Records Management Good Management Good Records November 2011 Contents SECTION 1 FOREWORD .......................................................................................................................................................... 4 Foreword ............................................................................................................................................................................... 5 Types of Records covered by GMGR ..................................................................................................................................... 6 Media of Records covered by GMGR .................................................................................................................................... 7 SECTION 2 INTRODUCTION .................................................................................................................................................... 8 Introduction .......................................................................................................................................................................... 9 General Context .................................................................................................................................................................. 10 Monitoring Records Management Performance ................................................................................................................ 12 Legal and Professional Obligations ..................................................................................................................................... 13 Consent ............................................................................................................................................................................... 15 Security ............................................................................................................................................................................... 16 SECTION 3 RECORDS MANAGEMENT ................................................................................................................................... 17 What is a record? ................................................................................................................................................................ 18 Why do you need to keep records ....................................................................................................................................... 19 What is Records Management ........................................................................................................................................... 20 Management and Organisational Responsibility................................................................................................................ 21 Senior Information Risk Owner ........................................................................................................................................... 23 Information Asset Owner .................................................................................................................................................... 24 Individual Responsibility ..................................................................................................................................................... 25 Records Management Policy .............................................................................................................................................. 26 Information Quality Assurance ........................................................................................................................................... 27 SECTION 4 RECORDS MANAGEMENT PROCESSES ................................................................................................................. 28 Records Management Processes ........................................................................................................................................ 29 Record Creation .................................................................................................................................................................. 30 Registration of Records ....................................................................................................................................................... 31 Types of Files ....................................................................................................................................................................... 33 File / File Plan Contents ....................................................................................................................................................... 34 Record Maintenance ........................................................................................................................................................... 37 Digital Continuity ................................................................................................................................................................ 38 Scanning.............................................................................................................................................................................. 39 Microfilming Records .......................................................................................................................................................... 43 File Plans ............................................................................................................................................................................. 44 EDRMS ................................................................................................................................................................................ 45 Disclosure of Information and Transfer of Records to other Organisations ....................................................................... 46 Retention and Disposal Arrangements ............................................................................................................................... 47 Transfer of Paper Records to PRONI ................................................................................................................................... 48 Transfer of Electronic Records to PRONI ............................................................................................................................. 49 Disposal Schedules .............................................................................................................................................................. 50 Process for the preparation and laying of Disposal Schedules............................................................................................ 52 Appraisal of Records ........................................................................................................................................................... 54 Record Closure .................................................................................................................................................................... 57 Record Disposal ................................................................................................................................................................... 58 Destroying Files ................................................................................................................................................................... 59 SECTION 5 SPECIAL CATEGORY RECORDS ............................................................................................................................. 60 Special Category Records .................................................................................................................................................... 61 Photographs, Sound Recordings, Cinematograph Files, Videocassette Recordings and Machine Readable Records ........ 62 Papers of Temporary Commissions, Committees and Review Bodies (including Non-Departmental Public Bodies) .......... 63 Statute-Barred Records ....................................................................................................................................................... 64 Inquiries - Under Legislation ............................................................................................................................................... 65 Departmental Inquiries - Administrative ............................................................................................................................ 66 Further Guidance ................................................................................................................................................................ 67 GLOSSARY OF RECORDS MANAGEMENT TERMS .................................................................................................................. 68 Glossary of Records Management Terms ........................................................................................................................... 69 ANNEX A .............................................................................................................................................................................. 93 Annex A - Contacts and Resources to Support Improvement ............................................................................................. 94 ANNEX B ...........................................................................................................................................................................