Records and the Records and the LawLaw

Jan LiebaersJan Liebaers

Cayman Islands National ArchiveCayman Islands National Archive

OutlineOutline

Recorded informationRecorded information AimsAims Application and provisionsApplication and provisions Who does what?Who does what? Practical preparations and prioritiesPractical preparations and priorities ChallengesChallenges

Why are records important?Why are records important?

Recorded informationRecorded information Administrative support functionAdministrative support function Records are important for legal reasonsRecords are important for legal reasons Records are useful for business reasonsRecords are useful for business reasons Records management reflects community Records management reflects community

expectationsexpectations Records management helps Records management helps maximisemaximise the the

use and value of records, and use and value of records, and minimiseminimise the the costscosts

General ContextGeneral Context

Public Management and Finance LawPublic Management and Finance Law Public Service Management LawPublic Service Management Law ISO standardsISO standards International best practiceInternational best practice National Archive and Public Records LawNational Archive and Public Records Law Government E-mail PolicyGovernment E-mail Policy Shift to electronic recordsShift to electronic records FOIFOI

National Archive and Public National Archive and Public Records Law, 2007Records Law, 2007

4-year project4-year project Published May 14Published May 14thth, 2007, 2007 Assigns powers and responsibilities for Assigns powers and responsibilities for

managing public sector recordsmanaging public sector records All aspects, actions, formatsAll aspects, actions, formats Identifies some of the tools that must be Identifies some of the tools that must be

developeddeveloped

Aims of the National Archive and Aims of the National Archive and Public Records Law, 2007Public Records Law, 2007

Framework for legally compliant creation, Framework for legally compliant creation, maintenance and disposal of recordsmaintenance and disposal of records

Duties and powers of National Archive:Duties and powers of National Archive:– Set standards, train, advise, monitorSet standards, train, advise, monitor– Authorise disposalAuthorise disposal

Duties and powers of Records Advisory Duties and powers of Records Advisory CommitteeCommittee– Review disposal schedulesReview disposal schedules– Advise Governor in CabinetAdvise Governor in Cabinet

Aims of the National Archive and Aims of the National Archive and Public Records Law, 2007 (cont’d)Public Records Law, 2007 (cont’d)

Duties and powers of all public agenciesDuties and powers of all public agencies– Create, maintain and dispose of records in Create, maintain and dispose of records in

compliance with standardscompliance with standards– Develop file plans and disposal schedulesDevelop file plans and disposal schedules

Application of the National Archive Application of the National Archive and Public Records Law, 2007and Public Records Law, 2007

– Entire Public SectorEntire Public Sector– All formats and types of recordsAll formats and types of records– Current and legacy recordsCurrent and legacy records

Provisions of the National Archive Provisions of the National Archive and Public Records Law, 2007 and Public Records Law, 2007

(cont’d)(cont’d)

Section 5: creates a high-level Records Section 5: creates a high-level Records Advisory Committee to review and make Advisory Committee to review and make recommendations to Cabinet regarding recommendations to Cabinet regarding records disposal schedules and related records disposal schedules and related matters.matters.

Provisions of the National Archive Provisions of the National Archive and Public Records Law, 2007 and Public Records Law, 2007

(cont’d)(cont’d)

Section 6: mandates the creation and Section 6: mandates the creation and maintenance of full and accurate records maintenance of full and accurate records of public agencies’ business and affairs, of public agencies’ business and affairs, and places the responsibility on the most and places the responsibility on the most senior officer in each agency. senior officer in each agency.

Provisions of the National Archive Provisions of the National Archive and Public Records Law, 2007 and Public Records Law, 2007

(cont’d)(cont’d)

Section 7: assigns the responsibility for Section 7: assigns the responsibility for developing records management developing records management standards to the National Archivist, and standards to the National Archivist, and directs every public agency to create, directs every public agency to create, manage and dispose of its records in manage and dispose of its records in accordance with these standards. accordance with these standards.

Provisions of the National Archive Provisions of the National Archive and Public Records Law, 2007 and Public Records Law, 2007

(cont’d)(cont’d)

Section 8: instructs each agency to draw Section 8: instructs each agency to draw up a records disposal schedule in order to up a records disposal schedule in order to identify the projected life of its operational identify the projected life of its operational public records. public records.

Provisions of the National Archive Provisions of the National Archive and Public Records Law, 2007 and Public Records Law, 2007

(cont’d)(cont’d)

Section 11: makes it an offence to dispose Section 11: makes it an offence to dispose of records without proper authorisationof records without proper authorisation..

Who does what?Who does what?

