- Scope
- Information covered
- Storage media and
file formats
- Standards
- Document retention
1. Electronic documents
2. Paper documents
- Destruction policy
- Responsibilities
- Legal advice sought
- Duty of care
Annex A - definitions
Annex B - storage media
and file formats supporting the Information Management Policy
1. Scope
This is a policy document for compliance with Code of Practice
for legal admissibility and evidential weight of information stored
electronically (Reference BSI document BIP 0008) This document covers
the National Archives of Scotland’s Digital Data Archive and
corporate records stored in any future electronic document and records
management system (EDRMS) adopted by NAS.
The NAS electronic information storage systems for the DDA and any
future EDRMS are to be described in system description manuals.
Each system will have a procedures manual describing the procedures
for its use. In the case of the DDA, the system description manual
will be taken forward by the NAS BIP 0008 Working Group and the
procedures manual will be created as part of current DDA Project.
Definitions of the terms used within this policy document are detailed
in Annex A.
2. Information covered
This document covers stored information relating to all aspects
of an object generated, received or retained by the National Archives
of Scotland within either the DDA or an EDRMS. It does not cover digital
surrogates, although their long-term preservation will be need to
be addressed by NAS at some future point. The NAS operates an information
security system. In accordance with the Freedom of Information (Scotland)
Act 2002, the Data Protection Act 1998 and the Environmental Information
(Scotland) Regulations 2004, certain information is classified as
‘exempt’ or ‘restricted’. All NAS corporate documents
are classified by a protective marking scheme which is set out in
the NAS Records Management Procedures Manual.
3. Storage media and file formats
All stored information as detailed above are held in a format
and on media as described in Annex B.
4. Standards
All electronic information covered by this policy is stored
in partial compliance with BIP 0008:2004, and for corporate information,
the Information and Documents Records Management Standard (BS ISO
15489), together with any referenced national and/or international
standards. The DDA is in partial compliance with the Open Archive
Information System (ISO 14721:2003) and the PREMIS Metadata Schema.
5. Document retention
5.1 Electronic documents
The retention of documents included within the scope of this policy
are governed by:
- For the DDA – the NAS digital preservation strategy and
NAS policies on the selection and weeding of records. Selection
and weeding policies incorporate any legal obligations NAS is
under with regard to the selection and disposal of records.
- For NAS corporate records - NAS File Classification Scheme Part
C: Disposal Schedule. This schedule takes into account any legislation
covering the retention of certain types of records.
5.2 Paper documents
NAS currently has a paper system for its corporate records and a policy
of “print to file” for electronic corporate records. This
will change when an EDRMS is introduced into NAS. A negligible amount
of scanning of paper corporate documents is undertaken and in such
cases the paper documents are currently retained as the official corporate
record. Digital surrogates of hard copy archival records are created
for access/preservation purposes. The original hard copy archival
record is retained in all such cases. Digital surrogates are not corporate
records and are not stored in the DDA system as they are not the original
archival record.
6. Destruction policy
The procedure for the destruction of NAS corporate records is set
out in the NAS File Classification Scheme Part C: Disposal Schedule.
All original documents covered by this policy are destroyed using
these procedures. Paper or electronic documents are not destroyed
where litigation is pending or in progress, or where the information
is subject to a Freedom of Information request.
Where data protection is applicable, auditable procedures for access
and destruction of personal information subject to the requirements
of the legislation will be documented.
Accessioned digital objects are not destroyed (either originals or
migrated copies) unless weeded, in which case the object’s metadata
is retained to record the destruction (including the reason, Staff
ID and authority, date, etc. relating to that destruction).
7. Responsibilities
This policy document should be reviewed every three years, or more
frequently if events make this necessary (eg if an EDRMS is adopted
in the meantime). Such reviews will be under the control of the Keeper
of the Records of Scotland. Where changes are agreed, they will be
implemented using change control procedures. This policy, and any
revisions, should be approved by the Keeper of the Records of Scotland
prior to its implementation.
The maintenance of compliance with BIP 0008 is the responsibility
of the Deputy Keeper (Corporate Services) of the NAS.
8. Legal advice sought
The NAS will seek advice from the Office of the Solicitor to the Scottish
Government (OSSG) on any legal matters where it feels this to be necessary
or where it is not itself legally competent to make a decision. This
advice can be reviewed and acted upon as appropriate. Records of this
advice, any reviews and the resulting actions are classified as an
‘audit report’ and will be retained accordingly.
9. Duty of care
The National Archives of Scotland recognises that it has a duty of
care, to keep secure and accurate original documentation, or authentic
copies of them. This is achieved by:
implementing this policy document;
implementing an Information Security Policy;
ensuring that only trained staff have access to the system;
ensuring that acceptable quality control procedures are implemented;
ensuring that the National Archives of Scotland legal advisors
are consulted where necessary, and appropriate actions taken.
Annex A – Definitions
Electronic information storage systems
These comprise the Digital Data Archive (DDA) System, the NAS corporate
infrastructure (including servers, personal computers, storage,
etc). and any future Electronic Document and Records Management
System (EDRMS) adopted by NAS.
System description manuals
The documents that describe the various parts of the NAS infrastructure.
Surrogate
Digital copy that is not a corporate or archival record.
Weeding
Destruction of unwanted material following appraisal and selection
of records for permanent preservation.
Annex B – Storage media and file formats supporting the
Information Management Policy
This table relates to the NAS Digital Data Archive (DDA) electronic
storage system only.
| Document type |
Media type |
Format |
Backup type |
Lead Responsibility |
| DDA audit data |
hard disc |
within SQL
server database |
hard disk
and tape |
ITCB |
| Court data |
hard disc |
tiff, bmp |
hard disk and tape |
CLRB |
| Scottish Government (SE)
data – MS Office |
hard disc |
.doc, .xls, etc. |
hard disk and tape |
GRB |
| SE data – web sites |
hard disc |
various |
hard disk and tape |
GRB |
| SE - enquiries |
hard disc |
various |
hard disk and tape |
GRB |
The NAS's corporate records are currently stored within a Windows
operating environment comprising Windows Office documents, TIFF
and JPEG images and some Access and SQL databases. They are stored
on hard disc with tape backup.
|
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