Records and the Law Jan Liebaers Cayman Islands National Archive

Outline Recorded information Recorded information Aims Aims Application and provisions Application and provisions Who does what? Who does what? Practical preparations and priorities Practical preparations and priorities Challenges Challenges

Why are records important? Recorded information Recorded information Administrative support function Administrative support function Records are important for legal reasons Records are important for legal reasons Records are useful for business reasons Records are useful for business reasons Records management reflects community expectations Records management reflects community expectations Records management helps maximise the use and value of records, and minimise the costs Records management helps maximise the use and value of records, and minimise the costs

General Context Public Management and Finance Law Public Management and Finance Law Public Service Management Law Public Service Management Law ISO standards ISO standards International best practice International best practice National Archive and Public Records Law National Archive and Public Records Law Government Policy Government Policy Shift to electronic records Shift to electronic records FOI FOI

National Archive and Public Records Law, year project 4-year project Published May 14 th, 2007 Published May 14 th, 2007 Assigns powers and responsibilities for managing public sector records Assigns powers and responsibilities for managing public sector records All aspects, actions, formats All aspects, actions, formats Identifies some of the tools that must be developed Identifies some of the tools that must be developed

Aims of the National Archive and Public Records Law, 2007 Framework for legally compliant creation, maintenance and disposal of records Framework for legally compliant creation, maintenance and disposal of records Duties and powers of National Archive: Duties and powers of National Archive: –Set standards, train, advise, monitor –Authorise disposal Duties and powers of Records Advisory Committee Duties and powers of Records Advisory Committee –Review disposal schedules –Advise Governor in Cabinet

Aims of the National Archive and Public Records Law, 2007 (cont’d) Duties and powers of all public agencies Duties and powers of all public agencies –Create, maintain and dispose of records in compliance with standards –Develop file plans and disposal schedules

Application of the National Archive and Public Records Law, 2007 –Entire Public Sector –All formats and types of records –Current and legacy records

Provisions of the National Archive and Public Records Law, 2007 (cont’d)  Section 5: creates a high-level Records Advisory Committee to review and make recommendations to Cabinet regarding records disposal schedules and related matters.

Provisions of the National Archive and Public Records Law, 2007 (cont’d)  Section 6: mandates the creation and maintenance of full and accurate records of public agencies’ business and affairs, and places the responsibility on the most senior officer in each agency.

Provisions of the National Archive and Public Records Law, 2007 (cont’d)  Section 7: assigns the responsibility for developing records management standards to the National Archivist, and directs every public agency to create, manage and dispose of its records in accordance with these standards.

Provisions of the National Archive and Public Records Law, 2007 (cont’d)  Section 8: instructs each agency to draw up a records disposal schedule in order to identify the projected life of its operational public records.

Provisions of the National Archive and Public Records Law, 2007 (cont’d)  Section 11: makes it an offence to dispose of records without proper authorisation.

Who does what? National Archive: National Archive: –Records Policy Unit  Develop and communicate standards  Conduct training  Provide advise  Monitor and report compliance –National Archivist  Approve disposal

Who does what? (cont’d) Public agencies: Public agencies: –Assign staff responsibilities –Support training and skills development –Develop record keeping tools –Seek advice when needed –Report on accomplishments

Who does what? (cont’d) Records Advisory Committee: Records Advisory Committee: –Review disposal schedules –Advise Governor in Cabinet on disposal schedules –Perform other functions as assigned Auditor General/Internal Audit: Auditor General/Internal Audit: –Audit compliance

Agency priorities Assign responsibilities and allocate resources Assign responsibilities and allocate resources Support staff training Support staff training Implement existing administrative file plans and disposal schedules Implement existing administrative file plans and disposal schedules Develop a file plan for your operational records based on CINA training Develop a file plan for your operational records based on CINA training Develop a disposal schedule for your operational records based on CINA training Develop a disposal schedule for your operational records based on CINA training

Priority #1 Develop a FILE PLAN! Develop a FILE PLAN! Without a file plan you can not: Without a file plan you can not: –Meet FOI requirements –Destroy records –Meet disaster preparedness expectations –Use RMS and transfer records to the new Government Records Centre (expected 2008) –Implement EDRMS

Connections with FOI? FOI Publication Scheme requires a file plan to be available for access by the public FOI Publication Scheme requires a file plan to be available for access by the public Code of Practice requires compliance with records management rules Code of Practice requires compliance with records management rules Good records management reduces costs and increases efficiency of FOI implementation and ongoing administration Good records management reduces costs and increases efficiency of FOI implementation and ongoing administration

Challenges Skills Skills Resources Resources Time Time High expectations High expectations Change management Change management

RM skills of Info Managers Analyse recordkeeping systems Analyse recordkeeping systems –Conduct records surveys –Identify risks to records –Identify record keeping requirements Design records management tools Design records management tools –file plan- disaster plan –disposal schedule Implement the records management programme Implement the records management programme –Identify records to capture into the records system –Create files –Classify records in accordance with agency file plan –Apply disposal schedules to agency records –Transfer records to Government Records Centre and the Archive

Manage records security Manage records security –Assess security requirements –Identify classified records Monitor use of the records system Monitor use of the records system –Identify and collect statistics –Report to senior managers and CINA on progress Provide quality RM services to agency staff Provide quality RM services to agency staff –Create files –Respond to requests Identify RM policy issues Identify RM policy issues –Apply Government RM policy to the Ministry –Provide feedback to CINA on implementation issues RM skills of info managers (cont’d)

Support available from CINA Training, advice Training, advice Administrative file plan (finance, HR, etc.) Administrative file plan (finance, HR, etc.) RMS - New records centre RMS - New records centre Intranet Intranet RM newsletters RM newsletters Standard job description for Information Managers Standard job description for Information Managers Close cooperation with FOI Coordinator and committees Close cooperation with FOI Coordinator and committees

More help from CINA: National Archive’s intranet site: National Archive’s intranet site: Records Policy Unit: Records Policy Unit: Telephone: Telephone: x 117