The Management of Records under FOI NW Regional Archives Council 22 November 2002

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The Management of Records under FOINW Regional
ArchivesCouncil22 November 2002
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• FOI Act 2000
• Code of Practice
• Model action plans
• Steps to compliance
• Standards and guidance

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Countries with FOI

• USA, Canada, Australia, New Zealand, Ireland,
  France, Belgium, Portugal, Greece, Sweden,
  Norway, Denmark, Holland, Finland, Hungary, Czech
  Rep, Bulgaria, Poland, Ukraine, Japan, S. Korea,
  Thailand, S. Africa, Israel
• Govt bills India, Pakistan

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Overview of the FOI Act - 1

• Statutory right of access to
• Recorded information ,held by public authorities
  ,irrespective of its date
• Unless an exemption applies and there is no
  overriding public interest in disclosure
• 20 working days to confirm or deny that
  information is held and provide it
• Duty to provide advice and assistance

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Overview of the FOI Act - 2

• Public interest test
• Fees
• Publication scheme
• Appeals
• Codes of Practice

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Exemptions (1)

• Cost limit
• Already accessible
• Intended for future publication
• National security matters
• Defence and international relations
• Internal relations
• The economy
• Investigations and law enforcement

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Exemptions (2)

• Court records
• Audit functions
• Parliamentary privilege
• Formulation of government policy and the conduct
  of public affairs
• Honours
• Health and safety
• Environmental information

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Exemptions (3)

• Personal information
• In confidence
• Legal professional privilege
• Commercial interests
• Statute barred

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Absolute or Public Interest?

• ABSOLUTE
• Already accessible
• Court records
• Parliamentary privilege
• Personal
• In confidence
• Statute barred

• PUBLIC INTEREST
• Future publication
• National security
• Defence international
• Internal relations
• Economy
• Law enforcement
• Audit
• Government Policy
• Honours
• Health and Safety
• Environmental
• Legal privilege
• Commercial interests

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Useful websites

• www.pro.gov.uk/recordsmanagement
• www.dataprotection.gov.uk
• www.lcd.gov.uk/foi/foidpunit.htm

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Implications for Archives

• Public records
• Local authority records
• Records of other public authorities
• Records of all their predecessors
• Records of private origin owned by the authority

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Finding aids

• Comprehensive - uncatalogued holdings issue
• Accessible - remote or on-site access issue
• Utility
• Data protection compliance

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Section 45 code and enquiry procedures

• Publish request procedures
• Types of assistance to offer
• Transferring requests
• Consulting 3rd parties
• Public sector contracts
• Complaints procedure

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Disclosure decisions

• What is involved? - application of exemption -
  public interest test - confirm or deny
  information is held?
• Who makes the decision?
• Who is consulted about the decision?

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Managing requests for information

• Logging
• Tracking progress against deadline
• Decision-making
• Documenting

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FOI Act 2000Section 46

• The Lord Chancellor shall issue, and may from
  time to time revise, a code of practice providing
  guidance to relevant authorities as to the
  practice which it would, in his opinion, be
  desirable for them to follow in connection with
  the keeping, management and destruction of their
  records.

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Preface

• iii) Any freedom of information legislation is
  only as good as the quality of the records to
  which it provides access
• ..Consequently, all public authorities are
  encouraged to pay heed to the guidance in the
  Code.

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Model Action Plans

• Advisory Group on Openness in the Public Sector
  (December 1999)
• Model action plans for developing records
  management compliant with the Code of Practice
• Central Government
• Local Government
• FE and HE
• Police authorities
• NHS, Schools

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Step 1The Records Management Function

• specific corporate programme
• organisational support
• records in all formats
• clearly defined responsibilities
• connection with other information management
  issues

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Step 2Roles and Responsibilities

• records manager
• appropriate skills and knowledge
• appropriate resources
• analysis of training needs

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Step 3

• 6.1 An authority should have in place an
  overall policy statement, endorsed by top
  management and made readily available to staff at
  all levels of the organisation, on how it manages
  its records, including electronic records.

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Step 3 - contd

• mandate for all records management functions
• commitment to create, keep and manage records
• role of records management
• relationship to overall strategy
• roles and responsibilities
• framework for supporting standards, procedures
  and guidelines
• monitor compliance
• reviewed at regular intervals (at least once
  every three years)

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Step 4Training and Awareness

• records management awareness
• professional development programme

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Step 5Record Creation and Record Keeping

• adequate system for documenting activities
• complete and accurate
• quick and easy retrieval
• information survey/record audit
• metadata
• rules of description

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Step 6Record Maintenance

• tracking system
• adequate storage
• suitable equipment
• handling procedures
• business recovery plan

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Step 7Record Disposal

• closure procedures
• standards for the storage of closed records
• volume and nature of records due for disposal
• time taken to appraise
• risk management
• documentation system
• acquisition and disposition policies
• operational selection policy
• disposal schedules
• destruction

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Step 8Access

• Documentation of disclosure and exemption
  decisions

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Step 9

• Performance measurement

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BS/ISO

• ISO 15489
• PD 0025-1 A management guide to the value of
  BS ISO 15489-1
• PD 0025-2 Practical implementation of BS ISO
  15489-1

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Electronic Records

• Functional Requirements for Electronic Records
  Management Systems
• BSI PD 0008 legal admissibility
• Modernising Government agenda
• 2004
• 2005

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Public Record Office Kew Surrey TW9
4DUwww.pro.gov.uk/records management/standards
and guidance
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Issues, concerns and the future