The Government Records Branch of the National Archives of Scotland

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The Government Records Branch of the National
Archives of Scotland

• Dr Hugh Hagan
• Senior Inspecting Officer
• National Archives of Scotland

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Scottish Perspective

• Scotland since 1998 has been governed by an
  elected Parliament that is separate from the
  Westminster Parliament.
• Scotland has a separate legal system and a
  separate system of public administration
• The National Archives of Scotland operates
  independently of The National Archives in London

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National Archives of Scotland (NAS) Legislative
Background

• NAS operates under a legislative framework that
  is separate from that of England and Wales
• Public Records (Scotland) Act 1937
• It shall be lawful for government departments,
  agencies, non departmental public bodies,
  statutory bodies corporate, and local authorities
  to transfer their records to the Keeper
• Public Records Act 1958
• Public Records Act 1967

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National Archives of Scotland Government
Records Branch

• Government Records Branch provides advice to the
  Scottish government on matters affecting records
  management and archives
• It collaborates with the Scottish Executive and
  the Scottish Parliament to select records for
  permanent preservation

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Appraisal Background

• What is the Scottish Executives annual
  information creation capacity?
• How much information does the Scottish Executive
  appraise annually?
• What proportion of this is accessioned by the
  National Archives of Scotland?

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Formal Agreement between National Archives of
Scotland and the Scottish Executive

• Service Level Agreement
• Scottish Executive Information Management Unit
• National Archives of Scotlands Government
  Records Branch

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The Scottish Executives Role

• Information can be appraised in three stages
• On closure of the file
• At first review, normally 5 years after the date
  of the last paper on the file
• At second review, up to 25 years after the date
  of the first paper on the file

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Scottish Executive guidance on disposal decisions

• All Scottish Executive Departments have record
  schedules drawn up in collaboration with
  Information Management Unit and Government
  Records Branch
• Scottish Executive Records Management Manual

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National Archives of Scotland has a scrutiny
role

• To audit the quality of Scottish Executive
  disposal decisions by
• Inspecting by list and using random physical
  inspection of files that we suspect of being of
  archival value
• Physically inspecting all files that attract
  permanent preservation disposal decisions

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Selection Criteria

• Do the files document
• the lead Department responsible for creating a
  particular policy development or legislative
  programme?
• The work of a secretariat in charge of a major
  committee?
• controversial subject matter?
• Will the information prove valuable to historians
  in the future?

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Information not suitable for preservation

• Papers copied to Departments with peripheral
  interest in policy development
• Press cuttings and research papers
• Routine correspondence
• Case work files
• Information subject to review by the UK National
  Archives

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Managing Performance

• The Scottish Executive sets an annual appraisal
  target based on available staff resources
• NAS assesses the resource implications of the
  Scottish Executive target
• The Service Level Agreement Guardian of fair
  play!
• The Supplier (NAS) will at all times be mindful
  of backlogs of files accumulating particularly
  with regard to files marked for destruction
  (files on which decisions have been deferred by
  the Supplier) and will not allow such backlogs to
  exceed 3500 files in extent

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NAS Performance Indicators

• NAS Corporate Plan
• Secure accommodation to safeguard records of long
  term value This will involve managing the
  increasing flow of records coming to us, through
  improved appraisal and selection.
• We will promote better record keeping by public
  bodies in Scotland through demonstrating good
  practice and offering advice, in order to support
  compliance legislation.
• Government Records Branch annual business
  objectives
• Create 9,000 new catalogue entries and 200
  modified/enhanced entries for the year 2007-08
• Appraise 700 linear metres of Scottish
  Executive Agency files in year 2007-08

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Managing Objectives

• Monitoring and reporting GRB business objectives
  and key performance targets
• Weekly records of achievement against targets
• Formal quarterly reports on progress
• Annual reports
• Personal business objectives and line management
  of staff
• Internal and external audit
• Managing the Unknown!

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Issues Future Considerations

• External Pressures
• Freedom of Information legislation
• Volume of resource intensive access requests
• New records management responsibilities for
  Government Records Branch
• Increasing awareness among public authorities of
  their records management obligations
• What will the historical record look like in the
  electronic age?
• How do we effectively and efficiently manage the
  selection of electronic records?

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Electronic Information

• There is no digitisation programme for older
  paper records
• Scottish Executive Electronic Document Records
  Management System (EDRMs)
• National Archives of Scotland appraisal of
  Scottish Executive electronic records
• Abandon content or provenance based selection in
  favour of functional or macro-based selection
  process
• Timetable for transfer of electronic records to
  National Archives of Scotland

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The Challenge of Digital Preservation

• By their nature, digital objects
• are easily changed ensure they remain unchanged
• require software to be accessed must ensure
  access to objects in future
• require storage media sidestep hardware
  obsolescence
• can be complex must be described for the
  future, using metadata

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NAS Digital Data Archive

• NAS is to establish a suitable environment for
  the archival storage of born digital
  information based on recognised standards such
  as,
• Open Archival Information System (OAIS)
• Preservation Metadata Implementation Strategies
  (PREMIS)
• Code of Practice on Legal Admissibility and
  Evidential Weight of Information Stored
  Electronically ( BIP0008)
• By December 2007, have in place a system for
  accepting, preserving and making available
  electronic records from a range of Scottish
  public authorities

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Strategies for Digital Preservation

• Migration upgrade the digital objects to avoid
  obsolescence
• Normalisation identify an open format and make
  a copy (NASs preferred route)
• Emulation attempt to replicate the environment
  (not currently feasible for small institution
  like NAS)

These strategies are not mutually exclusive. And
there is always a cost!
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The End!

• Dr Hugh Hagan
• National Archives of Scotland
• Government Records Branch
• Email hugh.hagan_at_nas.gov.uk
• Web www.nas.gov.uk