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Guidelines and procedures for classifying administrative records
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The University of Lleida (UdL) needs to develop the classification plan of the administrative records, for the whole of the institution and for the efficient and profitable management of its adminis-trative records.
This plan is an essential element of the integral system of records management and archives of the University.
This set of operations manage the conception, development, im-plantation and the evaluation of the administrative systems, from the creation or reception of the administrative records of the in-stitution, up until their time of destruction or preservation in the archives repository.
The administrative records of the University, like in public ad-ministration, can be classified in a precise manner and constitute files. To organise and process with the same criteria and methods all of the records generated, received and preserved inside the ad-ministrative units, it is important to identify them in accordance with the classification plan of administrative records.
The enforcement of the classification plan of administrative records allows us to identify, classify and order the administra-tive records in the same moment as their generation or reception.
In the integral system of management of administrative records, be it in accordance with the manual processing of the administrative records or in accordance with an automated system, the classifica-tion plan allows us to identify the administrative records on two levels: a physical identification, in accordance with their localiza-tion, that is, basically in accordance with a manual system of classi-fication; or, an intellectual identification, given that the classifica-tion code guarantees the rebuilding of a file where the information is conserved on different supports and in different places.
The Archives and Records Management Service is who sets the classification plan of the administrative records of the UdL.
The units and services follow up and control the production and reception of the records of the unit to which they belong. They are in charge of organising the records in the active phase, in accordance with the classification plan of the administrative
records of the UdL. This ways a global recuperation of the infor-mation for the whole of the University throughout the life cycle of the records is permitted.
A hierarchical and logical structure
The classification plan of the UdL is based upon two principles: the general identification of the functions over and above their detailed identification and the hierarchy of the divisions separated over seven levels, in accordance with a hierarchical and logical structure.
Categories: level 1 Management ExploitationClasses: level 2 Subclasses: level 3 Divisions: level 4 Divisions: level 5 Divisions: level 6 Divisions: level 7
It is possible to complement each one of the hierarchical levels in three types of subdivisions in their classification:
Uniform subdivisionsSpecific subdivisionsNominative subdivisions
The levels of classification
In administrative records we can distinguish two categories: management records, which are common to all public admin-istrations as well as the University; and exploitation records, which are the records that correspond to the specific functions of the University (management of academic resources, teaching, research… ).
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Coding of the structure
A100 GENERAL MANAGEMENT AND ORGANIZATIONB100 INFORMATION AND COMMUNICATION MANAGEMENTC100 REPRESENTATION AND PUBLIC RELATIONSD100 HUMAN RESOURCES MANAGEMENTF100 ECONOMICAL RESOURCES MANAGEMENTG100 MANAGEMENT OF PERSONAL ASSETSH100 MANAGEMENT OF REAL ESTATEI100 GUIDELINES AND JURIDICAL MATTERSJ100 ACADEMIC RESOURCES MANAGEMENTK100 TEACHING ORGANIZATIONL100 RESEARCH ORGANIZATIONM100 MANAGEMENT OF THE SERVICES OFFERED TO THE UNI-
VERSITY COMMUNITY
The codes A100 to I100 correspond to the category of the man-agement records:
A100 GENERAL MANAGEMENT AND ORGANIZATIONB100 INFORMATION AND COMMUNICATION MANAGEMENTC100 REPRESENTATION AND PUBLIC RELATIONSD100 HUMAN RESOURCES MANAGEMENTF100 ECONOMICAL RESOURCES MANAGEMENTG100 MANAGEMENT OF PERSONAL ASSETSH100 MANAGEMENT OF REAL ESTATEI100 GUIDELINES AND JURIDICAL MATTERS
The codes J100 to M100 correspond to the category of the ex-ploitation records:
J100 ACADEMIC RESOURCES MANAGEMENTK100 TEACHING ORGANIZATIONL100 RESEARCH ORGANIZATIONM100 MANAGEMENT OF THE SERVICES OFFERED TO THE UNIVERSITY COMMUNITY
The second level: The classes
Each category of the classification plan of administrative records is subdivided into classes. The classes constitute the principle functions
into which the university activity is specified. They are distinguish-able from the other levels because they commence with a different letter, written in capitals, and always followed by the number 100. This structure allows that the subclasses and the divisions which are linked to be ascribed to the specific function they describe.
In accordance with the management category the classes are the following:
A100 GENERAL MANAGEMENT AND ORGANIZATIONB100 INFORMATION AND COMMUNICATION MANAGEMENTC100 REPRESENTATION AND PUBLIC RELATIONSD100 HUMAN RESOURCES MANAGEMENTF100 ECONOMICAL RESOURCES MANAGEMENTG100 MANAGEMENT OF PERSONAL ASSETSH100 MANAGEMENT OF REAL ESTATEI100 GUIDELINES AND JURIDICAL MATTERS
In accordance with the exploitation category the classes are the following:
J100 ACADEMIC RESOURCES MANAGEMENTK100 TEACHING ORGANIZATIONL100 RESEARCH ORGANIZATIONM100 MANAGEMENT OF THE SERVICES OFFERED TO THE UNIVERSITY COMMUNITY
The third level: The subclasses
Each class of the classification plan is divided into subclasses. The subclasses correspond to the management or exploitation sub-functions which we have established in the classification plan of the UdL and they regroup the divisions relating to these activities.
The subclasses are distinguishable because they start with the specific letter of each class and the number within one-hun-dredth which corresponds to it in the plan. They are distinguish-able because they are written in capitals in the classification plan and they appear intercalated with divisions.
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Example:
Class A100 GENERAL MANAGEMENT AND ORGANIZATIONSubclass A101 CONSTITUTIVE DOCUMENTSSubclass A102 GOVERNING ORGANS Specificsubdivisions E1 Proceedings E2 Agreements E3 Resolutions E4 Certifications E5 Delegations E6 Notice of meetings E7 Elections E8 Renewal of members E9 Nominations E10 Cessations
The fourth level: The divisions (D4)
Each subclass is composed of divisions (D4), which correspond to the specific activities developed in the University, which in turn can be subdivided into divisions (D5) which are linked to more general functions of the university activity.
For example:
Class A100 GENERAL MANAGEMENT AND ORGANIZATION (…)Subclass A103 ADMINISTRATIVE ORGANIZATIONDivision (D4) A104 Politics and procedures A107 Organic structure A113 Memoirs A116 Agreement
The fifth level: The divisions (D5)
Each division (D4) can be subdivided in divisions (D5). This fifth level of classification (D5) corresponds to the more precise sub-activities which in turn can be subdivided into divisions (D6).
For example:
Class A100 GENERAL MANAGEMENT AND ORGANIZATION (…)Subclass A103 Administrative organizationDivision(D4) A104 Politics and proceduresDivision(D5) A105 Instructions A106 Procedures
The sixth level: the divisions (D6)
In the sixth level of the classification, the divisions (D6) corre-spond to the particular elements of the activities or more specific functions which in turn can be subdivided into divisions (D7).
For example:
Class B100 INFORMATION AND COMMUNI- CATION MANAGEMENTSubclass B101 NORMALIZATION OF DOCUMENTS Specific subdivisions E1 Administrative documents E2 Forms E3 FilesSubclass B102 RECORDS MANAGEMENT AND ARCHIVESDivision (D4) B103 Planning and organization Specific subdivisions: E1 Institutional records E2 Non institutional recordsDivision (D4) B104 Implantation and maintenance of the system Division (D5 B105 Classification plan B106 Retention schedule B107 Manual B108 Instruments of description and recuperation B109 Access and securityDivision (D6) B110 Consulting B111 Loaning
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Whenever possible, when classifying the records, one must assign them the classification that is the most representative.
The complementary levels
In accordance with the structure of the classification plan and the files of the administrative records to be classified, we can use three types of subdivisions: the uniform subdivisions, the specific subdivisions and the nominative subdivisions.
