Identifying and Managing Duplicate Records

1. Identifying and Managing Duplicate Records • What are duplicate records? • Why do we need them and where are they kept? • Why are duplicate records risky business? • How do we manage duplication to manage risk? • How do we reduce the need to duplicate documents?

2. What are duplicate records? • Duplicate records quite simply replicate master records held elsewhere • Transitory in nature • Not an official record • Used for discrete, short-term purpose • Circulated in meetings or by email • Not significantly altered or annotated • Not created by the University and used for reference only

3. Why do we need them and where are they kept? • To be an effective institution we need to circulate information • Know what decisions are made • Know why decisions were taken • Duplicates are held for many reasons and different time periods e.g. • Back-up copies • Auditing purposes • Related but independent functions • Information may also be held for reference or personal need • Future research or planning on related topic • Log of action on areas of work • Just-in-case or cover-your-back work cultures • Usually kept near desk or where most accessible

4. Why are duplicate records risky business? • FOI requests/legal action • University needs to know what is held and where • Information security/DPA risks e.g. tampering, unauthorised access, ill-advised release • Circulating, editing or acting on out-of-date information e.g. version control, email attachments • Increased physical and electronic storage costs • Clutter, redundant information, H&S, capital costs • More information equals more difficulty finding all of the information needed • Can confuse what is the correct or latest version • Location of master and duplicate records should be known or discoverable • Do not keep just because you think no one else will

5. How do we manage duplication to manage risk? • Know who holds the official/master records • Do not keep duplicates longer than masters • Do not transfer duplicates to inactive storage • Choose either paper or electronic to file master copies • Hybrid filing systems can cause confusion over time • Use duplicates for specific purposes • Destroy when purpose ends/use ceases • Do not maintain ‘local archives’ of information you did not create • What about intra-university correspondence (e.g. email, memos, etc.) • Recipient and sender keep for relevant purposes • Master record is whichever needs longer retention

6. How do we reduce the need to duplicate documents? • Use the University Records Retention Schedule • Know which retention periods apply to records you hold • Weed your files of unnecessary out-of-date information • Use shared storage areas for electronic and paper files • Shared departmental or function folder on s: drive • Makes information easier to find and avoids duplication • Use document naming conventions to convey contents accurately • See Records Management Manual • Use draft and version control • See Records Management Manual • Minimise email circulation to only those appropriate • Delete email you are copied into if not needed • Provide links to attachments where possible