DP and FOI office

Records Management Policy

1.0 Policy Statement

The University of Glasgow, as a Scottish Public Authority, is committed to meeting the requirements of the Section 61 Code of Practice: Records Management that accompanies the Freedom of Information [Scotland] Act 2002 (“FOISA”), and the Eight Data Protection Principles of the Data Protection Act 1998. The University will manage its records effectively and efficiently, in accordance with the University’s corporate file plan and records retention schedule, to support all of its business activities in line with University strategy and to meet statutory and regulatory requirements.

2.0 Scope of the Policy

The University of Glasgow’s records need to be maintained and disposed of according to specific rules, in order to ensure that they are reliable and secure, and that they will meet statutory; regulatory; administrative and accountability requirements.

Definitions:

  • Records management is the field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records. (ISO 15489).
  • Record: Information created, received, and maintained as evidence and information by an organisation or person in pursuance of legal obligations or in the transaction of business (ISO 15489)
  • Retention schedule: Actions for the management, and dates for the disposal of records in a particular class determined on the basis of administrative; legal; fiscal and audit requirements
  • Disposition: The final action on a series of records, e.g. destroy, permanent preservation
  • Archives: Records selected for permanent preservation as part of the University’s corporate memory and as a resource for research
  • Functions: what an organisation is responsible for doing in order to fulfil its role.
  • Activities: what an organisation does in order to fulfil its functions.

3.0 Objectives

All University staff are involved in the creation; receipt; management and disposition of University records. It is therefore essential to ensure that everyone is aware of their records management responsibilities and of the importance of records management. Systematic records management is fundamental to the operation of the University and this policy will ensure that responsibilities are allocated in relation to the information that members of staff produce and process.

A small percentage of records will be selected for permanent preservation as part of the University’s Archives, in order to provide an enduring record of the conduct of University functions, business and people, and also to provide a resource for research.

4.0 Responsibilities

4.1 The Data Protection and Freedom of Information Office is responsible for:

  • Strategic records management and the development of guidance and detailed training for all staff on  records management
  • The development and maintenance of the University’s records management programme, including the development of records management policy  and a corporate file plan
  • Co-ordination of all complaints from, and investigations by, any relevant third-party such as the UK Information Commissioner or the Scottish Information Commissioner on records management issues
  • The development and maintenance of policies and procedures, in conjunction with Archive Services, on the use of the University Records Centre for the secure storage and retrieval of semi-active records 

4.2 All members of staff who create, receive, manage, or dispose of records have responsibilities outlined in this policy and must ensure that records are accurate, organised, and disposed of according to the University’s agreed classification and retention schedule. Specifically, members of staff are responsible for:

  • Familiarising themselves with this Policy and University records management guidelines
  • Seeking advice from the Data Protection & Freedom of Information Office when there is uncertainty about the appropriate action to take with respect to the management of records
  • Managing records in accordance with University procedures

4.3 Heads of Department are responsible for ensuring compliance with this Policy and for promoting good records management practice.

This Policy was approved by the Information Policy and Strategy Committee at its meeting on 4th December 2006.