support Officer. One free collection/delivery per week will be provided. If items are required quickly additional deliveries can be arranged at a charge ( 3.50 per file/box + 25 next day delivery or 45 same day). 6. All boxes of records, which have reached their destruction date, should be labelled clearly for destruction red marker pen should be used and a large letter or Destroy should be written on the box. If the records are not boxed, or the box is good enough to be reused, please transfer files to sacks and clearly marked them for destruction. Please do not overfill sacks. Material should then be destroyed using only the University s centrally appointed contractor, whose contact details are available on the Facilities website

11 Appendix A Sample of a Records Box Contents List Box Number: 1688 Department name/section Date box filled: September 2008 Review contents for disposal date: Indefinite Executive : Office of University Solicitor Brief box contents description: Board of Governors : 6 April 06, 6 July 06, 2 November 06, 30 November 06,, 29 March 07, 29 July 07 Ensure a copy of the complete contents list is sent to the Governance & Records Manager BOX CONTENTS LIST Box number: 1688 Send copy to Governance & Records Manager Dept./section name: Who should be consulted re. review of documents? Governance and Records Management Officer Record title / description Board of Governors 6 April 2006 Board of Governors 6 July 2006 Board of Governors 2 November 2006 Board of Governors 30 November 2006 Board of Governors 29 March 2007 Board of Governors 29 July 2007 Review for destruction date