Records Management - Developing a retention schedule
1. What is a retention schedule?
1.1. A retention schedule is a control document that sets out the amount of time that the University needs to keep certain types of records. It applies to all records irrespective of the format in which they are maintained or the media upon which they are held.
1.2. A Retention schedule does not look at individual records but rather at the individual group, records series or collection of related records that we file together, use together and, for retention purposes, evaluate together. This is done in order to:
- assess their value as a source of information in relation to the business of which they are output;
- determine their importance as evidence of the University's business activity
and/or decision making;
- determine whether there are any legal or regulatory retention requirements in relation to the records, and to assess the risks of not complying with those requirements.
1b. The University's Records Retention Schedule (currently in DRAFT form)
1.3. A considered and regularly reviewed records retention schedule is an essential part of the University’s records management system. The University's own draft schedule emulates a model drawn up for Higher Education Institutions by the JISC (Joint Information Systems Committee) in June of 2003 and which itself was based on extensive research and consultation across a wide range of institutions. The JISC model adopts a functional approach, as recommended by the International Standard on Records Management and which was also adopted as part of the University's own Records Management Policy in December of 2004.
- The schedule covers all records, irrespective of medium, and should be
applied to electronic records as well as paper-based ones.
- The schedule begins with a general section of the types of records common
to all business activities, before listing the records that are applicable
to each specific activity.
- Statutory retention periods are indicated by asterisks after both the
retention period and the citation and should be regarded as minimum retention
periods.
- All other retention periods are recommended minimum periods, derived from
the JISC model or internal guidance and based on assessments of business
need and potential legal liabilities.
- Citations are given for the key Acts of Parliament, Statutory Instruments
and any regulations deemed relevant to determining the retention periods
for particular groups of records.
- Where practicable the official copyholder of particular records series
will be indicated in the appropriate column.
- At the end of the specified retention period, records will be destroyed or archived. The process of archiving will eventually entail being transferred to the University’s archive in line with the University's Records Management Policy.
2. Why is a retention schedule needed
2.1. Keeping unnecessary records wastes staff time, uses up valuable space and incurs unnecessary costs. It also imposes a risk liability when it comes to servicing requests for information made under the Data Protection Act 1998 and/or the Freedom of Information Act 2000.
2.2. Retention schedules promote control over the University’s records, enabling it to confidently destroy records that are time expired whilst at the same time ensuring that records required for business are retained - this is simply good economy and efficient practice.
2.3. Retention schedules assist with compliance under the Data Protection Act and the Freedom of Information Act. For example, Principle 5 of the Data Protection Act requires us to keep personal data for no longer than is necessary for the purposes for which it was collected and, under the provisions of the Act, the University can be pursued through the courts for retaining unnecessary information.
2.4. It can be a personal criminal offence to destroy requested information under either the Data Protection Act (s61) or the Freedom of Information Act (s77); a retention schedule helps with accountability here by enabling the University to demonstrate clearly that records destruction has taken place in accordance with proper retention procedures and not as a result of individual caprice or malice.
2.5. The Code of Practice on Records Management, issued under section 46 of the Freedom of Information Act 2000, requires that records disposal 'is undertaken in accordance with clearly established policies that have been formally adopted'. What this means is a Retention Schedule.
2.6. It needs to be clearly recognised that any records destruction that is undertaken outside of a retention schedule, will leave the University open to accusations of malpractice. In respect of such accusations, and irrespective of any truth or falsehood attendant upon them, the University's reputation will be on the line.
3. What information should be included in the retention schedule?
3.1. A retention schedule should contain all of the following elements:
- the name of the business area that either creates or holds the records
concerned - the official copy holder;
- a description of the records;
- the disposal action – this will either be to destroy, transfer to the University archives or, in very exceptional circumstances, review at a later (and always specified) date;
- the retention period - this is the minimum period for which the records need to be retained before the disposal action is undertaken;
- the authority upon which the disposal action and retention period are based. Most often this will be a legislative or regulatory authority or an internal statutory authority;
- the event which triggers the disposal action - this will be something
like 'Termination of relationship', 'End of research study' etc;
4. Where does responsibility lie for the creation and maintenance of the retention schedule?
4.1. It is the responsibility of each school and business section to develop and implement a retention schedule for the records it holds, in liaison with central records management. This can be done by those responsible for carrying out the functions and activities that are covered by the school or section's information map - or by nominated school or faculty administrators charged with responsibility for records management in the particular schools or business areas. The development of the retention schedule will also be informed by the School or section's records register and filing scheme. A copy of the school or business section's retention schedule will also be held centrally and will inform the University's Records Retention Schedule.
