1 Sources of advice and guidance Knowledge and Information Management Team: [email protected] or 020 3334 [email protected] Date of Publication:

1

Sources of advice and guidance

Knowledge and Information Management Team: [email protected] or 020 3334 5382

Date of Publication: June 2011. (Please check the Intranet to make sure you are using the most recent version.) http://intranet.justice.gsi.gov.uk/...

What to Keep

A guide to managing your electronic information

2

Contents

PageIntroduction to What to Keep 3

Where should I keep information? 4

What is a record? 5

Policy Development 6

Information Requests 7

Ministerial Business 8

Email 9

Projects and Research 10

Administration 11

Stakeholder Management 12

HR information held by managers 13

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. [email protected] or 020 3334 5382

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 Drive Originator Immediately When superseded

Drafts for comment Shared Drive Originator When access required by colleagues

When superseded

Drafts reflecting significant changes in approach

TRIM Originator When approved 7 years

Final versions TRIM Originator When approved Keep 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

TRIM Lead official in receiving division

Immediately 3 years from when response made

A response to a non routine FOI request which leads to a precedent

TRIM Lead official in receiving division

Immediately 3 years from when response made

A response to a routine FOI request

TRIM Lead official in receiving division

Immediately 3 years from when response made

A response to a routine Subject Access Request

TRIM Lead official in receiving division

Immediately 3 years from when response made

A response to a routine Environmental Information Request

TRIM Lead official in receiving division

Immediately 3 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 Drives Drafting Officer

Immediately When sent* (*Parliamentary Branch to retain final versions)

Ministerial correspondence and replies to treat official correspondence

Shared Drives Drafting Officer

Immediately When Sent* (*Ministerial Correspondence Unit to retain final versions)

Advice on and briefings for Ministerial visits/visitors

TRIM Originator Immediately 3 years

Submissions requiring policy decision

TRIM Originator Immediately Keep permanently for review at a future date

Submissions requiring funding decision

TRIM Originator Immediately 7 Years

Policy decisions TRIM Lead official Immediately Keep permanently for review at a future date

Funding decisions TRIM Lead official Immediately 7 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 e-mails Inbox Originator/ Recipient

Automatically ASAP

E-mails arranging meetings Inbox Originator/ Recipient

Automatically ASAP

E-mails discussing business Inbox Originator/ Recipient

Automatically ASAP

E-mails reflecting decisions TRIM Decision Maker (see Ministerial Business )

Immediately 7 years or preserved permanently depending on content

E-mails 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

E-Mail

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.

TRIM Lead official On completion Keep permanently for review at a future date

Publications produced by partners, eg annual reports.

Shared Drive Interested officials

On publication Transfer to MoJ Library when no longer needed

High profile research and final reports.

TRIM Lead official On publication Keep permanently for review at a future date

Routine projects, study groups, research and statistical data

TRIM Lead official Immediately 7 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 Drives Creator Immediately For 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 Drives Local Finance Manager

Immediately 7 years

Personal Documents (e.g. annual leave and sick absence information, ASPR, flexi sheets)

Personal Drive Creator Immediately When no longer relevantor upon leaving department

Directorate Meetings, Events and Engagement Activities

Shared Drives Creator Immediately For 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 Understanding TRIM Lead Official Final version and subsequent agreed amendments

7 years beyond the end of the partnership

Financial reports TRIM Lead Official When received 3 years beyond the end of the partnership

Review meeting notes TRIM Lead Official Immediately 3 years beyond the end of the partnership

Audited accounts TRIM Lead Official When received 3 years beyond the end of the partnership

Correspondence TRIM Lead Official Immediately 3 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 leave Personal Drive Line Manager Immediately When superseded

Special leave and career breaks. Personal Drive Line Manager Immediately 1 year from return

ASPR’s Personal Drive Line Manager Immediately 2 years

Performance Management, Probation and Disciplinary

Personal Drive Line Manager Immediately Send to HR when process complete

Season ticket loans Personal Drive Line Manager Immediately Retain for 6 months after sending to HR

Sick Absence(unless part of attendance management process)

Personal Drive Line Manager Immediately Keep for 1 year and send to HR

Recognition and Reward Personal Drive Line Manager Immediately 1 year

Security Clearance forms Personal Drive Line Manager Immediately Send to HR when form complete

Flexi Sheets Personal Drive Line Manager Immediately 1 year

Leavers and joiners forms Personal Drive Line Manager Immediately Send to HR, ICT or security when processes are complete

HR Information Held by Managers