SCOTTISH EXECUTIVE FREEDOM OF INFORMATION (SCOTLAND) ACT 2002:OPEN LEARNING WORKBOOK
MODULE 5
RECORDS MANAGEMENT - PART 1
5.1 CONTENT AND LEARNING OBJECTIVES
This module and module 6 deal with records management. This module deals with what the Act says, it introduces the section 61 Code of Practice on Records Management and explains what it says in relation to the keeping, management, and destruction of records. Module 6 looks at the section 61 Code as it relates to records held and transferred to the National Archives of Scotland and other archives.
Once you have worked your way through this module you should understand:
- What records management is; and
- The relationship between records management and freedom of information
SUGGESTED TIME ALLOCATION: 1 hour
5.2 LEARNING MATERIALS
5.2.1 What is records management?
Records management is typically the creation, keeping, using, storing, preservation and destruction of records. It encompasses the lifecycle of a piece of information from when it is created to when it is destroyed, or if appropriate, put into permanent storage and transferred to an archive. Records can be in a variety of formats, for example, paper, electronic, microfiche, x-ray, notebooks, websites, databases and so on.
The ability to store and find information is important to the normal functioning of an authority. Good records management should aid compliance with the Act. It should help in preparing a publication scheme and in responding to requests for information. It should ensure that fees are kept down and that an authority can meet the timescales for compliance because it can find information promptly.
5.2.2 What does the Act say about it?
The Act does not contain any specific obligations on authorities in relation to general records management. What it does is impose a requirement on the Scottish Ministers to issue (and from time to time revise) a code of practice on records management. This contains what the Ministers think is the desirable practice to be followed by authorities in connection with the keeping, management and destruction of the authorities' records. This is referred to as the section 61 Code.
5.2.3 Section 61 Code
The section 61 Code, as well as setting out desirable practice in connection with the keeping, management and destruction of records includes guidance on:
- transferring records to the Keeper of the Records of Scotland or other public archives;
- reviewing records before they are transferred and identifying information covered by an exemption under the Act.
The Scottish Ministers have regard, when issuing or revising the section 61 Code, to the public interest in allowing public access to information held by Scottish public authorities. The Commissioner and the Keeper of the Records of Scotland must be consulted by the Scottish Ministers before issuing or revising the Code.
Part One of the section 61 Code deals with records management. The key points are summarised below.
- Recognise records management as a specific corporate function and give this function effective organizational support. Ensure there is integration with freedom of information, data protection and other information management issues.
- A designated senior member of staff should have the lead management responsibility for records management. Policies and procedures should be in place, and good quality staff recruited. Training for all staff should be provided.
- An authority should have a records management strategy which includes a records management policy, arrangements for registration and tracking of records, guidelines on appraisal and closure of records, a selection policy for permanent preservation, disposal schedules, a record of the destruction of records, adequate storage and a consideration of business continuity.
- An authority should have an overall policy statement on how its records are managed which should be endorsed by senior management who should ensure it is adhered to.
- Active records management policies should be in place to enable the authority to obtain the maximum benefit from the quick and easy retrieval of information. This should include consideration of electronic records.
- The disposal of records must be undertaken in accordance with clearly established policies.
5.2.4 What happens if an authority does not comply with the Code?
The Code is supplementary to the Act but it is not a law, authorities do not have any legal obligations to comply with it. However, it is designed to help authorities meet their duties under the Act and so failure to comply may lead to the authority failing to comply with the Act itself. Also, the Scottish Information Commissioner has to promote observance of the Code and if he considers an authority is failing to comply, he can issue a practice recommendation. Practice recommendations are discussed further in Module 19.
5.2.5 Other issues
Annex A of the section 61 Code of Practice provides a reference to the many standards and specifications that relate to records management. Authorities are encouraged to meet with the best practice contained in the standards of most relevance to them.
There is a model action plan developed by the Records Management Sub-Group of the Scottish Freedom of Information Implementation Group to assist authorities in setting up good records management practice and systems which comply with the section 61 Code. Sector specific model action plans are also being developed.
5.3 THE STRATEGIC VIEW
A specific project stream should deal with records management. An authority should first ensure that there is a clear responsibility for records management, that there are appropriate resources available and that records management staff are adequately trained.
A review and assessment of the authority's current records management arrangements should then take place. This should include electronic records and archiving and retention policies.
