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Records Management Compliance for Local Government

This guide highlights the legislative framework including the Public Records Act, Freedom of Information Act, and sets out best practices for the creation, management, and disposal of public records. It emphasizes the importance of efficient records management for meeting business needs, ensuring good service delivery, and legislative compliance. Learn about the role of the NI Ombudsman and the principles of good administration. Discover the next steps for retention and disposal, including the transition of existing councils, creation of new schedules, and management of electronic documents. Gain insights into roles, responsibilities, and training for effective records management.

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Records Management Compliance for Local Government

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  1. Records Management Compliance for Local Government Next steps for Retention and Disposal

  2. The legislative framework • The Public Records Act (1923) • The Disposal of Documents Order (1925) • The Freedom of Information Act (2000) • The Data Protection Act (1998) • Environmental Impact Regulations (2004)

  3. The Lord Chancellor’s Code of Practice (2009) • Provides a suitable set of practices in relation to the creation, management and disposal of public records; • Sets out the arrangements for reviewing and transferring the records to a place of deposit once their administrative use has come to an end

  4. The Lord Chancellor’s Code of Practice (2009) • ‘Any freedom of information legislation is only as good as the quality of the records to which it provides access. Such rights are of little use if reliable records are not created in the first place, if they cannot be found when needed or if the arrangements for their eventual archiving or destruction are inadequate. Consequently, all public authorities are strongly encouraged to pay heed to the guidance in the Code.’

  5. Records Management...why getting it ‘right’ matters • Meet business needs • Creating records which are of good quality • Efficient use of resources – identify and keep only what is needed • Efficient use of staff time and legislative compliance – identify and retrieve records when needed • Good service delivery

  6. When it all goes wrong...

  7. NI Ombudsman • Investigates complaints independently • Makes recommendations to remedy injustice and improve procedures • Reports to Legislature/Assembly • The 8 Principles of Good Administration and Good Records Management • Additional powers of investigation

  8. The way forward… • The existing 26 councils will become 11 councils from April 2015

  9. Creating new schedules • The new schedules must cover all functions of the new council • Retention periods and disposal actions must be consistent if merging existing schedules • Functional or non-functional approach • Incorporate newly transferred functions • Legacy Records • Local Government Act (NI) 2014

  10. Retention and Disposal next steps • Functions and statutory basis • Records management policy • Coverage • Electronic documents • Disposal actions • Operation of the schedule • Retention periods • Destruction • Roles and responsibilities/training • Storage and access

  11. Retention and Disposal: next steps • Draft schedules submitted to PRONI by July 2015 for quality assurance • Final versions should be submitted no later than October 2015 • 7 copies required • Electronic copy • Must be signed by Council chief executives and accountable officers • Schedules will be laid at the NI Assembly by December 2015

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