Information and records management advice

Public sector organisations need effective information and records management for awareness, business use, sound decision-making, security, evidence and accountability. It also allows them to comply with information legislation and Government policy.

Information and records are corporate assets, the loss of which could cause disruption to the organisation’s business. The level of risk will vary according to the value of the asset to the organisation. The creation and management of records and information that are authentic, reliable and accessible is essential for a council to carry out its work and ensure good governance.

Councils need to consider:

• What categories of information should they be creating or acquiring?
• Are the categories of information shared appropriately across the authority?
• Is the information subject to appropriate access controls?
• Is data sharing supported by appropriate protocols?

The presence of an information governance regime is likely to be a criterion in assessing performance under the proposed comprehensive area assessment (CAA). This is important for the following reasons:

• Poor records and information management creates risks for the organisation which can undermine the credibility of its business continuity plans. A key element of such plans is to identify and safeguard all 'vital records'.
• Vital records are essential to the continued functioning or reconstitution of an organisation during and after an emergency. They are also essential to protecting the legal and financial rights of that organisation and of the individuals directly affected by its activities.
• The business continuity management process is designed to protect business-critical activities from the effects of failures of information systems, and to recover from the loss of information assets which contain the vital records. If these assets cannot be readily identified and secured the organisation can have no confidence that their continuity planning remains relevant. In the event of disaster it may not be able to recover the key assets needed to maintain the business which can have very serious consequences.

The National Archives provides free advice and guidance on information and records management matters to councils.

Visit the National Archives website.

Its Records Management Advisory Service (RMAS) provides expert advice and guidance to help councils achieve best practice in information management. This includes developing effective record and information management systems and facilitating compliance with the statutory records management code issued under s46 of the Freedom of Information Act 2000.

Visit the RMAS section of the National Archives website.

It also offers specialist advice on electronic records management (ERM) and digital preservation issues. More specifically, it supports the need for information governance and democratic accountability. This includes facilitating the creation and custody by public bodies of authentic records, and of decisions and transactions in accordance with the international records management standard BS ISO 15489.

Effective records and information management supports robust information governance regimes that facilitate:

• efficient joint working and information exchange to facilitate delivery of services
• evidence-based policy making by providing reliable and authentic information for the evaluation of past actions and decisions
• administration of data protection principles and effective implementation of freedom of information and other information policy legislation, through good organisation of records
• accountability by providing reliable records of actions and decisions
• knowledge management across both an individual local authority but also across the whole sectors – where required – by making reliable information available for sharing, extraction and summarisation
• various specific legislation or regulations that create a requirement to demonstrate the authenticity of records to increase the evidential weight for legal admissibility purposes.

All councils have invested heavily in new technology but less thought has been given to supporting such initiatives with proactive information management regimes. Enterprise-wide working is still difficult due to a focus on functional activities within 'silos'. Records management has traditionally not been a priority for councils although centres of excellence do exist. All councils have local centres of good practice although these are not necessarily known outside the departments concerned.

The National Archives’ many guidance publications have already been used successfully by a wide range of councils and other organisations.

Enquiries and requests for advice about this service should be directed to the Records Management Advisory Service at: rmadvisory@nationalarchives.gov.uk.

Councils' responsibilities for the re-use of public sector information in local government – from the Office of Public Sector Information (OPSI).

Visit the OPSI website.

Local government holds a wealth of information which is of interest to a variety of users. Making information available for re-use is a good way of making sure that the public sector can get its message across. By 're-use', we mean using information in a way that was not originally intended when it was created, such as publishing, copying, downloading or adding value. Allowing re-use of information will provide benefits to the public and companies in the private and public sectors.

The Re-use of Public Sector Information Regulations 2005 (PSI Regulations) provide a framework for people wishing to re-use information. PSI holders have a responsibility under the PSI Regulations to let people know what information they hold, to publish details of the terms of re-use, including any charges, and to deal with requests in a fair and non-discriminatory way.

View the Public Sector Information Regulations section – on the OPSI website

The OPSI sets standards and policy in re-use. OPSI also provides guidance and advice for local government and has introduced a number of tools to help councils meet their responsibilities.

Information Fair Trader Scheme (IFTS) Online is an easy-to-use online assessment system that helps you meet your responsibilities under the PSI Regulations. It is free to use and provides both you and your customers with the reassurance that you are complying with IFTS principles of best practice information.

Visit IFTS Online – through the OPSI website.

Click-Use Licence is a tried and trusted online licensing scheme that allows re-users to use public sector information quickly and efficiently, while allowing your information to be licensed centrally by OPSI, at no cost. It also provides you with a quick and easy way of complying with the PSI Regulations, with virtually no administration and costs. You will no longer have to draft and publish your own licence terms.

See more about Click-Use License – on the OPSI website.