The uniform subdivisions
As its name indicates they complete the identification and the definition of the matter of some of the records or files. Each class and subclass and division (D4), (D5) and (D6) can use the follow-ing uniform subdivisions:
U01 REPORTSU02 STATISTICSU03 QUESTIONAIRESU04 SUBVENTIONSU05 RESOLUTIONSU06 AGREEMENTSU07 INSURANCESU08 CENSUSU09 GRANTSU10 ACTS
The alphanumeric code of each uniform subdivision is added to the code of the class, subclass or division.
The management of the uniform subdivisions is centralised in the Archives and Records Management Service.
The usage of the uniform subdivisions is applied by the manage-ment records in accordance with the needs that these can have in more directly identifying a document.
For example: D108 U05 refers to the resolution of public exami-nations.
The uniform subdivisions can be applied to the specific subdivi-sions or the nominative subdivisions.
The specific subdivisions
Some of the classes, subclasses and divisions (D4) or (D5) can be fractioned in subdivisions which are specific to them. In the clas-sification plan these subdivisions are indicated with the letter E and the correlative number that corresponds to it by order. This subdivision allows us to complete the identification of the records to be classified, in all cases where it is permitted to do so.
For example: A102 E2 Agreements of the governing organ.
The specific subdivisions can be applied both to loose records and files, however they must always be tied to a code.
The usage of specific subdivisions is applied by management records in accordance with the needs they may have to more di-rectly identify a document or file.
The specific subdivisions can be applied to the nominative and uniform subdivisions.
The nominative subdivisions
This corresponds to the level of classification which allows us to identify a specific file relating to a person, organism or institu-tion, study, building, etc. It is applied to certain subclasses and divisions (D4) and (D5), and in accordance with the nominative relationship of the University.
The nominative subdivision is introduced with the letter N plus the normalised name that appears in the summary of the clas-sification plan and it has to be linked to a code. The nominative subdivisions can be applied to loose records or to files.
The usage of nominative subdivisions can remain at the discretion of the records management in accordance with its identification needs, or it can be obligatory if its usage serves to clearly identify the documentation that is wanted to be classified.
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For example: A102 N Governing Council.
The management of the nominative subdivisions is centralised in the Archives and Records Management Service.
The nominative subdivisions can be combined with the specific and uniform subdivisions.
The combinations between subdivisions can be the following:
Classification code + nominative subdivision (N) + uniform subdivision (U)
For example: A102 N Governing Council U6: Agreements of the Governing Council.
Classification code + specific subdivision (E) + nominative subdivision (N)
For example: A102 E2 Agreements N Governing Council, session...
Classification code + nominative subdivision (N) + specific subdivision (E)
For example: C108 N Josepa Reimundi E2 Gold Medal
Classification code + specific subdivision (E) + uniform subdivision (U)
For example: A107 E1 U01: Organic structure of the administra-tion staff. Report.
When various subdivisions are combined, we will place the uni-form subdivisions last.
Classification code + N + UClassification code + E + NClassification code + N + EClassification code + E + U
The application of the classification plan of administrative records
The application of the classification plan of administrative records allows us to identify, classify and order the administrative records at the time of their creation or reception.
The end of the classification is to keep all the processed or re-ceived records about the same matter together. These records form part of files and the group of files classified under the same code of the classification plan constitutes a documental series.
In record management we must try to avoid the forming of groups of record collection organised by date, (in and out) reg-ister number, name of organisation, etc., or any other system of record keeping which is not the ordering of the files in accord-ance with their function.
One record can start a new file, whenever there does not exist an open procedure about this same matter.
Record’s classification and order
The records of administrative tasks, independently of the support on which the information is kept, Refer to the group of opera-tions consisting in placing them in accordance with a predefined order, with the end to finding them as quickly as possible, and at the minimum cost.
For this reason, the steps that must be followed in the classifica-tion of a record are the following:
Analyse the record that must be classified and ask ourselves if it forms part of a file about a matter linked with an activity, or of a nominative file relating to a person or organism. The context in which this record was created or received can orientate this election.
If the record refers to various matters, we must choose the most significant or the most important, and index the others.
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The initial election is made taking into account in which of the 12 classes of the classification plan it is to be found.
Once found, we have to go down the hierarchical structure of classification until we find the subclass, division (D4), (D5), (D6) which better refers to the matter of the record.
However, the following must be taken into account:
- If an open file exists that refers to the matter of the record, then this record has to be filed with the code of this file and included in it.
- When the content of the record refers to more than one mat-ter and there is not an open file, the record management has to prioritise the most relevant matter amongst those it has assigned as a unit.
To describe the classification code we must take the following into account:
- When faced with records produced by the same unit and the receiver of the record is another unit of the UdL, the classifi-cation code will have to be included in its process of elabora-tion, in a way that it is identifiable on the record1, and serves as a control and records control for other receiving units.
- In the case of records produced by the same unit and not destined to another unit inside the University, but an external organisation, the identification of the classification code will be included on the original copy which will be integrated into the records of the unit (it can be hand written at the top right corner of the record).
When the classification code of the document has been identified, it is physically filed. To this end we have the normalised folders and subfolders in the Archives and Records Management Service.
With regards to the ordering of the records, we must take into
1. The stationer’s models can be viewed at http://imatge.udl.cat
account that both the records in the files as the sequence of the different folders amongst themselves, inside the same series have to be ordered.
Amongst the forms of ordering employed, the following are in-cluded:
- by date
- in alphabetic order
- in sequential numeric order
In this period of office filing, the units can choose other filing in-struments that are better adapted to their way of working, while the administrative procedure lasts. However, these instruments will have to be normalised at the time of transferring the records to the Archives and Records Management Service, in accordance with what is established in the preservation plan, and with what the transference procedure of the records has to foresee.
The folders and subfolders are organised amongst themselves in the same way as contemplated in the classification plan.
In each folder there can only be one classification code, even though it can include as many volumes as necessary in accord-ance with the quantity of records that there has to be in the file. The same can be foreseen when in one folder there is the need to establish groups of records, where as many subfolders as neces-sary will be able to be included. The subfolders included in a folder have to be identified with a specific content like a sort of index. In the folder, it is important to identify the administrative unit that files it and the last dates of the records contained, and if the mention is essential, the foreseen type of protection, as well as the level of confidentiality.
The records must be included in folders and subfolders in accord-ance with the chronologic order of their incorporation into the administrative procedure.
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The classification of electronic records
The classification of electronic records will be governed by a spe-cific regulation once the functionalities have been established which must be taken into account when processing electronic records in the integral system of records and records of the Uni-versity. While these functionalities are not established, when clas-sifying the electronic records that they generate, the units can take into account the same criteria as used for the records on more traditional supports.
The procedure that must be followed is:
The units can create an electronic folder with the classification code that corresponds to it and inside of this, a subfolder with the year the document was created.
