1. © Imperial College LondonPage 1 Records, File Management & Legislation: Autumn 2004 The Freedom of Information Act, The Data Protection Act, and The Environmental Information Regulations Anne Barrett and Chris Ince Departmental/Divisional Records Managers Notes on

2. © Imperial College LondonPage 2 Summary of Training Introduction Freedom of Information Records Management Departmental Records Managers Data Protection Act Environmental Information Regulations Conclusions

3. © Imperial College LondonPage 3 Introduction

4. © Imperial College LondonPage 4 We Are All Records Managers Now Responsibility We all have to take responsibility for the records we create and those that we work with, whether electronic or paper. Ownership The records belong to College and we are their custodians Duty of Care The information in the files belongs to College, as an employee we have a duty of care for the content. Content Must always be relevant, accurate, objective and accessible

5. © Imperial College LondonPage 5

6. © Imperial College LondonPage 6 Freedom of Information Act

7. © Imperial College LondonPage 7 Freedom of Information - Overview The Freedom of Information Act 2000 ('The Act') gives a general right of access to all types of 'recorded' information held by public authorities, sets out exemptions from that right and places a number of obligations on public authorities. Every public authority will be required to adopt and maintain a publication scheme setting out how it intends to publish the different classes of information it holds, and whether there is a charge for the information. Subject to the exemptions, any person who makes a request to a public authority for information, must be informed whether the public authority holds that information and if so, that information must be supplied.

8. © Imperial College LondonPage 8 Freedom of Information – Publication Scheme All Universities were required to have a Publication Scheme by 29 th February 2004 College scheme publicly available on the web and backed up by the College Information Compendium https://www.imperial.ac.uk/spectrum/secretariat/publications/f oi/OHRM/browse.htm https://www.imperial.ac.uk/spectrum/secretariat/publications/f oi/OHRM/browse.htm Need to ensure it stays up to date

9. © Imperial College LondonPage 9 Freedom of Information - Requests From 1 January 2005 members of the public and corporate bodies may enquire about any other information not already published by the College Applicants have the right: –To be told whether the information is held by the College; and, –To receive the information. All requests to be handled centrally by the Central Secretariat

10. © Imperial College LondonPage 10 Freedom of Information - Requests The College: –Has a duty to assist the Applicant –Must respond to requests within 20 days –Must determine whether the information requested can be released (the Act includes certain exemptions) –Must determine the fee to be charged for the information (but only in accordance with Fee Regulations)

11. © Imperial College LondonPage 11 Freedom of Information - Requests Does the request mention the Freedom of Information Act? Forward the request immediately to the Central Secretariat (Stage 2) (copy in departmental representative) Do you (or your team) have the information requested? Do you wish to answer the request? Are you certain there are no other problems with releasing the information? e.g. personal data, confidential information, commercially sensitive? Answer the request as part of normal College business Yes No Requests for Information : Stage 1 - Any Member of Staff (Dealing with Requests) Assistant to the Head of Central Secretariat 020 7594 5504 Level 4, Faculty Building, South Kensington foi@imperial.ac.uk

12. © Imperial College LondonPage 12 Records Management

13. © Imperial College LondonPage 13 The Records Management Programme To be in place by January 2005: The College system is ReMAS (Records Management and Archive Storage). ReMAS is run by the Corporate Records Unit of Central Secretariat, headed by Anne Barrett, College Archivist and Corporate Records Manager. ReMAS involves listing all records held by College staff onto a database system. The database is held on individual’s PCs with access for reading or writing as required by each office. It is networked to the Corporate Records Unit and monitored by the Unit’s staff in confidence. The Unit will advise on retention and disposal schedules for records and storage on and off campuses. See the Records Management page under Central Secretariat on the College website, and the Retention Schedule at https://www.imperial.ac.uk/spectrum/secretariat/publications/foi/doc s/retentionschedule.doc

14. © Imperial College LondonPage 14 Records Management Records Management also involves responsibilities for the creators and keepers of records in weeding and keeping files in order, whether hard copy or electronic. The Records Management database will not be available publicly. Requests for Information under the Act will be co-ordinated by Central Secretariat and the Corporate Records Unit. See Freedom of Information under Central Secretariat on the College web pages. Appointment of Departmental/Divisional Records Managers in liaison with CRU and Central Secretariat

15. © Imperial College LondonPage 15 Records Management Principles Individual members of staff are responsible for: Keeping their work records, including those held electronically, accessible and in good order. Using their College records management database to list and track their work records. Filing records correctly on a regular basis, and weeding files regularly. Note It is illegal to destroy records after a request has been made regarding them under the Freedom of Information Act.

