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Section 1 Why Records Management?

1.1 What is a record?

A record:

• can be a single piece of information or a collection of information that is evidence of an activity or decision.
• tells the story of how a business area went about an activity or why a particular decision was made.

1.2 Why does Scottish Executive ( SE) keep records?

• To be publicly accountable for and able to justify its decisions and actions.
• To enable us to comply with the requirements of Public Records Act, 1958; Data Protection Act 1998 and Freedom of Information (Scotland) Act 2002.
• To preserve important decisions for future generations including historians, and records deemed to have historical interest must not be destroyed, but archived with National Archives of Scotland ( NAS).

1.3 Why is there a need to manage records?

• SE deals with a wide range of subjects and produces a large number of records.
• An effective records management system is essential to ensure records are captured, managed and preserved or destroyed in an organised manner, maintaining their integrity and authenticity.
• Records have to be retrievable - easily and quickly. (Requests for information under Data Protection or Freedom of Information legislation are governed by statutory response times which would be difficult to comply with if relevant information is not easily identified and retrieved quickly).
• Saving of resources - staff time and effort hunting for lost documents.

1.4 Records Management in SE

• Existing Practice - Paper Files

The paper file remains the official corporate record until implementation of electronic Record and Document Management ( eRDM).

All material which makes up the story/audit trail of SE business activity and decisions should be contained within the paper file, and all file series registered with the central records management IMPReS database.

• Electronic documents:G and H Drives; Public Folders and e-mail:

Any material held on G or H drives, in Public Folders or e-mails is not the official record, and all documents which are part of the story of the business activity/decision making, must be printed and filed. Section 3.6 provides guidance on handling e-mails.

• Electronic Record and Document Management ( eRDM) system

It is planned to roll-out a generic eRDM system to all SE offices during 2005/2006.

Your paper files remain the official corporate record until you have eRDM.

1.5 What happens if we get it wrong?

SE must be able to give full and timely responses to Parliamentary Questions or Ministerial Correspondence, as well as respond to requests from the public for information under Data Protection and Freedom of Information legislation. In recent years, major government departments have incurred public criticism because their record management has failed them.

• The BSE Inquiry was critical of Central Government Departments (including SE) because of difficulties encountered in assembling a full set of submissions which had been put up to and read by former Ministers and Permanent Secretaries on BSE and CJD related subjects.
• In 2002, the National Audit Office investigated the accounts for the building of the Millennium Dome, but missing records meant that they could not establish exactly how contracts had been managed and therefore whether or not any fraud had taken place. This made headline news.

1.6 What is my responsibility?

Every SE officer (irrespective of grade or position) has responsibility to ensure that all key documents are filed in an appropriate manner, and should be responsible for finding out:

• where the official records relating to the business of your team are stored
• how they are handled/disposed of
• whether they are registered with the central IMPReS database (and if not contact RM team to arrange for this to be carried out)
• how your records management awareness and skills can be improved (for details of seminars contact RM team)
• what electronic folder set up is used within your team for sharing of information; and how the information relevant to the official corporate record is identified, printed and added to the paper file.

Section 2 Central Co-ordination and Support for Records Management

2.1 Functions of central Records Management team

SE has one central RM team located in Saughton House and operating the corporate file management system. It is SE policy that all core Departments must have their records registered with and managed by the central system.

RM team provides the following services:

• Maintenance and updating of records held on central IMPReS tracking and retrieval database;

• opening new files on electronic/e-mailed request;
• keeping permanent records of file movements and provision of accurate information on location and status, etc on request;
• central storage of ( PA - "put away") files and dispatch of those requested as required;
• provision of BF (bring forward) service for files;
• implementation of "official searches" for missing files;
• provision of re-theming service for business areas seeking to modify their file series to the standard SE system;
• execution of the annual review and disposal of files;
• provision of induction and other training on record-keeping practice as required, and in conjunction with eRDM team, presentation of seminars on "Managing Records in 21 ^st Century";
• administration of programme of good practice visits to promote best RM practice

NB Records Management teams serving Executive Agencies are staffed and run by their own personnel.

