1. Welsh Assembly Government 2nd and 26th September 2003 Freedom of Information Tessa Shellens

2. Agenda 1. Introducing the Act & its Records Management interface 2. Interactive session #1 - Defining records 3. Interactive session #2 - Implementing strategy 4. Understanding the tools that are available 5. The principles of record management 6. Interactive session #3 - When does policy kick-in? 7. Interactive session #4 - Devising a policy 8. Interactive session #5 - Implementation timetable 9. Group feedback

3. Part One: Introducing the Act Dealing with Requests Re-visiting Records Management

4. “The Freedom of Information issue is in danger of being neglected unless the public sector start embracing it positively now... This affects everyone in the public sector. There is a lot of work to do in preparing staff - you need to know what information you hold, where to find it and how to make it more easily accessible - If I had a message for public bodies, it would be “get your act together”. Time is short and the next 18 months will go very quickly. Now is the time to prepare. I won’t be tolerant with those who say they didn’t know it was coming” Richard Thomas: Information Commissioner 3rd June, 2003

5. Do you know what information exists, and where it is?

6. What are the risks involved? Non compliance with time limits Denying you have records which are subsequently discovered Ignorance of what is available via Publication Scheme Incomplete Responses Inconsistent responses Confessing that records management system is not robust Inefficient management of FOIA request Frustration of staff Loss of confidence of stakeholders and community Information Commissioner action

7. Risk Assessment Information held Location of Information Retrieval of Information Disposal of Information Requests for similar/same information Publication scheme (Public Records Office)

8. What does the Act do? “It balances the right to know with the right to privacy and a public expectation of effective administration” Lord Chancellor’s Department How is effective administration and Records Management achieved? What are the challenges?

9. FOIA requires: All staff who deal with the public to have knowledge of its requirements Easily finding information you hold Knowledge in all parts of the Authority of which is already published or not Lord Chancellors Department

10. “Any freedom of information legislation is only as good as the quality of the records to which it provides access. Such rights are of little use if reliable records are not created in the first place, if they cannot be found when needed or if the arrangements for their eventual archiving or destruction are inadequate. Lord Chancellor’s Code of Practice on the Management of Records

11. FOIA Requirements: Publication Scheme: review and maintain from 31st October Access rights: Manage a system to deal with access requests From 1st January 2005 NB applies to all recorded information

12. Preparing for FOIA and records management Two questions to answer after Jan 1st 2005 : Do you have it? May I see it?

13. Interfacing FOI? Should it be disclosed through Publication Scheme? By way of any other statutory obligation?

14. Records Management : Interfacing with FOI? Close liaison between Records Manager and FOIA Project Leader required How are your Project Teams organised re: Freedom of Information? Records Management? E-government? How do they inter-relate?

15. Interfacing FOI? … with electronic service delivery “… successful delivery of electronic services is underpinned by an effective infrastructure which includes the creation and management of records created in the course of service delivery” Public Records Office

16. Electronic records management Supports the management of information Supports the release of information Supports the Publication scheme management Supports E-GOVERNMENT Public Records Office

17. Dealing with Requests Anticipate : Can be across functions Can include material accessible by other means Can include material which is exempt

18. You will need Staff who can take decisions on whether the release of information will cause harm or is not in the public interest The ability to quantify how much it will cost to deal with the request Systems to record the processing of the request and the reasons for decisions taken on disclosure or non-disclosure Lord Chancellor’s Department

19. Part Two: Interactive session #1 What is meant by a ‘record’? When should we keep it as a record?

20. Record definition: Public Records Office standard: file creation “… files are created and included in a registered file system to provide formal evidence of the business transactions of an organisation. Their purpose is to capture, maintain and provide access to evidence of transactions over time in accordance with accountability and business practices. The establishment of a coherent filing system provides for faster and systematic filing, faster retrieval of information,greater protection of information and increased administrative stability, continuity and efficiency” Does the document provide formal evidence of a “ business transaction?”

21. Record definition: National Assembly Corporate Policy “… a specific piece of information produced or received in the initiation, conduct or deletion of an institutional or individual activity, and that comprises sufficient content, context and structure to provide evidence of an activity” (The International Council on Archives) Includes all relevant media including electronic records Is the information worthy of preservation in the short,medium or long term and in so doing is it distinguished from the ephemeral?

22. Part Three: Interactive session #2 Implementing a compliant Records Management strategy

23. A compliant Records Management Strategy: What are the practical problems in implementation? Identifying the issues to address Highlighting the obstacles Understanding what tools are available ( Session 3 ) Working together to develop a Strategy ( Afternoon Session )

24. Part Four: Understanding the tools that are available Standards and Guidance

25. What is available to help? Public Records Office Records Management: Standards and Guidance Model Action Plan National Assembly for Wales Corporate Policy on Records Management ( November 2001) What else have you found? What other templates exist?

