Records Management Policy

1. Purpose

The purpose of the Bifröst University Records Management Policy is to ensure systematic management of records at Bifröst University and to define staff responsibility. Under Article 14 of The Public Archives Act No. 77/2014, the University is obliged to transfer materials to the National Archives of Iceland. The University’s policy for responsible records management endeavours to ensure that all handling of documents at the University is sound and that the documents are available at all times and preserved in conformity with legislation and relevant working procedures and standards.

Systematic records management at Bifröst University is part of the University’s Quality System.

2. Scope

The policy extends to all staff members of Bifröst University and to all documents that are created and bear witness to the operations of the University, irrespective of their medium. The policy applies to documents; their creation, acquisition and management; and metadata.

3. Objectives

• Bifröst University shall operate an efficient and robust records management system that meets legal obligations and requirements.
• Staff members should understand clearly that the documents that they receive, prepare or handle in their work at Bifröst University are the property of the University and shall be handled in conformity with current laws and regulations and requirements concerning professional records management practices. All documents concerning the business of the University, irrespective of their format, should be original, reliable, intact and useable.
• Safeguarding of systematic management of records for the entirety of their life span within the records management system, i.e., from the time that they are created within or received by the University until they are either disposed of, with permission, or delivered to the National Archives of Iceland.
• Bifröst University endeavours to ensure that standardised work practices are employed within the organs of the University; that cataloguing of documents in the electronic records system enables quick, easy and effective document searches; and that all documents are stored in a secure manner, in accordance with regulations on access control and legislation on the protection of privacy.
• Prevention of non-standardised storage of documents in private locations, shared locations, e-mails, personal computers and portable media.

4. Electronic records management and information system

Bifröst University uses an electronic records management and information system from the company OneSystems. The Records Manager is responsible for granting access to the system and supervises its professional management and use.

Staff members of the University are required to use the records management system to save documents pertaining to their work.

The OneSystems records management system functions as follows:

Cases

The system is based on the creation of so-called cases. This entails that cases are created for specific projects, enquiries, applications and matters and that all documents pertaining to the case are saved under the case in question in the system. The use of cases enables all documents relating to the same or similar subjects to be stored together.

Access controls

The system provides robust access controls, which ensure that only those who are verified parties to a case will have access to that case. As a rule, cases are open to all unless they involve personal matters, such as staff- and student-related cases.

Responsibility

Each and every case has a designated person who is responsible for ensuring that work continues on the case and that all documents are stored under that case. When processing of the case is complete, that person is also responsible for closing the case.

System administrators

System administrators are automatically granted access to all cases in the records system. They are the Record Manager and the System Administrator at OneSystems.

Minutes

The minutes of all meetings of all standing committees and councils of the University shall be recorded in the records management system. It is also desirable to record the minutes of meetings of other committees, project steering committees and evaluation teams in the system.

Groupware

The system is groupware, i.e., it is not only a storage location for documents but also a platform for groups to work together on cases and share information and documents. In order for the system to function as such, it is imperative that all documents (whether they be e-mails, Word documents or other files) be stored under the appropriate case as they are created. In this way, they will thus automatically be assigned an appropriate case number; it is also possible to prepare e-mails and other documents directly from a case.

Duplication

It is important that documents be stored only in a single location, i.e., if documents have been saved under a case in the records management system, then they shall be deleted from the e-mail system or the computer drive.

 

The records management system in relation to computer drives and the e-mail system

The e-mail system and computer drives are not permanent storage locations for documents. All documents and all emails of relevance for the processing of cases shall be saved in the records management system if being used by the department or committee/council concerned.

The records management system in relation to OneDrive, Dropbox and Google Docs

OneDrive, Dropbox, Google Docs and other comparable data solutions/data storage services are not permanent storage locations for documents. All documents and all emails of relevance for the processing of cases shall be saved in the records management system if being used by the department or committee/council concerned.

 

5. Supervision and responsibility

The Rector is responsible for the compliance of records management at Bifröst University with legislation and regulations.

The Director of Bifröst University Library is the Records Manager and head of the University’s archive and monitors adherence to the Bifröst University Records Management Policy and to the legislation and regulations listed in Part 7 of the Policy. The records manager provides guidance to staff in order to facilitate the correct handling of documents.

Department Heads are responsible for enforcement of the Bifröst University Records Management Policy within their own departments.

Employees are individually responsible for working in accordance with the Bifröst University Records Management Policy. Employees create, receive and preserve documents in order to demonstrate that activities are in conformity with documented procedures.

The Records Manager supervises the archive, setting up of new users, access control, preparation of records retention schedules, applications for permission for disposal of documents (deaccession) and professional operation and use of the electronic records management and information system. The Records Manager is Bifröst University’s contact person in communication with the National Archives of Iceland and OneSystems.

The System Administrator (at OneSystems) ensures that the records management and information system is operational, in cooperation with the Records Manager.

6. Maintenance and changes

The Records Manager alone has the authority to update the filing plan and add subcategories. After the five-year archiving period ends on 31 December 2020, the Records Manager shall review the filing plan and make revisions, if necessary, in cooperation with University staff. The scope of a filing plan that has been approved by the National Archives of Iceland may not be altered, unless the activities of the institution undergo substantial change. An altered filing plan must be approved by the National Archives of Iceland before being adopted.

 

7. Annexes: Legislation, regulations and standards

The Public Archives Act No. 77/2014.

The Information Act No. 140/2012.

The Public Administration Act No. 37/1993.

The Data Protection Act (Act on the Protection of Privacy as regards the Processing of Personal Data, No. 77/2000).

The Accounting Act No. 145/1994.

ISO 15489 Information and documentation – Records management – Part 2: Guidelines.

Rules of the National Archives of Iceland on records retention schedules for public agencies, No. 571/2015.

Rules of the National Archives of Iceland on filing plans for public agencies, No. 572/2015.

Rules of the National Archives of Iceland for preparation, cataloguing and delivery of paper documents for public agencies, No. 573/2015.

Rules of the National Archives of Iceland for notification and approval of electronic records management systems for public agencies, No. 624/2010.

Rules of the National Archives of Iceland for notification of electronic files and databases for public agencies, No. 625/2010.

Rules of the National Archives of Iceland for delivery of archiving versions of data from electronic information systems of public agencies, No. 100/2014.

 

Bifröst University Filing Plan

Documented Procedure on Records Management

Access Control for Records and Cases

 

Reviewed at a meeting of the University Council, May 15th 2019

Approved by the Rector, June 4th 2019

 

_{This is a translation of the document Skjalastefna. In the event of any discrepancies between the translation and the original text, the original shall take precedence.}