Records that have enduring value are permanently retained and made accessible in accordance with the Keeper’s ‘Supplementary Guidance on Proper Arrangements for Archiving Public Documents’.
In line with the Keeper of the Records of Scotland’s (The Keeper) obligations under the Public Records (Scotland) Act 2011 (the Act), the following guidance is issued regarding an authority’s archiving policy and transfer arrangements.
N.B. Under the Act, the term ‘archive’ refers to the permanent preservation of public records in a suitable repository. This is normally undertaken with future research purposes in mind, potentially long after the original record-creating authority has ceased to exist. In this context, ‘archive’ does not refer to the long-term storage of records for business purposes, whether in-house or with a commercial storage contractor.
A small proportion of records created by a public authority will be earmarked for permanent retention. These records will normally be removed from operational systems and transferred to an archive. This applies to records in all formats although the procedure for transfer will vary (for example, digital records allow for records to remain ‘live’ until the successful transfer of the archive copy has been confirmed).
It is a fundamental part of a Records Management Plan (RMP) that procedures for facilitating such transfers are in place and are followed.
The Keeper will expect to see evidence that a formal arrangement is in place between a public authority and a suitable repository. S/he will also expect the transfer process to be made clear. Evidence might include a memorandum of understanding between an authority and an archive repository, an internal schedule of preservation, or an explanation of how automated systems archive electronic records and details of how metadata transfers with those archival records.
The Keeper does not wish to dictate what records an authority chooses to preserve, but it is a requirement of a robust RMP that a formal process for transferring records for permanent preservation exists. The nature and content of the records being selected for permanent preservation within the system is a matter for the authority and archive repository to consider.
Many of the public records of an authority will now be ‘born-digital’. In the future, a small selection of these will require transfer to an archive for permanent preservation. It is therefore important that the Keeper can be confident that an authority has properly considered this when making its archive arrangements under the Act. S/he will expect, at the very least, that the archive repository, identified by a Scottish public authority as suitable for the permanent preservation of digital records, is taking steps to allow controlled transfer in a manner which secures the relevant metadata that supports the authenticity of the document.
Under Element 7 of the authority’s Records Management Plan, the Keeper will expect statements, and evidence if possible, confirming that this is being pursued by the identified repository.
The Keeper’s digital archiving team have published Guidance online at Electronic Records Management.
Evidence
Archiving arrangements are specifically mentioned in the Act (1(2)(b)(iii)). The inclusion of evidence that appropriate processes are in place must be submitted to the Keeper.
The Keeper has published guidance as to what constitutes suitable archival arrangements. The Keeper’s Supplementary Guidance on Proper Arrangements for Archiving Public Records is available at Supplementary Guidance on Proper Arrangements for Archiving Public Records.
The Keeper will expect a public authority to ensure that the archive identified for the permanent preservation of their public records can meet the standard explained in this guidance. Evidence in support of this may include a link to their public website or a statement from the archivist. It may also be useful if the authority can provide a selection of the archive’s policies (such as their collection policy) and procedures.
Potential evidence of a suitable agreement between an authority and an archive might include a formal policy approved by the senior accountable officer, a memorandum of understanding or deposit agreement with an archive repository, or receipts from such a repository as evidence of records deposited over time and by agreement.
