Records management policy

Policy Statement

Introduction

The Authority recognises that the efficient management of its records is necessary to comply with its legal and regulatory obligations and to contribute to the effective overall management of the organisation. This policy statement sets out the framework within which the MPA will operate. The underlying principle of the approach is that the records management policy will actively support MPA’s operational efficiency and effectiveness and support successful dialogue with its partners.

Records are defined as all those documents, which facilitate the business carried out by the MPA and which are thereafter retained (for a set period) to provide evidence of its transactions or activities. These records may be created, received or maintained in hard copy or electronically

1. Scope of the policy

The systems and processes in place to deal with organisational records;

The information quality, reliability and security that needs to be maintained to provide a valuable information and knowledge resource for the organisation;

Its place within the strategic and policy framework of the organisation;

Overview of records management, which is supplemented by detailed procedures. It applies to all records created, received or maintained by MPA staff in the course of carrying out its functions

The long term preservation of information

Reviewing the policy and checking the quality of implementation.

2. Policy statement

2.1 Information is a corporate asset and the records of the MPA are important sources of administrative, fiscal, legal, evidential and historical information. They are vital to the organisation in its current and future operations and constitute its corporate memory.

2.3 MPA will create, use, manage and destroy or preserve records in accordance with recognised good practice and will meet all statutory requirements.

2.4 MPA will adopt a systematic records management approach to underpin its organisational and operational efficiency. It ensures that the right information is:

• captured, stored, retrieved and destroyed or preserved according to need;
• fully exploited to meet current and future needs, and to support change;
• accessible to those who need to make use of it;
• and that the appropriate technical, organisational and human resource elements exist to make this possible.

The records management policy is a specific part of the MPA overall corporate programme and relates to other policies including:

• Corporate Risk Register - Measures will be taken to minimise risk of loss, damage or misuse of paper and electronic records.
• Walking and talking together Strategy
• Electronic records use. All electronic records must adhere to MPA security policies. (Use of Email and the Internet whilst at Work)
• Audit policy Records have to meet audit requirements
• Data Protection Records need to be managed in accordance with procedures under the Data Protection Act 1998
• Freedom of Information Records need to be managed in accordance with procedures under the Freedom of Information Act 2000

3. MPA File Classification Scheme

3.1 The file classification scheme helps MPA to set minimum conditions for the registration of records, so ensuring a link between the record and its administrative roots.

3.2 The registration of files will allow for the users of these files to identify and track particular record collections. The MPA file classification scheme includes:

• Classifying of files into series that have meaningful titles and a consistent reference code
• Setting a responsibility on individuals creating records to allocate them to a series and, if necessary, a sub-series
• Having sequences of reference numbers that can cover series with both electronic and paper records
• Checking that the correct records have been allocated to the file sequence and that meaningful titles are used
• Auditing lists of the references used so that the file classification scheme makes sense and records can be found in appropriate search sequences;
• organisational structures and how these are interpreted and give the files context; and
• the classification of the electronic records, including how the records are grouped and described, so that they can be presented in a way consistent with the original understanding of the subject when the record was created

4. Responsibilities

4.1 The person with overall responsibility for this policy is the Chief Executive. The MPA has a duty to ensure that the organisation as a whole complies with the requirements of legislation affecting management of records, and with supporting regulations and codes.

4.2 The Head of Unit will be given responsibility for ensuring that records and information systems in their unit conform to this policy and to the requirements of legislation and will promote compliance with this policy so that information will be retrieved easily, appropriately and in a timely manner.

4.3 The Information Officer will work closely with all staff to ensure that there is consistency in the management of records and that advice, training and guidance on good records management practice is provided.

4.4 All staff that create, use, manage or dispose of records have a duty to protect them and to ensure that any information that they add to the record is accurate, complete and necessary and disposed of in accordance with the MPA’s records management guidelines. All staff will receive the necessary training.

4.5 All members of staff are responsible for documenting their actions and decisions and for maintaining the records in accordance with good records management practice.

5. Relationship with existing policies

5.1 This policy has been drawn up within the context of:

• Freedom of Information policy
• Data Protection policy

6. Monitoring compliance

6.1 MPA will follow this policy within all its relevant procedures and guidance used for operational activities, including the corporate risk register. Interpretation of the policy will be monitored and there will be regular planned audit to assess how the policy is being put into practice. These inspections will seek to:

• identify areas of good practice which can be used throughout MPA;
• identify areas of operation that are covered or not covered by the policy and to identify which procedures and/or guidance should adhere to the policy
• set requirements by implementing new procedures, including obtaining feedback where the procedures do not match the desired activity
• highlight where non-conformance to the procedures is occurring; and
• if appropriate, recommend a tightening of controls and make recommendations as to how compliance can be achieved.

This policy will be reviewed annually with the next review in March 2006

Documentation

MPA Record’s Management Guidelines

References

Management, Appraisal and Preservation of Electronic Records (2 vols, PRO, 1999)

Guidance for an Inventory of Record Collections (PRO, 2000)

Data Protection Act 1998: A Guide for Records Managers and Archivists (PRO, PRONI, NAS, in association with ODPC, 2000)

Lord Chancellor’s Code of Practice on the Management of Records under Freedom of Information

Records Management Standards and Guidance (PRO, from 1998) on:

• Record keeping
• Acquisition and appraisal
• Information policy
• Preservation

Send an e-mail linking to this page

Feedback