Records Management Policy
Approved by the University Court on 22nd May 2007
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Introduction
The University of Aberdeen recognises that the efficient management of its records, regardless of their form or medium, is essential to support its core functions, to facilitate its overall governance and management, and to enable it to comply with its legal and regulatory obligations, in particular the Freedom of Information (Scotland) Act 2002 (FOISA). Records are vital both to the University’s current and future operations and, forming a major part of its corporate memory, must be managed in a systematic way, from creation through to ultimate disposal. The effective and systematic management of public authority records, together with the development of an institutional Records Management Policy are specific legislative requirements under FOISA, which came into force in 2005, and under which Universities are specifically included in the definition of a public authority.
The University’s Records Management Policy has been developed in line with the criteria in the Code of Practice on Records Management issued by the Scottish Executive in furtherance of Section 61 of the Act. Failure of an authority to implement a Records Management Policy and to demonstrate compliance with the Code can result in the Scottish Information Commissioner issuing a Practice Recommendation.
In addition to meeting legislative and regulatory obligations, this Policy, together with the University’s Records Retention Schedules, will promote consistency of record-keeping across the Institution, eradicating unnecessary and wasteful duplication of records, and enabling the confident disposal of records that are no longer required, or their timely transfer to the University Archive.
Scope of the Records Management Policy
Overall responsibility within the University for ensuring proper maintenance of records and associated record-keeping systems lies with the University Court. In practical terms, this responsibility is devolved to the University Secretary, and in turn to the Heads of Colleges, Sections, and Schools, and to individual members of staff. Line managers should ensure that staff clearly understand their record-keeping responsibilities, and that they adhere to this Policy and to the guidance contained within the Record Retention Schedules.
All staff should recognise that all the records they create, receive or maintain in the course of University business are official records of the Institution. The definition of a record is recorded information, in any form, created or received by the University in the transaction of its business, or in the conduct of its affairs, and retained as evidence of such activity. This encompasses different types of media, from traditional paper-based records through to e-mails, databases, microfilm, video etc.
The Policy together with the Records Retention Schedules provide the framework for the management of institutional records throughout their lifecycle; from creation when they are actively used as current records, through to their ultimate disposal by destruction, or transfer to the University Archive. Research records created by staff in the course of their research are also subject to the specific record-keeping requirements of that research, whether internally or externally funded. Records Retention Schedules
It is important that the retention, disposal or final disposition of records is undertaken in accordance with clear guidelines. These are provided within the Records Retention Schedules. The Schedules apply up to the point in the records’ lifecycle at which preservation of those records designated as having a permanent legal, administrative or research value as part of its institutional archive falls to the control of the University Archivist. In accordance with the guidance of the S61 Code, the disposal and destruction of records will ultimately be subject to a documented appraisal procedure, which will promote consistency in identifying which records have been disposed of, and on whose authority.
Relationship with existing policies
This Policy has been formulated with reference to relevant University guidelines and policies, and to national legislation and standards, including:
- Data Protection Act 1998
- University Guidance on DPA 1998
- Freedom of Information (Scotland) Act 2002
- Human Rights Act 1998
- Electronic Communications Act 2000
- International Standard on Records Management, BS ISO 15489
- Code of Practice for Legal Admissibility and Evidential Weight of Information Stored Electronically, PD 0008: 1999
- Principles of Good Practice for Information Management, PD 0010: 1997
Adherence to the Records Management Policy and Records Retention Schedules will facilitate compliance with other legislation, such as Health and Safety; Employment; or Human Rights provisions; and with areas of regulatory compliance such as teaching quality assessment, research governance and Finance.
This Policy will be subject to review at least every three years by the Information Strategy Committee.
Further information
Further information and guidance on all aspects of records management is available from the University Records Manager, Policy Planning & Governance Office.
Rodney Breen
Records Manager
Room G2, Queen Mother Library
Meston Walk
Aberdeen
AB24 3UE
Tel: (01224) 273175
e-mail: rodney.breen@abdn.ac.uk
May 2007
