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ARMAGH CITY, BANBRIDGE AND CRAIGAVON BOROUGH COUNCIL GPRC/P4.0/V PDF

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ARMAGH CITY, BANBRIDGE AND CRAIGAVON BOROUGH COUNCIL Document Number: Reference GPRC/P4.0/V1.0. Title of Policy: Records Management Policy No of Pages 19 (including coversheet and policy screening) (including
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ARMAGH CITY, BANBRIDGE AND CRAIGAVON BOROUGH COUNCIL Document Number: Reference GPRC/P4.0/V1.0. Title of Policy: Records Management Policy No of Pages 19 (including coversheet and policy screening) (including appendices): Version: 1.0 Issue Date: Policy Nominated Officer: Stephanie Harte (Policy Development Officer) Equality screened by Stephanie Harte (Policy Development Officer) Equality screening date: 21 July 2015 Amendment Version Issue Date: Sent out by: Approved by: Review Date: AMENDMENT RECORD SHEET Remove and destroy old pages. Insert new pages as indicated. Revision Page Date Description of Revision Number Number Revised Armagh City Banbridge & Craigavon Borough Council Records Management Policy Part 1 Introduction 1.1 What is Records Management? Records management is the systematic control of an organisation's records, throughout their life cycle, in order to meet operational business needs, statutory and fiscal requirements, and community expectations. Effective management of corporate information allows fast, accurate and reliable access to records, ensuring the timely destruction of redundant information and the identification and protection of vital and historically important records. 1.2 Why is a Records Management Policy Necessary? Armagh City Banbridge & Craigavon Borough Council requires a corporate statement on records management because like all organisations it is dependent on its records for the effective and efficient discharge of its responsibilities. Failure to manage its records properly constitutes a significant risk to the Council. The Council s records are its corporate memory, providing evidence of decisions and actions and supporting its daily functions and operations (including compliance with legal and regulatory requirements). They support policy development and managerial decision making, protect the interests of Council and the rights of employees, service users and residents and help to deliver services in an accountable, consistent and equitable way. They help Council make good use of organisational experience. They support consistency, continuity, efficiency and productivity in service delivery, management and administration. A clear statement of policy is considered essential to communicate the Council s position on records management. 1.3 Legal requirements The Public Records Act (NI) 1923 declares the records of district councils in Northern Ireland, along with those of Government departments, the Courts and Non-Departmental Public Bodies, to be public records under the charge and overall superintendence of a government department (currently the Department of Culture, Arts & Leisure). As such, a Council s records cannot be disposed of without reference to the Public Records Office of Northern Ireland (PRONI), the body that acts on behalf of the Department. Those records which are selected for permanent preservation by PRONI form part of the cultural and archival heritage of the Borough. There is also a legislative requirement on Council to implement records management as set out in the Public Records Act (NI) 1923 and in The Disposal of Documents Order (No. 167) PRONI has established standards and guidance on records management which the Council will endeavour to follow, together with standards and guidance issued by other archival institutions and British Standards (BSI) accepted in records management. The Council is required by law to comply with the Data Protection Act The Act protects personal privacy and upholds individuals rights by regulating the processing of personal information about identifiable living individuals. It sets out rules for good information handling, known as the eight enforceable Data Protection Principles. The Council s Data Protection Policy outlines Council s commitment to meeting its obligations under the Act. The Council is also required to comply with the Freedom of Information Act 2000 and Environmental Information Regulations 2004, which aim to increase public access to information held by public authorities. The primary duty under both pieces of legislation is to respond to individual requests for information, subject to certain conditions and exemptions/exceptions. Under the Freedom of Information Act, the Council must also adopt and maintain a Publication Scheme, which lists that information which is routinely available to the public, without having to make a specific request.. The Lord Chancellor s Office has issued Codes of Practice 1 regarding records management and responding to requests for information. The Code of Practice on records management stresses that having a clear statement of corporate policy is a significant element for compliance with the Freedom of Information Act. The Council also has an obligation under Section 75 of the Northern Ireland Act 1998 to ensure that it has due regard to the promotion of equality of opportunity between persons within the nine specified categories. Council must take this into account when developing procedures with regard to access to information, by both public and employees. Part 2: Scope of Policy 2.1 The policy primarily applies to all Council managers and staff who have responsibility for maintaining records created or received by the Council in the course of its business. The policy also applies to Elected Members insofar as they also hold records relevant to Council business and any third party organisation holding and/or processing records on behalf of Council. 