records management policy

RECORDS

MANAGEMENT

POLICY

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MORAY COLLEGE

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Created – Aug 2009Review – Aug 2011

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1 Policy Statement

1.1 The College recognises that recorded information is a key resource for effective operation and accountability, providing valuable evidence of the College’s activities and transactions. The aim of this policy is to implement and develop a records management policy which will ensure the efficient and cost-effective care and control of records, from the date of their creation until their destruction or eventual inclusion in an archival collection.

2 Scope

2.1 This policy applies to all information recorded, regardless of medium, which is created, collated, processed, used and retained (for a set period) in the course of College activities. This includes, but is not limited to, paper, electronic, digital and audio-visual records.

2.2 Records management is defined as a field of management responsible for the efficient and systematic control of the creation, receipt, maintenance and disposition of records, including processes for capturing and maintaining evidence of, and information about, business activities and transactions in the form of records.

2.3 The policy applies to all records of the College.

2.4 The College has a detailed Business Recovery Plan in place that details the key steps to be taken when business is disrupted. This includes a section relating to the loss of essential records and the steps to be taken to retrieve those records.

2.5 Appendix C details the officer and office responsible for retaining and managing the various records. Records must not be retained by any other Section for a period longer than the times stated by the responsible officer.

3 Context

3.1 The Records Management Policy and associated policies and procedures are designed to comply with the Freedom of Information (Scotland) Act, Data Protection Act, the Computer Misuse Act 1990, the Copyright (Computer Programme) Regulations Act 1992, the Lawful Business Practice Regulations and the Regulation of Investigatory Powers Act.

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4 Responsibilities

4.1 The Assistant Principal – Secretariat is responsible for overseeing the design, implementation and maintenance of this Policy.

4.2 All Directors and Section Managers are responsible for supporting and monitoring records retained in their own area.

4.3 All employees of the College are responsible for ensuring that all records created in the course of their work are reliable and accurate.

5 Training and Awareness

5.1 The Professional Development Officer will establish a training programme to ensure that all staff are aware of their obligations around Data Protection, Freedom of Information and Records Management.

6 Performance Measurement

6.1 The Quality Unit will monitor compliance with this policy through the use of performance indicators: These will include:-

Selective audit of directorate and sectional records. Response time in providing information from the records or retrieving

the records themselves.

7 Active Records Management

7.1 Each area of the College must have in place adequate arrangements for documenting its activities, taking into account the legal and regulatory environment specific to that area of work and the nature of the activities. Those arrangements will include:

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7.2 Records Creation

Appropriate records created, arranged and indexed in such a way that they can be retrieved quickly and efficiently

Procedures and guidelines for referencing, titling, indexing, version control and security marking, including cross referencing of electronic and paper records.

Procedures for keeping the system updated. Documentation of the system and guidelines on how to use it, to be

maintained by the relevant Director/Line Manager Retention periods determined for all records. See Retention Periods

(para 8).

7.3 Records Maintenance

Provision of appropriate storage accommodation for current records which allows maximum accessibility to the information commensurate with its frequency of use but which is secure and complies with statutory requirements.

Storage areas must be kept clean and tidy with, (ideally) a single responsible person being identified.

Identifying records vital to the continued functioning of the College and applying appropriate protection,

7.4 The process for creating and maintaining an appropriate records system is outlined in Appendix A.

7.5 Records Closure

Records should be closed as soon as they have ceased to be of active use other than for reference purposes, (as a general rule, files should be closed after no more than four years, and, if action continues a further file should be opened). Non-current records should be transferred in a controlled manner to a designated storage facility rather than stored in offices, in accordance with Retention Periods established.

8. Retention Periods

8.1. The College will retain for permanent preservation records which are essential to the College and which document the College’s policies,

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structures and processes. These will include evidence of the following:-

Legal status and remit of the College, and any major changes to these. Principal administrative process of the College. Top level decision making and policy formation within the College. Important or high profile aspects of the interactions between the

College and individuals, business, civic institutions and the environment.

8.2 Realistic retention periods for all other records should be decided as they are created. A schedule of retention periods for key records is attached at Appendix C.

