MPA records management policy

Report: 6
Date: 19 July 2004
By: Clerk

Summary

This report proposes adoption of a records management policy. Of particular relevance, a policy is required to assist the MPA in complying with the requirements of the Freedom of Information Act 2000.

A. Recommendations

That the Records Management Policy attached as Appendix 1 be agreed.

B. Supporting information

1. This records management policy establishes a framework for the creation, maintenance, storage, use and disposal of MPA records. It supports the Authority's corporate governance and in particular aims to assist MPA compliance with the Freedom of Information Act 2000 (FOIA). Its records are essential to the Authority's business, both in terms of efficiency and transparency of the decision-making processes.

2. Under the FOIA, from January 2005 any person has a general right of access to information held by the MPA (subject to some exemptions). To be able to respond the Authority must be in a position to know what records it holds and to be able to retrieve them quickly. A records management policy establishes the corporate principles required to achieve this and identifies responsibility within the organisation for compliance with the policy.

C. Race and equality impact

The initial stage of the equalities impact assessment process has been carried out and, subject to agreement, this indicates that a full impact assessment is not required. There are no apparent equalities implications of any significance.

D. Financial implications

1. At this stage there are no significant financial implications. Indeed a good records management policy, allied to the development of a retention/disposal schedule, should lead to reduced storage requirements and, therefore, at least a notional financial saving.

2. However, in the medium-term two aspects of records management will have financial implications if progressed:

• The creation of a post of corporate knowledge and records manager, referred to in para 4.1 of the policy
• An electronic information retrieval and management system, which will increasingly become necessary to meet growing information demands (and to meet the Government’s e-targets). This may also have staffing implications in addition to technology costs

3. Neither of these two has been costed at this stage. The records management policy is required in any event and is viable, at least in the short-term, without these developments.

E. Background papers

None

F. Contact details

Report author: Simon Vile

For more information contact:

MPA general: 020 7202 0202
Media enquiries: 020 7202 0217/18

Appendix 1: Metropolitan Police Authority Records Management Policy

1. Purpose

1.1 This records management policy establishes a framework for the creation, maintenance, storage, use and disposal of MPA records. It supports the Authority's corporate governance and in particular aims to assist MPA compliance with the Freedom of Information Act 2000 (FOIA).

2. Scope

2.1 This policy applies to the Metropolitan Police Authority as a whole, all its staff and any consultants or temporary staff engaged to work for it.

2.2 The policy covers all records held by the MPA. A record is retained information in any form (it may be an electronic file, e-mail, a paper document or an audio/visual record) created or received by the MPA or individual members of staff as part of MPA business or activities.

3. Policy statement

3.1 The MPA's records are an essential underpinning of its business. They are necessary for good corporate governance: to comply with legal requirements, to provide evidence of and reasons for decisions and actions, and to provide evidence for future decision-making.

3.2 The MPA recognises the importance of this essential resource and undertakes to:

1. Manage records within a single corporate framework, according to agreed procedures
2. Comply with legal obligations that apply to its records (see annex A)
3. Exercise best practice in the management of records
4. Encourage effective access to and use of records as a corporate source of information
5. Keep records electronically where appropriate
6. Store records efficiently and safely, using appropriate storage methods at all points in their lifecycle and disposing of them when they are no longer required
7. Identify and safeguard records necessary for the business continuity of the MPA in the event of a disastrous occurrence
8. Identify and make provision for the preservation of records of long-term and historical value

4. Roles and responsibilities

4.1 In the short-term the Head of Secretariat is responsible for developing corporate records management policy, procedures and guidance to enable the MPA to meet its responsibilities under the FOIA and other relevant legislation. This arrangement will be reviewed in the light of experience, specifically when the general right of access under the FOIA comes into force in January 2005. The Authority recognises that a specific post responsible for corporate knowledge and records management may be necessary.

4.2 The Head of each unit is responsible for ensuring that his/her unit has and maintains an efficient record filing and retrieval system - both hard copy and electronic - that captures all records however and wherever created (including in personal drives or PCs used by their staff). They are also responsible for ensuring that their staff receive adequate development and support to comply with this policy. The actions taken by each unit head in this regard will be assessed as part of the annual staff development and appraisal process. For the purposes of this policy the unit heads are defined as:

• Director of Internal Audit
• Deputy Treasurer
• Head of Human Resources and Professional Standards
• Head of Race and Diversity
• Head of Community Engagement
• Head of Partnerships
• Director of Communications
• Head of Administration
• Head of Scrutiny and Review
• Head of Performance
• Head of ISIT
• Head of Secretariat
• The Clerk and Deputy Clerk are jointly responsible in. terms of their p.a. support

4.3 Each unit head will designate a permanent member of staff to act as the contact point in relation to information requests under the FOIA and other legislation and will ensure that that member of staff receives the support necessary to carry out this role.

4.4 All MPA staff are responsible for documenting their work and keeping records in line with MPA policies and procedures.

4.5 The Head of Administration is responsible for the co-ordination of off site storage for non-current records. However, each unit head continues to be responsible for those records in terms of indexing their contents and decisions on retention, disposal or destruction in line with MPA policy and practice.

5. Implementation

5.1 Each unit will maintain their own filing systems, within corporate guidance and requirements. An overarching corporate file plan will be developed which brings together the totality of records held by the MPA.

5.2 A retention schedule outlining the MPA's policy for retention and disposal of records will be produced and implemented.

5.3 MPA units (as defined-in 4.2) will maintain a list of paper and electronic files held within their work areas/shared network drives.

5.4 A system for allocating access to records will be developed and implemented, ensuring that information is made available when possible, but is protected when necessary.

5.5 An online manual of records management guidance will be developed and made available on the MPA intranet.

5.6 Records of historical value will be identified as early as possible and transferred to an appropriate archive when MPA use has ended. Records not required for historical purposes will be destroyed in line with the MPA's retention schedule.

5.7 Electronic document and records storage and management facilities will be developed to ensure that electronic records are reliable, authentic and are preserved for as long as required and destroyed when they are not.

6. Legal obligations

6.1. All records created during the course of MPA work are the property of the Authority.

6.2 When an information request has been received under the FOIA, the MPA and its staff are obliged to release that information unless an absolute or qualified exemption applies. It is a criminal offence for a member of staff to destroy or change all or part of a record which is the subject of an information request.

7. Review

7.1 This policy will normally be reviewed every two years to ensure that it continues to meet the MPA's needs.

July 2004

Annex A: Legislation relevant to records management

• Data Protection Act 1998
• Environmental Information Regulations 1992 (revision due shortly)
• Freedom of Information Act 2000
• Greater London Authority Act 1999
• Limitation Act 1980
• Local Government (Access to Information) Act 1985
• Local Government (Records) Act 1962
• Local Government Act 1972
• Taxes Management Act 1970
• Value Added Tax 1994

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