MANAGING YOUR RECORDS EFFECTIVELY

Legislative compliance and business efficiency

Organise your (the Uni’s) records…don’t let them organise (or disorganise) you!!

House-keeping

Fire procedure

Toilets

No mobile phones

Confidential

Breaks

Alignment with Strategy 20:20

Build Innovation, Enterprise and Citizenship

• Adopt a continuous improvement/enhancement approach in all that we do

• Maximise the value of our [information] assets

Information and records are received and created by University staff members and representatives to facilitate and support business processes – they are inputs and outputs of the University’s activities. Ensuring that our information assets are managed correctly corresponds directly with the objectives of Strategy 2020, namely improving the efficiency of business processes.

Alignment with the University’s Values (for PDR)

• Professional- Take personal responsibility

- Use resources efficiently and effectively

- Comply with the University’s statutory obligations, policies and regulations where applicable

• Ambitious and Innovative- Using the information from today’s session to work proactively, using initiative, to improve working practices to ensure the University is legislatively compliant, including identifying potential risks and taking steps to mitigate these.

• Inclusive- Records Management relies on ensuring information is accessible to all those who require it, and consistent and compliant practices are shared with colleagues.

• Confident and Supported - Equipped to perform role

- Updated professional/specialist skills and knowledge

- Sharing good practice across the University

ProfessionalAmbitious &

Innovative

Confident & Supported

Inclusive

What is records management?“…the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including processes for capturing and maintaining evidence and information of business activities and transactions in the form of records.”

BS ISO 15489-1:2001

• It is about managing records, not just ‘information’ or documents, from their creation, through processes associated with their use, such as version control, distribution, filing, retention, storage, through to their final disposition and/or disposal of records, in a way that is administratively and legally sound, whilst at the same time serving the operational needs of the University and preserving an adequate historical record.

• The aim is to capture and maintain evidence of activities and transaction in an efficient and systematic way.

• Organise records…don’t let them organise (or disorganise) you!

Image – Edinburgh Napier Health and Safety Team

Why manage records?

Risks

Loss of information

Difficulties finding or retrieving

information

Breach of legislation

Unlawful disclosure of personal or confidential information

Fines of up to £500K or

potentially a % of the University’s

turnover in future

Keeping information longer than permitted

Destroying information

too soonImpact on individuals

affected

What is a record?

• The word record is used to mean ‘any recorded evidence of an activity or business transaction’

• Records are not defined by:– Format, either physical or electronic– Age, or– importance

What is a record?

• A record is recorded information kept to provide evidence of some transaction or activity

• The term ‘record’ can be used for an individual document or a collection of documents organised as a unit:– eg a letter, a paper files, a MS word file, an electronic folder, an

email, an MS outlook folder.• Records management processes are the same regardless of the

format of the material because they are based on the content of the record.

• We should therefore organise paper and electronic records according to the same scheme.

Why is records management necessary?

• Good records management is not optional

• It is essential as a result of:– Legislative requirements such as Freedom of Information, Data

Protection and other information related legislation– Regulatory requirements eg QAA– Contractual requirements; and– Business needs

• Some drivers are external (FOI) but the strongest are internal, and to do with working more efficiently and effectively.

Legislative requirements

• Legislation often imposes general requirements which require good record keeping.

• The Data Protection Act 1998:– Sets down conditions for processing personal data – creating records is a form of

processing, as is storing, retrieving, updating and sharing them– Creates rights of access by individuals to their data;– Personal data must not be retained for longer than necessary for the purpose(s) for

which it was gathered• How long will depend on the circumstances, any may be overridden by other legal

requirements.

Consider the consequences for a breach of the DPA?How does a breach happen?

Good records management can mitigate the risk!

Legislative requirements• The Freedom of Information (Scotland) Act 2002 has created a

general right of access to information and records (mainly non personal) held by public authorities

• Under Section 61 of the FOISA, Scottish Ministers have issued a Code of Practice regarding records management in Scottish public authorities

• Good records management is central to compliance with FOI, as without good records systems the University won’t know what information it has created, where it is stored and will ultimately be unable to respond to requests for information

• This can result in legal action being taken against the University• The Scottish Information Commissioner is also able to conduct audits

of public authorities which scrutinise records management practices. Generally one University is routinely audited, but others are audited if there is a breach of FOISA

Business requirements• But above all….. we need good records management to function

effectively and efficiently an as organisation.

• Records are an asset (and a liability!).

• Everybody’s work requires access to and use of information…. records are the result.

• Not having the records you need is a problem …as is accumulating too many of them!

Good records management depends on…

• Creating records when necessary and in an appropriate way• Organising records to support access and re-use• Retaining records for as long as they have value• Disposing of records correctly – through destruction or

transfer to offsite storage• Security of records and data protection should be taken into

account throughout the life cycle of the record

Records Management Basics

• It’s your RESPONSIBILITY as a University employee to ensure your records are managed appropriately! That is:

– Appropriate records are created/received/retained– Records are retained in a way that other colleagues (as appropriate) have

access. If you store information in ‘personal’ storage areas what happens when you are not available. Storing information where others have access means that you will have less interruptions where colleagues have to ask you for information.