For example:
A102 N Governing Council2005
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Classification plan of the administrative records of the University of Lleida
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A100 GENERAL ADMINISTRATION AND ORGANIZATION
A101 CONSTITUTIVEDOCUMENTS
A102 GOVERNINGORGANS Specificsubdivisions E1Proceedings E2Agreements E3Resolutions E4Certifications E5Delegations E6NoticeofMeetings E7Elections E8Renewalsofmembers E9Nominations E10Cessations
A103 ADMINISTRATIVEORGANIZATIONA104 PoliticsandproceduresA105 InstructionsA106 ProceduresA107 Organicstructure Specificsubdivisions E1Administrationandservicesstaff(PAS) E2AcademicstaffA108 WorkforceA109 Listofworkplaces Specificsubdivisions E1Modifications E2Claims E3Non-cataloguedposts E4Abolitionofposts E5CreationofpostsA110 ProfileofworkpostsA111 FunctionalorganigramA112 AdministrativemeetingsandworksessionsA113 MemoirsA114 MemoiroftheuniversityA115 MemoirofactivitiesA116 Agreement
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A117 ADMINISTRATIVEANDQUALITYPLANNING Specificsubdivisions E1Planning E2Control E3EvaluationA118 MultiannualprogrammingA119 PlanningandprojectsA120 Resources
A121 Managementsystems Specificsubdivisions E1Qualityandimprovement
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B100 INFORMATION AND COMMUNICATION MANAGEMENT
B101 NORMALIZATIONOFDOCUMENTS Specificsubdivisions E1Administrativedocuments E2Forms E3File
B102 DOCUMENTANDRECORDSMANAGEMENTANDARCHIVESB103 Planningandorganization Specificsubdivisions E1Instituticionalrecords E2Non-institucionalrecordsB104 RecordsSystemimplantationandmaintenanceB105 ClassificationplanB106 RetentionScheduleB107 ManualB108 DescriptionandrecuperationinstrumentsB109 AccessandsecurityB110 ConsultationB111 LoaningB112 RecordsSystemdevelopmentB113 ManagementofactiverecordsB114 Managementofsemi-activerecordsB115 ManagementofinactiverecordsB116 ManagementofessentialrecordsB117 ManagementofconfidentialrecordsB118 PersonaldataprotectionB119 DigitalcertificationB120 RecordsDispositionB121 RecordsSystemaudit
B122 MANAGEMENTOFBIBLIOGRAPHICALANDDOCUMENTALSTORES Specificsubdivisions E1Monographs E2Serialpublications E3Audiovisualmaterial E4Oldstore
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B123 PlanningandorganizationB124 SystemimplementationandfunctioningB125 AcquisitionsB126 PurchasesB127 DonationsandlegaciesB128 CessationsB129 ExchangeB130 CataloguingB131 ServicestousersB132 BibliographicalinformationB133 LoansB134 InterlibraryloanB135 TeledocumentationB136 ReprographyB137 ConservationandrestorationB138 Elimination
B139 COMPUTERSB140 AnalysisofneedsB141 ComputerapplicationsB142 ComputersystemsB143 Datamanagement
B144 COMMUNICATIONMANAGEMENTB145 CorrespondancemanagementB146 RegistrationsystemofdocumentarrivalsandexitsB147 InternalregistrationB148 ExternalcorrespondenceB149 InternalcorrespondenceB150 MessengersB151 TelecommunicationsB152 TelephonesB153 TelephonelinesB154 EquipmentInstallationB155 TelephonedirectoryB156 TelefaxB157 E-mail
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B158 PUBLICATIONMANAGEMENTB159 EditionandproductionB160 PreparationandproofreadingoriginalsB161 DesignB162 PrintingB163 DistributionandsalesB164 Authors’copyrightB165 Legaldeposit
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C100 REPRESENTATION AND PUBLIC RELATIONS
C101 OFFICIALANDPROTOCOLARYACTIVITIESC102 InaugurationsC103 ReceptionsC104 Discourses,presentationsandinstitutionalwritingsC105 CourseopeningC106 GraduationsC107 CommemorationsC108 Homagesanddistinctions Specificsubdivisions E1Doctoratehonoris causa E2Goldenmedal E3Silvermedal E4GeneralStudyMedalC109 Distinguishedvisitor’sbookC110 Bookoftakingover
C111 PUBLICRELATIONSANDPROTOCOLARYATTENTIONSC112 PromotionandinformationabouttheUniversity Specificsubdivisions E1Internal E2ExternalC113 ImageandpromotingoftheuniversityC114 UdLlogoC115 ApplicationsC116 ManagementoftheinstitutionalwebC117 VisitsandjourneysC118 SuggestionsandcomplaintsC119 CongratulationsandthanksC120 CondolencesC121 RelationshipwiththepressC122 AnnouncementsC123 PressreleasesC124 PressconferenceC125 Newsgroup
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C126 EXTERIORRELATIONSC127 GeneralitatofCatalonia(Regionalautonomousgovernment)C128 GovernmentandadministrationoftheGeneralitatC129 OtherinstitutionsC130 Stateandotherautonomousgovernments’administrationC131 StateadministrationC132 OtherautonomousadministrationsC159 OtherinstitutionsC133 LocaladministrationC134 RegionalgovernmentsC135 LocalcouncilsC136 TownHallsC137 OtherorganismsoflocaladministrationC138 EuropeanadministrationsandorganismsC139 ForeignadministrationsandorganismsC140 InternationalorganismsC141 EuropeanC142 RestoftheworldC143 UniversitiesC144 CatalanuniversitiesC145 SpanishuniversitiesC146 EuropeanuniversitiesC147 SouthAmericanuniversitiesC148 NorthAmericanandCanadianuniversitiesC149 OtherforeignuniversitiesC150 PrimaryandsecondaryeducationcentresC151 Institutions,entitiesandassociationsC152 Businessesandindividuals
C153 INTERNALRELATIONSC154 CollectivebodiesC155 IndividualorganismsC156 Administrativeservicesandunits
C157 CONGRESSESANDCONFERENCES Specificsubdivisions E1Invitations E2Protocol
C158 REPRESENTATION
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D100 HUMAN RESOURCES MANAGEMENT Specificsubdivisions E100Teachingstaff E110Universityteachingbodies E111Universitychair E112Associateprofessor E113Collegeprofessor E114Associatecollegeprofessor E120Actingteacher E130Permanentcontract E131Chair E132Aggregatedteacher E133Permanentassistantteacher E140Temporalcontract E141Associateteacher E142Collaboratingteacher E143Lecturer E144Visitingteacher E145Emeritusprofessor E200Administrationandservicesstaff E210Civilservants E220Internalcivilservants E230Workingstaff E240Temporalworkingstaff E250Highstandingstaff E300Investigatingstaff E310Highlyqualifiedstaff E400Researchstaff E410Researchscholarshipstudent E420Assistant E500Technicalstaff E510Technicalsupportstaff E520Auxiliarysupportstaff E600Staffforaspecifictaskorservice E700Eventualstaff
D101 ACCESS,SELECTIONANDPROVISIOND102 AnalysisofstaffneedsD103 StaffrequestsD104 LabourexchangeD105 OfferofpublicemploymentD106 Workplaceprovisionsandselection
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D107 SelectionfortheprovisionofpostsD108 PublicexaminationsD109 CompetitionofmeritsD110 PublicexaminationcompetitionD111 InternalpromotioncompetitionD112 TransfercompetitionD113 FreedesignationcompetitionsD114 ServicecommissionsD115 Nominations
D116 STAFFRECORDS
D117 INTERIORREGIMED118 Disciplinaryproceedings
D119 WORKCONDITIONSD120 WorkcalendarD121 IncidencesD122 PermissionsD123 LeaveofabsenceD124 HolidaysD125 GeneralincidencesD126 SecondmentD127 StaffremunerationD128 WagesD129 IncomeTaxD130 TrienniumsD131 ComplementsD132 GratificationsforextraordinaryservicesD133 WagereceiptsD134 JudicialretentionsD135 AdvancesD136 CompatibilitiesD137 ServicesofferedtostaffD138 SecurityandhealthD139 WorkhealthD140 EmergencyplansD141 PerformancesD142 Stafftransportationandjourneys
