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SCOTTISH EXECUTIVE FREEDOM OF INFORMATION (SCOTLAND) ACT 2002:OPEN LEARNING WORKBOOK
MODULE 6
RECORDS MANAGEMENT - PART 2
6.1 CONTENT AND LEARNING OBJECTIVES
This module builds on module 5 by looking at what the section 61 Code of Practice says in relation to records transferred to archives.
Once you have worked your way through this module you should understand:
- What the section 61 Code of Practice says on the transfer of records to archives
- How to deal with records held by an archive
SUGGESTED TIME ALLOCATION: 50 minutes
6.2 LEARNING MATERIALS
6.2.1 Records transferred and held in archives
Part Two of the section 61 Code deals with arrangements for authorities which transfer records to the Keeper of the Records of Scotland at the National Archives of Scotland ("NAS"). This is dealt with by specific legislation in the Public Records (Scotland) Act 1937 and the Public Registers and Records (Scotland) Act 1948 which says that certain authorities either must transfer or may transfer records to the Keeper.
Part Three of the section 61 Code deals with arrangements which apply to those authorities which transfer records to other public archives, for example archives operated by the authority itself, another authority on its behalf, or by a private company on its behalf.
6.2.2 Review of records
Authorities which transfer records to archives should, in co-operation with the archives, establish procedures for ensuring that records become available to the public at the earliest possible time. This means that records should be regularly reviewed by authorities and those suitable for permanent preservation be identified as soon as possible. The selection and transfer of records to the NAS normally occurs before the records reach 30 years old. Electronic records should be transferred as early as possible in their lifetime, and the authority should consult with the NAS at the time the records are created.
The review of records should identify those which can be made publicly available, and those which should not be put on public access because exemptions may still apply.
6.2.3 Exempt records
If information may still be exempt after transfer, the authority should prepare a schedule which identifies this information, cites which exemption applies and why and identifies a date when release may be appropriate. The authority should also consider whether all the information in documents is exempt or whether some information may not be, in which case the authority should consider how it could release the non-exempt information.
Exemptions are discussed in Modules 12, 13 and 14. In particular, those that may apply to historical records and those that do not apply to historical records are discussed in Module 12.
6.2.4 Access to records held in a public archive
Where there has been a transfer to archives other than the NAS, the authority remains responsible for the records for the purposes of the Act as they are held on behalf of the authority. The authority still has to deal with access requests. However, if the archive makes the records available to the public on request and the authority puts this in its publication scheme then the section 61 Code states that this means that the documents are reasonably obtainable and so the authority can simply refer an applicant to the archive. There should be agreement between the authority and the archive as to handling requests and accessibility of the information.
6.3 THE STRATEGIC VIEW
The records management stream should take account of the section 61 Code of Practice.
There are statutory provisions covering the retention of some public sector records and requirements for transfer to the National Archives of Scotland. Authorities should understand which requirements apply to them and ensure that these are being met. |
6.4 SUMMARY
Under public records legislation, certain authorities are required or permitted to transfer records to the National Archives of Scotland. Part Two of the section 61 Code outlines how such authorities should review and transfer their records. Other authorities transfer some records to other public archives and the procedures they should follow are covered in Part Three of the Code.
6.5 KEYWORDS
Keeper of the Records of Scotland | The Keeper is responsible for the preservation of historical records in Scotland. |
National Archives of Scotland | The historical records of Scotland are kept in the national archive. |
6.6 REFERENCES
Public Records (Scotland) Act 1937
Public Registers and Records (Scotland) Act 1948
6.7 RESOURCES
Section 61 Code:
www.scotland.gov.uk/about/FCSD/MCG-NW/00018022/s61code.pdf
6.8 SELF-ASSESSMENT CHECKLIST
Questions
1. Compliance with the section 61 Code of Practice will ensure an authority's compliance with its statutory obligations in respect of record-keeping generally. TRUE or FALSE?
2. Under the Public Records (Scotland) Act 1937 and the Public Registers and Records (Scotland) Act 1948 certain authorities are either required or permitted to transfer records selected for preservation into the custody of the Keeper of the Records of Scotland. TRUE or FALSE?
3. Transfer of records to the National Archives of Scotland ("NAS") should normally take place by the time the records are 30 years old, but may take place earlier. TRUE or FALSE?
4. Even where an authority has transferred records to a public archive other than the NAS, that authority still has to deal with access requests. TRUE or FALSE?
5. Where some information in a document is exempt, an authority is entitled to withhold the entire document. TRUE or FALSE?
Click here for answers
6.9 WHAT THEY SAID
"One fear is that the Bill covers only recorded information…the fear exists that information may deliberately not be recorded in order to avoid disclosure" (Gordon Jackson - MSP)
"A desire to keep information is always an expression of someone's self interest - generally someone in public service" (Stewart Stevenson - MSP)
"An effective freedom of information regime will result in more information being in the public domain and encourage public authorities to make information available voluntarily". (Jim Wallace - MSP)
6.10 CASE STUDY
"Scotland's records define our history and path to the present, and set the context for our future. The passing of the Freedom of Information (Scotland) Act 2002 on 24 April this year is part of that future and emphasises the need for all Scottish public authorities to be fully aware of their responsibilities for the records they create and manage. "But records and the National Archives of Scotland do more than provide for the transparency of governance and the material for scholarly pursuits. They tell the many stories of Scotland - stories, based on facts and recorded testimonies, which lie at the heart of human experience and which add to the diversity and richness of Scottish culture. "It is the Executive's belief that we must preserve and learn from our heritage. All forms of cultural experience can contribute to education and lifelong learning, and participation in cultural activity assists in the acquisition and honing of many key life skills. "Historical records are, therefore, more than just documentary evidence, they are an important keystone of our cultural identity. The survival of this rich and inspirational documentary source would be in doubt without the efforts of our highly-skilled archivists.… I pay tribute to the valuable work of public archives across Scotland, and NAS in particular, who preserve our records and make them available to the public." Dr Richard Simpson, Deputy Minister for Justice, November 2002 "NAS has one of the most varied collections of archives in the British Isles. It is the main archive for sources of the history of Scotland as a separate Kingdom, her role in the British Isles and the links between Scotland and many other countries over the centuries. The NAS holds records spanning the 12 th to the 21 st centuries, touching on virtually every aspect of Scottish life." NAS website,www.nas.gov.uk |
Task
1. In your view, what is the importance of maintaining some records for permanent preservation and transferring them to the National Archives of Scotland or a local authority archive?
2. What do you think people in 50 years or 100 years might use the records created by your authority for?
3. If you do not already know, find out if your authority has an archives policy. How does this policy affect the records you create and use?
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