1 Lord Chancellor s Code of Practice on the Management of Records issued under Section 46 of the Freedom of Information Act 2000 2.2 Records are defined as in the relevant British Standard as information created, received and maintained as evidence and information by an organisation or person in pursuance of legal obligations or in the transaction of business. The records management principles apply irrespective of the medium in which the record is held (including paper, electronic storage, photographic, microfilm, map, drawing or artefact). Part 3: POLICY STATEMENT 3.1 Armagh City Banbridge & Craigavon Borough Council recognises that its records are part of the cultural and archival heritage of the Borough. Council recognises its obligation to ensure that its records are managed effectively and efficiently and at least cost, commensurate with legal, operational and information management guidelines. It is committed to meeting its responsibilities under the Public Records Act (NI) 1923, the Disposal of Documents Order (No.167) 1925, the Data Protection Act 1998; and the Freedom of Information Act The Council recognises the basic principles of good records management and that records should be: Authentic - It must be possible to prove that records are what they purport to be and who created them, by keeping a record of their management through time. Where information is later added to an existing document within a record, the added information must be signed and dated. With electronic records, changes and additions must be identifiable through audit trails. Accurate - Records must accurately reflect the transactions that they document. Accessible - Records must be readily available when needed. Complete - Records must be sufficient in content, context and structure to reconstruct the relevant activities and transactions that they document. Comprehensive - Records must document the complete range of an organisation's business. Compliant - Records must comply with any record keeping requirements resulting from legislation, audit rules and other relevant regulations. Effective - Records must be maintained for specific purposes and the information contained in them must meet those purposes. Secure - Records must be securely maintained to prevent unauthorised access, alteration, damage or removal. They must be stored in a secure environment, the degree of security reflecting the sensitivity and importance of the contents, in particular personal data. Where records are migrated across changes in technology, the evidence preserved must remain authentic and accurate. 3.3 The Council will Ensure a Council-wide framework for the management of records in all mediums; Promote and ensure compliance with legislative requirements and best practice standards; Ensure that all records can be used as an information resource which enhances their value as assets of the organisation; and Identify the roles and responsibilities for ensuring good records management. 3.4 To achieve this, the Council will undertake a programme of work To implement best practice in its systems and procedures for records management to ensure that records are managed throughout their life cycle in a medium appropriate to their function; To develop and maintain information retrieval systems which facilitate access to individual records; To ensure records are protected and kept securely in a manner commensurate with their value to the operation and business continuity of the Council and the archival heritage of the Borough; To adopt and operate a Retention & Disposal Schedule to ensure records are maintained for the appropriate period of time and that those records worthy of permanent preservation are identified as early as possible; To ensure the accuracy of the Council s notification entry in the Data Protection Register and that personal data is processed in accordance with the Data Protection principles (see Council s Data Protection Policy); and To ensure that the Council s Publication Scheme is maintained and that requests for information are handled in compliance with the Freedom of Information Act 2000 and Environmental Information Regulations This policy will be reviewed at least once every three years and be amended as required to reflect legislative and technological change and best practice. Part 4: Roles and Responsibilities 4.1 The main roles and responsibilities for implementation of the policy are shown below: The Council is responsible for adopting the policy on records management and ensuring that those responsible for its implementation are held accountable for its delivery. Individual Members are responsible for ensuring that they support the concept of good records management and adhere to the principles of data protection and freedom of information as public representatives. The Chief Executive is responsible for ensuring that the Council complies with legislative requirements relating to records management, the Data Protection Act 1998 and the Freedom of Information Act The Senior Records Manager is responsible for the development, promotion and effective operation of the records management function within Council, ensuring that recognised management standards and good practice are maintained. This officer is responsible for ensuring appropriate legacy disposal in relation to records held by the former Armagh City & District Council, Banbridge District Council and Craigavon Borough Council. Strategic Directors and Heads of Department are responsible for ensuring that all information and records management systems within their control comply with the policy statement and corporate guidelines. They are also responsible for ensuring that guidelines and records management procedures are developed and maintained for their operational units and communicated to employees. All employees are accountable to their line managers for compliance with this policy and related corporate guidelines and operational procedures. Others this policy applies to any individual or organisation acting on behalf of Armagh City Banbridge & Craigavon Borough Council. Part 5: Related Policies 5.1 The key policies related to the Records Management Policy are: (a) (b) the Data Protection Policy which outlines responsibilities relating to the processing of personal data; and the Access to Information Policy which outlines responsibilities relating to access to information by the general public under the Freedom of Information Act 2000, the Data Protection Act 1998 and the Environmental Information Regulations 2004. APPENDIX 1 POLICY SCREENING FORM Policy Screening Form Policy Scoping Policy Title: RECORDS MANAGEMENT POLICY Brief Description of Policy (please attach copy if available). Please state if it is a new, existing or amended policy. Policy outlines Council s commitment to effective and efficient records management ensuring compliance with legislative requirements. Intended aims/outcomes. What is the policy trying to achieve? Ensure a Council-wide framework for the management of records in all mediums; Promote and ensure compliance with legislative requirements and best practice standards; Ensure that all records can be used as an information resource which enhances their value as assets of the organisation; and Identify the roles and responsibilities for ensuring good records management. Policy Framework Has the policy been developed in response to statutory requirements, legal advice or on the basis of any other professional advice? Does this affect the discretion available to Council to amend the policy? Policy has been developed in accordance with the Lord Chancellor s Code of Practice on the Management of Records (issued under