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D143 WELFARED144 SocialsecurityD145 SickleaveandreturningtoworkD146 BookofmatriculationsD147 LiquidationsD148 TC1(documentsreferringtosocialsecurityproceedures)D149 TC2(documentsreferringtosocialsecurityproceedures)D150 RequirementsD151 BenefitsocietiesD152 LiquidationsD153 HealthassistanceD154 IncapacityD155 Specialinsurance
D156 WORKRELATIONSD157 Staffrepresentation Specificsubdivisions: E1ElectionsD158 Staffboard(tradeunion)D159 Workingstaffcommittee(tradeunion)D160 TradeUnionsD161 CCOOD162 SACD163 UGTD164 AgreementandcollectiveconventionD165 NegotiationsandconsultationsD166 ClaimsD167 StrikeD168 Conciliationandarbitration
D169 TRAININGANDPERFECTIONING Specificdivisions E10Internal E11Administrationandservicesstaff E20External E21AdministrationandservicesstaffD170 AnalysisoftrainingneedsD171 TrainingplansD172 TrainingareasD173 AdvancedtrainingandrecyclingD174 TrainingforpromotionD175 Integraltraining
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D176 STAFFMOVEMENTSD177 AdministrativesituationsD178 ActiveD179 ServicescommissionD180 TransferD181 LeaveD182 SpecialservicesD183 SuspensionofdutiesD184 PermutationD185 Cessations
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F100 ECONOMICAL RESOURCES MANAGEMENT
F101 BUDGETPREPARATIONF102 BudgetplanningandeconomicalprogrammingF103 PreliminaryprojectF104 EstimatedrevenueF105 CostestimateF106 OfpropertyF107 Centre’spreliminarybudgetF108 Department’spreliminarybudgetF109 Servicesandunits’preliminarybudgetF110 StaffchapterF111 AmendmentsF112 ApprovedbudgetF113 Extensionofpreviousbudget
F114 BUDGETMODIFICATIONS
F115 BUDGETEXECUTIONF116 Revenuemanagement Specificsubdivisions E1Recognitionoftheright E2Recognitionofincome E3DevolutionofundueearningsF117 PublicpricesF118 DepositsinrestrictedaccountsF117 OtherearningsF120 Accountancyrecords Specificsubdivisions E1Currentexercise E2ClosedexerciseF121 ExpensesmanagementF122 Accountablemanagement Specificsubdivisions E1Economicalmanagementprogramme’saccountancytables E2Diaryofaccountancyoperations E3Diaryofgeneralaccountancy E4Issuingpaymentordersandordersandcommands E5Payments,depositsandextra-budgetaryregisters E6Listsofdepositsandexpenses E7‘Mayordecuentas’[Typeofaccountancybook] E8Auxiliaryregisters
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F123 RegistrybooksF124 Accountancyrecords Specificsubdivisions E1Currentexercise E2ClosedexerciseF125 Accountablemanagementofresearch
F126 ADMINISTRATIVECONTRACTS Specificsubdivisions E1Assistancecontracts E2Supplycontracts E3Workcontracts E4Servicecontracts
F127 LIQUIDATIONANDBUDGETCLOSEF128 OperationsforregularisingandclosingthebudgetF129 AccountancyinformationF130 Memoirs
F131 TREASURYMANAGEMENT Specificsubdivisions E1Bankextracts E2Savingsbank E3TransferordersF132 BankaccountsF133 Treasuryprevisions
F134 FISCALOBLIGATIONSF135 VATF136 IncomeTax
F137 ACCOUNTINGAUDIT
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G100 MANAGEMENT OF PERSONAL ASSETS
Specificsubdivisions: E10Officematerialandequipment E11Inventorialofficematerialandequipment E12Non-inventorialofficematerialandequipment E20Computermaterialandequipment E30Audiovisualmaterialandequipment E40Laboratorymaterialandequipment E41Materialandequipmentforteachinglaboratories E42Materialandequipmentforresearchlaboratories E50Classroommaterialandequipment E60Libraryandarchivematerialandequipment E70Specialmaterialandequipment E80Bibliographicalmaterial E90Vehicles E100Historicandartisticheritage
G101 PURCHASEOFPERSONALASSETSG102 AnalysisofpersonalassetsneedsG103 RequestsG104 HiringG105 ExchangeG106 CessationsG107 DonationsandlegaciesG108 Vendordossier
G109 INVENTORYOFPERSONALASSETS
G110 USAGEOFPERSONALASSETSG111 Maintenance,preservationandrestorationpersonalassetsG112 RemovalG113 Loan
G114 ARRANGEMENTOFPERSONALASSETSG115 LendingG116 EliminationG117 SubtractionG118 Personalassetsinsurance
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H100 MANAGEMENT OF REAL ESTATE
H101 REALESTATEPURCHASEH102 AnalysisrealestateneedsH103 PurchaseH104 DonationH105 LendingH106 ExchangeH107 ExpropriationH108 Lease
H109 Building,suitabilityandimprovement Specificsubdivisions: E1Elprofessionalbuilders E2Buildingcontractor E3RecruitmentcompaniesH110 StudiesH111 PreliminaryprojectsH112 ProjectsandbudgetsH113 Works
H114 REALESTATEINVENTORY
H115 REALSTATEUSAGEH116 Realestatemaintenance Specificsubdivisions: E1Cleaning E2Water E3Electricity E4Acclimatization E5Lifts E6Gardening E7Telecommunications E8Wastedisposal E9Audiovisualfacilities E10Sanitation E11Fireprotectionsystems
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H117 SECURITY
H118 REALESTATEINSURANCE
H119 ENVIRONMETSQUALITYMANAGEMENT
H120 REALESTATEPROVISIONSH121 UseH122 LendingH123 SaleH124 AppropriationchangeH125 LeasingH126 Moving
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I100 GUIDELINES AND JURIDICAL MATTERS
I101 UNIVERSITYRULESI102 StatuteI103 Developmentrulesandguidelines
I104 LAWSANDGUIDELINESENFORCEMENTI105 ReportsandassentsI106 Judicialprocedures Specificsubdivisions: E1Contentiousadministrativejurisdiction E2Socialjurisdiction E3Civiljurisdiction E4Penaljurisdiction E5OtherjurisdictionsI107 Administrativeappeals Specificsubdivisions: E1Academicstaff E2Administrativeandservicesstaff E3Students E4Administrativecontracts E5Heritagemanagement E6Electoralprocesses E7OtherappealsI108 PreviousclaimsI109 Tradereview
I110 INSCRIPTIONSINOFFICIALREGISTERSI111 RealestateregisterI112 IntellectualpropertyregisterI113 LegalregistrationandlegalidentityI114 Patentandtrademarkregister
I115 GRIEVANCESSYNDICATEMANAGEMENTS Specificsubdivisions: E1Academicstaff E2Administrationandservicesstaff E3Students
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I116 ComplaintsproceedingsI117 MediationI118 InterventionreviewI119 Complaintsfollow-upI129 Consultations
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J100 ACADEMIC RESOURCES MANAGEMENT Specificsubdivisions: E10Officialdegrees E11Firstcycle(firsttwoyearsofafouryeardegree) E12Secondcycle(secondtwoyearsofafouryeardegree) E13Thirdcycle(doctorate) E20Owntitles(titlenotapprovedbymaingovernment) E100 Officialuniversitydegrees1 E110Degree E120Post-grad E121Master E122Doctorated E200Owntitles
J101 ADMISSIONJ102 RelationshipwiththesecretaryofficeofattachedcentresJ103 Validationandapproval(compensatingsubjectsfromonecareertoanotherandverificationofmerits)J104 Universityentranceexaminations Specificsubdivisions: E10Secondaryschoolstudents E20Peopleovertheageof25J105 Pre-registration
J106 REGISTRATIONJ107 RegistrationguideandinformationJ108 MatriculationJ109 DegreeverificationJ110 Universityaccessthroughsecondcycle(lasttwoyearsofadegree)J111 MatriculationannulmentJ112 GroupmodificationsandchangesJ113 ManagementofunpaidregistrationfeesJ114 Refundofregistrationfees
J115 STUDENTRECORDS
J116 ACADEMICQUALIFICATIONSANDMERITS
J117 QualificationactsJ118 Prizesanddistinctions
1.ThesesubdivisionswillcomeintoforceinaccordancewiththenewstudyplansoftheEuropeanSpaceofHigherEducation(EEES).
