Managing Records Retention and Disposal

Managing Records Retention

and Disposal
ALISON NORTH

ALISON NORTH

PUBLISHED BY IN ASSOCIATION WITH

Contents
Executive summary ............................................................................................................VII

About the author................................................................................................................IX

Acknowledgements ............................................................................................................XI

Disclaimer ........................................................................................................................XIII

Part One: Managing records retention and disposal

Chapter 1: Introduction ...................................................................................................... 3

Managing records retention and disposal – a definition ........................................................... 3
An opinion on records management and retention .................................................................. 3
Before we start: Glossary of terms .......................................................................................... 4
The information lifecycle and records management ................................................................. 5
Records management past history .......................................................................................... 6
Three approaches to records management ............................................................................. 7
Three approaches to managing records retention and disposal .............................................. 10
Defining retention rules ....................................................................................................... 12
Who does the research?...................................................................................................... 13

Chapter 2: Legal requirements and research .................................................................... 15

The law .............................................................................................................................. 15
Legal research – finding retention rules ................................................................................. 16
Conflict between laws ......................................................................................................... 19
Public sector retention – primary laws ................................................................................... 19
Private sector retention ........................................................................................................ 20
Companies Act 2006 .......................................................................................................... 20
Money Laundering Regulations 2007 ................................................................................... 21
Foreign research ................................................................................................................. 22
Best practice ....................................................................................................................... 23

Chapter 3: The business case for managing records retention and disposal ...................... 25
What is the purpose of a business case? .............................................................................. 25
Fundamental considerations of a business case ..................................................................... 26
Benefits .............................................................................................................................. 27
The content of the business case .......................................................................................... 28

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Contents

Objectives .......................................................................................................................... 28
Options to achieve the objectives ......................................................................................... 31
Risks and dependencies....................................................................................................... 32
Investment cost and running costs ........................................................................................ 32
Business case document in summary .................................................................................... 32

Chapter 4: The role of technology .................................................................................... 35

Introduction ........................................................................................................................ 35
IT systems ........................................................................................................................... 35
Different types of data ......................................................................................................... 37
Appropriate IT systems for different ways of working .............................................................. 38
Auto-classification ............................................................................................................... 38
Collections of records/documents ........................................................................................ 39
Duplication of records ......................................................................................................... 39
Using IT systems in the different records retention approaches ................................................ 40
Reference tool approach ..................................................................................................... 40
Records management approach........................................................................................... 41
Process and workflow approach ........................................................................................... 42
Conclusion ......................................................................................................................... 44

Chapter 5: Implementing records retention and disposal .................................................. 45

Project management ........................................................................................................... 45
Planning and method .......................................................................................................... 45
Method: The project plan in practice .................................................................................... 46
Review/research: Information gathering ................................................................................ 47
Implement: Integration of the law with work practice.............................................................. 48
Implement: Challenge and change ...................................................................................... 51
Implement: Communication – training and guidance............................................................. 51
Maintain: Maintenance ....................................................................................................... 52
Measure for success: Audit .................................................................................................. 53

Chapter 6: Final thoughts ................................................................................................ 55

Web 2.0 ............................................................................................................................ 55
Evolution of work practices .................................................................................................. 55
Search and find .................................................................................................................. 56
The law and change ........................................................................................................... 56
Putting the jigsaw together ................................................................................................... 56

Part Two: Case studies

Case study 1: Deploying the reference tool approach in a large multinational

organisation..................................................................................................................... 59
Introduction ........................................................................................................................ 59
Context .............................................................................................................................. 59

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 Managing Records Retention and Disposal

Planning and method .......................................................................................................... 60

Review ............................................................................................................................... 60
Research ............................................................................................................................ 61
Manage ............................................................................................................................. 61
Implement .......................................................................................................................... 62
Measure for success ............................................................................................................ 64
Lessons learned and future aims .......................................................................................... 64

Case study 2: Downsizing and cost savings in a UK-wide construction company ............... 65
Introduction ........................................................................................................................ 65
Context .............................................................................................................................. 65
Project control .................................................................................................................... 67
Planning and method .......................................................................................................... 67
Review and disposal ............................................................................................................ 70
2009: Implementation ........................................................................................................ 71
Lessons learned .................................................................................................................. 72

Case study 3: The Welsh Assembly Government records retention and disposal project .... 73
What is a records retention or disposal schedule? ................................................................. 73
Background to the retention and disposal project .................................................................. 73
Our approach .................................................................................................................... 74
The project and its objectives ............................................................................................... 74
Project plan ........................................................................................................................ 75
Methodology ...................................................................................................................... 75
Migrating the retention schedule into the record-keeping system ............................................. 76
The benefits ........................................................................................................................ 76
Lessons learned .................................................................................................................. 78
Aims for the future .............................................................................................................. 78

Part Three: Appendices

Appendix 1: Examples of UK laws relating to differences across Scotland, England, Northern

Ireland, Wales and the Channel Isles ............................................................................... 81

Appendix 2: UK law – Examples of laws and regulations containing records retention

requirements.................................................................................................................... 83

Appendix 3: Non-UK law examples .................................................................................. 85

Appendix 4: Information audit questionnaire .................................................................... 87

Appendix 5: Example records management policy ............................................................ 91

Appendix 6: Example of a classification scheme................................................................ 95

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Appendix 7: Standards list ................................................................................................ 99

Appendix 8: References .................................................................................................. 101

Index ............................................................................................................................. 103