16. © Imperial College LondonPage 16 Disposing of records in accordance with the retention schedules as set out in the Code of Practice, using confidential waste where appropriate. Liaising with the Faculty / Departmental / Divisional Records Manager. Records Management Principles Individual members of staff are responsible for:

17. © Imperial College LondonPage 17 What is a Record? A record is that which is created and kept as evidence of organisational or individual functions, activities and transactions. Records have traditionally been defined as physical objects: –Paper files, tapes, disks It is not the physical object that is the record but the information within it

18. © Imperial College LondonPage 18 –A Record Contains Information –Information is a major strategic asset to an organisation –Investment in information is essential to the smooth running of the business of an organisation –We all have a part to play in contributing to this in Imperial College What is a Record?

19. © Imperial College LondonPage 19 Records Management - Summary Responsibilities of all staff are to: –Keep their records in good order. –Look at the retention schedules: https://www.imperial.ac.uk/spectrum/secretariat/publications/foi/docs/re tentionschedule.doc https://www.imperial.ac.uk/spectrum/secretariat/publications/foi/docs/re tentionschedule.doc –Use the ReMAS database to log and track records: Add new files Add dates of closure or disposal when appropriate –Weed files, including electronic files, regularly. –Liaise with their Departmental Records Managers. –Discuss issues with CRU, which is the section responsible for all College records and their management.

20. © Imperial College LondonPage 20 Departmental Records Managers

21. © Imperial College LondonPage 21 Role Description – Freedom of Information Ensuring that all requests for information are passed on promptly to the Central Secretariat and that systems are in place for checking, and, if necessary, redirecting the post and electronic mail of staff absent from College. Assisting the Corporate Records Unit in locating and retrieving information. Assisting the Central Secretariat in drafting the College’s response to a request and preparing the information in a suitable form, electronic or physical, for disclosure to the applicant. Informing the Central Secretariat of changes to any information covered by the Publication Scheme, including changes to URL addresses.

22. © Imperial College LondonPage 22 Role Description – Records Management Ensuring that the College’s Code of Practice for the Management of Records under the Freedom of Information Act 2000 is implemented across the Faculty / Department / Division and that the procedures set down in the Code operate efficiently and effectively. Ensuring that the Code of Practice is applied not only to paper records but all other forms of record within the Faculty / Department / Division. Overseeing the use of College records management databases to list and track Faculty / Departmental / Divisional records.

23. © Imperial College LondonPage 23 Role Description – Records Management Ensuring that records held by the Faculty / Department / Division are disposed of in accordance with the retention schedules set out in Annex G in the Code of Practice, in a confidential manner where necessary, and confirming that the destruction details have been entered into the records management database. Liasing with the Corporate Records Unit on behalf of the Faculty / Department / Division. Informing the Corporate Records Unit of changes to the staff who use the ReMAS database within the Faculty / Department / Division, and informing staff of their own responsibilities in records management.

24. © Imperial College LondonPage 24 Data Protection Act

25. © Imperial College LondonPage 25 Data Protection - Registration Any organisation must register with the Office of the Information Commissioner Must register –Who data is collected on –What data is collected –Who is given/what is done with the data Annual Exercise

26. © Imperial College LondonPage 26 Data Protection – Subject Access Requests Allows people to discover what information is held on them by any organisation Many exceptions as to what data cannot be disclosed e.g. 3 rd party data, legal privilege, undue distress Requests handled centrally Standard fee of £10 40 day response time

27. © Imperial College LondonPage 27 Environmental Information Regulations

28. © Imperial College LondonPage 28 What are the Environmental Information Regulations? Environmental Information Regulations establish an access regime which allows people to request environmental information from public authorities and those bodies carrying out a public function http://www.informationcommissioner.gov.uk/eventual.aspx?id=36

29. © Imperial College LondonPage 29 What is Environmental Information? There is a very broad range of information which could fall within the classification of environmental. The types of information which are caught may include: –Information on the state of the environment and factors affecting the environment, for example, instances of flooding, radioactive waste, noise, building developments, etc. –Information on measures such as policies, environmental agreements etc and also economic analysis/cost benefit of such measures. –Information on the state of human health and safety, the food chain, cultural/built structures and the conditions of human life, where they are affected by environmental factors such as air pollution http://www.informationcommissioner.gov.uk/eventual.aspx?id=102

30. © Imperial College LondonPage 30 Conclusions

31. © Imperial College LondonPage 31 Message to take away Act as a focal/liaison point Requests for information handled centrally Records Management is a core business activity Central Secretariat and Corporate Records Unit here to help If in doubt, ask.

32. © Imperial College LondonPage 32 Further Information Central Secretariat and Corporate Records Unit –foi@imperial.ac.uk;CRU@imperial.ac.ukfoi@imperial.ac.ukCRU@imperial.ac.uk College Freedom of Information Site –http://www.imperial.ac.uk/foihttp://www.imperial.ac.uk/foi College Data Protection Policy and Information –https://www.imperial.ac.uk/spectrum/secretariat/publications/dp.htmhttps://www.imperial.ac.uk/spectrum/secretariat/publications/dp.htm Office of the Information Commissioner –http://www.informationcommissioner.gov.uk/http://www.informationcommissioner.gov.uk/