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J119 SCHOLARSHIPS
J120 GRANTSJ121 Generalcompetitiongrantexpedients Specificsubdivisions: E1MinistryofEducationandScience E2BasqueGovernment E3OtherentitiesJ122 Bursaryrecords Specificsubdivisions: E1MinistryofEducationandScience E2UniversityofLleida E3BasqueGovernmentJ123 MobilitygrantsrecordsJ124 StartinggrantsrecordsJ125 Postgraduategrantsrecords Specificsubdivisions: E1MinistryofEducationandScience E2AgencyofUniversityandResearchGrantsManagement
J126 ISSUINGOFDEGREESJ127 DegreerecordsJ128 Degreeregistrybook Specificsubdivisions E1Officialdegrees E2Owndegrees
J129 DOCTORALTHESIS
J130 QUALIFICATIONSASSESSMENT
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K100 TEACHING ORGANIZATION Specificsubdivisions: E10Officialdegrees E11Firstcycle(firsttwoyearsofafouryeardegree) E12Secondcycle(secondtwoyearsofafouryeardegree) E13Thirdcycle(doctorate) E20Owntitles(titlenotapprovedbymaingovernment)
E100Officialuniversitydegrees2
E110Degree E120Post-grad E121Master E122Doctorate E200Owntitles
K101 UNIVERSITYPROGRAMMINGK102 AcademicproposalK103 AuthorizationofnewstudiesK104 StudyplansK105 ApprovalofnewstudiesK106 Creationofcentres,departmentsandinstitutesK107 IntegrationofacademiccentresK108 AttachmentofacademiccentresK109 Academiccalendar
K110 STUDYPROGRAMMESANDPLANSMANAGEMENTK111 DirectivesK112 ProgrammesK113 TrainingcomplementsK114 StudentapprenticeshipsK115 TeachingplansK116 Exchanges Specificsubdivisions: E1Students E2TeachingstaffK117 Teachingmanagement
K118 TEACHINGCONDITIONSK119 Teachingwork-dayandtimetable
2.ThesesubdivisionswillcomeintoforceinaccordancewiththenewstudyplansoftheEuropeanSpaceofHigherEducation(EEES).
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K120 ExaminationcalendarK121 TimetableK122 StudenttutoringK123 ListsofstudentsK124 Studenttabs
K125 OTHERTEACHINGACTIVITIES Specificsubdivisions E1Internal E2External
K126 ACADEMICEVALUATIONK127 ExaminationquestionnairesK128 ExaminationclaimsK129 Tribunalsforthe6thevaluation(astudenthassixopportunitiestopassasubjectinthepresenteducationsystembaseduponcredits)K130 ProjectsK131 Advancementofexaminations
K132 TEACHINGEVALUATIONK133 TeacherevaluationK134 Teachingqualityandimprovement
K135 INTERNATIONALCOOPERATIONACTIONSANDPROGRAMMES Specificsubdivisions: E1Internal E2ExternalorganismsK136 InternationalmobilityprogrammesK137 InternationalcooperationprogrammesK138 Cooperationcompetitionstoencouragedevelopment
K139 INTER-UNIVERSITYCOOPERATION
K140 TEACHINGEXTENSIONK141 PermanenttrainingK142 PedagogicresearchandinnovationK143 TeachingassessmentK144 Universityoutreachprogrammes
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L100 RESEARCH ORGANIZATION
L101 RESEARCHMANAGEMENTL102 Researchgroups Specificsubdivisions: E1DURSIconsolidated(Programmesupportedbyautonomousgovernment) E2UdLconsolidated(University’sownprogramme) E3UdLpre-consolidated(typesofresearchgroups) E4UdLemergent(typesofresearchgroups)L103 Researchstaff Specificsubdivisions:[thefollowingaretypesofresearchgrants] E1RamónyCajal E2JuandelaCierva E3Grantresearchers E4ICREAresearchers E5Highlyqualifiedstaff E6BeatriudePinósL104 Awardedresearchprojects
L105 RESEARCHFINANCINGL106 CompetitioninformationandbroadcastingL107 Conventionsandtransferralofknowledge Specificsubdivisions: E1Contracts E2Businesses E3ResearchcentresandlaboratoriesL108 Researchgrants Specificsubdivisions: E1Statecompetition E2Generalitat[autonomousgovernment]competition E3UniversityofLleidacompetition E4Europeancompetition E5Othercompetitions:localadministration,foundations,businessesandorganismsandforeignentitiesL109 ScientificinfrastructureL110 GrantsthatpromoteresearchstaffmobilityL111 GrantsandprojectsL112 Organizationofcongresses,specialdays,seminarsandreunionsofascientificnature
L113 RESEARCHPROMOTION
L114 RESEARCHEVALUATION
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M100 MANAGEMENT OF THE SERVICES OFFERED TO THE UNIVERSITY COMMUNITY
M101 CULTURALACTIVITIES Specificsubdivisions: E1Training E2Promotion E3BroadcastingM102 TheatreM103 MusicM104 DanceM105 PoetryM106 PlasticartsM107 CinemaM108 Otheractivities
M109 SPORTSACTIVITIESM110 SportsM111 InstallationsandfacilitiesM112 SportServiceCarnetM113 UniversitychampionshipsM114 Highlevelsportspeople
M115 SOCIALPROGRAMMESANDACTIONS
M116 SERVICESFORTHESTUDENTSM117 InformationM118 OrientationM119 EmploymentexchangeM120 Accommodationexchange
M121 UNIVERSITYCARNETMANAGEMENT
M122 LINGUISTICSERVICES
M123 RELIGIOUSSERVICES
M124 STUDENTREPRESENTATIVESANDASSOCIATIONSM125 Studentcouncil Specificsubdivision: E1Elections
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M126StudentassociationsM127Ex-StudentsAssociationM128Registerofassociations
Uniform subdivisions
UO1 REPORTSUO2 STATISTICSUO3 QUESTIONNAIRESUO4 SUBVENTIONSUO5 RESOLUTIONSUO6 AGREEMENTSUO7 INSURANCEUO8 CENSUSUO9 SCHOLARSHIPSU10 ACTS
Nominative subdivisions
Thenominativesubdivisionsincludethegoverningandrepresentingorgans;thedepartments,centresandinstitutes;thedegrees;theser-vices,sectionsandotheradministrativeunits;andthebuildingsandfacilitiesoftheUniversityofLleida.
Whenaunitchangesitsname,thisismarkedbyanarrow( )whichremitstoanactualisedreference.
Rules and procedures for the transference of records
3
The transferral constitutes the physical and legal transfer of the records of the different units and services to the Archives and Records Management Service. It constitutes a means of contro-lling the entered records and it has to guarantee the future good organization of the record keeping and the optimum recuperation of the records and information.
The principle objectives of the transference of records are the fo-llowing:
- The release and efficient use of the space destined to records keeping in the administrative units and services of the Uni-versity of Lleida.
- The involvement and responsibility in the system of records management of the persons in charge of the records keeping of the administrative units and services.
- The efficient use of the archives repository of the Archives and Records Management Service.
- The improvement in the efficiency of records management.
- The improvement in the conditions of retention of records.
- The control and verification of the identity and class of the records.
All the administrative units of the University of Lleida must obli-gatorily transfer their records to the Archives and Records Ma-nagement Service.
The Retention schedule determines the retention period of the records series and states when the administrative unit or service has to make the transference (for more information regarding this point, please consult “Rules and procedures for the appraisal and disposition of records” in this manual). When the Archives and Records Management Commission of the UdL establishes each retention schedule, it decides the most appropriate time of the year for each administrative unit or service to transfer its re-cords. Great care is taken to make this period coincide with a time
when the workload of the sending unit or service is less, so that their habitual tasks are not interrupted.
It is foreseen that the administrative units or services can propose to the Archives and Records Management Service the transferral of records that is not foreseen in the Retention schedule, provi-ded it complies with one of the following situations: when the volume of records does not fit in the unit (we recommend that each unit or service transfer records every year); when the unit has a volume of records that, even though not evaluated, have to be transferred; when there are records in danger due to a lack in the conditions of the facility or environment, etc., or because cer-tain changes have occurred in the functions of the unit or service.
The Archives and Records Management Services has to authorise this transference, once it has analysed the situation with the per-son in charge of the administrative unit or service.
Transference form
The axis of the system of record transference is the transference form, which becomes a juridical, management and search, des-cription tool1:
- It is a juridical tool because it constitutes the only proof of the record transference.
- It is a management tool because the information contained has to facilitate the record processing by the Archives and Records Management Service, as well as an efficient use of the deposits, and the appraisal and disposition of records.
- It is a searching and description tool because it becomes an instrument aimed at investigation.
The transference form has to contain the description of the re-cords that have to be transferred in the way of an inventory of boxes of records. It is of vital importance to give in the records in
1. Alberch, Ramon. “Els arxius: entre la memòria històrica i la societat del coneixement ». UOC, 2003.
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an appropriate order and with a careful description, to ease later file recuperation. An obligatory measure is that each transference form has to contain the record of only one documental series. Furthermore, the form formalises the request of transference and accompanies the record throughout the whole process, from its exist from the sending unit or service till its arrival at the Archives and Records Management Service.
