Records Management Policy
The university recognises that the efficient management of its records is necessary, to support its core functions, to comply with its legal and regulatory obligations and to contribute to the effective overall management of the institution. This document provides the policy framework through which this effective management can be achieved and audited. It covers
- Scope of the policy
- Responsibilities
- Relationship with existing policies
- Available guidance for implementation of the policy
1. Scope
This policy applies to all records created, received or maintained by staff of the university in the course of carrying out their work. Records and documentation created in the course of research, however funded, are also subject to contractual record-keeping requirements.
Records are defined as all those documents that facilitate the business carried out by the university and which are thereafter retained (for a set period) to provide evidence of its transactions or activities. These records may be created, received or maintained in hard copy or electronically.
Records management is defined as a field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records[1].
A small percentage of the university’s records will be selected for permanent preservation as part of the institution’s archives, for historical research and as an enduring record of the conduct of business.
2. Responsibilities
The University has a corporate responsibility to maintain its records and record-keeping systems in accordance with the regulatory environment. The Senior Management Team member with overall responsibility for this policy is the Pro Vice-Chancellor (Student and Staff Services).
The University’s Records Manager is responsible 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.
Individual departments and sections must ensure that records for which they are responsible are accurate, and are maintained and disposed of in accordance with the University’s records management guidelines. All records within a department or section should have an identified ‘owner’ responsible for their management whilst in regular use.
Wherever possible, members of staff should receive an introductory briefing on records management procedures.
3. Relationship with existing policies
This policy has been formulated within the context of the following university documents:
Data Protection Policy – http://www.aber.ac.uk/en/infocompliance/policies/dp/
Freedom of Information Policy - http://www.aber.ac.uk/en/infocompliance/policies/foi/
Compliance with this policy will in turn facilitate compliance not only with information-related legislation (specifically FOIA 2000 and DPA 1998) but also with any other legislation or regulations (including audit, equal opportunities and research ethics) affecting the institution.
4. Guidance
Guidance on the procedures necessary to comply with this Policy is available from the Records Manager. This guidance covers:
- Records creation
- Business classification
- Retention periods for records
- Storage options for records
- Destruction options for records
- Archival records: selection and management
- External codes of practice and relevant legislation
Records Management Policy Version 1.1 Created 30_03_2007 Management Information Committee Compliance Advisory Group
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