Presentation on theme: "1 Sources of advice and guidance Knowledge and Information Management Team: or 020 3334 Date of Publication:"— Presentation transcript:
1 Sources of advice and guidance Knowledge and Information Management Team: or Date of Publication: June (Please check the Intranet to make sure you are using the most recent version.) What to Keep A guide to managing your electronic information
2 Contents Page Introduction to What to Keep3 Where should I keep information?4 What is a record?5 Policy Development6 Information Requests7 Ministerial Business8 9 Projects and Research10 Administration11 Stakeholder Management 12 HR information held by managers13
3 Introduction to What to Keep This desk guide provides advice on what to keep and how long it should be kept for. It will help to clarify what electronic information should be kept for business, legislative and historical reasons as well as helping you decide what to delete. With the exception of HR information, once you have identified electronic information as a record (see What is a Record? p5) you must choose from three options: Keep for 3 years then delete Keep for 7 years then delete Keep permanently. Where you choose the permanent option your document will be subject to a review after three years. There may be additional specialised instructions for information in your business area and this will be assessed and agreed as part of the Information Audit programme, which will be taking place in your business area shortly. In the meantime if you have any doubts about how long to keep your information, or whether or not something should be deleted then please contact your Information Manager (IM), or the Knowledge and Information Management (KIM) team. or
4 Where should I keep my information? This guide will also help you to decide where to keep your electronic information, however this will vary depending on the systems you currently use, these include: TRIM MoJ uses the TRIM records management system to maintain the majority of its records. The system can be accessed by most HQ staff and is currently under review with the aim of increasing its efficiency by ensuring only information classed as a record is stored on TRIM. Shared Drives The majority of MoJ HQ staff have access to Shared Drives. They provide short term storage for documents but do not allow staff to set deletion schedules or undertake detailed searches. The system is currently under review with the aim of reducing the number of documents stored unnecessarily or incorrectly on Shared Drives. The Knowledge and Information Management (KIM) Team will be undertaking an Information Audit and will be working with teams to access their information management needs. In the meantime this guide can be used in the following way: –If you only use TRIM you should continue to do so, while ensuring that you are retaining or deleting information as detailed in this guide. –If you use shared drives and TRIM you should use this guide to ensure that your information is stored in the most appropriate place and for the correct length of time. –If you only use shared drives you should follow this guidance while considering whether TRIM might help you to manage records which have a specific retention or disposal period, or which might need to be kept permanently either for historical or legislative purposes.
5 How to identify a record? YES it is a Record Does the content of the item contribute to policy or decision making process? Or an action taken or decision made? Or a change to organization policy or procedure Does the content financial or legal implications?( e.g. a contract, a grievance) case) Is it needed to support and help the running of MoJ business? e.g. team budgets, purchase orders of IT systems, business continuity management) Does it need to be approved by, or reported to, another individual or internal or external body? ( e.g. Permanent Secretary, approved by spending team) Does it set a precedent?Or contain something unique of historical interest? (e.g. an intranet snapshot, audio clip or video file) Does it have to be created as a result of specific legislation? (e.g. Finance Acts) None of the above - it is NOT a record and can be destroyed when it is no longer required? What is a record?