The transference form
The transferral form can be downloaded from the following web page: http://www.udl.cat/serveis/arxiu.html
A. Information of the unit that wishes to transfer the records
1. Name of the unitStandard name of the sending unit or service
2. Name of the sectionStandard name of the sending section, if applicable
3. Person in chargeName of the person in charge of the record transference
4. TelephoneTelephone of the person in charge of the record transference
5. E-mailE-mail of the person in charge of the record transference
B. Administrative information
1. Number of boxes transferred.Total number of boxes of records transferred.
2. DateDate of transference.
3. Code of the sending unit (this has to be filled in by the Archives and Records Management Service)Organic code of the sending unit or service.
4. Transferral number (this has to be filled in by the Archives and Records Management Service)Transference number relative to the annual volume.
5. Registration number (this has to be filled in by the Archives and Records Management Service)The transference registration number that is relative to the start of the standard action, which the Archives and Records Manage-ment Service undertake.
C. Description of the records
1. Ordered number of boxesCorrelatively ordered number of the boxes of records.
2. Classification codeClassification code of the transferred records
3. DescriptionDescription of the records contained in the box of records.
4. Limiting dates of the box of records.Dates of the oldest and most recent records that the box of re-cords contains (in format year-year)
5. Pressmark (it has to be filled in by the Archives and Records Management Service)Notes or comments about the box of records.
Once filled in, the sending unit or service has to print out two co-pies of the form: the first to remain in the sending unit or service, and the second to be sent to the Archives and Records Manage-ment Service.
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Procedure for record transference
1. Notification
Notification to the administrative unit that it can transfer re-cords: this notification has to be given by the Archives and Re-cords Management Service ten days before the date stated on the preservation plan for transferring records. It must be foreseen that the records are in records’ files and sub-files and in standard filing boxes. The administrative unit has to keep to the established term for record transference. In case it cannot do so, it has to inform the Archives and Records Management Service as soon as possible, and agree a different period for transferring the records.
2. Supply and prevision
The sending unit has to foresee the amount of records’ boxes and folders it is going to use during the transference procedure. It has to request the records’ boxes from the Archives and Records Management Service. The standard folders have to be requested directly from the approved printer.
3. Preparing of the transference
The sending unit or service has to identify the records which have to be transferred. Each transferred records’ series has to obliga-torily have its own transference form. We do not accept trans-ference forms which contain more than one documental series. Furthermore, the files must be inducted and filed in accordance with the following criteria:
3.1 Elimination of copies and duplicates of the records of which the original is conserved in the unit. The original copies and the second copies can also be eliminated, when their corres-ponding series have been evaluated or the preservation of the original is guaranteed.
3.2 Elimination of the draft copies used in the elaboration of the definitive record.
3.3 Removal of harmful elements for the preservation of re-
cords: metal paper clips, staples, rubber bands, etc.
3.4 Filing in standard folders and sub-folders. The hanging fol-ders and ringed note books must also be substituted by stan-dard folders and sub-folders, if the file has not been consti-tuted in this way.
3.5 In the case of records that, due to their size or characteris-tics, cannot be filed in standard folders or sub-folders, the Archives and Records Management Service will indicate the most appropriate filing system.
3.6 The records must not be either too tight or too loose, and they must remain in the original series order or that which is considered the most appropriate (as indicated in the pa-ragraph of this manual entitled “Record’s classification and order”). As a general rule, records must be filed in an ascen-ding and chronological order, from the oldest to the most recent.
3.7 The records’ boxes do not have to be labelled with any identi-fying label. The sending unit or service must just write down in pencil, their code, the classification code of the documen-tation the box or boxes contains and the serial number order.
3.8 The filing folders and subfolders have to be labelled in accor-dance with the following guidelines:
3.8.1 Name of the unit or service
3.8.2 Year and volume
3.8.3 Classification code with the applicable sub-divisions
3.8.4 Date of the first and last record incorporated into the file.
3.8.5 Description of the contents
3.8.6 File number
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3.8.7 File registration number
3.8.8 Box number in which the file is located2
The model of the folder label and that of the filing sub-folder can be found on the web page http://www.imatge.udl.cat, in pa-ragraph 3.1.
4. Sending
The sending unit has to send via e-mail a copy of the transference form, and via internal mail the boxes and the transferral form duly signed and stamped.
5. Checking and acceptance of the transference
The Archives and Records Management Service has to control and check the files transferred by the sending unit. In case of error in the boxes or in the transference form, it has to stop the procedure and return the transference to the sending unit so that it can be corrected. In the case that the transference is accepted, the Ar-chives and Records Management Service has complete the fields of the form that pertain to it and sign it to make it valid, at which point the management of the records becomes its responsibility. Last but not least, it has to return a copy of this validated form to the sending unit.
2. Points 3.8.6, 3.8.7 and 3.8.8 have to be introduced by the Archives and Records Management Service, until the administrative unit or service gains access to the necessary computing application.
Final considerations
The transference have to be based upon the enforcement of the following instructions.
The Archives and Records Management Service, as the service responsible for the compliance of these instructions, will not ac-cept transference which do not follow the calendar and proce-dure herein.
The transference form has to accompany the boxes to be trans-ferred at their time of transference to the Archives and Records Management Service.
For more information, contact the Archives and Records Manage-ment Service at [email protected].
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Record transferral form
A. Information of the unit that wishes to transfer the records
Unit (service, area, department, etc.):
Section:
Name of the person in charge:
Telephone number:
E-mail:
B. Administrative information
Number of transferred units:
Transferral date:
(Space reserved for the Archives and Records Management Service)
Code of the sending unit:
Transferral number:
Register number:
C. Document description
Information that must be filled in by the unit that wishes to transfer the records
Information that must be filled in by the Archives and Records Manage-
ment Service
Order number
Classification code
Description Date of first and last docu-ment contained in the file1
Signature Observations
Observations:
The person in charge of the unit Received by the technical staff of the Archives and Records Manage-ment Service
Date:
(Signature and stamp of the unit) (Signatura and stamp of the Ar-chives and Records Management Service)
Rules and procedures for records appraisal and disposition
3
To manage the administrative records of the institution in an effective and profitable way, the University of Lleida needs to de-velop a Retention schedule. The Retention schedule gathers the appraisal and disposition rules in which the needs of the user are identified, the records and administrative files are examined to determine their value, the essential records and those of historic value to the University are identified, the documental volume is reduced through the elimination of useless records and the sta-te of preservation of the records is improved, with a consequent reduction in costs.
The rules of appraisal and disposition determine the period and place of preservation of the records from their creation until their elimination, and foresee the accessibility and the final placement of all the series and record types that the UdL generates in the carrying out of its administrative, academic and scientific activity. In order to establish these appraisal and disposition rules it is necessary, firstly, to identify the produced or received records in the context of the activities of the University.
The group of said rules constitute the Retention schedule, which is the principal element of the records management system of the University, along with the classification plan, and which consti-tutes the way the external rulings on questions of appraisal and disposition of records, are complied with in our institution. The preservation plan is elaborated from the classification plan. This plan allows for the planning of the transference of the docu-ments to the archives repository.
The Retention schedule of the UdL gathers the entire retention schedule which is applicable, and approved by the National Com-mitee of Records Access, Appraisal and Disposition of Catalonia, which determine the terms of appraisal and disposition of public files and records. As a general rule, to eliminate records stored on any type of support, the criteria foreseen in the retention schedu-le must be followed, and said records must be sent to the Archives and Records Management Service to be eliminated.
As specified in its functions, the Archives and Records Mana-gement Commission of the UdL is in charge of ‘establishing, in accordance with administrative, judicial and historic criteria, the retention periods of the records throughout their life cycle and
the determining of their accessibility. Furthermore, it standardi-ses the appraisal and disposition procedure of records, and makes sure these are correctly applied in accordance with the proposals approved by the National Commitee of Records Access, Appraisal and Disposition of Catalonia.
