The impact of the UK Freedom of Information Act on records management in the public sector

Lead Research Organisation: University College London
Department Name: Information Studies

Abstract

The UK Freedom of Information (FOI) Act 2000 came into force in January 2005. The Act imposes significant duties and responsibilities on public authorities to give access to information. To achieve this, public authorities need to know what information they hold, manage and retrieve information effectively, deal expeditiously (within 20 days) with FOI requests, and disseminate information through a publication scheme. As was made clear in the Lord Chancellor's Code of Practice on the management of records published in 2002 in compliance with FOIA (s 46), effective records management enables authorities to meet these obligations and underpins FOI. Together with Data Protection Act 1998 and Modernising Government agenda, FOI is a significant part of the wider government agenda to increase openness, transparency, trust and accountability in the public sector. The impact of information policy and freedom of information on public services and the effectiveness of public authorities in meeting their obligations are significant factors in the accountability of government to its citizens and of concern to all.

The research project will undertake a robust assessment of the impact of the UK Freedom of Information Act 2000 on records management services in public authorities. It will examine the issues from three perspectives (records managers, institutional FOI policy managers, and users) and demonstrate how each group contributes to and benefits from the inter-relationships between records management and FOI. It will also identify examples of good practice which can be shared within the records management and public sector communities and will disseminate theoretical and policy findings to the professional, academic and public policy communities through publication.

The outcome will be an improved understanding of the impact of FOI on the management of records in the UK public sector and the extent to which user needs for information are satisfied. The research report will be of value to records managers, FOI officers, administrators responsible for FOI policy and compliance, information user communities and the associated academic disciplines.

Publications

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Shepherd E (2010) Information governance, records management, and freedom of information: A study of local government authorities in England in Government Information Quarterly

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Shepherd E (2010) The Impact of Freedom of Information on Records Management and Record Use in Local Government: A Literature Review in Journal of the Society of Archivists

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Shepherd E (2011) Records management in English local government: the effect of freedom of information in Records Management Journal

 
Description The research project undertook an assessment of the impact of the UK Freedom of Information Act 2000 on records management services in public authorities. It examined the issues from three perspectives (records managers, institutional FOI policy managers, and users) and demonstrated the inter-relationships between the three groups. It also identified examples of best practice which can be shared within the records management and public sector communities and disseminated theoretical and policy findings to the professional, academic and public policy communities through publication.



The research sought to answer the question: what has the impact of the UK Freedom of Information (FOI) Act 2000 been on records management services in public authorities? In answering this question, four specific research objectives were examined:

1. how well records management services prepared for and coped with the first three years of FOI implementation

2. what contribution records management services make to the ability of public authorities to comply with the FOI Act

3. how the user experience of FOI is affected by the management of records

4. what the implications are of FOI so far for best practice in records management.
Exploitation Route The research is of interest to professional practitioners in records management as well as academics. The research shows that local authorities have taken different approaches in how they manage records in response to freedom of information. The Freedom of Information (FoI) Act is nothing new it has been fully active since 2005 but some local authorities are still making a patchy job of responding to it. The research by the Department of Information Studies at University College London suggests that they have generally accepted the spirit of the legislation, but that there are big differences in their arrangements and that some struggle to provide good quality information in response to requests. The shortcomings often revolve around records management, and a failure to embed the code of practice developed by the National Archives.



Reported in Guardian Professional: Councils have mixed record on FoI by Mark Say, Guardian Professional, 15 March 2011, on the impact of FOI on records management in local authorities, based on the study findings:

"It would be a good idea for all local authorities to take the code of practice recommendations as seriously as some do, and to make sure that their records management is up to scratch not just for FoI purposes, but to improve their efficiency. Some are doing an excellent job already, but it would be good to see all local authorities take it as seriously."
Sectors Other
URL http://www.ucl.ac.uk/dis/icarus/research-areas/foi-impact
 
Description Advice for good practice arising from research FOI and RM should work together corporately It is clear that the best scenario is when FOI and records management work together from the same directorate, but with separate individuals holding corporate responsibility for each. In this set up work can often be situated within the broader frame of information management for more dynamic sustained, coherent approaches to information as the overlaps between records management, knowledge management and information management are considerable. As such the original Code under section 46 might have been too narrow in its focus on records management, which in this day and age is a more fluid concept, the edges of which are blurred. The importance of the role of the audit Audits are not merely a means to an end, but the process itself is invaluable for simultaneously raising awareness of records management issues and personnel. The importance of senior management leadership If records management is to have a corporate outlook it needs the backing of the most senior officers in the councils, not only to raise the profile but to embed the ethos more centrally. The importance of keeping disposal records If the FOI ethos of 'openness' and 'transparency' is to be reconciled with records management principles of controlled records disposal then what is crucial is that records be kept of the destruction process, and this can in turn make it clearer to authorities themselves what information is and is not held so that better information about the progress and outcome of a request can be provided. The importance of engaging in a dialogue with the requestor Users often are satisfied with simple information, but they appreciate an open dialogue, and may need help to understand how to use the Act effectively. User requirements and knowledge vary considerably, although they are becoming more sophisticated in their use of the Act to obtain information they need. Users are surprised by the variation in responses they receive from different authorities to the same question.
First Year Of Impact 2009
Sector Government, Democracy and Justice,Culture, Heritage, Museums and Collections
Impact Types Policy & public services