5. How to create the retention schedule?
5.1. There are five stages to the creation of a retention schedule. See Figure 1 for diagrammatic representation.
5.2. You first need to establish what records you have. Preliminary research is essential for this so if you have not already developed an information map now is the time to do it. This will tell you what records your school or business area creates and also what business purpose they are used and kept for. Make sure that your map covers all the uses of the records, including evidential, audit and reference purposes.
5.3. You then need to identify any duplicate or related records. Your information map, will also help you to identify these things.
Examples of the type of question you will need to ask here:
- Are there any related records in either paper or electronic format, that you need to be consider at the same time as the records directly under consideration? And - Do these records support the interpretation and use of other records? If the answer is yes to either, you will need to consider both of the sets of records together, in order to ensure that the retention period reflects the combined requirement.
- Are the records that you have under consideration created from information that is held in another record series? And - Do the records duplicate other records that are held within the business area or elsewhere? If the answer is yes to either, you will need to decide which set is the prime record. (For example, the chair or secretary of a committee will hold the prime copy of that particular committee's papers).
- Do the records in this series contribute to the information contained in records belonging to another series? And - How much value do they add? Does the University need to keep both series, or will one or the other be sufficient?
5.4. Once 5.3 is complete find out if there is any legislation or regulations that will affect the retention of the records. The University needs to keep some records for legal or regulatory reasons and examples of such records would be health and safety records, contractual records and financial records. Check the University Records Retention Schedule - guidance is available there.
It is generally the case that the people who actually create the records are the most likely to know if there is a legislative or regulatory requirement for keeping them - so ask them. However some commonly cited pieces of legislation that affect the retention of records are listed in the University Records Retention Schedule.
5.5. Now you need to consider the business need for the records. Examples of the type of question you will need to ask here are:
- how long will there be a continuing need for these records for current
business processes?
- how long are the records required for evidential purposes in respect of
business processes or decision making?
- how long do the records need to be kept for accountability/internal audit purposes?
5.6. Now consider the risk of not having the records, balanced against the cost of keeping them. Bear in mind that every record or document retained has a resource implication for the University, not only in terms of storage and general administration but also in respect of its freedom of information and data protection obligations.
Finally, consider if the records have long-term research value . Records where this would apply would include such things as the final minutes and papers of official University committees, or background discussions and correspondence evidencing University involvement outside of itself. eg Collaboration with industry or involvement with a local/regional project.
5.7. Figure 3 shows all five steps of the retention process as a flow chart and Figure 2 shows the same steps as part of a decision chart .
5.8. When developing your retention schedule, always involve as many people with an interest in the area as possible. This will ensure that the schedule has a significant consultative dimension and meets all of the needs of your business area.
5.9. Consultation is important - The final agreed retention schedule needs to be approved by the head of the school or business area concerned and consultation with the University Records Manager needs to take place.
6. How to implement the retention schedule?
6.1. You are responsible for ensuring disposal actions are undertaken at the prescribed dates and in a manner commensurate with the sensitivity and/or confidentiality of the material.
6.2. You need to organize your records and filing structure so that it is possible to efficiently discharge the disposal instructions given in the retention schedule.
7. How do I maintain a retention schedule?
7.1. The University changes over time, the recent re-structuring exercise is a very good illustration of this, and for its retention schedule to remain of value it needs to be kept up to date. It is generally advisable to review the schedule every five years to confirm that it is still relevant. Issues to consider are:
- check that the business functions are the same since the scheme was compiled;
(change is unlikely here , business functions are generally stable, –
but the question nevertheless still needs to be asked)
- check that the business processes have not changed; (change is more likely
here as it focuses on ‘how things are done’ rather than ‘what
is done’)
- check that the records that are being generated have not changed;
- check that the regulatory or legislative framework has not changed;
- check that the schedule still meets business needs.
7.2. It is important to remember that the review process is there to identify changes that might otherwise have been overlooked - it is not intended to replace the informal changes and additions that need to be made to the schedule as and when the business requires it. The review process therefore, is no substitute for good, on-going, records management husbandry.
7.3. If you receive feedback that the retention period for a particular set of records is too short, then this should prompt you to review the schedule.
7.4. If you amend the retention schedule, a copy your new schedule needs to be sent to the University Records Manager for consultation and comment.
8. What help is available?
8.1. Further advice and guidance in respect of records management, data protection and freedom of information can be obtained by emailing Rec-Man@ncl.ac.uk or telephoning ext. 8209.
8.2. The University Records Retention Schedule (currently in DRAFT form and based on the JISC Model) sets out the business functions and activities of the institution and this should always be consulted in deciding retention periods for your own records.