Document Approval and Version Control

Vital Records Guidelines

Document Filename
Version / 0.3
Information Classification / Unclassified
Status / Draft
Date / 24 August 2017
Policy Owner / Jean Ash
Policy Contact /

Title/Role / Name of Approvers (s) / Date
Glasgow Caledonian
Revision / Status / Author (s) / Reviewed By / Approved By / Issue Date
0.1 / Draft / Jean Ash
Acknowledgements
North Ayrshire Council
Iron Mountain

Contents

Section / Content / Page
1 / Purpose / 3
2 / Definitions / 3
3 / Responsibilities / 3
4 / How to Protect / 4
5 / Supporting Documents / 4
6 / Review / 5
7 / Information / 5
8 / Glossary / 5

1.Purpose

These guidelines aim to explain the role of vital records, how to recognise them and how to protect them.

The adoption of the approach will assist the University in complying with Section 61 of the Freedom of Information (Scotland) Act 2002 which requires organisations to manage their records effectively.

2.Definitions

2.1 What are vital records?

Vital records are records which are essential to the University’s operationwhich, if lostordestroyed, wouldseriously impairor disrupt operations andmight placetheUniversityinlegalorfiscal jeopardyormight jeopardisetherightsofindividuals.Only a very small number of records are vital. There are two types of vital records:

1. Records that enable the organisation to continue functioning in the event of disruption or disaster. These may contain information needed to re-establish the organisationin the event of a disaster that destroys all other records. Being unable to access vital records for a few hours or days could have a serious impact on the business of the University.

2. Records that the University does notneed to look at very often but which are irreplaceable and the long term consequences of their loss would be serious. Loss of such records could have legal or financial implications.

Examples of vital records includecontracts, patents, deeds, plans, blue prints, drawings, certain historical records, and certain records of current and past students. They may be held in any format including paper and electronic formats.

2.2 Vital records and business continuity

Vital Records Management and Business Continuity are important aspects of records management. Business continuity planning should consider the consequence for each School/Department if they are unable to access records. The procedures that are in place should reflect how urgently Schools/Departments need access to these records.

2.3 Factors to consider

When identifying Vital Records, the following should be takeninto consideration:

Which records would the University need to continue its business if the building were to remain inaccessible for a few weeks or if systems were down for a few hours?
Could the University continue without these records?
Which records document legal obligations on the University?
Which records document the rights of students, staff or organisations with which the University does business?

3.Responsibilities

The University recognises the following:

Each Department/School is responsible for its own records. In addition, all staff are responsible for working with records in line with the Information Retention and Disposal Guidelines

Regardless of medium or format, records which are vital to the work of the University will be identified and protected.

4. How to protect Vital Records

There are two main ways of protecting vital records: duplication and dispersal; and secure storage.

4.1 Duplication and dispersal

Duplicationand dispersal applies to paper copies and means making a copy of a record, either by photocopying or scanning, and storing the copy and the original in different places, sufficiently far from each other that is extremely unlikely that both the original and the copy could be simultaneously destroyed. Records many be vital for differing lengths of time and vital records should be listed separately on the Records Retention Schedule.

4.2 Secure storage

Electronic records, including scanned versions, should be held on shared servers which are backed-up on a regular basis. They should not be held on individuals’ computers.Electronic versions of vital records will be stored where they can be accessed off campus via vpn/internet access.

For hard copy records, locked filing cabinets should be used in locked cupboards or offices. The University has a secure Records Centre,operated by Governance, for the storage of inactive records for a limited period of time and the University Archive,in the Library, stores documents of enduring value. There is also a Fire Safe, operated by the University Executive for the storage of specifically identified records.

Mandatory information security awareness training is organised by the University for all staff.

A listing of all vital records,including the location and the location of any associated keys or safe combinations, should be maintained by Departments/Schools and be noted in their Records Retention Schedule.

5. Supporting Documents

Records Retention Schedules:

Information Retention and Disposal Guidelines:

Information and Records Management Policy:

Handling and classification policy:

Records Management:

University Archives:

6.Review

The Department of Governance is responsible for keeping these guidelines current. This guidance will be reviewed every two years or more frequently as required.

7.Information

If you have any questions regarding this policy please contact Information Compliance. ()

8.Glossary

Archives: Records that are selected for permanent preservation as part of the University’s corporate memory and for research purposes.
Record: Informationcreated, received andmaintained asevidence andinformationby an organisationor person, in pursuanceof legal obligations orin the transactionof business.
Records Management:Fieldofmanagement responsiblefortheefficient andsystematiccontrolof the creation, receipt,maintenance,useanddispositionof records.
Vital Records: Records which are essential to the University’s operationwhich, if lostordestroyed, wouldseriously impairor disrupt operations andmight placetheUniversityinlegalorfiscal jeopardy (ormight jeopardisetherightsofindividuals).
In-active Records: Records which are not referred to regularly but require to be retained for business or legal/regulatory reasons.
Disposal: The decision as to whether the record should be destroyed or transferred to an archive service for permanent preservation and putting into effect that decision.