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Records Managementecords Management
Paul Smallcombe
Records & Information Compliance Manager
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!
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
Why keep records?
As evidence of activities and transactions for their administrative, legal, regulatory, financial, informational and / or historic value
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!
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
Records Retention Policy
• Main document – General Principles and Responsibilities found at:
http://www.arcs.qmul.ac.uk/policy_zone/records_retention_policy.pdf• Second ‘half’ – Records Retention
Schedule found at:http://www.arcs.qmul.ac.uk/information_governance/records_management/records_retention_schedule.html
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
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 Series Retention Period Trigger
Student complaints 6 years From resolution of complaint
Records Retention ScheduleVI. Occupational Health
Records Series Retention Period Trigger
Pre-employment health screening records (non-hazardous posts):- questionnaires of individuals who did not commence work / study- incoming student elective questionnaires- questionnaires of others- questionnaires which include other tests / information (but NOT COSHH)
2 years6 months3 years
6 years
From date of receipt of questionnaireFrom date elective completed
From date individual leaves QM (3/6 yrs)
Medical records under IRR 1999 50 years OR DoB + 75 years 50 years from date of assessment OR until the individual reaches (or would have reached, if deceased) 75 years old, whichever is the later
Medical records (hazardous posts: COSHH, CAWR, CLW)
40 years From date of last entry
Medical records relating to risk assessments or incidents (e.g exposure to hazardous substances) occurring at work
40 years From date of last entry
Health records of medicine and dentistry students including health screening questionnaires
10 academic years From academic year the student's relationship with QM ceases
Medical records of employees whose termination is health-related
3 years From date employee leaves QM
Health records including OH referrals and reports but excluding health screening questionnaires
6 years From date employee leaves QM
Records Retention Procedures
• SOP DG13 and its associated work instruction DG-WI-13
• Where to store records
• How to inventory records
• Retrieving records
• Annual review process
• Disposition of records – destroy or transfer to The Archives
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.html
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
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
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
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
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
