Introduction
As a result of its functions and activities, The National Archives
of Scotland (NAS) creates and receives administrative records which
are a valuable resource and an important asset, as well as supporting
our legal, fiscal, businesses and administrative requirements.
The systematic management of the NAS's own records is essential in
order to protect and preserve them as evidence of actions, support
future activities and business decisions, and ensure accountability
to present and future stakeholders and customers.
Recent Government initiatives and forthcoming legislation reinforce
the need to be fully accountable and to deliver services in a consistent
and equitable manner. They make the setting up of records management
procedures important for all organisations and imperative for the
NAS, as we will be expected to set a good example in this area.
Forthcoming Freedom of Information legislation will include provision
for ministers to issue a code of practice on records management.
This is likely to require authorities to have in place an overall
policy statement on how to manage its records, endorsed by top management
and made readily available to staff at all levels of the organisation.
In addition, and in line with the UK Government, the Scottish Government
expects all public services which can feasibly be delivered electronically
to be online by 2005. In order to meet this target, government departments
and agencies must be able to retrieve, appraise and dispose of electronic
records efficiently and
effectively.
The following policy sets out the procedures and practices needed
to control and manage the NAS's own records in such a way that the
above requirements are met efficiently and effectively. The adoption
of the policy will also bring the following benefits to staff:
- Efficient access to reliable records.
- A clear and understandable filing system.
- Training in those aspects of the system which have a bearing
on individuals' jobs.
- Protection from accusations of unnecessary secrecy under the
Data Protection Act and forthcoming Freedom of Information Act.
- A smoother eventual transition into electronic records management,
which will allow even faster and more efficient record searching
and retrieval.
Keeper of the Records of Scotland
15 October 2001
Scope of records management policy
This policy aims to fulfil the requirement for good management of
the records which the NAS creates and receives in the course of administering
its own business. It does not apply to the records of organisations
and private individuals deposited in NAS for historical purposes.
The records covered by this policy must meet the legal, operational
and archival requirements of the NAS. They must also ensure its
accountability to present and future stakeholders and customers.
The policy covers:
- the requirements that must be met for the records themselves
to be considered as a proper record of the NAS's activity
- the scope of the systems and processes required to ensure the
capture, integrity, security, retrievability and correct disposition
of the NAS's records
- staff responsibilities
- an implementation strategy across the organisation
- provision for regular review of the records management policy
and its implementation
Relevant legislation and regulations
The policy complies with the following acts, regulations and best
practice standards:
- Data Protection Act, 1998
- Human Rights Act, 1998
- Electronic Communications Act, 2000
- International Standard on Records Management, BS ISO 15489
- Code of Practice for Legal Admissibility and Evidential Weight
of Information Stored Electronically, PD0008: 1999
- Principles for Good Practice for Information Management, PD0010:
1997
In addition, certain records will be subject to other legislation
covering their particular subject area. Branches should ensure that
they are aware of the legislation governing their work and its bearing
on their record keeping.
Definition of a record
A record is information in any medium, created, received and maintained
as evidence and information by an organisation or person, in pursuance
of legal obligations or in the transaction of business.
Principles of good records management
The guiding principle of records management is to ensure that information
is available when and where it is needed, in an organised and efficient
manner, and in a well-maintained environment. In order to do this,
NAS must ensure that records are:
Authentic
It must be possible to prove that records are what they purport
to be and who created them, by keeping a record of their management
through time. The record keeping system will operate so that the
records derived from it are credible and authoritative. Where information
is later added to an existing document within a record, the added
information will be signed and dated. With electronic records, changes
and additions will be identifiable through audit trails.
Accurate
Records must accurately reflect the transactions that they document.
Accessible
Records must be readily available when needed.
Complete
Records must be sufficient in content, context and structure to
reconstruct the relevant activities and transactions.
Comprehensive
Records must document the complete range of the NAS's business.
Compliant
Records must comply with any record keeping requirements resulting
from legislation, audit rules and other relevant regulations.
Effective
Records must be maintained for specific purposes and the information
contained in them must meet those purposes. Records will be identified
and linked to the business process to which they are related.
Secure
Records must be securely maintained to prevent unauthorised access,
alteration, damage or removal. They must be stored in a secure environment,
the degree of security reflecting the sensitivity and importance
of the contents. Where records are migrated across changes in technology,
NAS must ensure that the evidence preserved remains authentic and
accurate.
Records management processes
To achieve the above, the NAS will implement business processes
and records management systems which:
- Comply with standards and best practices
- Capture evidence of all activities required.
- Manage the content, context and structure of records securely
and reliably
- Facilitate re-use of information contained within records
- Enable efficient access to records, irrespective of their location
- Provide a single interface to records relating to any particular
business activity, regardless of the records' media.
- Retain records for as long as they are needed and in the form
required
- Retain electronic records on media that permit reliable data
migration and/or system modifications
- Protect records from inappropriate access and usage
- Ensure the security of records vital to the NAS's main functions
- Provide for future system amendments or re-design
This will be done for both paper and electronic records, by:
- Introducing an appropriate registration, classification and
indexing scheme for all records. This will include rules on version
control.
- Designating secure areas for record storage under the control
of trained staff, using a system of one or more registries.
- Developing retention schedules for all of the NAS records, coupled
with annual file reviews by designated members of staff.
- Implementing effective back-up procedures for the maintenance
and security of electronic records.
- Implementing a vital records plan to ensure the recovery of
records essential for the running of the NAS in the event of a
disaster, suitable back-up procedures etc.
- Designating to individuals within NAS responsibility for the
various activities necessary to maintain such systems
- Providing appropriate training.
Staff responsibilities
Everyone within the NAS is responsible for ensuring that the records
they create or maintain comply with the requirements in this policy.
Specific duties will be written into job descriptions.
Senior Management
- Senior management recognise the importance of maintaining a
corporate memory of events and activities and is committed to
providing sufficient staffing, technical and organisational resources
to ensure that the above requirements for dealing with records
can be achieved and maintained.
Senior management will make provision for a regular review of the
NAS Records Management Policy and will instigate modifications when
necessary.
Line Managers
- Familiarise themselves with, and follow, NAS's records management
procedures and practices and ensure that their staff do likewise.
- Ensure that, where necessary, staff have appropriate security
clearance to do their jobs effectively.
- Identify staff training needs and arrange for these to be addressed.
- For their own areas, oversee the application of retention schedules
and provide input into their development.
- Undertake management and statistical reporting.
- Ensure records are held in appropriately secure conditions,
depending on their classification.
Operating staff
File items promptly and accurately.
- Identify final versions.
- Send information to the relevant people.
- Ensure records can be accessed as needed.
- Protect security-designated information.
- Follow closure and disposition procedures.
Records management system managers and administrators
- Support users.
- Issue guidance and provide training.
- Monitor proper functioning of records management systems.
- Create and maintain security rights
- Ensure records management systems stay in line with developments
in best practice.
- Administer the records management and registry systems.
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