Records Management Procedure

Date: 2017
Version: 2
Review Date: 2020
Procedure Title Records Management Procedure

Procedure Number PRO 006

Version v2

Owner Desi Curry (Head of ICU / ICT)

Date Approved

Approver Director of Business Support

Location Intranet

Related Documents Location

Policies and Procedures:

Intranet / Policies and Procedures
Records Management Policy
Data Protection Policy
Freedom of Information Policy
Information Technology Security Policy
Network Security Policy
The Disposal and Retention of Records Schedule
Freedom of Information: Request Handling
Procedure
Data Protection: Procedure for Handling Requests
for Personal Data
Procedure for the Use of Closed Circuit Television
Information Requests: Staff Guidance

Forms / Templates:
Intranet / Forms and Templates /
Authorisation to Destroy Records Form Records Management

Transferring Records to Archive Form

Archive Box Label Template

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 CONTENTS

Page

1. Introduction 3

2. Purpose 3

3. Responsibilities 3

4. What is a Record? 4

5. Record Keeping Procedures 4

6. Closing Files 5

7. Reviewing Files 5

8. Destroying Files 6

9. Permanent Preservation 6

10. Transferring Files to Archive 6

11. Contact Details 7

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Records Management Procedure
1. Introduction

As a public body Libraries NI is required to manage its records properly. The Records
Management Policy summarises the legal context and establishes a framework by which
Libraries NI will manage the records it creates, receives and maintains, in all formats and
media1, as it carries out its business.

2. Purpose

This procedure supports the implementation of the Records Management Policy by setting
out the responsibilities and actions required to ensure compliance with the policy.

3. Responsibilities

It is the responsibility of all employees to ensure that they keep appropriate records of their
work in Libraries NI. All staff who receive, create, use, maintain, dispose of, or delete records
are responsible for ensuring that they do so in accordance with the regulatory environment
for their business area, the Records Management Policy and the Disposal and Retention of
Records Schedule.

The Director of Business Support is responsible for developing strategy to ensure that
records are managed well across the organisation.

The Head of ICU/ICT is responsible for the records management function and the
implementation and review of policy and procedure.

Heads of sections (i.e. Finance, Human Resources, Strategic Marketing and

Communications, Assets, ICU/ICT, Assistant Directors, Operational and Themes Managers)
are responsible for:

 putting in place record keeping systems which document business activities

accurately, are secure, enable quick retrieval and take account of the legal and
regulatory environment specific to their area of work
 ensuring that the Records Management Policy and the Disposal and Retention of
Records Schedule are implemented in their section
 nominating staff to take the lead on records management issues in their section
 identifying key records and ensuring procedures are in place for them to be managed
appropriately
 ensuring that where Libraries NI collaborates with other organisations record keeping
protocols are agreed
 ensuring that records management responsibilities are written into the job
descriptions of individuals who are accountable.

Staff nominated by their manager to take the lead on records management issues in their
section will:

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All formats and media includes: paper based files [written and typed documents, notes, annotated copies,
diaries, etc.]; computer based files [word processed files, databases, spread sheets, presentations; e- mail; line of
business applications, audio files, digital images, diary entries, webpages, etc.] fax messages; reports; CCTV
images; video recordings; text messages, etc.

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  develop, implement and monitor for effectiveness, procedures (see section 5) to
ensure that records in all formats and media are managed throughout their life cycle
 ensure that all staff (including temporary staff and volunteers) know how to keep a
record of their work and are aware of the relevant policies and procedures
 ensure that all staff can identify information which needs to be captured into the
record keeping system because of its content
 ensure that all staff are aware of the importance of records management in relation to
the Data Protection Act and the Freedom of Information Act
 ensure that access to records is controlled and monitored.

4. What is a Record?

Definition: A record can be defined as, “information created, received and maintained as
evidence and as an asset by an organization or person, in pursuit of legal obligations or in
the transaction of business” (BS ISO 15489-1:2016).

How to identify records: Information is a record if it:

 contributes to a policy or decision making process

 contributes to an action or decision made
 contributes to a change to policy or procedure
 has financial or legal implications (e.g. contracts, accidents, fraud investigations)
 supports the running of Libraries NI business (e.g. budgets, purchase orders)
 needs to be approved by, or reported to, another individual, an internal or external
body (e.g. approved by SMT, Board or Committee, Government Department etc.)
 sets a precedent or contains something unique of historic interest
 has to be created as a result of specific legislation (e.g. Finance Acts).

If the information is none of the above it is unlikely to be a record and should be destroyed
when no longer required.

5. Record Keeping Procedures

The underlying principle of records management is to ensure that records are managed from
creation/receipt, through maintenance and use, to disposal. Each business section will
develop procedures to ensure that records in all formats and media are managed
appropriately throughout their life cycle.

