1. ecords Management Records Management Paul Smallcombe Records & Information Compliance Manager

2. What is a record? According to ARMA International, a record is “recorded information regardless of medium or characteristics.” It is “generated or received by an organization or its successors as evidence of its activities or because of the information contained.” Using this definition, QMUL has a great deal of records!

3. What is records management? Records management is the discipline of managing records throughout their “lifecycle” from the point of creation or capture through to their eventual disposal. This ensures that, regardless of the media in which they exist, the right records are accurate, reliable, available and not retained for longer than is necessary Relevant SOP: DG13 Records Management

4. Why keep records? As evidence of activities and transactions for their administrative, legal, regulatory, financial, informational and / or historic value

5. Records exist in many formats and locations. Any of these items could be records: Emails stored in your inbox, on your hard drive, or on your department’s shared drive Paper files at your desk Spreadsheets from a third party Research binders on a shelf Voice Over IP messages PDF files stored in a document management database And more!

6. Benefits of records management helps you do your job better. It supports ease and efficiency of working and decision-making saves you time by ensuring you can find the information you need easily, when you need it and isn’t wasted searching for information that may not be there protects you and Queen Mary by providing evidence of people’s rights and entitlements, and shows what was done and why reduces costs, particularly those related to space, by ensuring you don’t keep any more records than you have to, and that you know when you can delete or destroy them helps Queen Mary to comply with its statutory obligations under the Freedom of Information Act 2000 and Data Protection Act 1998 maintains the corporate memory provides records on which you can rely, both by helping you find the appropriate version and by giving records a high value as evidence if they are needed in a court of law

7. Records Retention Policy Main document – General Principles and Responsibilities found at: http://www.arcs.qmul.ac.uk/policy_zone/reco rds_retention_policy.pdf Second ‘half’ – Records Retention Schedule found at: http://www.arcs.qmul.ac.uk/information_gov ernance/records_management/records_ret ention_schedule.html

8. The Records Retention Schedule (RRS) It is a listing of records for each function It covers both paper and electronic documents (or any other format), originals and copies It provides a time period for how long each record type should be maintained One for BLT too as appendix A of its Records Retention & Disposal Policy – clinical trials records

9. Using the RRS Three columns –Records series (or type) –Retention period (a length of time) –Trigger (or, from when does the retention period start?) E.g. Records SeriesRetention PeriodTrigger Student complaints6 yearsFrom resolution of complaint

10. Records Retention Schedule

11. Records Retention Procedures SOP DG13 and its associated work instruction DG-WI-13DG-WI-13 Where to store records How to inventory records Retrieving records Annual review process Disposition of records – destroy or transfer to The Archives

12. Electronic records Same principles apply; same retention periods apply Not so easy to manage, review and delete – no EDRMS in QMUL Re-organisation of shared drive folders is an option – new file plans and use of naming conventions for files and folders Guidance on the ARCS website* e.g. tips for managing e-mail and naming conventions * http://www.arcs.qmul.ac.uk/information_governance/index.htmlhttp://www.arcs.qmul.ac.uk/information_governance/index.html

13. Using Information Classification The classification category assigned to information will determine –how info. is stored –how info. is handled –how info. is disposed of SOP DG09. Four levels of classification: –Confidential –Restricted –Protect –Open

14. Storage of information Secured against unauthorised access or modification and hazards Regularly backed-up Confidential and Restricted not to be stored on unencrypted portable media Checked every five years to ensure it can be accessed and migrate if necessary

15. Handling of information Labelled with Confidential, Restricted or Protect Only transferred where integrity can be maintained e.g. encrypted when transferred across networks; authorised when removed off site Confidential and Restricted only to be handled by authorised individuals

16. Disposal of information Secure and documented Appropriate disposal whether physical (including hardware) or electronic Dispose using confidential waste Shredding, degaussing/overwriting services such that the info. cannot be recovered Also refer to SOP DG10 - IT Equipment Disposal

17. Annual Review Process Once (or twice) a year review of records which have reached the end of their retention Filter the inventory Also review shared drives or other repositories of e-information Destroy unless there is an ongoing business or legal need to retain the records further Small percentage will be transferred to Archives for permanent retention Need to keep an audit trail

18. Questions? Contact details E-mail: x.xxxxxxxxxx@xxxx.xx.xxx.xxxxxxxxxx@xxxx.xx.xx Tel: (13) 7596 Room E04, Queens’ Building