Records retention policy - Retention Schedule Implementation by nyut545e2

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									  RECORDS RETENTION POLICY AND PROCEDURES FOR RETENTION
                SCHEDULE IMPLEMENTATION




Approved by: Executive                          Equality & Diversity Impact Assessment:

Date approved: 19 February 2007                 Date screened:

Review period: after one year and then every    Date assessed if applicable:
two years
                                                Review period:
Date reviewed:
                                                Date of review:
Owner: University Secretary




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University for the Creative Arts


Records Retention Policy and Procedures for Retention Schedule Implementation



1.        Policy

1.1       The University for the Creative Arts will retain its records in line with the records
          management policy approved by Executive and the agreed series of retention schedules.
          The same parameters will apply to both paper and electronic records as applicable, with
          easily identifiable correlation between the two sets of data. A records manager in each
          Department and College will be responsible for ensuring ongoing currency and
          implementation of the retention schedules.

1.2       The University will identify records for permanent archiving; determine a suitable system
          for archiving; and ensure appropriate arrangements are in place to secure such records.

1.3       The following principles and procedures are an integral part of the records retention policy.

1.4       ‘Disposal’ in records management terminology is defined as:
           “A range of processes associated with implementing appraisal decisions. These include
          the retention, deletion or destruction of records in or from record-keeping systems. They
          may also include the migration or transmission of records between record-keeping systems,
          and the transfer of custody or ownership of records. (BS ISO 15489:2001)”



2.        Principles
2.1       The University operates a series of retention schedules that form part of a consistent and
          efficient record management system. Procedures for the implementation and review of the
          retention schedules; for disposing of non-current records; and for archiving those that form
          part of the enduring record of the University’s conduct of business or of its historical
          research. will be determined, implemented and reviewed.

2.2       Departments and Faculties will review and agree their retention schedules and then review
          them every 2 years for currency or amendment. The records managers will be responsible
          for ensuring consistent application of the schedules within an agreed filing structure. The
          retention schedules must be used to identify and destroy any records past their retention
          date.



3.        Transfer and Destruction Procedures

3.1       Transfer to non-current storage
          Records should be grouped together depending on their action date: only records with the
          same destruction date should be boxed together. Boxes must be clearly labeled with
          destruction dates. Lists of non-current storage records facilitate their retrieval and ensure
          their destruction at the appropriate time. Information to list includes:
         Record series name and any other clarifying details
         Location of storage, whether on or off site,

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         The Department/Faculty/team that originated the files
         Staff contact details
         Retention action dates
         Any key words helpful to identify records

3.2       Destruction of records past their retention date
          When records are destroyed, a list of the files, their covering dates and the person(s)
          [identified by job title(s)] who authorized and arranged their destruction should be compiled
          which, together with the retention schedule records from the database and the certificate of
          destruction (see 3.3), form the necessary documentation. These records must be kept for at
          least 12 years in case of any dispute, particularly in relation to the Freedom of Information
          Act, as they provide evidence of sound record keeping.
3.3       Destruction of records subject to an FOIA or DPA access request
          If a record due for destruction is known to be the subject of a request for information,
          destruction should be delayed until disclosure has taken place or, if the authority has
          decided not to disclose the information, until the complaint and appeal provisions of the
          FOIA have been exhausted.
          (Section 46 [specifically para 9.9] Code of Practice on Management of Records under FOI,
          http://www.foi.gov.uk/reference/imprep/codemanrec.htm#part8

3.4       Destruction of confidential data held in hard copy

          Confidential and personal data must be securely destroyed by shredding. If you arrange for
          a contractor to take away sacks of paper for disposal, it is essential that you stipulate
          clearly in the contract the means of disposal that you require and a timeframe within which
          it must be completed. Ensure that the contractor has signed the terms and conditions that
          you have stipulated before releasing the files. The contractor will provide a certificate of
          destruction that must be kept with the retention schedule.

4.        Ongoing records maintenance

4.1       Records should be reviewed by all operational units (from individuals to
          Departments/Faculties) at least once a year to:
           close files that are no longer being used or are too large
           identify closed files that can be removed from office storage to non-current storage
             either on- or off- site
           identify records in any kind of storage that can be destroyed according to the retention
             schedules, and to implement that destruction


5.        Guidance for tackling the Backlog

             Do not be daunted by what seems to be a huge amount of material to review on top of
              your already heavy workload
             It is not necessary to work through the retention schedule in strict order - identify the
              record series that are easiest to review or take up most space and do those first
             Follow the whole procedure through for each series so that records are destroyed as
              you go along and you get a sense of achievement
             Consider taking a day or two to make a real dent in the task
             Consider setting aside a regular half hour a day, afternoon a week, or as a ‘filler’
              between major tasks to reduce the backlog gradually
             Consult with colleagues and see if you can organise complementary schedules to
              ensure phones are covered and/or to work together


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