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					                           The UNIVERSITY Of NORTHAMPTON
DISPOSAL OF RECORDS – INTERIM SCHEME (Update of Original Approved Version)


The purpose of this memorandum is to enable the identification and selection for destruction
of such records as may be safely and legally disposed of.


1 The Problem
All University records are subject to the requirements of the Data Protection Act 1998, the
Freedom of Information Act 2000, other UK statutes, and EC regulations. They are corporate
property until their authorised disposal.
“Records” here means any information created, received, captured or maintained in a
reproducible format, whether hard copy or electronic, and include images, drawings, maps,
recordings, web pages and electronic mail.
University of Northampton records in any format may not lawfully be destroyed or otherwise
disposed of without authorisation. (For routine disposal of ephemera and copies, see
Appendix A)
The University of Northampton would benefit from the authorised destruction or disposal of
many redundant records that it currently holds. However, their correct identification, and
authorisation, requires procedures, judgements, and standardisation. There is a legal
requirement to keep a record of disposals.


2. Details of How Long Records Need to Be Retained For
University of Northampton staff should be able, in the future, to refer to a „University of
Northampton Records Management Manual‟. One of these sections will provide classification
and retention advice to staff. This is an ongoing process but basic advice on how long to
retain records is now available at: http://library.northampton.ac.uk/recmgt/policy/


3. Interim Solution For the Disposal of Redundant Records


       The procedure works like this:
   •   Staff identify records they think suitable and desirable to destroy, and apply for
       authorisation by using the form issued along with this guidance (as Appendix B).
      Staff refer to the classification and retention scheme and check that the records they
       wish to destroy have expired. If the records are suitable for destruction the member
       of staff must provide details on the form and any associated paperwork of the
       classification number and recommended retention period
         (http://library.northampton.ac.uk/recmgt/policy/). The classification scheme is
         broken down in to the functional areas of the University to make it more searchable.
        A member of staff signs the form (at point 4) to certify that the records are as
         described, have been inspected, and contain nothing else.
        The appropriate Dean or Director then signs the form (at point 5) to signify that they
         agree to their areas records being sent for destruction. This acts as a corporate
         authority for disposal, more sensitive records might also require the further approval
         of the Pro-Vice Chancellor (Strategic Planning and Resources)
        From there it will go to the Records Management Unit to give the Archivist the
         opportunity to review its value, or otherwise, as a corporate archive.
        The form will then be returned to the originator who will contact either facilities or a
         confidential waste disposal contractor to arrange either transfer to the archive or
         secure disposal in the case of paper records. For electronic records and those in other
         formats the returned form provides the authorisation for their deletion or destruction.
         The date of collection, disposal, deletion or destruction will be completed on the form
         (at point 7) and the member of staff will sign and confirm that they have received a
         Certificate of Destruction from a contractor or have filled in the form in Appendix D.
        The form and attached Certificates are then forwarded to the Records Management
         Unit for final logging and permanent retention.


5.       General
The procedure is a bit of a red-tape exercise, but it has to be to get things done by ad hoc
local initiative within a demanding legal framework and a context of significant risk.
Although its form is governed by the need for a clear, managed, monitored and recorded
procedure, its intention is to be a useful and convenient corporate facility. It is anticipated
and expected that individuals, groups, departments and managers will use the procedure in
ways appropriate to their local needs and circumstances.
Appendix A
RECORDS WHICH MAY BE ROUTINELY DESTROYED LOCALLY
This guide has been adapted for University of Northampton purposes from JISC: Study of
the Records Lifecycle, 2003, App B
(http://www.jisc.ac.uk/whatwedo/themes/eadministration/recordsman_home/srl_structure/
srl_rrs_apdx_b.aspx) and was authorised by the Pro-Rector (Resources) as guidance to all
University of Northampton staff.