2.2 What is NetIMPReS? (Intranet access to corporate file management system)

SE records are registered on an electronic tracking and retrieval system called IMPReS. NetIMPReS is the Intranet facility whereby branches (with SCOTS) can view file details - those which appear on the file cover, e.g. file reference number, title, location, protective marking, disposal, etc. All officially registered SE files may be viewed via NetIMPReS with the exception of the records of those branches which have notified RM team of concerns about confidentiality. Access is read-only via InExec: Systems: Records Management. Further guidance is onscreen or via Guidance tab. NetIMPReS electronically enables all staff to:

• submit requests for new files/parts
• submit requests for files to be retrieved from central store - form includes an urgency box if required. NB requests received from business areas which do not "own" the files will be validated to determine whether they can be released.
• search database using keywords from file titles
• advise RM team of new holder
• close files which are to be retained in branch, where no new part is required

2.3 How do I request a new file?

Requests for new files/file parts may be submitted through:

• Intranet via NetIMPReS (Intranet access to central IMPReS database for all SCOTS users): Intranet: Systems: Records Management. NetIMPReS is used by the majority of branches.
• Submission of electronic form PD18 (Word template: New: General Templates: Miscellaneous: 5PD18.dot and 5PD18a.dot) to dedicated mailbox (Outlook address - RMBNUFIL). (This facility is used by a minority of branches with no access to SCOTS network or with sensitive records which are excluded from Intranet scrutiny).

NB Both facilities have on screen guidance, but contact RM team if you require help

RM team will process your request and issue labelled folder for new file/part. Red "File Closed" slips will be sent for insertion into the closed part. NB In accordance with the instructions given on the request forms, and to ensure that the details on the paper file cover match the IMPReS record, it is essential that you add the first/last paper dates and selected review disposal option to the front of the closed file cover.

2.4 What happens when a file changes location?

The central database needs to be updated to reflect when a file is sent outwith the business area. To achieve this, the file may either be routed via RM team, or the change in location may be notified via the specific facility on NetIMPReS. Arrangements with paperkeeping services to uplift large bundles of files can be made by contacting Help Central, Distribution Services.

2.5 What happens if I want to close a file?

A file must become closed when:

• 5 years have elapsed since the 1 ^st paper

• its subject matter is no longer current
• papers have not been added for 6 months
• it has become too bulky (over 4 cms) and a new part is required.

If you wish to close a file and send to RM central storage, simply write " RMB- PA" on front of file cover, then identify, initial and date the appropriate disposal option (according to your branch's Records Disposal Schedule - see Appendix 2 for standard schedule) on front cover and send via messengerial service to RM team in your building. The IMPReS database will be updated as the file is received into store.

If you wish to close a file, keep it in the branch for handy reference, and request a new file part, use the "New Part" form in NetIMPReS. RM team will process your request and issue labelled folder for new file/part. Red "File Closed" slips will be sent for insertion into the closed part. NB In accordance with the instructions given on the request forms, and to ensure that the details on the paper file cover match the IMPReS record, it is essential that you add the first/last paper dates and selected review disposal option to the front of the closed file cover.

If you wish to close a file and keep it in the branch for handy reference without opening a new part, use the "close, no new part" form in NetIMPReS, having first keyed in the file reference number in Search screen. RM team will process your request and issue red "File Closed" slip for insertion into the closed file. NB In accordance with the instructions given on the request forms, and to ensure that the details on the paper file cover match the IMPReS record, it is essential that you add the first/last paper dates and selected review disposal option to the front of the closed file cover

2.6 How do I send files to central store - "put away" ( PA) or "bring forward" (B/F)?

Files to be Put Away ( PA)

Where no foreseeable action is envisaged, files may be sent to central storage, even if they are still current. " RMB - PA" should be written in the markings column on the file cover and the file sent for store via internal messenger service. Sending to central storage implies the files will not be regularly accessed, and so this should be taken as an opportunity to consider whether closure would be appropriate. Disposal instructions according to the Branch Records Schedule ( see Appendix 2 for standard schedule) must be allocated to files on closure and the file cover annotated accordingly. When files are received into store, IMPReS will be updated to reflect the new location as well as any change in status.

Files to be Brought Forward ( BF)

Files not in current use but where there is expected future action, may be sent to central store for temporary retention in designated "bring forward" racking. " RMB - BF", date for BF and name and location of requesting officer should be written in the markings column on the file cover and the file sent for store via internal messenger service. Files may be marked "bring forward" for any date within a year from the submission of the file to store.

2.7 How do I request a file from central store ( PA)?

Files held in central storage will have current holder of RMS- PA on NetIMPReS. To recall:

• Select Search screen, type in file number and click on Submit button
• In Results screen, click on Select button to access "Request for file" form
• Click on Request button at foot of screen and check urgent box if applicable
• Your request will be transmitted to and actioned by RM team and you will receive the file within 24 hours.

