1. Introduction to Records Management, FOI & Data Protection
Short Introduction to
Records Management, Freedom of Information
& Data Protection
Information & Compliance Officer,
Corporate Secretary’s Office
16 January 2018
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2. Introduction to Records Management, FOI & Data Protection
All UL employees obliged to comply with certain legislation, including:
Freedom of Information Acts (2014)
Data Protection Acts (1988 & 2003) &
General Data Protection
Regulation (GDPR)
Copyright & Related
Rights Acts (2000 et al)
Official Languages Act (2003)
Ethics in Public Office (1995 & 2001)
Also: Records Management
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3. Introduction to Records Management, FOI & Data Protection
Records created/received in the course of business are official records of the University.
Records: any format / any location
Records Management:
application of controls/procedures to
creation, maintenance, use & disposal/archive of records
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4. Introduction to Records Management, FOI & Data Protection
Records Management & Retention Policy
– Objectives
efficiency; accountability; office management;
Support UL’s functions/activities;
UL legal, admin, financial, operational, historic needs;
adherence to UL policies & to legislation;
Ensure timely destruction of records that no longer need to be retained;
Preserve records with permanent value.

5. UL Records Management & Retention Schedule -
Sample screen shot 1:

6. UL Records Management & Retention Schedule - Sample screen shot 2:

7. Introduction to Records Management, FOI & Data Protection
Freedom of
Information Act 2014
Provides legal right for persons to:
Obtain access to records held by public bodies (records containing personal / non personal information);
Amend, delete or correct one’s own personal information;
Obtain reasons for a decision that affects oneself.
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8. Introduction to Records Management, FOI & Data Protection
FOI Basics…
openness; transparency; accountability;
Public Sector bodies only;
“Record” – very wide definition;
Tight legislative deadlines… 20 working days to respond;
FOI requests administered centrally by UL’s FOI Unit;
Decentralised system of decision makers;
Responsibility for searches & initial review of records lies with originating Department/Office/Unit.

9. Introduction to Records Management, FOI & Data Protection
FOI in your day-to-day business
Consistently follow UL policies/systems;
Due care in prep. of written documents (accurate, factual, objective, legible);
Avoid personal/inappropriate comments;
Assume individual to whom information in a record relates, may read record;
Consistent records management - accurate recording, filing, retrieval & timely destruction (confidential shredding when appropriate);
Don’t retain records ‘just-in-case’.
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10. Introduction to Records Management, FOI & Data Protection
Data Protection Acts 1988 & &
General Data Protection Regulation 2016 (“GDPR”) (from 25 May 2018)
The Basics:
Provide legal right for:
A person’s right to privacy;
A person to control the use of one’s own “personal data”
Legally require organisations to collect & process personal data fairly & securely.
Applies to both Public & Private Sector
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11. Introduction to Records Management, FOI & Data Protection
Data Protection in your day-to-day business
Summary of key principles (as set out in the Acts)
Obtain, process personal data fairly;
Keep only for specified, lawful purpose(s);
Use, disclose only in ways compatible with purpose(s) for which initially given;
Keep safe, secure;
Keep accurate, up-to-date;
Ensure personal data is adequate, relevant, not excessive;
Retain for no longer than necessary for specified purpose(s);
Provide a copy of his/her personal data to individual, on request.
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12. Introduction to Records Management, FOI & Data Protection
NOTE: More detailed practical awareness sessions in
Data Protection, Freedom of Information
and Records Management
are advertised via HR Learning & Development section.
Need more information or have a question?
Contact the Corporate Secretary’s Office:
Ext:
Web:
Office: /
4393 / 2023
A1-073
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