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• Circulating, editing or acting on out-of-date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, HS, 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