Section 46 of the Freedom of Information Act 2000) and is to ensure Council meets its responsibilities under the Public Records Act (NI) 1923, the Disposal of Documents Order (No. 167) 1925, the Data Protection Act 1998, and the Freedom of Information Act Are there any Section 75 categories which might be expected to benefit from the policy? If so, please outline. Policy will benefit all Who initiated or wrote the policy (if Council decision, please state). Who is responsible for implementing the policy? Who initiated or wrote policy? Stephanie Harte (Policy Development Officer) Who is responsible for implementation? Senior Records Manager Are there any factors which might contribute to or detract from the implementation of the policy (e.g. financial, legislative, other)? None identified Main stakeholders in relation to the policy Please list main stakeholders affected by the policy (e.g. staff, service users, other statutory bodies, community or voluntary sector, private sector) Management and Staff Elected members Individuals/organisations submitting information requests Everyone benefitting from more effective service provision generally as a result of improved record/information management Are there any other policies with a bearing on this policy? If so, please identify them and how they impact on this policy. Access to Information Policy Access to Information legislation imposes deadlines for meeting requests. Effective records management will ensure information is identified and located in a timely fashion. Data Protection Policy particular reference to the processing, retention and disposal of personal data Available Evidence Council should ensure that its screening decisions are informed by relevant data. What evidence/information (both qualitative and quantitative) have you gathered to inform this policy? Specify details for each of the Section 75 categories. Section 75 category Religious belief Political opinion Racial group Age Marital status Sexual orientation Men and women generally Disability Dependants Evidence requirements evidence by category basis not relevant requirements evidence by category basis not relevant requirements evidence by category basis not relevant requirements evidence by category basis not relevant requirements evidence by category basis not relevant requirements evidence by category basis not relevant requirements evidence by category basis not relevant requirements evidence by category basis not relevant requirements evidence by category basis not relevant Needs, experiences and priorities Taking into account the information gathered above, what are the different needs, experiences and priorities of each of the following categories in relation to this particular policy/decision? Section 75 category Religious belief Political opinion Needs, experiences and priorities requirements no specific needs, experiences and priorities by Section 75 category requirements no specific needs, experiences and priorities by Section 75 category Racial group Age Marital status Sexual orientation Men and women generally Disability Dependants requirements no specific needs, experiences and priorities by Section 75 category requirements no specific needs, experiences and priorities by Section 75 category requirements no specific needs, experiences and priorities by Section 75 category requirements no specific needs, experiences and priorities by Section 75 category requirements no specific needs, experiences and priorities by Section 75 category requirements no specific needs, experiences and priorities by Section 75 category requirements no specific needs, experiences and priorities by Section 75 category Screening Questions 1. What is the likely impact on equality of opportunity for those affected by this policy for each of the Section 75 categories? Category Policy Impact Level of impact Religious belief Nil None Political opinion Nil None Racial group Nil None (Major/minor/none) Age Nil None Marital status Nil None Sexual orientation Nil None Men and women generally Nil None Disability Nil None Dependents Nil None 2. Are there opportunities to better promote equality of opportunity for people within the Section 75 categories? Category If yes, provide details If no, provide reasons Religious belief Political opinion Racial group Age Marital status Sexual orientation Men and women generally Disability Dependents 3. To what extent is the policy likely to impact on good relations between people of different religious belief, political opinion, or racial group? Category Details of Policy Impact Level of impact (major/minor/none) Religious belief Nil None Political opinion Nil None Racial group Nil None 4. Are there opportunities to better promote good relations between people of different religious belief, political opinion or racial group? Category If yes, provide details If no, provide reasons Religious belief Political opinion Racial group Multiple Identity Generally speaking, people fall into more than one Section 75 category (for example: disabled minority ethnic people; disabled women; young Protestant men; young lesbian, gay and bisexual people). Provide details of data on the impact of the policy on people with multiple identities. Specify relevant s75 categories concerned. No impact technical policy only Disability Discrimination (NI) Order 2006 Is there an opportunity for the policy to promote positive attitudes towards disabled people? Not applicable Is there an opportunity for the policy to encourage participation by disabled people in public life? Not applicable Screening Decision A: NO IMPACT IDENTIFIED ON ANY CATEGORY EQIA UNNECESSARY Please identify reasons for this below No impact on any Section 75 category technical policy to meet legislative and operational requirements only B: MINOR IMPACT IDENTIFIED EQIA NOT CONSIDERED NECESSARY AS IMPACT CAN BE ELIMINATED OR MITIGATED Where the impact is likely to be minor, you should consider if the policy can be mitigated or an alternative policy introduced. If so, EQIA may not be considered necessary. You must indicate the reasons for this decision below, together with details of measures to mitigate the adverse impact or the alternative policy proposed. N/a C: MAJOR IMPACT IDENTIFIED EQIA REQUIRED If the decision is to conduct an equality impact assessment, please provide details of the reasons. N/a Timetabling and Prioritising If the policy has been screened in for equality impact assessment, please answer the following questions to determine its priority for timetabling the equality impact assessment. On a scale of 1-3 with 1 being the lowest priority and 3 being the highest, assess the policy in terms of its priority for equality impact assessment. Priority criterion Ra
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