– You are not treating corporate information as if it is YOUR information– File plans should be corporate, not ‘personal’ and should be replicated

across all systems e.g. hard copy, SharePoint, S: Drive etc.– Departmental procedures should exist so that everyone is following the

same guidance with regards records management– Information is only kept for as long as necessary

Records Management Basics

Records (evidence of business activity and/or transactions) should be kept in a filing system (hardcopy/electronic

folders/libraries/etc.) according to the business process they relate to and should be accessible to colleagues who deal

with that process. Sensitive or confidential information should be kept in secured libraries/folders to which at least a

manager has access. University records should never be kept in personal folders to which only one person has access

e.g. individual email accounts, H: Drive, C: Drive, MySite (SharePoint), removable drives.

Creating and organising records

Which comes first?

Record creation OR it’s place in the filing structure?

When a record is created, in the majority of cases, as it is ‘evidence of business activity’ (generated by a specific business process), its place in the filing system (classification, access, security) and retention period should already exist. This means that if the filing system is set up correctly the person who is creating the record does not necessarily have to think about these issues.

If you are creating a new record it should be saved

before you start working on it.

Creative Commons image

Business processes, activities and tasks

Business process cont’d…

Retention Periods

Termination of contract + 6years

Recruitment completion + 3 years

Termination of contract + 6years

Others incl. exercise completion + 3 months

Retention Periods and Schedules

These business processes should therefore be linked to your retention schedules and records with the same retention periods grouped together for easy disposition.

Business Process

Working documents (examples)

Records Retention Periods File Arrangement/Plan

 

-Email correspondence -Statistics spreadsheets -Draft business case  -Emails  -Drafts, emails, reference documents   -Emails, drafts  -Checklists

 

-Business case -Meeting minutes documenting BCase approval-Authorisation form (signed) -Person specification-Job description-Advertisement text 

-Shortlisting matrix template-Interview questions -Enquiries-Completed applications -Completed shortlist-Interview notes/scoring -Employment offer-Employment contract      

 

-CFY+6yrs -Permanent -CFY+1yr -Job T+1yr-Job T+1yr-Process T+3mnths-Process T+3mnths-Process T+3mnths-Unsuccessful UK Process T+3mnths-Unsuccessful EU Process T+1yr-Successful T+6yrs-Process T+3mnths-Process T+3mnths -T+6yrs-T+6yrs(moves from recruitment files to personnel file)

HR

Recruitment

Advertising

Business Cases

Authorisations

Job DescriptionsPersonSpecifications

Enquiries

Employee Contract Management

Applications, shortlisting and interview records

Training and Development

Evaluation, Pay and Benefits

Organising records• When creating records think about:

– Do you need to share the information?– Will your colleagues need access to it?

• If other people need access to records the you should:– Save the records to a shared directory (if electronic) or a shared paper filing system

• Shared record keeping systems are preferable to personal systems eg storing on H:Drive or on disks. Personal files and directories should be used for personal information not corporate records created in the course of your employment. Drafts and confidential information can be protected using access controls/passwords.

• Advantages of shared systems:– Other people can access the information e.g. if you're away– Less duplication of documents

Organising records• File plans/systems should correlate directly to the business process

• Where possible put all related documents in a single area

• Name folders for activities and subjects

• Try to be as open/accessible with permissions as possible – make sure someone else knows where your data is (however, do not give out your network password to anyone!)

• Involves setting up a filing or classification scheme and applying the same scheme to every part of your recordkeeping system.

• This would include using the same filing scheme for paper files, MS Office folders, Outlook folders and Sharepoint workspace

Things to think about when creating records..• Some information does not need to become records – in the sense of

information retained in a record-keeping system, for example:– Ephemeral/transitory/temporary emails eg ‘thank yous’, acknowledgements,

invitations– Publications and reference materials– Duplicates of information– Phone messages and post-it-notes– Drafts (in most cases, there may be exceptions) once the final version is produced.

• You also have to ensure that the record is complete, for example:– Does it provide a full and accurate picture of the subject, event, decision etc...?– If emails are used to make key decisions or convey important information, they too

will also become records.

• What format are you going to keep your records in?– ‘Print to paper’ (Not recommended)– ‘All electronic’

Document and Folder Naming• Name them sensibly for the relevant activity.

• Titles should be concise, but contain enough relevant information.• Use standard terms or forms for names, places etc..

• Use the date format YYYYMMDD

• Use whole names, or standard acronyms. If acronyms are used, ensure that the full description is spelt out within the document.