NB You may also use this screen to request files with current holder of NAS or SRO (Scottish Records Office - former name of National Archives of Scotland). RM team will forward your request to NAS. Files take about 3-4 days to be returned from NAS.

2.8 What happens if a file seems to be lost?

If a file appears to be lost, the following steps should be taken:

• branch staff confirm the latest location marking with RM team;
• branch staff thoroughly search the local working area and, at the same time, RM team arranges to have the central storage area searched by paperkeeping staff.
• RM team issues a search list for circulation through all offices of the customer branch, to be signed by every officer confirming they have checked they do not have the file.
• If the file still cannot be located, an "official search" can be requested in writing by branch B1 officer to the Records Manager. This involves paperkeeping staff organising a thorough search of all files in storage as well as all cupboards, desks, cabinets, briefcases, etc on branch premises. This will be carried out during working hours if resources permit, but it may be necessary to be conducted outwith normal working hours. If the file is discovered on branch premises, the branch will be liable for overtime costs.

NB Many thousands of files are stored centrally, and such a time-consuming search should be undertaken only after all other possible solutions have been exhausted.

2.9 What is the standard system for organising your files?

Organising your files/changing your file series (retheming)

The aim is to bring the agreed standard procedures into effect throughout SE, where it is practicable to do so. Branches with files managed under the standard system enjoy considerable savings in storage space and staff time, as well as improved reviewing capacity. Branches interested in joining the standard system or streamlining an existing file series should consult Annex G for more information about the procedures involved.

2.10 How do I ensure I am complying with best practice?

The Records Management Good Practice Compliance Programme

RM team has a programme in place to ensure that best practice is followed throughout SE and all paper records are registered with central IMPReS database. Experienced records officers will visit branches to discuss current practices and offer solutions to any problems identified. The RM team will provide assistance to ensure that compliance with best practice is achieved. Please contact RM team if you would like to arrange a visit.

It is essential that all paper file series are in good order and properly managed in advance of implementation of eRDM (electronic Records and Document Management). Further information on preparation for eRDM may be found at Annex F.

2.11 What are the rules governing records of devolved matters?

Files containing papers relating to the period pre-1 July 1999 are the property of the UK government. Any requests for access to these papers received from Scotland Office or another Whitehall Department should be referred to RM team for advice. For further information please see Annex E.

2.12 What service is provided by the paperkeepers?

Paperkeeping services are provided in all SE buildings and fall within the remit of Facilities and Estates Services ( FES) House teams. A warehouse in Leith Walk holds all of SE's older, less frequently accessed files, and is entirely staffed by paperkeepers.

Paperkeeping duties include:

• custody and storage of all files registered with the central IMPReS system which are not held in customer branches;
• extraction and replacement of files from and to central storage racks;
• delivery or collection of files to and from customer branches when the quantity is greater than can be sent by the standard normal messenger service (approximately 18 files);
• destruction of files as directed by RM Appraisal team/ NAS inspectors;

• collection, storage and disposal of classified paper waste;
• disposal of computer diskettes and cassette-size tapes.

NB A full paperkeeping service is available only to branches within the official records management system, although the collection of classified paper waste is a service offered to all.

Section 3 Filing

3.1 What are the principles for good filing practice?

Files are the case histories which preserve correspondence and are the records of decisions reached (and why) and what action has been taken. Incorrect or slipshod filing or an inadequate record of policy developments or events, lead to mistakes, confusion and unnecessary work. It is essential that files are properly maintained and that the standard procedure for the filing of papers is followed by all staff. Correct filing helps to ensure that related documents are kept together or can readily be brought together and produced when required.

All officers should ensure that good filing practice is maintained, and while a special onus rests with team heads, each member of staff carries responsibility.

3.2 What are the basic rules for good filing practice?

DO:

• Ensure the structure of the file series is simple and easily understood by all staff using it.

• Ensure file titles accurately represent file contents, for easy identification of correct papers.

• Always file reply on same file part. The papers should be filed in order in which they were written.
• Try to file papers as soon as possible after receipt.

• File papers in reverse book order so latest document is seen on opening cover.

• File attachments below the document they relate to.
• File bulky documents in pouches inside file cover with brief description of contents.
• Ensure each stage of the legislative process of a Bill has its own file.
• File all papers on the right hand side of the file cover.

• Print and add to the file - all e-mails and G and H drive documents relevant to the ongoing story

• Close files 5 years after 1 ^st paper date or when about 4 cms thick. If correspondence is still ongoing open up new part.