8.3 In determining Retention Periods, consideration should be given to the following:

Is the record required for the day to day running of the College? Is it required for legal purposes e.g. invoices, major contracts? Does any legislation or official regulation govern how long it must be

kept e.g. European grant funding records? Is it likely to be of ongoing or recurrent public interest? Is there current guidance on record retention within the area relating to

the record?

8.4 At the end of the Retention Period, an appraisal process should be undertaken by the relevant manager to decide either permanent preservation, further retention period or destruction.

8.5 A schedule should be kept of records created and retained in each area, The schedule should indicate the date of disposal and authorisation for final disposition.

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9 Record Selection Policy

9.1 It is important that destruction of records happens as part of a management process and is adequately documented. Directorate/sections must have arrangements for the appraisal and selection of records for destruction, and for documenting this work.

9.2 Records selected for permanent preservation and not in regular use should be clearly marked as such and transferred to a secure storage area.

9.3 Records not selected for permanent preservation and which have reached the end of their agreed retention period should be appraised by the relevant manager who will recommend whether they merit a further retention period or are to be destroyed. The following criteria should be observed when recommending destruction:-

No record should go into storage without an agreed Retention Period. No record should be automatically destroyed – lists of records for

destruction need to be approved by the relevant manager. No record should be destroyed until it is established whether it is the

subject of a request for access under the Freedom of Information (Scotland) Act 2002. If this is the case, destruction must be delayed until disclosure has taken place or, if the College has decided not to disclose the information, until the review and appeal provisions of the Act have been exhausted.

A record of those records destroyed must be maintained and preserved ( see Appendix B)

9.4 All records authorised for destruction must be destroyed in as secure manner as in necessary for the level of confidentially or security they warrant.

10 Electronic Records

The same records management principles and policies which apply to paper records will govern the management of electronic records. However, further analysis and investigation of the issues relating to electronic records management is required before more detailed guidelines or procedures can be formulated.

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APPENDIX A

Active Records Management –

The process

1. Conduct an Inventory

Identifying each class of record Distinguish the original from copies to avoid duplication Establish location, volume and ownership Identify retention obligations – statutory or otherwise Review existing retention practice (are records currently being retained

too long)

2. Analysis and Decision

Analyse the inventory information. Establish realistic retention periods. Retention decisions should be made by managers, in consultation with

each other and in accordance with the guide to retention periods (Appendix C)

3. Storage Policy

Confirm storage arrangements allow accessibility to the information commensurate with its frequency of use.

Ensure location is secure. Ensure environmental conditions meet fire regulations and health and

safety legislation and any other standard which would prevent damage to the records.

4. Appraisal and Permanent Preservation /Destruction

At the end of the Retention Period, the relevant manager to appraise and decide if record merits permanent preservation, further retention period or destruction and to record this decision.

All destruction to be authorised by the relevant manager and recorded, following check on FOI enquiries situation or ongoing or imminent audit.

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APPENDIX B

Records Retention/Disposal Schedule

Section:

Ref Description Date Archived

Retention Period

Date of Disposal

Disposal Authorised (Signature)

Date Of Disposal

APPENDIX C – Records Retention Periods

Description of Records Retention Periods Comments e.g. refer to statutory requirements

PRINCIPAL’S OFFICE

PA Principal

a) Planning1. Strategic Plans2. Operational Plans3. PMG, Agenda, reports and minutes

b) SFC1. Correspondence2. Funding3. Returns

c) UHI1. Correspondence

d) HMIE1. Review Documentation

e) – Contracts1. SNIPEF/CITB, SECTT, etc.

f) – Miscellaneous Correspondence1. Enquiries/complaints etc

g) – Examinations (incl UHI Exams Centre)

1. Current + 3 years2. Current + 3 years3. Current + 3 years


1. Current + 3 years


1. Current + 1 year


1. Registrations2. Estimates3. Attendance Registers4. Exam Papers5. Results Lists6. AAA Information7. Timetables8. Fee Payments9. Invigilator timesheets10. Invoice requests (UHI EC)11.Appeals Information12.Exam Scripts13.Exam Board Regulations (all)

h) – Child Protection1. Correspondence

i) – Freedom of Information1. Correspondence

1. Current + 1 year2. Current 3. Current + 4 years4. Current + 4 years5. Current + 4 years6. Current 7. Current 8. Current 9. Current + 1 year10.Current + 4 years11.Current + 4 years12.Current + 4 years13.Curren


