Greater London Authority Records Management Policy

Transcription

1 Greater London Authority Records Management Policy 1. Purpose The purpose of the Records Management Policy is to establish a framework for the creation, maintenance, storage, use and disposal of GLA records, to support corporate governance and to facilitate compliance with the Freedom of Information Act Scope 2.1 This policy applies to the whole Authority - the Mayor, members of the Assembly and all staff of the Authority. It will also apply to all consultants engaged to work within the Authority. 2.2 The policy covers all records created in the course of GLA business and activities. A record is recorded information, in any form (it may be an electronic file or , or a paper document), created or received by the GLA or individual members of staff to support and show evidence of GLA activities. More detailed definitions of a record and other related terms are provided in appendix A. 3. Policy Statement The records of the GLA are its corporate memory, and are necessary for good corporate governance, to be accountable, to comply with legal requirements, to provide evidence of decisions and actions, and to provide information for future decision-making. All records created during the course of GLA work are the property of the GLA. Managing and using records effectively will ensure that the GLA gains the maximum benefit from them. The GLA recognises the importance of this essential resource and undertakes to: 3.1 Manage records within a single corporate framework, according to agreed procedures 3.2 Comply with legal obligations that apply to its records (see appendix B) 3.3 Exercise best practice in the management of records, as outlined in relevant standards (see appendix B) 3.4 Encourage effective access to and use of records as a corporate source of information 3.5 Keep records electronically where appropriate 3.6 Store records efficiently, utilising appropriate storage methods at all points in their lifecycle (pedestals, filing cabinets, off-site records store), and disposing of them when they are no longer required (securely destroying or preserving them as part of the GLA s historical archive)

2 3.7 Provide appropriate protection for records from unwanted environmental (fire, flood, infestation) or human (alteration, defacement, theft) impact 3.8 Safeguard records necessary for the continuity and regeneration of the GLA in the event of a disastrous occurrence 3.9 Identify and make provision for the preservation of records of historical value 4. Roles and Responsibilities 4.1 The Information Governance Manager is responsible for developing corporate records management policy, procedures and guidance 4.2 Directors and Heads of Unit are responsible for ensuring that staff receive adequate development and support to comply with this policy 4.3 Records Liaison Officers are responsible for communicating records management policy and procedures to their directorates/teams and ensuring that they are implemented 4.4 All GLA staff are responsible for documenting their work and keeping records in line with GLA policies and procedures 4.5 Facilities is responsible for the coordination of off-site storage for non-current records 5. Implementation Methods 5.1 A network of Records Liaison Officers will be established to ensure that records management policies and procedures are communicated and implemented in directorates 5.2 A retention schedule outlining the GLA s policy for retention and disposal of records will be produced and implemented 5.3 Document naming and version control standards will be developed 5.4 An online suite of records management guidance will be made available to GLA staff 5.5 Guidance will be provided on suitable storage for records at different stages of their lifecycle. Off-site storage will be used for records that are no longer required on a constant basis but are not yet ready for disposal 5.6 Vital records will be identified and steps taken to ensure their survival in the event of a disastrous occurrence 5.7 Records of historical value will be identified as early as possible and transferred to London Metropolitan Archive when GLA use has ended. Records not required for historical purposes will be destroyed in line with the GLA s retention schedule (see 5.2)

3 6. Policy Review The Records Management Policy will be reviewed every two years by the Governance Steering Group to ensure that it continues to fulfil the needs of the GLA. Appendix A Definitions Appendix B List of relevant legislation, standards and external guidance Appendix C Related policies

4 Appendix A: Definitions What is a record? A record is recorded information, in any form, created or received by the GLA or individual members of staff to support and show evidence of GLA activities. It is important to differentiate between a record and a document. All records are documents, but not all documents are records. In effect, a document becomes a record when it forms part of a business activity. An example of a document would be a blank form. If somebody completes and submits the form, it becomes a record, because it has participated in a business activity. Some documents will never (and should never) become records, due to their ephemeral nature. Examples include promotional literature received (unless it is relevant to a particular project or initiative ongoing or planned), junk mail ( or otherwise) and other items of no more than passing significance. Records need to be authentic, reliable, have integrity (be complete or unaltered, except under controlled conditions) and be useable. Records therefore need to be subject to controls that ensure these features are maintained. What is records management? The international standard on records management describes it as: [The] Field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and [disposal] of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records BS ISO : 2001 Information and documentation Records Management Effectively, it is about applying the necessary controls to the GLA s records to ensure authenticity, reliability, integrity and usability. The records lifecycle This is a model used by records managers to describe the stages through which a record progresses during its existence. It is helpful for planning records management activities, so that records can be maintained and stored efficiently. Records are placed within files classed as current until they are closed. Files then progress through a semi-current phase, when staff may still access them regularly, but will not add any records. Often another phase, non-current, follows where a file needs to be retained, perhaps for legal reasons, but is rarely referenced. Once a file is no longer needed, it can be disposed of, either by transfer to a publicly accessible record office if it is likely to be of historical significance, or by destruction. The retention schedule This is a policy statement setting out what records the GLA holds and how long they will be retained before disposal. It can also be used to set out what needs to happen to records at different stages of their lifecycle to ensure that they are stored efficiently. What are vital records? These are records without which the GLA could not function or be reconstructed in the event of a disaster.

5 Appendix B: Legislation, standards and external guidance relevant to records management Many pieces of legislation, regulations and standards include requirements for record keeping. The following are the most relevant to the GLA s Records Management Policy. Legislation Data Protection Act 1998 Environmental Information Regulations 2004 Freedom of Information Act 2000 Greater London Authority Act 1999 Limitation Act 1980 Local Government (Access to Information) Act 1985 Local Government (Records) Act 1962 Local Government Act 1972 Taxes Management Act 1970 Value Added Tax Act 1994 Standards ISO :2001 Information and documentation Records Management BSI DISC PD 0008 Code of practice for legal admissibility and evidential weight of information stored on electronic document management systems Guidance Lord Chancellor s Code of Practice on the management of records issued under section 46 of the Freedom of Information Act 2000 The National Archives: Managing records without an electronic records management system The National Archives: Complying with the Records Management Code: self assessment tool

6 Appendix C: Related policies The GLA has a collection of policies that this Records Management Policy complements. It is important to refer to these other policies to ensure a coherent policy framework. Records Retention Schedule Historical Archiving Policy Data Protection Policy Information Security Policy Policy Business Continuity Plan Risk Management Policy