Document code:
LIS-0026.07
Security level:
Internal
Effective date:
06/09/2021
ECHA Retention Schedule
1 Purpose
The list lays down the retention period for ECHA documents, taking into account their
evidential value, legal obligations and the Agency’s needs for the audit trails. The retention
schedule complies with the provisions of Council Regulation 2015/496 and it provides the
types of documents which are selected for permanent preservation (historical archives)
which are going to be disclosed to the public after 30 years.
2 Scope
N/A
3 Contents
The list ensures the availability of documents per process and the efficient management of
their disposal. The attached annex contains the process related retention schedules and is
managed by the Information Management assistant. Process owners are responsible to
define which document types are kept as evidence of their actions (records) and for how
long these need to be kept in order to meet ECHA’s legal obligations and audit requirements.
The retention schedule defines also the post Administrative Retention Period (post-ARP)
actions to be taken (elimination/transfer to permanent archives) after the expiration of the
respective records retention period.
The potential historical value of documents (i.e. final decisions, opinions, recommendations,
and meetings procedural documents) triggering their permanent preservation is also taken
into account to comply with the Council Regulation 2015/496 and its implementing rules.
The annexed retention schedule is organised following LIS-0009 ECHA Activity and Process
Structure (Filing Plan).
It is set out in seven columns:
1) Record types: Groups or types of records following the same retention rule.
2) Description: Further explanation of the record types contents or legal context.
3) ARP (Administrative Retention Period): Period (in years) during records under a
specific record type are required to be kept depending on their usefulness for
administrative purposes and the relevant statutory and legal obligations. The ARP
established is usually calculated from the date the relevant scientific or other type of
case is closed. For events (e.g. meetings) the ARP is calculated from the date of the
event. From that day onwards no action would be regarded necessary, an appeal is
not pending or can be issued and all possible reporting tasks have been fulfilled.
4) Post-ARP action / First Appraisal: Action to be taken at the end of the ARP period.
TEM-0129.01
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Document code:
LIS-0026.07
Security level:
Internal
Effective date:
06/09/2021
ECHA Retention Schedule
Three courses of actions can be taken:
TPA (Transfer to Permanent Archive): the records are transferred to the permanent
archives.
SAM/SEL (Sampling or Selection): a group of records is chosen for preservation, with
all the rest being destroyed. The records identified for preservation are transferred
to the permanent archives.
EL (Elimination): the records are physically destroyed or going through an automatic
deletion (for electronic records).
5) Action post-transfer to permanent archives: The records which are transferred to
permanent archives are for permanent preservation (PP). These records shall form
the historical archives of the Agency and they will be disclosed to the public as
foreseen by Council Regulation 2015/496 and its implementing rules.
6) Specific documents (if any): Specific documents which need to be retained as records
for the specified ARP.
7) Observations: E.g. further instructions on the preservation of the records concerned
or the legal basis which lays down a specific retention time per record type.
4 Definitions
Term or abbreviation
Definition
Appraisal
Evaluation of records in order to determine whether they must be
eliminated or transferred to the permanent archives.
(Post-)ARP
(Post-) Administrative Retention Period
Any (structured) content whatever its medium (written on paper or
Document
stored in electronic form) concerning a matter relating to the
policies, activities and decisions falling within the institutions sphere
of responsibility.
In ECHA’s context this shall include all documents created or
received, regardless of the format (paper or electronic). Metadata
form an integral part of the document.
Elimination (EL)
Regulated procedure or any other intentional action leading to the
physical destruction of archives or any other operation resulting in a
total or partial loss of information.
PP
Permanent preservation
Processes and operations involved in ensuring the technical and
Preservation
intellectual survival of authentic records through time.
(ISO 15489-1:2001)
Person or role responsible for the effective and efficient functioning
Process Owner
of the process. He/she has the necessary authority to take action or
make decisions with an impact on the process performance.
(PRO-0008)
Record
The evidence documents (Records) are those
operational/administrative documents created, received and
maintained as evidence of the actions carried out in the framework
of ECHA’s official tasks. (PRO-0010)
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Document code:
LIS-0026.07
Security level:
Internal
Effective date:
06/09/2021
ECHA Retention Schedule
Term or abbreviation
Definition
Sampling (SAM)
Method of appraisal whereby, on the basis of objective criteria, a
representative portion of files is chosen for preservation from a
larger body of files that will not be preserved in its entirety.
Selecting (SEL)
Method of appraisal whereby, on the basis of the selectors’
assessment, a certain number of files are chosen for preservation
from a larger body of files that will not be preserved in its entirety.
TPA
Transfer to Permanent Archive
5 References
Associated document code
Document name
(EU) 2015/496
Council Regulation
6 Annexes
Annex 1: ECHA Retention schedule in Sharepoint
(https://activity.echa.europa.eu/sites/act-12/process-12-
3/Lists/Storage%20plan/AllItems.aspx)
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