Information elements of the retention schedule of the UdL
Class/subclass
Class or subclass to which the record series or type belongs; the classes constitute the principle functions in which the university activity is specified, whereas the subclasses correspond to ma-nagement or exploitation sub-functions which have been fixed in the classification plan of the UdL, and regroup the divisions relative to these activities.
Division
Division to which the record type belongs: it corresponds to the specific activities carried out in the University that, at the same time, can be subdivided into other actions and which are linked to the more general functions of university activity.
Uniform subdivisions/ specific subdivisions/ nominative subdivisions
If applicable, we must specify the uniform, specific or nomina-tive subdivisions to which the record series or type belongs. The uniform subdivisions complete the identification and definition of the matter of some of the records or files. The specific sub-divisions allow the identification and definition of the matter of some of the records and files to be completed; they also allow for the completion of the identification of the records that have to be classified when to do so is possible. The nominative subdivisions correspond to the classification level that allows for the identi-fication of a specific file which relates to a person, organism or institution, study, building, etc.
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Records typology
Type of record or group of records with any form and on any support, which is processed together and, as such, forms the basis of a unique or singular description.
Model
It identifies whether the model is principal or secondary. We are referring to a principle model when it contains original informa-tion or an original copy about an activity or action. Whereas, a secondary model, if one exists, is that used as a work instrument, for information or distribution, because it is generally a part or a copy of the principle model, and it usually has a shorter preser-vation date.
Unit
It identifies the unit which is responsible for each principle model, or other units in the case of the secondary model.
File processing
It identifies the processing in the life cycle of a record (active, semi-active or inactive).
Active
This to the administrative records that a unit sends or habitually uses in its activities.
It is identified with the numbers 888 or 999.
888: To indicates that the file is active in the service or unit until it is processed or until the procedure is complete.
999: To indicates that the file is active in the service or unit until it is substituted by a new one.
Semi-active
This refers to the administrative records that, once the ordinary procedure has finished, are not used on a regular basis by the unit that has created thet while carrying out its activity.
They are transferred to the records’ deposit.
Inactive
This refers to the administrative record that, once the immedia-te administrative validity has reached its end, still possesses an important cultural, historic or informative nature. It is identified with a C or an E in Catalan, depending on whether it is preserved or eliminated.
Support
It identifies the document record, that is, wheather it is, paper, electronic, audiovisual, etc.
Resolution
This refers to the resolution of the National Commitee of Records Access, Appraisal and Disposition of Catalonia, upon which the resolution of the Archives and Records Management Commission of the UdL is based.
DOGC
This refers to the example number and order of the ‘Diari Oficial de la Generalitat de Catalunya’ [Official Journal of the Generalitat of Catalonia], where the resolution of the National Commitee of Records Access, Appraisal and Disposition of Catalonia is publis-hed.
Access
This informs of the access conditions which each processed re-cord type has.
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Essential
This identifies the essential or unessential condition of the record types.
Transferral date
This refers to the period of the year in which the records must be transferred to the Archives and Records Management Service.
Date of the agreement of the Archives and Records Management Commission
This refers to the date in which the preservation plan was passed by the Archives and Records Management Commission.
Observations
This refers to observations about any aspect related to the re-cords.
Guidelines for records elimination
The UdL, as a direct consequence of its activity, generates a whole series of records that, once used in the management and con-sultation of the different administrative units or services, can be eliminated. The following are the documents that must be elimi-nated:
- The copies or duplicates of original records which can be lo-calised and are in a good state of preservation.
- The copies or duplicates of accounts, when the original is un-der the custody of the Economical Area of the UdL.
- The internal notes and e-mails, when they do not constitute a part of an administrative procedure.
- The previous versions of original or definitive records, as well as the rough copies which have been used in their confection and elaboration.
- The propaganda and informative documents whose useful-ness is purely informative or of reference.
- Catalogues and commercial propaganda.
- Faxes, when the originals of the records are preserved, or whenever they are not included in an administrative proce-dure.
Rules and regulations for the consulting and loaning of records
3
Access to the records generated by the activity of the UdL is regu-lated by chapter I of the title II of the Operating regulation of the Ar-chives and Records Management Service of the University of Lleida.
The Archives and Records Management Commission is the organ in charge of fixing the access criteria for each of the documental typologies which constitute the cultural heritage of the Univer-sity, based upon the resolutions of the Committe of Records Ac-cess, Appraisal and Disposition of Catalonia. They must guarantee at all times the compliance with the organic Law 15/1999, from the 13th of December, of personal data protection, and with the other applicable legislation.
Both the procedure for consulting and loaning documents has to be managed by the Archives and Records Management Service, through the applicable forms. The Archives and Records Manage-ment Service can only deny the access to public documents, in compliance with the established legal limitations or when it poses a risk for the conservation of its patrimony.
Consulting of records
The consulting of records generated by the activity of the UdL can take the form of an internal consultation or external consultation.
An internal consultation is any petition to access records which originates from a unit or service of the University. In the case that the unit requesting the consultation does not coincide with the one who produced the records, the Archives and Records Man-agement Service sends an access request to the producing unit. In the case of an affirmative response, the set out procedure must be followed. To consult records with a historic value, the Archives and Records Management Service follows the guidelines fixed by the Archives and Records Management Commission. This Com-mission is in charge of fixing the criteria for the free accessibility or the restriction to each one of the series that constitute the cultural heritage of the University, in accordance with the ap-plicable law.
An external consultation refers to any petition to access records which proceed from a physical or juridical person who does not
belong to the University. To consult the documentation, the Ar-chives and Records Management Service must follow the guide-lines fixed by the Archives and Records Management Commis-sion, observing the criteria for free accessibility or the restriction for each one of the series that constitute the documental patri-mony of the University, in accordance with the applicable law, as has been indicated beforehand.
In both cases, the consultation of records must be done in the facilities of the Archives and Records Management Service.
The users, be they internal or external, are responsible for the in-tegrity of the resources while they are consulting them.
The consultation form
The fields of the consultation form are the following:
A. Records information
1. Records series or typeDocumental series to which the requested record belongs
2. Classification codeCode from the classification table of the UdL to which the re-quested record belongs
3. YearYear of the requested record
4. File numberIf applicable, file number of the requested record
5. Other information of interestAny other information related to the requested record
B. Information of whom is making the request
1. UnitUnit of the UdL unit which is requesting the record
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2. SectionSection of the UdL which is requesting the record
3. ApplicantName of the person who is requesting the record
4. National Identification DocumentNational Identification Document number of the person who is requesting the record. This information is only necessary when the applicant does not belong to the UdL.
5. Telephone numberTelephone number of the person who is requesting the record
6. E-mailE-mail of the person who is requesting the record
C. Application date
Date the record was applied for.
D. Consultation date
Date the record was consulted. This date has to be filled in by the Archives and Records Management Service.
E. Observations
Any type of observation related with the requested record. This paragraph has to be filled in by the Archives and Records Man-agement Service.
Procedure for consulting records
1. Consultation form
If the application comes from a unit or service of the UdL, the cor-responding form can be found on the web page http://www.udl.cat/serveis/arxiu.html or it can be requested from the following e-mail address [email protected].
If the application comes from someone who does not belong to the UdL, the form can be obtained by sending a message to the following e-mail address [email protected].
2. Checking of accessibility
The Archives and Records Management Service has to check that the file is accessible, in accordance with the applicable laws and rules.
3. Search for the file’s reference number
The Archives and Records Management Service has to use its computer applications to search for the reference number of the requested file.
4. Localization of the file in the deposit
The Archives and Records Management Service has to localise and recuperate the file from the deposit. If the consultation ap-plication is internal, once the file has been located, the Archives and Records Management Service has to communicate to the re-questing unit that it has the file.
5. Consulting of the file
The consulting of the file has to be carried out in the Archives and Records Management Service, which have to guarantee the consultation of the records on supports other than paper, and the possibility to make copies of the requested documentation.
Once the file has returned to the deposit, the procedure is consid-ered to have concluded.