Records which have no significant operational, informational or evidential value can and
should be routinely destroyed at a local level. This can be carried out as soon as they have
served their primary purpose. For example:
Duplicates -such as snapshot printouts or extracts from databases, ‘cc’ and ‘fyi’ copies,
unaltered drafts, day book duplication or notes of correspondence, circulated or convenience
duplications of master documents, etc, which have served the purpose for which they were
made.
Working papers, where the results have been written into an official document and which
are not required to support it – not to be confused with draft or preparatory versions of
documents leading to official or substantive versions, which should be retained and only
disposed of in accordance with corporate policy.
Transmission documents: standard covering letters, envelopes, FAX cover sheets, routing
slips, compliments slips and similar items which accompany documents but do not add value
to them.
Emails and copies of emails with no significant operational, informational or evidential
value to University of Northampton.
Stocks of in-house publications which are obsolete superseded or otherwise useless, for
example, magazines, marketing materials, prospectuses, catalogues, manuals, directories,
forms, and other material produced for wide circulation – in some cases it may be
appropriate to offer one copy to the University Archives, via the Records Management Unit.
Announcements and notices of meetings and events, notifications of acceptance or
apologies relating to meetings and events.
Requests for stock information -brochures, maps, travel directions, etc.
Requests and confirmations of reservations for internal services, e.g. meeting rooms, car
park spaces, or catering where no internal charges are made .
Requests and confirmations of reservations with third parties, (e.g. travel, hotel
accommodation, restaurants) once invoices have been received
Out of date address lists, distribution lists, personal diaries and address books
Published/reference materials received which require no action and are not needed for
record purposes, for example trade magazines, vendor catalogues, flyers, newsletters
    Appendix B

    Destruction Authorisation Form
    (Under the records retention scheme interim arrangements for disposal of documents)

    Process                     Date and initials   Details                   Notes
                                of person
                                completing
                                process

1   Types      of    Records
    Identified


2   Classification  Number
    and            Retention
    Recommendation

3   Year(s) Records Created




4   Name and Signature of
    custodian


5   Name and Signature of
    Appropriate Dean or
    Director approving the
    disposal

6   Contact the Records
    Management Unit to
    identify if the records
    are suitable for
    inclusion in the Archive

7   Date of collection by
    Facilities or Contractor
    for disposal, or transfer
    to the archive

8   Signature of Originator
    Confirming Receipt of
    completed Destruction
    Certificate

9   Form to the Records
    Management Unit for
    Archive
Appendix C



                          SUMMARY PROCESS


                     IDENTIFY RECORDS FOR DISPOSAL



       COMPLETE SECTIONS 1-4 OF THE DISPOSAL AUTHORISATION FORM



              DEAN OR DIRECTOR SIGNS TO AGREE TO DISPOSAL



                 CHECK WITH RECORDS MANAGEMENT UNIT.
               CONSIDERATION OF RECORDS FOR THE ARCHIVE


    DEPARTMENT FILL SACKS AND ATTACH IDENTITY TAGS, LOG THE CONTENTS



DEPARTMENT PART FILLS DESTRUCTION CERTIFICATE AND CONTACTS FACILITIES OR
                              CONTRACTOR



FACILITIES STAFF OR CONTRACTOR COLLECT SACKS AND CARRY OUT DESTRUCTION



FACILITIES OR CONTRACTOR COMPLETE CERTIFICATE OF DESTRUCTION AND RETURN
         ALL PAPERWORK TO THE ORIGINATING SCHOOL OR DEPARTMENT



                      PAPERWORK SENT TO ARCHIVE
Appendix D

Certificate of Secure Destruction



Identity   Department   Person      Method of   Date        Notes
Tag        Contact      carrying    Destruction Destruction
Number     (Name and    out                     Carried Out
           Signature)   Destruction
                        (name and
                        Signature)

Eg 1070    Dr S M       Bob Jones   Cross Cut   05/05/2008   Sack
           Elmore                   Shredder                 overfilled
    Appendix E

    Destruction of Electronic Records Authorisation Form
    (Under the records retention scheme arrangements for disposal of documents)

    Process                    Date and initials    Details                   Notes
                               of person
                               completing
                               process

1   Types of Records
    Identified


2   Classification Number
    and Retention
    Recommendation

3   Year(s) Records Created




4   Name of custodian



5   Name of Appropriate
    Dean or Director
    approving the disposal



6   Contact the Records
    Management Unit to
    identify if the records
    are suitable for
    inclusion in the Archive

7   Date of deletion



8   Confirmation from
    custodian Confirming
    Destruction


9   Date Form sent to the
    Records Management
    Unit for Archive