An authority should introduce a clear records management policy which is appropriately supported and maintained to ensure that it is followed by staff at all levels in the organisation. |
5.4 SUMMARY
Good records management practices will assist authorities to meet their duties under the Act. They will ensure the creation of reliable records, make them easy to locate to deal quickly with access requests, and provide arrangements for their eventual archiving or destruction. Records management is covered by a separate Code of Practice, the section 61 Code, rather than by the Act itself. The Code provides guidance on records management policies, records management training and the keeping, management and destruction of records, both paper based and electronic.
5.5 KEYWORDS
Practice Recommendation | This is a recommendation as to good practice which the Scottish Information Commissioner may give to a public authority if it considers the authority is not following the Codes of Practice under the Act. (Section 44 FOISA). |
Section 61 Code | This is a code of practice issued by the Scottish Ministers which deals with records management. (Section 61 FOISA). |
5.6 REFERENCES
Section 44 FOISA Recommendations as to good practice.
Section 61 FOISA Code of Practice on Records Management.
5.7 RESOURCES
Section 61 Code:
www.scotland.gov.uk/about/FCSD/MCG-NW/00018022/s61code.pdf
Model action plan:
www.nas.gov.uk/miniframe/foi/map.pdf
5.8 SELF ASSESSMENT CHECKLIST
1. The section 61 Code of Practice is a statutory code with which public authorities are legally bound to comply. TRUE or FALSE?
2. The section 61 Code suggests that records management should be regarded as a specific corporate function and be given appropriate resources to be dealt with as such. TRUE or FALSE?
3. In order to give records management the status that it deserves, the section 61 Code advocates that senior management should take the lead responsibility for it to ensure adequate implementation of the records management strategy. TRUE or FALSE?
4. The Code states that public authorities should maintain all records that they have created for a minimum of two years. TRUE or FALSE?
5. Where the Scottish Information Commissioner feels that a public authority is failing to adhere to the FOISA Codes of Practice, he may issue a Practice Recommendation. TRUE or FALSE?
Click here for answers
5.9 CASE STUDY
SOME VIEWS OF RECORDS MANAGEMENT
"It sometimes surprises people that an archivist's job is as much to do with deciding what can go in the shredder as with preserving the precious relics of past ages. But our work is concerned not just with unique old documents but with helping to manage the reams of contemporary records - from committee papers, to correspondence and cash receipts produced by offices all over the University every day. By operating a records management, appraisal, storage and retrieval service we help the University make the best use of its resources and ensure that important current events are recorded in the archives of the future." Heriot-Watt University - Archives, Records Management and Museum Service "The archival records of Edinburgh are many things; unique, irreplaceable, trivial, priceless, fascinating, boring, copious, dirty, delicate, robust, leather bound, centuries old, yesterdays, published, unknown, significant and voluminous. Above all they are a hugely significant memory and resource of inestimable worth to Edinburgh, its inhabitants and its visitors. "Most aspects of Edinburgh history are illuminated by our political, administrative, judicial, business, personal, domestic, criminal, religious, social, legal and commercial archives. It is the primary task of the City Archives to rescue, preserve and improve access to these records, increasing their use and exploitation by all parties." Edinburgh City Archives "Electronic record management is a key technology underpinning electronic government. The electronic delivery of services to business and the citizen will produce electronic records as evidence of individual transactions; these records will need to be retained and maintained in a controlled manner over the medium to long term: To ensure that government is accountable
To support evidence based policy making and decision taking
To maintain a reliable record of government activity and decisions
To provide a source of reliable evidence in the event of legal action
To ensure compliance with Data Protection and future Freedom of Information legislation." Information Age Government in Scotland
"The right information at the right time makes a difference to the patient and citizen, to health care workers, to managers and to NHS Scotland as the largest organisation in the country. Information and communications technologies is a fast-developing field. "The national plan provides a clear statement of national priorities for health and the NHS with an emphasis on translating policy into tangible, practical measures that will deliver results. The plan explicitly recognises the importance of information and information and communications technologies" Information Management and Technology for NHS Scotland "Any freedom of information legislation is only as good as the quality of the records to which it provides a right of access. Such rights are of limited use if reliable records are not created in the first place, if they cannot be found when needed, or if the arrangements for their eventual archiving or destruction are inadequate. Consequently, all Scottish public authorities are expected to have regard to the guidance in this Code to ensure they are managing their records effectively. For many authorities this will mean a significant culture change for all of their staff - senior managers have a responsibility to lead and promote that change." Section 61 Code |
Task
Thank about what you see as the reasons for records management and what constitutes good records management. Make notes on what you would put in a flyer promoting records management in your organisation (approx 1 side A4).