1. Live requests + 3 years


SECRETARIAT – ASSISTANT PRINCIPAL

a) Insurance

1. Insurance Policies2. Annual Renewal Agreement3. General Correspondence

b) Health & Safety

1. Business Continuity Plan

c) Governance

1. Board members – application forms2. Register of Interests for Board Members3. Constitution for Board of Management 4. Standing Orders and Operating Guidelines5. Code of Conduct6. Training records for Board members7. Agendas and Reports for Board of

Management and Committees8. Minutes for Board of Management and

Committees9. Correspondence from ASC

1. Current policy + 6 years2. Current + 3 years3. Current + 3 years

1. Current version

1. Duration of membership + 2 years2. Duration of Membership + 2 years3. Current version4. Current version5. Current version6. Duration of membership + 2 years7. Current + 5 years

8. Permanent from 2000



d) SFC

1. Circulars2. Correspondence3. AEF Funding

e) UHI

1. Correspondence for Board of Management2. HEF Funding

f) Projects

g) AUDIT

1. Correspondence to External Auditors 2. Correspondence to Internal Auditors


1. Current + 3 years2. Current + 3 years

1. Retained as long as Project operational

1. Term of Appointment + 1 year2. Term of Appointment + 1 year


ESTATES

a) General

1. College Titles (for buildings)2. Site Plans3. Estates Strategy4. Accommodation Schedules5. Capital Project Documentation6. Project Safety File7. SFC funding allocation/Returns8. UHI funding allocation/Returns9. E-mandate Returns

1. Permanent until disposal of property2. Permanent until disposal of property3. Current version4. Current version5. End of defects liability period + 10 years6. Permanent7. Current + 3 years8. Current + 3 years9. Current + 1 year


b) Contracts

1. Tender documentation2. Tender Documents – successful tenderer3. Tender Documents- unsuccessful tenderers 4. Term Contractors inc. Ins & H&S details5. Planning/Building Warrants6. Lease Agreements7. Documents including photographs of key institutional

importance8. Agreements with other colleges and stakeholders

9. General Correspondence

1. Duration of Project + 3 years2. Termination of Contract + 3

years3. Current year +1 year4. Current + 3 years5. Permanent6. Permanent7. Permanent

8. Termination of Agreement + 3 years



c) Health and Safety

1. Health & Safety Policy2. Student Placement Policy3. Insurance Certificates (Employers Liability)4. Accident and /dangerous occurrence reports/investigation

documentation5. Assessments under Health and Safety Regulations and the

records of consultations with safety representatives and committees

6. Equipment maintenance/testing/inspection records and documentation

7. Risk & COSHH Assessments8. Fire Risk Assessments9. Fire Evacuation Records10.Approved First Aider information (training records etc)11.Declared illness information (provided by Student Support)12. Insurance Claims (by college)13. Insurance Claims (Against college)14.Health & Safety Committee :

Agendas/Papers Minutes of meetings UHI Safety Committee

1. Current version 2. Current version3. 40 years4. Permanent

5. Permanent

6. Permanent

7. Current8. Current9. Current year + 3 years10.Permanent11.Current students + 3 years12.Current + 6 years13.Permanent14.…..

Current year + 3 years Permanent Current + 3 years


FINANCE

a) Risk Management

Risk Register Risk Management Group – records of meetings (eg agenda, minutes)

Current + 3 yearsCurrent + 3 years

b) Payroll

Staff Information

1. Staff Timesheets evidencing project activity2. Staff Payroll and Hourly Rate Information3. Request for Additional Staff Resources 4. Staff Travel Claim forms for project activity5. Statutory Maternity Pay Records, Calculations (MAT B1s) or

other medical evidence6. Statutory Sick Pay Records, calculations, SSP1 forms7. Wage/salary records (also overtime, bonus and expenses)8. PAYE, NI, Pension Records