26. Public Records Office: Standards and Guidance “We are in the middle of a revolution in the way we manage records and information in the electronic age. All organisations need easy access to accurate,reliable information for business purposes as well as for corporate accountability.But, in the early days of the electronic age, there has been too little formal control of documents, with most being held on personal drives or in largely unstructured shared drives. I am convinced that a large number of documents of corporate importance are being lost each day, damaging accountability and quality of service. I am also convinced that a lot of information that should be easily traceable, is not.” www.pro.gov.uk/recordsmanagement/standards

27. Public Records Office: Standards and Guidance “… records management is an integral part of delivering effective e-government. This means managing records as a corporate information resource throughout their life cycle, from the point of their creation to their ultimate preservation or destruction.” www.pro.gov.uk/recordsmanagement/standards

28. Public Records Office: Standards and Guidance “A systematic and planned approach to the management of records within an organisation, from the moment the need for a record to be created is identified, through its creation and maintenance to its ultimate disposal ensures that the organisation has ready access to reliable information. An organisation needs to maintain that information in a manner that effectively serves its own business needs, those of Government and the citizen, and to dispose of the information efficiently when it is no longer required.” Standards: establish a benchmark against which to assess performance Guidance: provides advice on standards

29. Standards File Creation Tracking Records Disposal Scheduling Storage of Semi-current records Business Recovery plans Discontinued and transferred functions Documentation of Records work Preparation of records for transfer to PRO Cataloguing Guidelines

30. Standards Web site also includes: Retention Schedules Electronic Records Toolkits ( includes how to produce a corporate policy) Best Practice Guidance

31. National Assembly for Wales Corporate policy on Records Management

32. Policy content as a useful template? Purpose Records Aims Principles Corporate Standards Responsibilities Record Management Requirements Record Declaration Policy Preservation Policy

33. Policy content as a useful template? Retention and Disposal Access policy Security Policy Process Requirements Technical: Electronic records Transitional requirements Linked policies Policy Review Planned Review

34. Content? Best Practice Principles Record Keeping requirements The policy’s place within the strategic and policy framework of the Assembly

35. Content? “… the policy is applicable to all records and makes no distinction between paper and electronic records. It recognises that the Assembly is moving towards the Modernising Government target that by 2004 all newly created public records will be electronically stored, managed and accessed. Although the policy covers the transitional requirements of the move from predominantly paper-based records to electronic record creation and management, given the volume of current Assembly paper records, there will continue to be a requirement to manage a hybrid collection for a considerable time” National Assembly for Wales: Corporate policy on Records Management

36. What are the Aims? (section 3) The record is present The record can be accessed The record can be interpreted The record can be trusted The record can be maintained through time

37. What are the Principles (section 4) Co-operation Role of Creator Distributed Responsibility Appraisal - retention,disposal and archive Rights Strategic role of the Assembly

38. How does this link in with FOIA? Section 3 FOIA Section 46 and the Code of Practice: The Core Principles.

39. Code of Practice on Records Management (Section 46 of the FOIA) Statutory Code issued under the Act Compliance will be evidence of best practice Action point? Audit of records management practices against Code of Practice What do you need to do to comply?

40. Compliance and Records Management Nine Principles of Records Management (see Code of Practice)

41. Records Management Function: Governance Records management is a corporate function What changes do you need to make as an organisation? Records management functions as part of Information Management How will you achieve a co-ordinated approach?

42. Part Five: The principles of records management

43. 1 #1. Governance Information Management / Records Management Should they be managed together or in close liaison? How does it link with other agenda e.g. “Modernising local government?”

44. 2 #2. The role of the Records Manager Is there a Records Manager in place? (Requirement of ISO 15489 “Records Management”) Note section 224 of Local Government Act

45. 2 Things for a Records Manager to do? What is the role? How does it fit into the organisation? How does it fit into your FOI Strategy? Planning the team need for support staff competency framework, ie what skills and knowledge do the staff require? Identify responsibilities of each person undertaking a role

46. 2 Action point By identifying the skills and knowledge required can you recruit and train staff so that the records management function acquires appropriate professional standing?

47. 3 #3. Policy statement Authoritative statement on the management of your records Objective? To ensure your business information is managed effectively throughout the organisation Will you include your Policy statement in your Publication Scheme? How does the Statement link to your information management strategy?

