University Secretary
Preservation
For guidance on preserving records, either download the factsheet or select one of the options below.
- Introduction
- Paper records
- Electronic records
- CDs and DVDs
- USB memory sticks
- Vital records
- Historical records
1. Introduction
To ensure a department can operate efficiently, it must protect its records as long as access to them is required. Adequate procedures must be in place in order to prevent, for example:
- Information being lost because it has been inadvertently overwritten;
- Documents becoming unreadable because they have not been converted to new file formats, but allowed to remain in obsolete technology;
- Data being lost because it has become corrupted and has not been backed up;
- Data becoming inaccessible because it has been stored on portable media that has degraded;
- Data becoming unintelligible because insufficient metadata has been preserved.
2. Paper records
Wherever documents are stored, they need to be protected from potential hazards: e.g.
Fire: Records should be kept away from inflammable materials and ideally stored in metal cabinets. In addition, storage areas should be protected by heat or smoke detection systems, and fire resistant doors.
Flood: Water damage can be caused by burst pipes, poorly maintained drains, gutters and roofs, as well as attempts to extinguish fires. The lowest shelves should always be positioned several centimetres above floor level to protect documents in the event of a flood. In the case of semi-current records (i.e. records that are consulted infrequently), sturdy cardboard boxes can be used to provide a layer of protection for papers: in the event of water damage, it is possible that the contents will remain dry and only the box will need to be replaced.
Environmental conditions: High and fluctuating levels of heat and humidity, as well as pockets of stagnant air, are likely to lead to the growth of mould. Storage areas should therefore be adequately ventilated and atmospheric conditions maintained as stable levels. In addition, material should be kept away from outside walls that may be prone to condensation.
3. Electronic records
There must be procedures and safeguards in place to prevent electronic data from being lost unintentionally or deleted illegitimately.
| overwriting data |
Templates should be available for staff to create routine documents, such as minutes, policies, reports, letters and handbooks. Using templates, instead of simply adapting existing documents, will reduce the risk of accidentally erasing previous versions. |
|---|---|
| access and security |
The requirements of staff should be clarified in order to establish who needs to be able to view particular documents, who should be able to edit those documents and who is entitled to delete them. Appropriate access arrangements can then be put in place to meet these requirements and safeguard data from unauthorised amendments: e.g. data can be protected through the use of log-ins, passwords and read-only settings. |
| metadata |
Electronic documents require metadata (i.e. data describing the context, content and structure of information) to ensure they can be understood and used efficiently for as long as they are held. The metadata that is to be captured for each type of document should be defined and recorded: for example, relevant details can be entered within the properties field of a MS Word document (e.g. title, author, department, access restrictions, retention period). It is particularly important to ensure that instructions for using records are documented adequately: for example, an Access database must include sufficient information to allow future members of staff to understand how it was set up and how it should be used. |
| backing up |
Critical business data must be held on a networked drive, so that it will be adequately backed up and safeguarded from hardware and software failure. Any users of laptops should ensure that their information is transferred across to the network at regular intervals, so it will be protected by the University's back up and disaster recovery procedures. |
| migration |
The longer data is required, the greater the risk that it could become unreadable. Departments should have procedures in place to ensure all their records are reviewed periodically and, if necessary, migrated to the latest file formats. In particular, it is important to ensure that files are not allowed to fall more than two versions behind current software, as backwards compatibility may not be available for older versions. |
4. CDs and DVDs
Data that departments cannot afford to lose should not be stored on portable media. The life-span of a CD or DVD is determined by its handling, manufacturing quality and environmental conditions. If subjected to careless handling or high levels of humidity or heat, it may last only a couple of years and, in some cases, only a number of months. To help to preserve any data that is stored on disks, the following precautions should be taken:
- Keep the disks away from direct sunlight; and do not leave them in drives unnecessarily as heat or mechanical damage may occur;
- Store them upright in protective jewel cases to guard against dust and environmental changes;
- Always hold disks by the outer edge or centre to avoid marking the surface with fingerprints or scratches and affecting their readability;
- Make at least two copies of each disk and store them in separate locations;
- Check the readability of the data periodically and refresh it (i.e. copy the data onto a new disk) every few years
5. USB memory sticks
Memory sticks should only be used for transporting data (e.g. Powerpoint presentations) - not for long-term storage - since there is a danger that they may become unreadable. To safeguard data held on a memory stick, the following precautions should be taken:
- Keep the stick away from magnetic fields, and liquids; and protect it from extremes of temperature
- Do not touch the electrical contacts and always use the cap to protect them;
- Do not leave the device in a PC unnecessarily;
- Do not remove the stick from a computer until Windows states that it is safe to do so, otherwise the data my become corrupted.
6. Vital records
Records that would be vital to the continued functioning of the University in the event of a disaster (e.g. fire, flood, virus attack) must be identified and protected. These include records that would recreate its legal and financial status, preserve its rights, and ensure that it continued to fulfil its obligations to its stakeholders (e.g. current financial information, current contracts, proof of ownership, current research information).
All critical business data must be stored on a networked drive, so that it will be protected by appropriate back up and disaster recovery procedures. Vital records that are only available in paper format should be duplicated, and the originals and copies stored in separate locations. If, however, duplication is either impracticable or legally unacceptable, fire proof safes must be used to protect the documents.
7. Historical records
A small percentage of the University's records are to be preserved permanently in order to maintain the corporate memory. These will have long-term reference and historical value, providing evidence of the University 's most significant functions and activities, documenting its policy formation, and tracing the development of its fabric and infrastructure: e.g.
- Board of Governors' minutes
- Financial reviews and strategies
- Record of academic awards granted
- Press releases concerning significant events
- University's strategic plans