1. Current + 6 years2. Current + 6 years3. Current + 6 years4. Current + 6 years5. Current + 6 years


Description of Records Retention Periods Comments e.g. refer to

statutory requirements

c) Income & Expenditure

1. Supplier/Purchase Ledger Statements 2. New Supplier Details (inc. Bank Details)3. Weekly payment run (BACS/Cheque) paperwork4. BACS/Cheque remittance sent to suppliers5. Bank details of suppliers previously paid by Cheque 6. Daily update from Unit-e to APTOS7. Debt files8. Monthly Bank Reconciliation files 9. Cash Sheets/Telebanking files 10.Petty Cash files11.Completed Daily Payment Vouchers (record of manual

cheques issued)12.Budget working papers13.Cash flow working papers14.Funding Council returns15.Statistical returns16.Year end Accounts working papers17.VAT returns18.Reclaimed VAT paperwork19.Virements20.Journal File21.Bank Statements

1. Current + 6 years2. Current + 6 years3. Current + 6 years4. Current + 6 years5. Current + 6 years6. Current + 6 years7. Current + 6 years8. Current + 6 years9. Current + 6 years10.Current + 6 years11.Current + 6 years

12.Current + 6 years13.Current + 6 years14.Current + 6 years15.Current + 6 years16.Current + 6 years17.Current + 6 years18.Current + 6 years19.Current + 6 years20.Current + 6 years21.Current + 6 years

Description of Records Retention Periods Comments e.g. refer to statutory

requirementsE L S

1. Personal Learning Support Plan containing:

1.

(i) School Reports(ii) Medical Reports(iii) Psychologist Reports(iv) DSA/SAAS Funding Reports

2. Study Support Folder

(i) Current year + 5 years(ii) Current year + 5 years(iii) Current year + 5 years(iv) Current year + 5 years

2. Current year + 5 years


STUDENT GUIDANCE/FINANCE

1. Student Interview Sheet 2. Student Funding Application Forms FE3. Student Funding Application Forms HE4. Beneficiary Application forms (including Travel and

Childcare Declaration forms, copies of Bursary and SAAS awards letters)

5. Correspondence to Beneficiaries 6. Student payments direct debits7. BACS Printouts to prove processing of Beneficiary

payment (if applicable)

1. Current + 3 years2. Current + 6 years3. Current + 6 years4. Current + 6 years



REGISTRY

Student Records

1. Application forms2. Enrolment forms3. Fee Waiver forms4. Copy of Fee Waiver evidence5. References 6. Copy of previous qualifications 7. Response Slips (from letters sent from the College to the student –

mainly course acceptable)8. Withdraw/Transfer forms9. Change of Address/personal Details form10.Letter from Employers (Fees)11.Attendance Registers12.Assessments Registers13. Initial Registers/Course Planning Documents14. ILA Funded Course Records15.Disclosure Scotland16.Progression Board Records17.Graduation Listings

1. Current + 3 years2. Current + 3 years3. Current + 3 years4. Current + 3 years5. Current + 3 years6. Current + 3 years7. Current + 3 years

8. Current + 3 years9. Current + 3 years10.Current + 3 years11.Current + 3 years12.Current + 3 years13.Current + 3 years14.Current + 7 years15.90 days following receipt16.Current + 7 years17.Current + 7 years

Description of Record Retention Period Comments e.g. refer to statutory requirements

HUMAN RESOURCES

1. Personal Files Contractual information Job Description New Start information (H&S Receipt, Personal Details etc) References Application form and supporting documentation Annual leave sheets Sickness absence and occupational health records Staff review documentation Conduct records (removed from personal file once spent) Grievance records Termination information HRWS audit information Regrading information Letters and memos relating to above

2. HR Strategy HR Strategy HR Operational Plan HR Self-Evaluation Internal Customer Evaluation HR Team meetings

1. Current + 7 years for leavers



3. Recruitment Files ATR Job Description Application forms and supporting documents (successful

applicant details as per 1 above) Shortlisting summary sheet Interview Summary sheet Equality & Diversity Monitoring

4. Disclosure Scotland documentation

5. Staffing Committee documentation Working papers Committee papers Committee minutes

6. JCC/JNC/RPA Working papers Committee papers

7. Policies & Procedures Impact Assessment papers Policies & Procedures

3. Current year + 1

4. 90 days following receipt

5. Current session +7 years

6. Current session + 7 years

7. Current version + previous version


8. HR Policy Review Group HRPRG papers HRPRG notes

9. Restructuring information Information relating to specific staff members as per 1



above Sectional/Directorate information

10.HR Budget information

11.Specific projects

12.Terms & conditions information

13.Superannuation Personal information as per 1 Scheme information

10.Current session + 3 years

11.While projects remain live + 5 years

12.Permanent from date of incorporation (1993)