48. 3 What are your next steps? Within the framework of the requests for information which will be made: Analyse your activities Analyse the environment in which the activities take place Analyse your weak spots Analyse your stakeholders Analyse who will ask for information Audit your legal accountabilities

49. 3 What are your next steps? Draft policy to establish a record keeping system which: Meets your needs Addressed the needs of your stakeholders Conforms to relevant legislation, regulations and standards Provides a basis for accountability Identifies roles and responsibilities of Records Manager and team

50. 3 What are your next steps? What is the mandate of the Records Manager? How will you achieve compliance with your policy? Departmental records management policy statements Will everyone “buy in”? Linking commitment to training?

51. 4 #4. Training and Awareness For records management staff but also what training will other members of staff need?

52. 4 Training - getting staff to “buy” in A training package for staff? “Why do we have to do this?” Link awareness of FOIA to need for awareness of records management policy and process Induction Awareness on records management Introduction to FOIA

53. 4 Training - the approach Records Management staff? Professional development but related to FOIA Related to competency framework Training programme for the organisation

54. 5 #5. Records Creation How do you document your activities? What system do you need so that you can retrieve information? How do you achieve consistent standards of quality in its content?

55. 6 #6. Audit / Survey Note Public Records Office Precedent

56. 6 Records and Information Survey Why? To respond to FOIA requests you need to be certain that: Information can be identified Information can be retrieved

57. 6 Questions for determination Is everyone in every department creating records which adequately document their activities? Are records linked with metadata which documents and provides for every department activity? Are records kept in a record keeping system which enable the authority to retrieve information quickly and efficiently? Are records kept in such a way that any department can implement agreed disposal arrangements? Public Records Office

58. 6 Questions Do you have guidance on : Referencing? Titling? Indexing? Protective marking?

59. 6 Questions Is the record keeping system itself adequately documented? Do you have or need record keeping procedures and guidelines? How will you measure compliance with the system and procedures?

60. 6 Questions How can you achieve this by January 2005? What planning do you need to do? You need to achieve record keeping systems : which meet your operational needs work within the context of Local Government statutory and regulatory parameters means you can answer: “Do you have it?” “May I see it?”

61. 7 #7. Record Maintenance “to ensure authentic records are maintained over time by providing appropriate protection of records throughout their life cycle” FOIA means you need to find and retrieve information quickly Do you have a system?

62. 7 Records Maintenance Ensure that your records maintenance includes: Adequate storage Tracking system to control the movement and location to ensure easy retrieval Access controls Business Recovery Plan to protect vital records

63. 7 Records Maintenance What’s the link to Information Management?

64. 7 Record Disposal Schedule Do you have a list of series or collections of records for which the predetermined periods of retention have been agreed by the manager and the records manager?

65. 7 Records Disposal Under FOIA you may be called upon to justify why records have not been kept. Can you explain how selection and disposal decisions are made? Do you have the evidence of a system for appraising and disposing? Do you have a system for documenting your appraisal decisions? Will you be able to explain to the Information Commissioner why you cannot respond to a request? NB link to need for appraisal re archival preservation and availability for research in accordance with agreed procedures under section 224 of Local Government Act 1972

66. 7 Records Disposal System should provide for : assessment of the amount of records due for review and disposal each year a programme to compile selection policies for each business unit of the authority a consistent/uniform programme to prepare disposal schedules for records for individual departments an agreed year round timetable for implementation of systems of selection and disposal contingency planning to deal with delay in appraisal transfer of records selected for permanent preservation timely destruction of records not selected for permanent preservation or no longer required Public Record Office advice

67. 8 #8. Auditing compliance and recording access to your records Do you need to develop a policy to document requests? To record decisions regarding exemptions? To ensure records which may be subject to an appeal are kept?

68. 9 #9. Performance Measurement How will we monitor performance?

69. 9 Performance Measurement What performance indicators will you choose? Examples: Quantity of records created response times in retrieving records response times in providing information response times in terms of FOIA compliance quantity of records appraised, selected and destroyed or transferred user satisfaction do you have any skeletons in the cupboard?

70. 9 What’s the aim of records management? Good practices so that you benefit Information not held longer than you need it for business or public records purposes Much more information being published without waiting for a request A culture of recording what is important and structuring it so that decisions on its release are easily facilitated Tools to assist the public in making more precise requests Lord Chancellor’s Department

71. 9 What’s the aim of records management? Good consultation mechanisms with suppliers of information Staff who have a pro-active disclosure attitude so you reduce the number of appeals FOI officers who are trusted by the public and senior managers Systems for learning from experience and gaining the benefits within the organisation Lord Chancellor’s Department

72. Interactive Workshop #3 What is a record and when does the policy ‘kick-in’?

73. Interactive Workshop #4 Devising a Records Management policy

74. Interactive Workshop #5 Preparing a timetable for implementation

75. Group Feedback Planning the next steps

76. Welsh Assembly Government 2nd and 26th September 2003 Freedom of Information Tessa Shellens