National Archive:National Archive:– Records Policy UnitRecords Policy Unit

Develop and communicate standardsDevelop and communicate standards Conduct trainingConduct training Provide adviseProvide advise Monitor and report complianceMonitor and report compliance

– National ArchivistNational Archivist Approve disposalApprove disposal

Who does what? (cont’d)Who does what? (cont’d)

Public agencies:Public agencies:– Assign staff responsibilitiesAssign staff responsibilities– Support training and skills developmentSupport training and skills development– Develop record keeping toolsDevelop record keeping tools– Seek advice when neededSeek advice when needed– Report on accomplishmentsReport on accomplishments

Who does what? (cont’d)Who does what? (cont’d)

Records Advisory Committee:Records Advisory Committee:– Review disposal schedulesReview disposal schedules– Advise Governor in Cabinet on disposal Advise Governor in Cabinet on disposal

schedulesschedules– Perform other functions as assignedPerform other functions as assigned

Auditor General/Internal Audit:Auditor General/Internal Audit:– Audit complianceAudit compliance

Agency prioritiesAgency priorities

Assign responsibilities and allocate Assign responsibilities and allocate resourcesresources

Support staff trainingSupport staff training Implement existing administrative file plans Implement existing administrative file plans

and disposal schedulesand disposal schedules Develop a file plan for your operational Develop a file plan for your operational

records based on CINA trainingrecords based on CINA training Develop a disposal schedule for your Develop a disposal schedule for your

operational records based on CINA trainingoperational records based on CINA training

Priority #1Priority #1

Develop a FILE PLAN!Develop a FILE PLAN!

Without a file plan you can not:Without a file plan you can not:– Meet FOI requirementsMeet FOI requirements– Destroy recordsDestroy records– Meet disaster preparedness expectationsMeet disaster preparedness expectations– Use RMS and transfer records to the new Use RMS and transfer records to the new

Government Records Centre (expected 2008)Government Records Centre (expected 2008)– Implement EDRMSImplement EDRMS

Connections with FOI?Connections with FOI?

FOI Publication Scheme requires a file plan FOI Publication Scheme requires a file plan to be available for access by the publicto be available for access by the public

Code of Practice requires compliance with Code of Practice requires compliance with records management rulesrecords management rules

Good records management reduces costs Good records management reduces costs and increases efficiency of FOI and increases efficiency of FOI implementation and ongoing administration implementation and ongoing administration

ChallengesChallenges

SkillsSkills ResourcesResources TimeTime High expectationsHigh expectations Change managementChange management

RM skills of Info Managers

AnalyseAnalyse recordkeeping systems recordkeeping systems– Conduct records surveysConduct records surveys– Identify risks to recordsIdentify risks to records– Identify record keeping requirementsIdentify record keeping requirements

DesignDesign records management tools records management tools – file planfile plan - disaster plan- disaster plan– disposal scheduledisposal schedule

ImplementImplement the records management the records management programmeprogramme– Identify records to capture into the records systemIdentify records to capture into the records system– Create filesCreate files– Classify records in accordance with agency file planClassify records in accordance with agency file plan– Apply disposal schedules to agency recordsApply disposal schedules to agency records– Transfer records to Government Records Centre and the Transfer records to Government Records Centre and the

ArchiveArchive

ManageManage records security records security– Assess security requirementsAssess security requirements– Identify classified recordsIdentify classified records

MonitorMonitor use of the records system use of the records system– Identify and collect statisticsIdentify and collect statistics– Report to senior managers and CINA on progressReport to senior managers and CINA on progress

ProvideProvide quality RM services to agency staff quality RM services to agency staff– Create filesCreate files– Respond to requestsRespond to requests

IdentifyIdentify RM policy issues RM policy issues– Apply Government RM policy to the MinistryApply Government RM policy to the Ministry– Provide feedback to CINA on implementation issuesProvide feedback to CINA on implementation issues

RM skills of info RM skills of info managers (cont’d)managers (cont’d)

Support available from CINASupport available from CINA

Training, adviceTraining, advice Administrative file plan (finance, HR, etc.)Administrative file plan (finance, HR, etc.) RMS - New records centreRMS - New records centre IntranetIntranet RM newslettersRM newsletters Standard job description for Information Standard job description for Information

ManagersManagers Close cooperation with FOI Coordinator Close cooperation with FOI Coordinator

and committeesand committees

More help from CINA:More help from CINA:

National Archive’s intranet site:National Archive’s intranet site:http:\\cina.gov.ky\http:\\cina.gov.ky\

recordsmanagement.htmrecordsmanagement.htmhttp:\\cina.gov.ky\trainingsessions.htmhttp:\\cina.gov.ky\trainingsessions.htm

Records Policy Unit:Records Policy Unit:Sonya.Sherman@gov.kySonya.Sherman@gov.ky

Telephone:Telephone:949-9809 x 117949-9809 x 117