13.Current + 7 years


QUALITY

A. External Documentation

1. Course Committee minutes2. Directorate Academic Committee minutes3. External verification reports4. Annual course reports5. Self-evaluation reports

B. Internal Documentation

1. Course reviews2. Course approval & validation reports3. Internal audit documentation

1. Current year + 3 years2. Current year + 3 years3. Current year + 3 years4. Current year + 3 years5. Current year + 3 years

1. Current year + 3 years2. Current year + 3 years3. Current year + 3 years


STAFF DEVELOMENT

A. Internal

1. Internal staff development programmes2. Reports on staff development activities3. Individual staff records

4. Career Review – training needs

B. External

1. Applications for staff development2. Approval/rejection documentation3. Applications to UHI4. Individual staff records

C. Learning & Teaching

1. Introduction to Teaching2. TQFE:

Records Reports

1. Current year + 3 years2. Current year + 3 years3. Permanent for current staff, plus 2

years after employment ceased4. Current + 2 years

1. Current year + 3 years2. Current year + 3 years3. Current year + 3 years4. Permanent for current staff, plus 2

years after employment ceased

1. Current year + 3 years

2. Current year + 3 years Current year + 3 years


D. General

1. Annual Budget – status reports2. Reports/claims to UHI3. Purchasing Card details include: course fees, travel,

accommodation, purchases

E. Licences

1. Related paperwork for:i. COLEGii. CLAiii. Equality Exchange Scotlandiv. ERAv. NLAvi. PPLvii. PRSviii. Scottish Collegesix. Servewisex. Skillxi. TV Licensing

1. Current year + 2 years2. Current year + 2 years3. Current + 3 years

i. Current + 3 yearsii. Current + 3 yearsiii. Current + 3 yearsiv. Current + 3 yearsv. Current + 3 yearsvi. Current + 3 yearsvii. Current + 3 yearsviii. Current + 3 yearsix. Current + 3 yearsx. Current + 3 yearsxi. Current + 3 years


MANAGEMENT INFORMATION SERVICES (MIS)

A. Paper documents

1. Working documents for UHI, SQA, e-com/SIA2. Back-up documentation for SUMs Return3. Working documents for Performance Indicators

B. Electronic Records

1. Documentation relating to SITS2. Documentation relating to CELCAT

F. Electronic Reports

1. Application Reports2. Enrolment Reports3. Performance Indicator Reports4. Equal Opportunity Reports5. SQA Moderation Group Reports6. Attendance Reports7. Performance Indicator file for HMIe8. LRC PC Usage Reports9. Activity Targets10.Miscellaneous Reports

1. Current year + 3 years2. Current year + 3 years3. Current year + 3 years

1. Current year + 5 years 2. Current year + 3 years

1. Current year + 3 years2. Current year + 3 years3. Current year + 3 years4. Current year + 3 years5. Current year + 3 years6. Current year + 3 years7. Current year + 3 years8. Current year + 3 years9. Current year + 3 years10.Current year + 3 years

In agreement with UHI



DIRECTORATE 1

1 Student Advice files Current + 3 years

2 Student Progress reports Current + 3 years

3 References Current + 5 years

4 Student assessments Current

5 Sample of assessments to be held for UHI Current + 3 years

6 Internal Verification documentation Currency of units/modules

7 Masterfiles/teaching folders, including unit/module specification, lesson plans and schemes of work

Currency of unit/module

8 Unit and course evaluations Current + 3 years

9 Evaluation of Learning and Teaching Current + 5 years

10 Internal Customer Evaluations Current + 1 year

11 Course Team meeting notes Current + 3 years

12 Staff Review documentation Lifetime of employment + 2 years



DIRECTORATE 2
















DIRECTORATE 3














records management policy

Technology

including unit module currency

agreed retention period

records management policy

retention periods

unit module specification

statutory requirements

retention period

working documents