• Allocate review disposal to files on closure. This ensures files are not retained longer than necessary, identifies those for retention or archive and helps rationalise storage space.

• Regularly sift current files to weed out those which could become closed and stored centrally or destroyed.

• Encourage use of a tracking system. Advise RM team through NetIMPReS (Search screen: new holder button) if file is transferred to another officer.

DON'T:

• Use 'miscellaneous' or 'general' in file titles. This tells you nothing of the file contents
• Store protectively marked files in open cupboards. Restricted files must be kept in cupboards to be locked at night and when the office is unmanned. Files with higher protective marking must be kept in secure cabinets to be locked at all times.
• Remove papers from files. If absolutely necessary, then cross-refer on original file, or make copies for other files and replace the paper on the original file.
• Begin a file with a paper referring to another paper which is not on that file.
• Place Office Notices or circulars on registered files.
• File duplicate copies of the same paper, unless there are annotations which may be of future relevance.
• File spent drafts (general rule).
• Lock official papers in personal drawers.
• Keep folders which contain the originals or the only copies of papers in personal drawers.
• Guess at where a paper should be filed. Take time to read preceding correspondence to ensure you have the right one. If in doubt, ask the advice of senior/more experienced officers who should be encouraged to annotate appropriate reference numbers to correspondence passed over for filing.
• Keep correspondence on the same file as policy documents
• File different strands of the same subject on the same file - give them different files.

3.3 How are Cabinet or Cabinet Ministerial Committee Minutes and Memoranda dealt with?

Papers in this category (or extracts from them) are not to be placed on departmental files. They are returned promptly to the appropriate Private Secretary for safe-keeping. In many cases it may be useful for future reference to have a note placed on the departmental file showing the existence of the Cabinet document and its reference number. This is most important where Cabinet documents were originated by, or are of major concern to SE. A copy-brief may serve this purpose; otherwise a note is made on a minute sheet. When such references to Cabinet documents are incorporated in a file, the file cover is clearly marked "Contains references to Cabinet documents". This will assist in the identification of files for selection for permanent preservation and in the researches of historians.

3.4 How are Papers in Ministerial Private Offices dealt with?

It is the responsibility of Ministers' Private Secretaries to ensure that the top copies (or "blues") of all submissions and minutes to Ministers, and any "white copies" of papers which Ministers annotate with a comment of any substance, are returned to the signatory for placement on the relevant Departmental file when Ministerial action is complete. Decisions about which of these side copies are sent back will rely, to some extent, on the judgement of Private Office staff. As a rule of thumb, any comments which the Private Secretary would normally record in a minute to the Department are returned. Private Offices operate a "holding tray" system for such documents, sending them to relevant Secretariats periodically for appropriate distribution within Departments. It is the responsibility of divisions in receipt of such papers to ensure that they are placed on the relevant registered file.

3.5 How are protectively-marked files stored?

In all SE buildings (except Victoria Quay [ VQ]), protectively-marked files must be held in appropriate secure storage within branch premises. Details of appropriate secure storage according to level of confidentiality can be found in the Security Branch website. There is a central storage facility for protectively-marked files on the ground floor in VQ. This facility may be used only by business areas located in that building. Only restricted and confidential files may be stored, and anything with a higher level of confidentiality (Secret or Top Secret) must be securely retained locally. For further information on how to withdraw protectively-marked files from central secure storage in VQ, please contact RM team.

3.6 Electronic - How are e-mail/G/H Drive/Public Folder documents dealt with?

In common with other government departments and large businesses, SE is developing a system for the electronic storage and archiving of records - electronic Record and Document Management ( eRDM). This is an emerging technology and it is planned to have a fully operational system in place by 2005/2006. In the meantime, the paper file continues to be the corporate record, and it is vital that any documents created on SCOTS (including E-mail messages, G and H drive and Public Folder documents) which would have been placed in a paper file had SCOTS not been available continue to be placed on the paper file.

Although eRDM is not yet in operation within SE, there are steps which can be taken by all staff to ensure that e-mails comply with the requirements for good recordkeeping. These include:

a. ensure that a meaningful subject line is included in all electronic messages and where possible, add the file reference number to the subject line. The subject line should summarise the email document, or might be an action statement (eg "Please respond to draft business development policy by Friday"). Blank subject lines should be avoided;
b. include detailed signature and salutation blocks. Details should include name, title, organisational unit etc, which add valuable contextual information to the message;
c. capture by print and file method (until eRDM implementation).

