Policies
Archives & Records Management Policy
Introduction
The Paul Mellon Centre for Studies in British Art recognizes that its records are an essential business resource; and that their efficient management is necessary to support its core functions, to comply with its legal and regulatory obligations and to contribute to the effective overall management of the institution. This policy sets out the policy with regard to all records created and managed by the Centre as part of its everyday business.
Definitions
A record is a document in any format that has been generated or received by the Paul Mellon Centre in the course of its activities and has been, or may be, used by the Centre as evidence of its actions and decisions, or because of its information content. Records can be held primarily in paper and electronic format and increasingly encompassing digitised and born digital records. Examples include photographs, emails, audio visual recordings, digital images, spreadsheets, data sets and any data generated in internal or external digital systems managing the Centre’s (eg. HR; Finance; Grants & Fellowships etc.); websites and social media.
Records Management is the strategic and systematic control of the creation, receipt, maintenance, use and disposal or preservation of records.
Institutional Archives comprise the records created by the Centre in the course of its everyday business that have been selected for permanent preservation as part of the Centre’s institutional memory, and as a resource for research.
Collected Archives comprise the records created by external sources (such as art historians, curators, dealers etc.) and acquired by the Centre because of their long-term historical and research value with regard, in particular, to the study of British Art and Architecture.
Scope & Purpose
The aim of this policy is to provide a framework for managing the Centre's records; to support the development and implementation of a Records Management programme which is appropriate and sensitive to the requirements of the institution; and to ensure that records of long-term historical and research value are captured, maintained and remain accessible as part of the Institutional Archive for the interest of future generations.
This policy applies to all records created, received and maintained by the staff and employees of the Paul Mellon Centre in the course of their work. This includes records created in relation to research projects funded by the Centre and headed by Paul Mellon Centre staff.
This includes individuals contracted on a freelance basis (including photographers employed to take images for publications, archive cataloguers, researchers etc.), Yale-in-London teaching staff, Paul Mellon Centre fellows, and individuals contracted to work on special projects.
This policy is complementary to the Centre’s IT & Security, Digital Preservation, and Data Protection policies. It also sits alongside the Centre’s Staff Handbook.
This policy does not encompass the records belonging to the Collected Archives held at the Centre.
Legal Basis
The records of the Paul Mellon Centre for Studies in British Art are subject to, and therefore will be managed in accordance with, the following legislation:
- The General Data Protection Regulation (Regulation (EU) 2016/679), the UK Data Protection Act 2018 and any related data protection legislation made under those laws;
- The Companies Act, 2006;
- The Charities Act, 2011 & 2022;
- The Requirements of HM Revenue & Customs (including the Financial Services Act, 1986; Value Added Tax Act, 1994; Civil Evidence Act, 1996)
Born digital records will be managed in SharePoint or the appropriate PMC system. Those records identified as having long-term value will be ingested into the PMC’s Digital Preservation platform, currently Preservica. While issues relating to the management and long-term preservation of digital records are addressed, some critical records – such as minutes & papers of the PMC’s significant committees – will be maintained in both paper and digital format.
Statement of Principles
General
- The Paul Mellon Centre is committed to creating, keeping and managing its records in a manner that accurately documents its principal activities;
- It is committed to a culture of openness and access to information wherever possible and in compliance with the provisions of the GDPR. It fully supports a centralized and Centre-wide Records Management programme that is based on national and international standards in the field (e.g. BSI ISO 15489-1: 2016);
- It fully supports an Institutional Archive to which records will be continually added, in line with approved retention schedules, and made accessible to interested researchers;
- It fully supports the use of the SharePoint as the means by which all staff should file and manage the electronic records they create and receive in the course of their work for the Centre;
- Records should be always preserved and accessed in the format they are used.
Ownership of Records
- All records created and received by the Paul Mellon Centre in the course of its business are owned by the Paul Mellon Centre, and not by the individuals, or teams that create the records;
- Records must not be permanently removed from the offices and digital storage systems of the Paul Mellon Centre or used for any activity or purpose other than the Centre’s official business.
Purpose of Records Management
Records Management will help ensure that the Centre:
- Achieves its objectives to support and promote the study of British art and architecture and to act as a research centre for scholars working in this field;
- Creates and captures authentic and reliable records to demonstrate evidence, accountability and information about its decisions, activities and collections;
- Operates efficiently with all staff being able to find, retrieve and file with ease the records they need to carry out their day to day work;
- Maintains securely, and preserves access to, those records as long as they are required to support Centre operations, including audit purposes;
- Identifies and preserves securely those records deemed worthy of permanent preservation in the Institutional Archive, thus protecting the Centre’s historical memory;
- Destroys other records once they are no longer required, thus ensuring the efficient use of physical and virtual storage at the Centre.
Responsibilities
Records Management is a shared responsibility.
The Director & Senior Leadership Team are responsible for approving and promoting effective Records Management throughout the Centre, and supporting the maintenance and development of a comprehensive Institutional Archive.
The Archivist & Records Manager is responsible for delivering the operational activities of a Records Management programme, for facilitating the maintenance and development of an Institutional Archive and for the development and implementation of all related procedures and guidance.
The Digital Preservation & Records Manager is responsible for supporting the work of the Archivist & Records Manager in in all aspects of the Records Management programme. They have particular responsibility for delivering the operational activities, related procedures and guidance associated with the management and long-term preservation of born digital and digitised records.
Individual members of staff are responsible for creating, filing, managing and deleting in accordance with best practice, records that accurately document the business activities in which they are involved. This includes preparing the records transfer ahead of submission to the Institutional Archive with provision of adequate description of contents and metadata.
Procedures
Relevant best practice procedures are currently in place for established areas of work at the Centre as well as being developed and improved for others. For advice on specific issues, staff should contact the Archivist & Records Manager, or the Digital Preservation & Records Manager.
Review
This policy will be reviewed every six years.
Next review: April 2024.
Date of Approval
Approved by the Senior Leadership Team in November 2024. To be reviewed in 2029.
Updates
Published 11 February 2025.