6 What to Keep?Where to Keep it?Who should save it? When should it be saved? When should it be deleted? Early drafts (not shared with colleagues) Personal DriveOriginatorImmediatelyWhen superseded Drafts for commentShared DriveOriginatorWhen access required by colleagues When superseded Drafts reflecting significant changes in approach TRIMOriginatorWhen approved7 years Final versionsTRIMOriginatorWhen approvedKeep permanently for review at a future date Policy Development
7 What to Keep?Where to Keep it?Who should save it? When should it be saved? When should it be deleted? A response to Information requested under the Freedom of Information (FoI) Act which have been investigated by the ICO TRIMLead official in receiving division Immediately3 years from when response made A response to a non routine FOI request which leads to a precedent TRIMLead official in receiving division Immediately3 years from when response made A response to a routine FOI request TRIMLead official in receiving division Immediately3 years from when response made A response to a routine Subject Access Request TRIMLead official in receiving division Immediately3 years from when response made A response to a routine Environmental Information Request TRIMLead official in receiving division Immediately3 years from when response made Information Requests
8 What to Keep?Where to Keep it?Who should save it? When should it be saved? When should it be deleted? Replies to Parliamentary Questions Shared DrivesDrafting Officer ImmediatelyWhen sent* (*Parliamentary Branch to retain final versions) Ministerial correspondence and replies to treat official correspondence Shared DrivesDrafting Officer ImmediatelyWhen Sent* (*Ministerial Correspondence Unit to retain final versions) Advice on and briefings for Ministerial visits/visitors TRIMOriginatorImmediately3 years Submissions requiring policy decision TRIMOriginatorImmediatelyKeep permanently for review at a future date Submissions requiring funding decision TRIMOriginatorImmediately7 Years Policy decisionsTRIMLead officialImmediatelyKeep permanently for review at a future date Funding decisionsTRIMLead officialImmediately7 Years Ministerial Business
9 What to Keep?Where to Keep it?Who should save it? When should it be saved? When should it be deleted? Personal sInboxOriginator/ Recipient AutomaticallyASAP s arranging meetingsInboxOriginator/ Recipient AutomaticallyASAP s discussing businessInboxOriginator/ Recipient AutomaticallyASAP s reflecting decisionsTRIMDecision Maker ( see Ministerial Business ) Immediately7 years or preserved permanently depending on content s received from stakeholders Decide on content based on the advice above Lead recipient Decide on action based on advice above Decide on content based on the advice above
10 What to Keep?Where to Keep it?Who should save it? When should it be saved? When should it be deleted? High profile or innovative projects concerning changes to MoJ policy, planning and business Initiation Documents Interim and final evaluation reports Project Proposals Project research, feasibility studies, plans, specifications Terms of reference, minutes, agendas etc. TRIMLead officialOn completionKeep permanently for review at a future date Publications produced by partners, eg annual reports. Shared DriveInterested officials On publicationTransfer to MoJ Library when no longer needed High profile research and final reports. TRIMLead officialOn publicationKeep permanently for review at a future date Routine projects, study groups, research and statistical data TRIMLead officialImmediately7 years Projects & Research
11 What to Keep?Where to Keep it?Who should save it? When should it be saved? When should it be deleted? Directorate Management Information (e.g. risk registers, headcount information, information asset registers). Shared DrivesCreatorImmediatelyFor as long as it remains useful to the Directorate Copies of Directorate Financial Information (* All final version should also be sent to the central finance team ) Shared DrivesLocal Finance Manager Immediately7 years Personal Documents (e.g. annual leave and sick absence information, ASPR, flexi sheets) Personal DriveCreatorImmediatelyWhen no longer relevant or upon leaving department Directorate Meetings, Events and Engagement Activities Shared DrivesCreatorImmediatelyFor as long as it remains useful to the Directorate Administration
12 What to Keep?Where to Keep it?Who should save it? When should it be saved? When should it be deleted? Memoranda of UnderstandingTRIMLead OfficialFinal version and subsequent agreed amendments 7 years beyond the end of the partnership Financial reportsTRIMLead OfficialWhen received3 years beyond the end of the partnership Review meeting notesTRIMLead OfficialImmediately3 years beyond the end of the partnership Audited accountsTRIMLead OfficialWhen received3 years beyond the end of the partnership CorrespondenceTRIMLead OfficialImmediately3 years beyond the end of the partnership Stakeholder Management
13 What to Keep?Where to Keep it?Who should save it? When should it be saved? When should it be deleted? Annual leavePersonal DriveLine ManagerImmediatelyWhen superseded Special leave and career breaks.Personal DriveLine ManagerImmediately1 year from return ASPRsPersonal DriveLine ManagerImmediately2 years Performance Management, Probation and Disciplinary Personal DriveLine ManagerImmediatelySend to HR when process complete Season ticket loansPersonal DriveLine ManagerImmediatelyRetain for 6 months after sending to HR Sick Absence (unless part of attendance management process) Personal DriveLine ManagerImmediatelyKeep for 1 year and send to HR Recognition and RewardPersonal DriveLine ManagerImmediately1 year Security Clearance formsPersonal DriveLine ManagerImmediatelySend to HR when form complete Flexi SheetsPersonal DriveLine ManagerImmediately1 year Leavers and joiners formsPersonal DriveLine ManagerImmediatelySend to HR, ICT or security when processes are complete HR Information Held by Managers