Section 4: The Review and Disposal of Records

4.1 Organisation and Responsibilities

An annual records review is undertaken by the Appraisal staff within the RM Team. However, branches are expected to indicate their disposal decisions on their own files at creation/closure stage, including those with protective markings.

4.2 When can a file be reviewed?

A file can be reviewed up to four times in its existence.

Creation Time

When it is clear from the branch records Disposal Schedule that a file-type may be destroyed a given number of years after the last action, this should be noted on the file cover of paper files.

At Closure

The long-term value of a file may not be clear until closure. The majority of records should not be destroyed earlier than five years after the date of the last document but records containing only invoices, circulars, or routine correspondence may be destroyed sooner - please see example records schedule at Appendix 2.

First Review

Where a decision is not obvious either at creation or at the time the file is closed, the file may be marked for re-examination five years after its closure date. A disposal decision should be possible at this point.

Second Review

Occasionally, a second review will be necessary and this is scheduled for up to 25 years after the date of the first document on the file.

4.3 How are decisions made?

All branches should base records disposition decisions on the standard Records Disposal Schedule ( see example Schedule at Appendix 2).

A Branch Schedule refers specifically to branch files. Additions and deletions are made where necessary, and records management decisions which could be considered precedents, recorded on it.

The Records Schedule is used:

when a file is created,

• to ensure that it is assigned to

the appropriate category-listing;

• to note disposal instructions where

this is possible;

when a file is closed,

• to determine the retention or disposal

action;

Many older files which do not fit into Schedule categories require examination. No decision is based solely on the file title.

4.4 Retention and Disposal Options

There are several options available and these are set out in a panel on the file cover and listed in the table below.

Destroy

The file should be destroyed immediately.

Forward Destroy

The file is to be destroyed at a future date, specified by the reviewer.

Preservation

The file is passed to the National Archives of Scotland ( NAS) in the year indicated. Such files are made available to the public immediately, unless they have been marked as having an exemption applied to them under FOI. Branches are able to borrow back preservation files temporarily from NAS.

Retain

A file which has continuing and regular administrative use may be marked to be retained in the branch's own storage area. It must be reviewed every ten years thereafter to determine its status.

If a file is retained beyond 30 years after the date of the last document, it is notified by the SE's Corporate Records Manager to the Scottish Records Advisory Council ( SRAC).

[The SRAC is a statutory body appointed by the Secretary of State to advise on the public records of Scotland. Reviewers may be asked by SRAC to justify retention decisions.]

Second Review

When a decision is not obvious at first review, the file is marked for a second review . The standard second review period has been set at a date no more than 25 years from the date of the first document on the file. The ideal date is around 15 years from the date of the first document.

Until second review, only originators or their successors may authorise declassification of protectively marked files.

At second review Local Security Officers (i.e. Branch Heads) may use their discretion as to continuing sensitivity and declassify if appropriate.

Second review is used only for those files whose continued use or value is genuinely in doubt.

4.5 Protectively marked files

Declassification of protectively marked files is compulsory before files are passed to RM team or to NAS. Further information on the protective marking used in SE is available from the Security Branch website.

Files not declassified at closure are:

• marked for review as appropriate and retained in the Branch;
• re-assessed at regular intervals to determine whether protective marking should be continued;
• marked for destruction or preservation on a given date, where this is possible;
• reported as retained to the CRM at the 30 year point

When declassifying:

• protectively marked documents received from other Departments are declassified only with the approval of the originating Department (or its successor) unless the file has reached Second Review (see above);
• each protectively marked paper is examined with a view to declassification and is marked accordingly; protective markings on the front cover of the file are struck out, signed and dated by the officer concerned.

Officers who are authorised to downgrade are:

SECRET: C1 or above;
CONFIDENTIAL: B2 or above;
RESTRICTED: B1 or above.

4.6 Closed files in NAS

Preserved files in NAS custody are automatically released to the public domain under the Freedom of Information (Scotland) Act 2002 unless an exemption allowed for by the Act has been indicated. However, NAS holds approximately 28,000 files still closed under the 30-year closure rule which pre-dated FOI, all of which require to be reviewed for information which is exempt under the FOISA before they can be opened. NAS have agreed with the Scottish Information Commissioner a process of reviewing the "closed" files that, although proactive, will nevertheless take several years to complete. SE Departments are therefore encouraged to consider reviewing their files to accelerate the process of opening files, and reduce the possible burden of FOI requests (requests to see "closed" files at NAS are referred back to the originating Department for a decision on release). For guidance on how to review such files, please see Appendix 3.

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