Procedures will be guided by the Records Management Policy, the Disposal and Retention of
Records Schedule, and the relevant legal and regulatory environment. Although procedures
to manage paper and electronic/digital records should:

 support quick and easy retrieval of information

 create file structures which group records logically for ease of retrieval and review
 support accessibility and use for as long as required (which may include migration
across systems)
 ensure integrity
 ensure that records are properly stored and adequately protected

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  ensure that vital, sensitive or confidential records are securely held, with access to
them being restricted and monitored
 include the development of a file register which will be updated as records are
created, archived or disposed of
 ensure that folders/files are closed regularly and the appropriate disposal action, as
set out in the Disposal and Retention of Records Schedule, is applied
 include regular reviews of folder/files to prevent the accumulation of redundant
information
 ensure a record of disposal action is maintained
 include, where necessary, the transfer of non-current records to a designated
electronic and/or physical archive space
 ensure records selected for permanent preservation are transferred to the Public
Record Office of Northern Ireland (PRONI) when appropriate
 support business continuity
 enable, where a mixed environment exists, the cross referencing of paper and
electronic records
 include, where necessary, guidelines for referencing, titling and version control.

6. Closing Files

Paper and electronic file/records should be closed as soon as they cease to be of active use,
other than for reference purposes. Once a file is closed the appropriate disposal action, as
listed in the Disposal and Retention of Records Schedule, should be applied:

 if the disposal action is destroy, the records must be kept for the minimum retention
period listed in the Schedule and then destroyed (see below Destroying Files)
 if the disposal action is review, the records will be reviewed by the unit manager (see
below Reviewing Files)
 if the disposal action is permanent preservation, the records will be transferred to
PRONI (see below Permanent Preservation).

Closed files/records can be archived within the business unit (e.g.in filing cabinets, shared
drives etc.), within business application software or transferred to suitable off-site storage.

7. Reviewing Files

Managers are advised to instigate regular systematic reviews of files/folders within their
section. This will prevent the accumulation of redundant information and ensure that records
likely to be required for business continuity reasons or permanent preservation are not
destroyed.

Files/records should be checked against the Disposal and Retention of Records Schedule to
establish what can be destroyed, what needs to be kept for permanent preservation and
what needs to undergo the review process.

Review Process: Records identified for ‘review’ in the Disposal and Retention of Records
Schedule together with any categories of files/records not listed in the Schedule will undergo
the review process to establish their continued value to Libraries NI. PRONI recommends
that the review process is undertaken five years after the file has been closed and no later
than ten years after the file was opened.

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The review should be based solely on the business requirement for the record. Questions to
ask when assessing the value of records:

 is there a legal requirement to keep this information?

 is there a financial need to retain this information (e.g. for audit purposes)?
 is the information needed for statistical analysis within the organisation?
 is there a need to retain the information for day-to-day business?
is there evidence of a future need for constant reference to this information?
 will it be needed to deal with enquiries in the future and how often?
 is the information avaialble elsewhere within the organisation or in published form?
 does this information provide precedent, or is it required for authorisation purposes?

The review allows managers to determine whether records need to be retained for a further
period or can be destroyed. Records identified for destruction on review must be referred to
PRONI for appraisal to determine if they are required for permanent preservation or can be
destroyed.

8. Destroying Files

Files/records considered not worthy of retention by both Libraries NI and PRONI can be
destroyed. Managers will authorise destruction or deletion by completing the Authorisation to
Destroy Records Form which will be retained as a record of destruction.

Paper files/records will be destroyed in a manner commensurate with the sensitivity of their
content:

 information already available in the public domain can be placed in ordinary rubbish
bins
 non-sensitive information which would not be made available in the public domain can
be shredded locally
 sensitive/confidential information should be destroyed by an approved disposal firm
who will provide a certificate of destruction.

9. Permanent Preservation

Records identified for permanent preservation in the Schedule (e.g. Annual Report and
Accounts, Board Minutes, Corporate Plans) or on review should be passed to ICU when no
longer required by the business unit. ICU will archive them and arrange for their transfer to
PRONI for permanent preservation at the appropriate time. PRONI recommends that transfer
takes place 20 years from the date on the last document in the file. Electronic records will
transfer at a point in time agreed with PRONI.

10. Transferring Files to Archive

Closed files that are no longer required for day-to-day business, but must be retained for
administrative or legal purposes may be transferred to archive storage. When transferring
paper files to the archive stores in Ballymena Regional Admin Centre (BRAC) business units
are asked to:

 inform ICU staff at BRAC that you wish to transfer files to the archive stores

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  put the files into archive storage boxes
 label each box using the Archive Box Label Template clearly stating when the files
will be reviewed, destroyed or transferred to PRONI for permanent preservation
 arrange for the boxes to be transported to BRAC
 complete the Transferring Records to Archive Form and forward a copy to ICU staff
 maintain a record of files transferred to archive

Business units will continue to manage the archived files by ensuring that they are retained,
reviewed or destroyed as set out in the Disposal and Retention of Records Schedule.

11. Contact Details

If you require further assistance or advice regarding record keeping processes please
contact:

Head of ICU/ICT Desi Curry 256 64147