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6
Form for consulting records
A. Record information
Record series or type:
Classification code:
Year:
File number:
Other information of interest:
B. Information of the person making the request
Unit (service, area, departament, etc.):
Section:
Name of the person making the request:
National Identification Document or Passport number (only in the case of external requests):
Telephone number:
E-mail:
C. Date of request
This part must be filled in by the Archives and Records Management Service
Date of consultation:
Observations:
By the unit By the Archives and Records Man-agement Service
(Signature and stamp of the unit) (Signature and stamp of the Ar-chives and Records Management Service)
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Records loaning
To complete or give continuity to an administrative procedure, the administrative units or services of the UdL have the possibility to request the loan of records with an administrative value which have been transferred to the Archives and Records Management Service.
The loan of records is of a temporal nature – 15 days, with the possibility to extend the loan another 15 days. Once the records are no longer needed, they have to be returned to the Archives and Records Management Service. The units can only request the loan of the records they have produced. If the request is accepted the loan will be carried out following the established procedure.
The users who request files are responsible for their integrity dur-ing the whole time the loan lasts.
The loan form
The fields of the loan form are the following:
A. Information referring to the record
1. Documental series or typeDocumental series to which the requested record belongs
2. Classification codeCode of the classification table of the UdL which corresponds to the requested record
3. YearYear of the requested record
4. File numberIf applicable, file number of the requested record
5. Other information of interestAny other information related to the requested record
B. Information of the applicant
1. UnitUnit of the UdL which is requesting the document.
2. SectionSection of the UdL which is requesting the record.
3. ApplicantName of the person who is requesting the record.
4. Telephone numberTelephone number of the person who is requesting the record.
5. E-mailE-mail address of the person who is requesting the record.
C. Application date
Date of application of the record.
D. Loan date
Loan date of the record. This date has to be filled in by the Ar-chives and Records Management Service.
E. Date of return
Date of return of the file. Fifteen days after the loan date. This date has to be filled in by the Archives and Records Management Service.
F. Observations
Any type of observation related to the requested record. This paragraph has to be filled in by the Archives and Records Man-agement Service.
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Procedure for the loaning of records
1. Loan form
The request from the unit or service of the UdL must be done us-ing the accepted form, which can be obtained from the web page http://www.udl.cat/serveis/arxiu.html
2. Checking of its loan status
Once the Archives and Records Management Service receives the request, it has to check that the requesting unit can request the loan of the file.
3. Search for the file’s reference number
The Archives and Records Management Service has to look for the reference number of the requested file with its computer ap-plication.
4. Localization of the file in the deposit
The Archives and Records Management Service has to localise and recuperate the file from the deposit. Once found, the Archives and Records Management Service has to substitute, in the file box, the requested file with a copy of the loan form, which serves as a testimony of the loan.
5. Sending of the file
The Archives and Records Management Service has to send via internal mail the file, together with a copy of the loan form of the file. The original form has to remain in the Archives and Records Management Service.
6. Return of the loan
Once the 15 day loan period has concluded, the requesting unit has to send, via internal mail, the file and the adjoined form to the Archives and Records Management Service.
The Archives and Records Management Service can extend the loan period when the requesting units justifies it.
7. Checking that the loan has been returned
The Archives and Records Management Service has to check that the returned file is complete. If it is complete it has to send via internal mail a copy of the loan form signed to the requesting unit and it has to return the file to the deposit and substitute the copy of the form deposited in the file box. This copy has to be destroyed once the change has taken place. If it is not complete, the Archives and Records Management Service must demand it from the requesting unit.
Once the loan form has been returned to the requesting unit and the file has been placed back in the deposit, the procedure is un-derstood to be completed.
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10
Form for loaning records
A. Record information
Record series or type:
Classification code:
Year:
File number:
Other information of interest:
B. Information of the person making the request
Unit (service, area, departament, etc.):
Section:
Name of the person making the request:
National Identification Document or Passport number (only for exter-nal requests):
Telephone:
E-mail:
C. Date of request
This part must be filled in by the Archives and Records Management Service
Date of loan:
Return date:
Observations:
By the unit By the Archives and Records Manage-ment Service
(Signature and stamp of the unit) (Signature and stamp of the Archives and Records Management Service)
Definitions
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The Archives and Records Management Service is the unit in charge of the functions of organization, supervision, manage-ment, description, preservation and diffusion of records and ar-chives1.
The integral Records Management and Archives System is the set of operations and techniques, which are integrated into the general administrative management, and are based on the analysis of production, processing and the values of the records, which are destined to planning, control, usage, preservation and elimination or transferral of the documents to a records’ archive, with the aim to rationalizing and unifying their processing and obtaining an effective and profitable management2.
An information system incorporates, manages and facilitates the access to records over time.
The life cycle of records refers to each one of the stages through which records successively pass, from their time of creation in the offices until they are eliminated or transferred to a records’ keep-ing institution to be preserved3.
Records in active phase refers to the administrative documenta-tion that a unit habitually processes or uses during its activities4.
Records in semi-active phase refers to the documentation which is not used habitually by the unit that has produced it dur-ing its activity, once an ordinary process has reached its end5.
Inactive records or historical records which have values that are primarily of a cultural or informative character, once the immedi-ate administrative effect has concluded6.
1. Law 10/2001, from the 13th of July, of archives and records. Art. 2.2. Law 10/2001, from the 13th of July, of archives and records. Art. 2.3. ALBERCH, R. Els arxius, entre la memòria històrica i la societat del coneixement UOC. Barcelona, 2002, p. 197.4. Law 10/2001, from the 13th of July, of archives and records. Art. 2.5. Law 10/2001, from the 13th of July, of archives and records. Art. 2.6. Law 10/2001, from the 13th of July, of archives and records. Art. 2.
Units and services are the units which are in charge of the control, description and custody of documentation in its active phase, by means of the application of methods and techniques included in the integral Records Management System7.
The preservation plan is the list of retention periods fixed for the set of the institution’s administrative records, which determines the supports and places where active and semi-active records should be preserved, as well as indicating which inactive docu-ments should be permanently preserved and which eliminated8.
The classification plan is the hierarchical and logical structure which allows the identification of an institution’s administrative records9.
The word ‘transferral’ refers to the record keeping operation which occurs once the preservation term of documents in their production units has concluded, when these documents have to be transferred to the records’ archive in an obligatory way or in accordance with applicable laws10.
A series is a set of homogeneous documental units which are organised in accordance with a classification plan or preserved as a unit, as a result of the same formation or classification process, or the same activity, because they have the same typology; or because of any other relationship derived from their production, reception or use11.
A file is a set of records produced about a same subject and in accordance with a procedure.
7. Records’ Management regulation. Pompeu Fabra University. Approved during the session of the Governing Board, December, 2nd, 1999. Art. 5. 8. ROBERGE, M. La classification universelle des documents administratifs.Documentor. La Pocatière, 1985. p. 75.9. ROBERGE, M. La classification universelle des documents administratifs.Documentor. La Pocatière, 1985. p. 75.10. LLANSÓ, J. Buenas prácticas en gestión de documentos y archivos.Universidad Pública de Navarra. Pamplona, 2006. p. 250.11. Rule of records’ keeping description in Catalonia (NODAC) 2007. Gen-eral Sub-direction of Records Management and Archives. Barcelona, 2007. p.27.
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Retention schedules are those applied to public records which determine for each documental series, the preservation term or the criteria about the application of the grudelines which rule the access to documents. The Commission of Records’ Access, Evalu-ation and Appraisal of Catalonia prepares these evaluation and records’ access tables and offers them to the counsellor in charge of cultural matters so that he or she can approve them by means of an order12.
The word ‘access’ refers to the right, the way and the means to localize, use or recuperate information13.
12. Decree 13/2008, from January 22nd., about Records’Access, Evaluation and Appraisal. Art. 10.13. UNE-ISO 15489-1. Information and documentation. Records Manage-ment. Part 1: General. AENOR, 2006. p.7
This document has been elaborated and coordinated by the Archives and Records Management Service.
Edition: Archives and Records Management ServiceUniversity of Lleida1, Víctor Siurana SquareE-25003 LleidaPhone +34 973 70 20 05E-mail: [email protected]://www.udl.cat/serveis/arxiu.html
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DL: L-1354-2009
