Guidance for managing your records effectively (1)

Transcription

1 LINCOLNSHIRE COUNTY COUNCIL Information Governance Guidance for managing your records effectively (1) Document reference: IG.002 Operational date: June 2011 Policy prepared by: Christopher Johnson Policy approved by: Review date: March 2013

2 LINCOLNSHIRE COUNTY COUNCIL Guidance for managing your records effectively (1) What is Records Management? Objectives We have a commitment to improving the way in which we look after our information and records, the essential evidence of our work activities. What do we need to do, to achieve this? We need to:- Improve access to information Show how important the records are to the Council Allocate responsibilities for the work which needs to be done Bring in reliable and effective systems to manage the records Improve our present storage standards and facilities Store records off-site when this is necessary Ways and means One of the ways in which these objectives can be achieved is through guidance and training, and this series of papers is a step in the right direction. The subjects to be covered in this series on Records Management (RM) are:- Accuracy of personal records and data Definitions: what are documents and records? Standards for paper record storage Standards for managing electronic records, including Access issues These will adopt a practical how to approach, and show where to obtain further help and clarification. The legal context Records Management is governed by a number of laws and regulations, several of which concern Freedom of Information. There are also some unfamiliar terms which require explanation.

3 Legislation, standards and guidelines Legislation which governs access to records and information Local Government Act, 1933: authorisation for local authorities to incur expenditure on their internal records. Public Records Acts, 1958 and 1967: provision for access to certain classes of government records held by local authority record offices. Local Government (Records) Act, 1962: sect. 1 of this Act empowers a local authority to do all that is necessary to enable use to be made of records in its control, in particular to provide access. This is primarily intended for historical records. Local Government Act, 1972: sect. 224 sets a duty on local authorities to make proper arrangements for their records (current and historical). This has been the subject of Guidance from DETR (now DCLG) in The same Act, sect. 228, provides for access by certain categories of users to minutes, accounts and abstracts of accounts. Local Government (Access to Information) Act, 1985: a wider right of access to current documentation, e.g. background papers to committee reports. Freedom of Information Act, 2000: contains the presumption that records are open to inspection unless otherwise exempted, and procedures for handling enquiries and complaints. The Code of Practice to section 46 of the Act, issued by the Department for Constitutional Affairs, governs relevant aspects of Records Management, and The National Archives (TNA) have developed an evaluation workbook for it. These are the major enactments which govern rights of access to various records. There are others, for example the Town and Country Planning Acts, Commons Registration Acts, which require local authorities to keep certain categories of records and make them available to the public. Legislation which limits access to certain records Rehabilitation of Offenders Act, 1974: sects. 8 and 9 concern access to records relating to spent convictions. Human Rights Act, 1998: Article 8 imposes a right to respect for private and family life and correspondence, and does touch upon the gathering and keeping of information, with implications for access. Data Protection Act, 1998: extends the safeguards for data subjects to information held in manual systems. There are sections on fair and lawful processing, accuracy of data, security and the length of time for which data should be held. The Act contains exemptions for most historical records.

4 Other guidance, standards etc: a selective bibliography A. Freedom of Information Lord Chancellor s Code of Practice on the Management of Records under section 46 of the Freedom of Information Act 2000 DCA 2002 Model Action Plan for Developing Records Management compliant with the Lord Chancellor s Code of Practice under section 46 of the Freedom of Information Act 2000 TNA 2002 B. Data Protection BSI DISC PD0012: Guide to the practical implications of the Data Protection Act Code of Practice for Archivists and Records Managers under Section 51(3) of the Data Protection Act Society of Archivists and Records Management Society C. Records Management and Archives ISO 15489:2001 Information and Documentation - Records Management PD ISO/TR :2001 Information and Documentation. Records Management Guidelines BIP :2002 Effective Records Management. Part 1: A Management Guide to the value of BS ISO BIP :2002 ditto. Part 2: Practical Implementation of BS ISO BIP :2004 ditto. Part 3: Performance Management for BS ISO BIP :2007 ditto. Part 4: How to comply with BS ISO BS 5454:2000 Storage and Exhibition of Archival Documents BSI DISC PD 0024 Archival Documents. Guide to the interpretation of BS 5454:2000 Public Services Quality Group, A Standard for Access to Archives, 2000 Local Government Act 1972, section 224. Guidance on proper arrangements for archives, DETR and LGA, 1999 BSI DISC PD 0010 Principles of Good Practice for Information Management TNA guidance documentation (various titles), available via TNA website, D. Electronically stored records BS 4783 Storage, transportation and maintenance of media for use in data processing and information storage BIP 0007 Guide to the British Standard Code of Practice for Information Security Management (see also BS ISO Information Security) BIP 0008 Code of Practice for legal admissibility and evidential weight of information stored electronically (see also BS ISO for the Standard)

5 Glossary of technical terms Access Archives The right of the public or staff to view records or retrieve Information (1) Records (any medium) which are no longer in current use, but may be required for reference purposes (2) Historical records deposited at the Archives Classification Scheme System which presents record classes/categories in a structured, hierarchical framework based on function rather than the Directorate structure. See also Fileplan. Closure period Conversion Period of time when records or archives are not permitted to be open for consultation The process of transforming paper-based records to digital format, e.g. via the Document Management Programme Custody/custodianship Concept of continuous guardianship of records or archives, necessary for proving evidential value Destruction Disposal The procedure by which records are completely eliminated or deleted (1) The practice of destroying records no longer needed for administrative/reference purposes (2) =Disposition: a range of options for records which have reached the end of their retention period. These include further retention, and transfer to Archives Document Management A programme within LCC for converting certain categories of paper records to digital format Evidential weight The legal value of information contained in records or archives Fileplan Hybrid system Extension of the Classification Scheme, used to link electronic records to the Scheme Records Management system which incorporates and links paper and electronic records

6 Information Management High-level concept embracing records management, Archives, document management and compliance issues Such as Freedom of Information and Data Protection Metadata Migration Ownership Paperless Office Preservation RMS Records Indexing data describing the context, content and structure of records, and vital for their management over time The way in which records are transferred from one format or platform to another whilst maintaining authenticity and integrity Rights and responsibilities with regard to information, its storage and disposition (see also Custody) Mythical concept of future reliance on electronic records. The Less Paper Office may be more attainable! Applied to all media in respect of records required for long term use Records Management Society Information in any medium still in current use and required to prove or document the activities of the organisation Records Management Storage, maintenance and security of systems for efficient handling of records in all media throughout their lifetime Redundant records Those which are no longer needed for current administrative purposes Registry/Registration Organised arrangements for logging items on to a system, and for tracking access and usage Retention Review Scanning Concept for keeping records over a particular length of time Scheduled appraisal of records prior to disposal action Conversion process, to electronic medium Schedules Detailed lists in database form of record categories, showing necessary actions over time

7 Semi-current records Records not in current use, but not completely redundant Storage TNA Tracking Transfer System or arrangement for keeping records. This may be in special accommodation or office filing cabinets The National Archives (formerly the Public Record Office) Creating, capturing and maintaining information about the movement and use of records, particularly in a compliance environment Change of custody or responsibility for records, particularly in respect of arrangements for depositing records at the Archives Note: Parts of some of the definitions above have been taken from ISO For further advice about Records Management policy and procedures, please contact the Information Governance Team at:- recordsmanagement@lincolnshire.gov.uk.