Records and information management policy

Policy overview

This policy sets out how we manage our:

  • records
  • business value information
  • non-value information

Records and information

Records and information, in the context of this policy, are sub divided into three categories. The categories apply to all records and information regardless of format.

  • A record is information created or received by us that provides evidence of activities and transactions of business.
  • Business value information is referential material that supports decision-making and provides value.
  • Non-value information is material that does not provide evidence or hold business value such as:
    • duplicated
    • trivial
    • obsolete information

Records and information lifecycle

All records and information are to be subject to a defined four stage lifecycle:

  • create or receive - creation or receipt of a record or information
  • use - active use of a record or information. Active is generally defined as being accessed at least every three months
  • store - no longer active and stored in an appropriate manner with a retention date applied
  • destroy or preserve - destroyed or passed to an archive for permanent preservation once a retention date has passed

Roles and responsibilities

The Records Manager will:

  • act as the subject matter expert, ensuring colleagues are provided with professional and timely advice
  • implement, manage, plan, and continually improve the corporate approach. Ensure a records management framework is provided in support of our priorities
  • be the first point of contact for specialist knowledge
  • implement and lead on records management projects.  Ensure support is offered to projects with a wider scope
  • develop and maintain strong, positive working relationships. Raise and promote awareness of good practice

Directorates and information asset owners will:

  • take ownership of records and business value information
  • lead and foster a culture that values, protects, and uses records and information effectively
  • know what records and information they hold and where they are. They will ensure they are subject to the records and information lifecycle
  • take action to address known weaknesses or risks created in their approach
  • ensure records and information management by default is embedded in their approach
  • achieve an adequate level of confidence that their records and information are subject to proper management
  • be the decision makers for the records they hold

Managing records and information

Managing records

Records will be subject to the record and information lifecycle.

Records will be created, used, maintained, and retained to provide information about and evidence of our transactions and activities.

Appropriate systems must be in place to document decisions and activities. Records must have the following characteristics:

  • authentic – it is what it claims to be
  • reliable – full and accurate record of the transaction or activity.  Created close to the time of the transaction or activity
  • integrity – is complete and unaltered, and protected against unauthorised alteration. Alterations after creation can identify the individual making the changes
  • useable – can be located, retrieved, presented, and interpreted. Context can be established through links to other records in the transaction or activity. If in a digital format access should be maintained when moving to newer platforms

Digital records must be stored in an official record keeping system.

Hard copy records must be stored in off-site storage when they are not active.

Records must be maintained and stored in such a way that they can be easily identified and located to support business activities.

Records must be disposed of in accordance with agreed retention schedules.

Retention schedules will set out the minimum period for which a record should be retained.  Retention schedules will be reviewed regularly and amended as necessary.

Retention schedules will be agreed by the information asset owner for the relevant service function.

Records will be stored and destroyed in a manner commensurate with the sensitivity of the record or information.

Destruction of records must be recorded in the central destruction register.

Managing business value information

Business value information will be subject to the record and information lifecycle.

Business value information must be maintained and stored in such a way that it can be easily identified and located to support business activities.

It must be stored and destroyed in a manner commensurate with the sensitivity of the information.

Hard copy business value information should be sent to off-site storage with the records they support with retention applied.

Business value information should be reviewed regularly and destroyed when no longer required.

Managing non-business value information

Non-business value information should be reviewed regularly and destroyed when no longer required.

It must be stored and destroyed in a manner commensurate with the sensitivity of the information.