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Records Management Advanced: Classification and retention schedules

Records Management Advanced: Classification and retention schedules


Hey there! Welcome to our discussion on classification and retention schedules. In this module you will learn: One What is a Records Classification and Retention Schedule? Two What do the acronyms and symbols associated with the schedule mean? and three How is it used? What is a records classification and retention schedule? A classification and retention schedule is a tool that describes university records and tells us how long those records should be retained according to law, business, financial and audit requirements. How it is used? According to UBC Policy 117, classification and retention schedules apply to university records across faculties, schools, centres, academic support units, ancillary services, and senior administration. The schedules apply regardless of how records are created or organized within each unit and regardless of format or medium. We have responsibilities here, so let’s take a closer look at this tool. Acronyms and Symbols Here we see the Classification Schedule and Retention Schedule for a human resources department in its entirety. It is referred to as a functional block. The Classification and Retention Schedules consist of the following sections: Schedule title Record Type containing a classification code and title. Retention period Event Trigger Personal Information or PI Record Description Notes The first record series on the list is 01-010 which is the code that means Applications for Employment, Recruitment and Competition and its description. This is all the records that a unit might have on a job competition. The retention for this series of records is “varied” with more details in the notes. Looking at the notes section of the schedule we see important details about time limits for retention depending on the type of records. Unsolicited applications do not need to be retained Advertised staff positions retained for a minimum of one year. Advertised Faculty positions need to be retained 2 years So what happens to the successful application file? Their application becomes part of their employment file. Congratulations to the successful applicant, UBC is a great place to work! Moving along the schedule we see something called “EV” which is the “Event Trigger”. What’s an Event Trigger you ask? Yeah…I thought you’d ask. An Event Trigger is an action that that starts the retention clock ticking. It is a date that something happens. In this example of an employment competition, the trigger is the date the competition is complete and the successful candidate has accepted the position. For the unsuccessful candidates their application package must be retained for at least a further year to be in compliance with the Freedom of Information and Protection of Privacy Act. If those records are requested within that year then by law, they must be available. In the next column is the heading PI. That means we expect that there will be Personal Information contained in the series. When we see the PI designation we know that this series of records is of a higher risk for both the university and the people named in the records. We must be diligent when a record contains personal information. Diligent in the way we both retain and ensure we destroy the records according to the schedule. Let’s take a look at another classification in the HR functional block. Here we have 01-020 Awards Faculty and Staff. Now here is a classification that the Data Maintenance Manager is familiar with, awards. The retention for this series of records is straight forward EV+7. Here we see the event trigger is “termination”. That means when the employee is no longer with the university we are required to retain the records for a further seven years, again to be in compliance with applicable laws. Okay now you have an idea how the retention schedule works and what the acronyms mean what should you do now? You can use the retention schedules posted on the records management website to better understand what you can remove from your system. I also suggest you watch our other videos on on putting the records management pieces together. In this module we learned: One, what is a records classification and retention schedule two, what the acronyms and symbols mean and three, how is it used Want more information on the retention schedules? Call the Records Management Office at UBC or UBC Okanagan. Now let’s see what you have learned.

Comments (2)

  1. Great information and cool graphics! Thanks for sharing 🙂

  2. Fun way to show info. What did you use?

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