J3 Records Management

Compliance Tasks

1. All departments and overseas offices must appoint an Information Manager (IM) to oversee information and records management and associated training in their departments and offices. Information Managers should, where necessary, be supported by Departmental Information Support Officers (DISOs).

Task assigned to: Head of Department, Head of Overseas Office

2. All new staff must receive Quest Essentials training within two weeks of taking up their appointment. Newly appointed DISOs and Information Managers must also receive appropriate training when taking on the role

Task assigned to: All Staff, Information Manager

3. All documents (including e-mails) which record a significant action or decision or provide significant evidence of DFID's business must be captured in the corporate record, either by saving to Quest or by placing a paper version on the relevant registered file. Such actions or decisions could include policy or procedural decisions, spending or programme commitments, or agreements between departments.

Task assigned to: All Staff

4. All documents and records saved to the Quest must be saved to an appropriate folder; have a clear and meaningful title and appropriate and accurate metadata.

Task assigned to: All Staff

5. The Head of Department, with the assistance of the Information Manager and DISO, must ensure that all staff keep adequate and appropriate records to document their business activities. The Information Manager must complete and submit a Quest Quality Assurance Return each quarter, approved by their Head of Department or Office, to Information Management Unit.

Task assigned to: Head of Department, Head of Overseas Office, Information Manager

6. Paper documents scanned to Quest must be scanned at designated scanning stations in compliance with DFID's Scanning Policy to ensure record quality and legal admissibility in line with the BIP0008 Code of Practice.

Task assigned to: All Staff, Information Manager

7. Disposal of records on Quest will be carried out by Information Management Unit with the support of Information Managers, based on agreed disposal schedules.

Task assigned to: Head of Department, Head of Overseas Office, Information Manager

8. All departments/overseas offices must review closed paper files for disposal action. This review is undertaken by the Information Manager or a suitable officer of at least B2 grade. They must use the file disposal schedule for their department or office for this purpose. Files noted for Second Review must be kept for eventual review by Information Management Unit.

Task assigned to: Head of Department, Head of Overseas Office, Information Manager

Risks of non-compliance

• Failure to find necessary information and records
• Loss of evidence of decision-making or audit trail
• Loss of critical information
• Failure to meet Freedom of Information and Data Protection requirements
• Damage to DFID's reputation
• Breach of the Public Records Acts
• Legal challenge to DFID for acting incompatibly with the 1998 Human Rights Act.

Associated learning and skills

Training in records procedures for new Departmental Information Support Officers and Information Managers will be provided by the existing Information Managers.

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