Using records: security issues• Security is particularly vital for records containing:

– Personal data– Commercially sensitive

information– Information provided in

confidence– Legally privileged information

• Because:– The Data Protection Act requires us to protect personal data

against unauthorised access and accidental loss– Poor data security (loss of USB data sticks) can lead to

reputational damage and result in the University being fined or prosecuted.

censorshipinamerica.com/

Using records: security issues• For electronic records, this means:

– Keeping passwords secure – and changing them regularly– Restricting access to those who need it (use of passwords on documents)– Backing up data regularly – especially those held on USB sticks or laptops

• Further guidance is available form C&IT. The University’s Information Security Policy can be accessed at:

http://staff.napier.ac.uk/Services/citservices/Information+for+Staff/Information+Security/

• For paper records, especially those containing personal data:– Always use lockable cabinets or secure areas– Operate a clear desk policy– Consider using security markings on files eg

• Personal data-in-confidence, commercial-in-confidence, Legal-in-confidence.

Emails• Outlook is a communication tool NOT a filing system

• Emails documenting decisions and evidence of business transactions are records and therefore subject to the same legislation and other requirements as records held in other formats.

• Records kept in Outlook are essentially being filed in a personal storage area and are therefore not accessible to others who may need to see them.

• Emails should be routinely managed and stored along with other records pertaining to the same task/subject/business

Vital Records

Vital records are those records which are crucial to the functioning of the University. They are necessary for the continuing operation of the organisation following a crisis/disruption/disaster as they contain information which is essential to provide evidence of the University’s legal and financial status, ensuring that the rights and responsibilities of stakeholders are maintained. These records are necessary to assist the University in resuming business as soon as possible after a crisis/disaster.

How do we identify vital records?

Risk assessments and inclusion of vital records schedules in business continuity plans.

Contracts

One area that many organisations find challenging is the records management of contracts, agreements and associated documents.

Good records management is critical to efficient and effective contract management. Do we know where all the Uni’s contracts are? 

It is estimated that companies spend almost 5% of their revenue to track agreements after signing a contract.

- Goldman Sachs

That’s a lot of money! Apart from time wasted searching for contract documents costs could also be incurred by having to re-draft documents, losses incurred if SLAs or contract terms are not met and this cannot be substantiated by production of the original contract or related documents.

Contracts and records management

Contracts should be registered on a central or departmental register and accessible to the necessary people.

This register should be cross referenced to a retention schedule and identify the following information:• Where the ‘Golden Record’ held • How the ‘golden record’ is held (fire proof safe, off-site storage, etc.)• Who is the custodian (department or faculty/job title)• What is the ‘trigger point’ for the retention period to kick in? (Generally

contract termination)• What is the retention period? Is there a review date?• Is the contract a vital record?

Contracts – other considerationsRisk Management – good records management practices can mitigate risks:

Legislative compliance (Prescription and Limitation Act 1973, EU Law, etc.)Legal admissibility and evidential weight of informationAudit requirements – is an adequate audit trail provided?Evidence for litigation purposes in the event of a legal challenge.

 Other considerations:• Consistency – ensuring the contract complies with recommendations/University guidance and

using University templates which include relevant data protection and FOISA clauses• Evidence of past actions to inform future developments e.g. setting precedents for re-tendering• High costs associated with contract creation and management – good RM can assist with

rationalising these For guidance drafting contracts and using templates contact:

Commercialisation Contracts - Aileen Wood and Fiona Mason, Innovation Managers Finance and Procurement Contracts – Lynne Smith, Operations Support ManagerGeneral Contracts – Helen Mizen, Governance Officer (Data Protection & Legal)Outcome Agreements with the SFC – Anastasia Dragona, Information and Project

Officer

Overview

• Good records management is necessary for statutory, regulatory and contractual reasons.

• It also helps the University to function more efficiently.• When creating records, we need to think about:

– Whether the record is necessary– Whether the language is appropriate– What format are we going to save the record in– Whether people will need access to the record

• Records can exist in many different formats – and pass through a lifecycle reflecting their business value.

Overview• Records are the output of business activities and should be arranged

in a way that reflects this.• Put records in organised shared areas, preferably on SharePoint.

When deciding on the file structure think about how you are going to dispose of them – don’t have folders full of documents with mixed retention periods.

• No records should just be accessible to one person (e.g. in an H: Drive or in Outlook). This doesn’t necessarily make them secure.

• Name documents sensibly. Ideally have departmental naming conventions which have been documented, so everyone knows how they should be naming documents and has something to refer to.

• Have disposal events once or twice a year to weed out records/documents that you no longer need to retain. Individuals should schedule time into their diaries to maintain their records and information.

Further information• Records Management

– Governance Services• http://staff.napier.ac.uk/services/secretary/Pages/uso.aspx• http://

staff.napier.ac.uk/services/secretary/governance/records/Pages/default.aspx

– JISC Infokit – Records Management• www.jiscinfonet.ac.uk/infokits/records-management

– JISC Managing records – guide for administrators• www.jiscinfonet.ac.uk/records-management/guide-for-administrators

• Freedom of Information– Edinburgh Napier FOI website:

• www.napier.ac.uk/foi– Scottish Information Commissioner:

• www.itspublicknowledge.info

• Data Protection – Info Commissioner - www.ico.gov.uk/

Contact

Diana Watt

Governance Officer (Records Manager)

Email: D.Watt@napier.ac.uk

Telephone: 0131 455 6257