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Records Retention Schedule for files relating to information management.
Information management is made up of the following headings:
- 6.1 IT systems
Ref Record group Examples Trigger Retention Citation Notes 6.1.1 Initial development and post-implementation modification and maintenance of IT systems. Network configuration and maps;
Change control documents.Decommissioning of system. 5 JISC 6.1.2 Management of IT systems development projects. Project management documents. Termination of project. 5;
REVIEWJISC 6.1.3 Routine monitoring and testing of the operation of IT systems, and action taken to rectify problems and optimise performance. Usage reports;
Network traffic logs;
Network alerts;
System Logs;
Audit and exception files produced during network and email use;
History files produced during network and email use.AY 1 JISC 6.1.4 User requests for support or reporting of faults and action taken to investigate and resolve the problem. Call logs;
Incident reports;
Job sheets;
Communications with helpdesk.Last action on fault. 1 JISC 6.1.5 Management of system data storage, including the operation of routine data backup, archiving and deletion routines. Server maintenance log sheets;
Backup reports;
Registers of backup tapes.AY 1 JISC 6.1.6 User requests to recover data from backup or archive stores, and action taken. Last action on request. 3 months JISC 6.1.7 Maintenance of appropriate software licences for live IT systems. When superseded. 0 JISC 6.1.8 Records of the opening, maintenance and closure of user accounts for IT systems. Registration forms;
Auditable log of account administration activity within identity management service;
Requests for account closures.Closure of account. 1 JISC This entry replaces 7.1.11 and 7.2.1 in the current schedule. 6.1.9 Records of used email addresses to prevent reissue. Closure of account. 30 UCL New entry. 6.1.10 Removal/return of mobile IT systems hardware and software from/to the institution's premises. Disposal of equipment. 3 months JISC New addition in consultation with Rob Silk. 6.1.11 Arrangements for the sanitisation of institutional IT equipment prior to disposal. Disposal of equipment. 3 UCL New addition in consultation with Rob Silk. Retention period extended to account for complaints against 3rd party. 6.1.12 Security arrangements for IT systems. Requests for SSL certificates;
Device hardening plans;
Penetration testing reports.Decommissioning of system. 5 JISC 6.1.13 Monitoring of the use of IT systems to ensure compliance with legal requirements and institutional policies. Monitoring forms;
Case files.Closure of case. 1, then transfer for retention as part of HR files where relevant. JISC UCL Policy on Monitoring Computer and Network Use. 6.1.14 Records of attempted or actual security breaches of the institution's IT systems, and action taken. Investigation reports. Last action on incident. 1 JISC 6.1.15 Requests for, and authorisation of, connections of third-party equipment to the institution's networks, either on institutional premises or via dial-up communications links. Departmental Network;
Administrators authorisations.Termination of connection. 1 JISC;
Connection to network policy.6.1.16 Connection of third-party equipment to the UCL networks: IP address allocation. DHCP logs. Date of allocation. 6M UCL
Connection to network policy.- 6.2 Information assets
Ref Record group Examples Trigger Retention Citation Notes 6.2.1 Applications for permission to copy from published works which are not covered by Copyright Licensing Agency licences, where permission is granted. Period for which permission is granted. 6 Limitation Act 1980, s.5. 6.2.2 Copyright declaration forms;
CLA Audits;
Logs of copying and recording carried out under licence.AY 6 Limitation Act 1980, s.5. 6.2.3 Intellectual Property Rights (IPR): Records of the institution's applications for patents. Patent applications, certificates of grant, supplementary certificates, extensions. PERMANENT PERMANENT UCL 6.2.4 Records of the institution's applications for other forms of IPR protection (registered trademarks, registered designs) and certificates of registration. Applications, trade mark certificates. PERMANENT PERMANENT UCL 6.2.5 Records of the negotiation and completion of IPR licence agreements to third parties. Identification of licensing requirements, acquisitions and maintenance of licenses, management of compliance with license conditions. PERMANENT PERMANENT UCL - 6.3 Records management
Ref Record group Examples Trigger Retention Citation Notes 6.3.1 Recordkeeping requirements for specific business activities and processes. Business process maps, survey and audit records. Superseded. 0 JISC 6.3.2 Classification and indexing schemes for records. Business classification schemes, file plans and metadata schemes. Superseded. 5 JISC 6.3.3 Storage locations of records. Superseded. 0 JISC 6.3.4 Movement of records to/from storage. Return of records. 1 JISC 6.3.5 Records documenting the provision of access to records. Request and issue records. Date of access. 1 JISC 6.3.6 Determination of retention periods for records. Completion of revised Records Retention Schedule. 1 JISC 6.3.7 Final versions of Records Retention Schedules. PERMANENT. PERMANENT. JISC Retaining a history of retention periods provides evidence of effective control of records and the basis for disposal of records. 6.3.8 Review of individual records to determine requirements for ongoing retention, where records are disposed of. Life of records. 25 JISC 6.3.9 Conservation work undertaken on records. Disposal of records. 0 JISC 6.3.10 Authorisation for the disposal of redundant records. Disposal of records. 25 JISC 6.3.11 Conduct and results of records surveys/audits. Completion of subsequent survey/audit. 0 JISC This retention period assumes that the purpose and scope of the subsequent audit is comparable. If it is not, a longer retention period may be appropriate. - 6.4 Library, museums, collections and archive services
Ref Record group Examples Trigger Retention Citation Notes 6.4.1 Documentation of collections. Accessions registers;
Object/item entry records;
Selection criteria/acquisition proposals;
Depositor/donor agreements, Deeds of Gift, artists agreements and commission contracts;
Inventory records;
Object movement records;
Catalogue and box lists;
Indexes;
Object/item exit records;
Disposal authorisations.PERMANENT. PERMANENT. UCL 6.4.2 Location registers. Current locations and location histories of accessioned objects. PERMANENT. PERMANENT. JISC 6.4.3 Registration of users. End of registration. 1 6.4.4 Use of collections - Research or Access. Requests for access;
Enquiries;
Issue forms.AY 1 JISC 6.4.5 Use of collections - Object History. Handling/operating objects;
Taking samples from objects.PERMANENT. PERMANENT. UCL 6.4.6 Exhibition records (exhibitions held by UCL). Plans;
Guides;
Catalogues.PERMANENT. PERMANENT. UCL 6.4.7 Conservation records. Treatment, assessments, reports. PERMANENT. PERMANENT. 6.4.8 Loans. Records of inward and outward loans to external organisations of library, museums, collections and archive objects for exhibition, conservation or photography. PERMANENT. PERMANENT. Collections Trust - The SPECTRUM 4.0 Acquisition Procedure. Please see: The SPECTRUM 4.0 Acquisition Procedure. 6.4.9 Library loans. Library user loan history. End of registration. 1 UCL 6.4.10 Inter-library loan records. Request forms. AY 1 UCL 6.4.11 Use of services. Customer feedback;
Customer surveys;
Training evaluation responses;
Enquiry feedback.AY 1 UCL - List of citations
Acts of Parliament
- Limitation Act 1980.
UK and EU statutory guidance
- Collections Trust: Collections Trust - The SPECTRUM 4.0 Acquisition Procedure.
- JISC: Model records retention schedule 2019.
UCL
- Connection to network policy: Connection to Network policy.