VI
Executive summary

“The way to get started is to quit talking and This report is not limited to discussions
begin doing.” Walt Disney about records retention, but also includes
live examples of both UK and international
Managing records retention and disposal legislation, as well as information pertaining
is a task that organisations do very badly. to conflicts between laws across a number
It is work that staff see as an unnecessary, of countries, safe harbour agreements and
low-level, administrative burden linked even religious influences on records.
to archiving and filing, and not their So why do organisations need to retain
responsibility. Most people know that there records? There are many reasons relating
are various laws and regulations that govern to both business requirements and legal
their particular business and that hidden requirements, as well as historical interest –
within these laws are vague references to all of which are covered within this report.
retention of files. Most are wise enough to Part One concentrates on both the theory
fear that this lack of detailed knowledge and the practice, and is broken down into
may come back and bite them, so they six chapters.
squirrel away all their records indefinitely, Chapter 1 defines records retention
just in case. and explains what it means and where it
This report aims to set the retention fits in relation to records management and
record straight and shows why and how business processes. To a records manager,
records retention is an integral part of managing records retention is a vital part
every business process. It provides detailed of their work and involves a major audit of
information on how to research and their organisation’s records and archives.
integrate accurate retention rules, based on To their colleagues who generate the
the legislation and regulations for the sector records, this is seen as extra work in their
in which you work. already over-stretched day. This chapter
While a records manager understands examines the business process owners’
the need for a robust records retention and the records managers’ responsibilities,
programme within the organisation, he and explains three different approaches to
or she doesn’t always have the necessary applying retention.
tools and funding to implement such a Chapter 2 examines the structure of the
programme. In this report there are methods law and the legislation that governs records
to assist both the records management retention. It discusses research methods to
professional and others charged with find the well-hidden retention rules that are
the responsibility to develop, implement contained within various citations. Separating
and maintain, with accurate rules and fact from rumour in relation to retention
regulations, a detailed retention schedule. rules can be tricky. The majority of staff,

VII
Executive summary

when asked how long certain records should Part Three, the appendices, includes
be kept, will quote ‘seven years’. This is not templates and sample lists of UK and
a bad guess, but not all records fall into the international legislation. A bibliography of
seven-year timeframe, as this chapter and resources to access accurate information on
the examples in the appendices will show. citations relating to records retention in the
Sector-specific regulations are discussed in UK and abroad is also included.
this chapter, as is best practice retention for
those records that do not have a governing
retention period.
Chapter 3 outlines the business case for
developing an organisation-wide retention
strategy and policy, and discusses why these
add value, aid compliance and reduce risk.
Chapter 4, written by Jaume Vilar,
is concerned with the technology which
originates documents, the technology which
manages the retention of documents and
how these two interact both with each other
and with documents that do not exist in
electronic format.
Chapter 5 offers a practical perspective
by discussing implementation and the
methods for integrating legal requirements
with business practices. Arguably the most
difficult part of the retention process is to
marry the legal requirements with those of
the business. This chapter examines where
law and business retention collide and offers
solutions to overcome this challenge.
Chapter 6 concludes Part One with a
short discussion of the future and how the
current approaches to managing retention
and disposal, detailed in the preceding
chapters, are still valid even when new
technology and different ideas for the
workplace abound.
Part Two includes three case studies.
Case study 1 discusses a retention project
in a large multinational organisation, Case
study 2 places retention at the heart of a
downsizing and cost reduction exercise in
a construction company and Case study
3 relates to retention within the Welsh
Assembly Government.

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About the author

ALISON NORTH is managing director of The Genuine Group Ltd, a company that was set up in
early 2007, bringing together FileBusters Ltd and Document Law Ltd, to provide specialist information
management consultancy and services. Alison set up FileBusters in 1995, having first established
herself as a self-employed information management consultant in 1986. She spent the previous 15
years in the petroleum exploration and production business.
Alison’s business expertise stems from many years in information and records management. She
is a leading practitioner in the organisation and development of information retention and disposal
methods, particularly in relation to the legal issues and risks associated with storage of information in
both paper and electronic formats. Along with an in-house team, Alison has spent the last two years
developing DLRegal, an online document retention subscription service that provides details on all
legislation mapped to document types and record series.
Currently based in London, Alison has worked worldwide – in Japan, the United States of
America and extensively in Europe
Alison has been a pioneer for the records management profession over the past 34 years.
She is treasurer of the Records Management Society. She developed and set up the first North Sea
offshore information centre and was one of the first people to be employed in the capacity of records
manager, in 1978 by Conoco, and has worked since then on the development of information
retrieval, retention, security and value. She continues to develop her work using modern technology
and innovative solutions to solve the many and varied knowledge and information challenges.

IX
Acknowledgements

THIS REPORT has been a team effort and thanks are due to those who have taken time and effort
to contribute to this report: Marlize Palmer, Jaume Vilar and Yakubu Bayi. I should like to thank my
friend, Anne Gibson, who some 30 plus years ago encouraged me to apply for my first information
job and is, in part, responsible for me writing this report. My family, Geoff, Lorna and Isla (and my
Mum) deserve a thank you as well. One of them was always there with an encouraging and positive
word when doubt crept in and my family responsibilities fell by the way-side. My personal thanks go
to Anna Shaw and Stephanie Ramasamy, of Ark Group’s editorial team, for their encouragement and
support throughout the publishing process. Finally, thank you to you, the reader; I hope this report
assists you in your endeavours.

Alison North
July 2009

XI
Disclaimer

THIS REPORT has been prepared as a general guide. It is not a substitute for professional advice.
No responsibility can be accepted by the author, the contributors or the publishers for any loss
occasioned by any person acting or refraining from acting on the basis of these notes.

Copyright notice
Certain material included in this report is copyright of HMSO. Crown Copyright material is
reproduced with the permission of the Controller of HMSO and the Queen’s Printer for Scotland.

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