Records Management Policy
1. Introduction
Queen's University can trace its roots back to 1845 when it was established as one of three Queen's Colleges in Ireland. It is the second oldest university in Ireland, and the ninth oldest in the United Kingdom. Queen's became a university in its own right under the terms of the Irish Universities Act 1908 following the signing of a Royal Charter by King Edward VII in the same year. The University is an autonomous body which has the status of a charitable institution.
2. Policy Statement
As a public body the University is required by law to manage its records efficiently. Legislation such as the Data Protection Act 1998 and Freedom of Information Act 2000 set out specific requirements in relation to the creation and management of records.
The University recognises that the efficient management of its records is necessary to support its core functions, to comply with its legal and regulatory obligations and to contribute to the effective management of the institution. Effective records management will help ensure that the University has the right information at the right time to make the right decisions. It will provide evidence of what the University does and why, therefore protecting the interests of the University and its staff.
Records, and the information they preserve, are an important corporate asset. The University is committed to creating and managing its records efficiently,
making them accessible where possible, protecting and storing them securely and disposing of them safely at the right time.
This policy, which has been designed according to the requirements of the international standard for records management BS ISO 15489, will provide the framework through which effective records management can be achieved and audited. To support this policy both new and existing staff will receive
3. Scope
This policy applies to all records, regardless of form or format, created, generated, received or maintained by staff employed by the University in the course of carrying out their corporate functions and activities. Records created, received and/or maintained in these circumstances become University property and are subject to University policy. Employees leaving the University or
changing positions within it are required to leave all records for their successors. This policy applies equally to all categories of staff (permanent and fixed term) at all levels of the University as well as contractors, consultants and secondees to the University who have access to its records. Records and documentation created in the course of research, whether internally or externally-funded are also subject to contractual record-keeping requirements.
4. Definitions
Information
Information is a corporate asset. The University’s records constitute its corporate memory and are important sources of administrative, evidential and historical information vital to both the University’s business operations and in meeting its legal obligations.
Records
Records are recorded information created or received by the University in the transaction of its business or conduct of its affairs and retained by the University as evidence of such activity1. A record can also take almost any form and can include:
Documents (written, typed and annotated copies)
Computer files (databases, spreadsheets and presentations) Paper based files
Email messages Reports
Fax messages
Records Lifecycle
All records have a lifecycle that begins with their creation and use (current), their maintenance for legal, financial or administrative reasons (semi-current) and ends with their disposal when they are no longer required for business
current). At this point, depending on their value, records are either destroyed or maintained permanently within the University Archive as historical records.
Records Management
This is the administrative discipline concerned with the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records in order to maintain evidence of and information about business activities and transactions.
5. Aims and Objectives
The principal aim of the Policy is to provide a framework for records management that will facilitate the improvement of the creation and management of authentic, reliable and useable records. Specific objectives are set out below:
To establish records management as a basic business activity and give policy support to activities that improve records management practice across the University;
To improve the speed and efficiency with which information is retrieved; To ensure that records vital to the overall operation of the University are
identified and preserved;
To ensure that all records are protected and kept secure in a manner commensurate with their value;
To ensure that records are maintained for as long as they are required and no longer ie retention scheduling;
To ensure that definitive records are the responsibility of those parts of the University or persons designated as the official record holder;
To optimise the use of University space for storage purposes;
To ensure that records management policy and practice meet the requirements of the legislative and regulatory environment within which the University operates.
6. Responsibilities
Registrar and Chief Operating Officer
As a public body the University has a corporate responsibility to ensure that its records are managed well and in accordance with the regulatory environment. This responsibility is exercised by the Senate of the University under the management direction of the Registrar as the head of the institution’s administration.
Senior Management
Heads of individual Schools and Directorates must ensure that records for which they are responsible are accurate, and are maintained and disposed of in accordance with the University’s records management guidelines. All records within a School/Directorate should have an identified ‘owner’ responsible for their management and use.
University Records Manager
The Record Management function is located within the Information Services Directorate and the position of University Records Manager is a professional post occupied by an appropriately qualified and experienced individual.
The University Records Manager is responsible for:
Ensuring that the records management policy and associated procedures are relevant and up to date
Raising staff awareness of records management best practice Providing advice and guidance to Schools and Directorates
Promoting compliance with the records management policy and procedures
Developing, in conjunction with relevant staff, retention and disposal schedules for University records utilising the generic JISC2 model retention schedule
Records Liaison Officers
Records Liaison Officers (RLOs) are appropriate individuals within each School/Directorate that have been nominated to liaise with the University Records Manager regarding local records management issues and concerns.
Staff
All staff employed by the University are responsible for the proper management of the records they create and use in line with the University’s policies and procedures.
Contractors, consultants and secondees
Contractors, consultants and secondees who have access to the University’s records are responsible for ensuring that they do so in accordance with the University’s policies and procedures.
7. University Archive
The University Archive preserves those institutional records that are judged to possess enduring historical value. Responsibility for the University Archive rests with the University Archivist. The University Archive policy informs collection of materials and responsibility for this lies with the University Archivist.
8. Relationship with Existing Policies
This Policy has been developed and revised to be consistent with other University policies, specifically:
Freedom of Information policy
http://www.qub.ac.uk/home/RegistrarsOffice/InformationComplianceUnit/FreedomofInformation/#d.e n.3357
Data Protection policy
http://www.qub.ac.uk/home/RegistrarsOffice/InformationComplianceUnit/DataProtection/UniversityP olicy/
Information Security policies
http://www.qub.ac.uk/directorates/InformationServices/StaffComputing/ITServices/SecurityandAnti-Virus/SecurityPolicies/
Archive policy
9. Review and Amendment
This Policy Statement, and all associated materials and procedures will be reviewed at least once every three years and, if necessary, amended to maintain its relevance within the University and to ensure continued compliance with relevant legislation.
10. Policy Adoption and Contact
The original Queen’s University Belfast Records Management Policy was adopted by Senate on 8 April 2003.
