Public Records (Scotland) Act 2011
Public Records (Scotland) Act 2011
2011 asp 12
The Bill for this Act of the Scottish Parliament was passed by the Parliament on 16th March 2011 and received Royal Assent on 20th April 2011
An Act of the Scottish Parliament to make provision about the management of records by certain authorities; to amend the Public Records (Scotland) Act 1937 (c.43)in relation to the transmission of court records to the Keeper of the Records of Scotland; and for connected purposes.
Part 1
Records management plans
1 Records management plans
(1) Every authority to which this Part applies must-
(a) prepare a plan (a "records management plan") setting out proper arrangements for the management of the authority's public records,
(b) submit the plan to the Keeper for agreement, and
(c) ensure that its public records are managed in accordance with the plan as agreed with the Keeper.
(2) An authority's records management plan must-
(a) identify-
(i) the individual who is responsible for management of the authority's public records, and
(ii) (if different) the individual who is responsible for ensuring compliance with the plan, and
(b) include, in particular, provision about-
(i) the procedures to be followed in managing the authority's public records,
(ii) maintaining the security of information contained in the authority's public records, and
(iii) the archiving and destruction or other disposal of the authority's public records.
(3) An authority's records management plan may make different provision for the management of different kinds of public records (taking account, for example, of the different levels of risk associated with the management of different kinds of records).
(4) The Keeper must issue guidance to authorities about the form and content of records management plans.
(5) The Keeper may issue different guidance under subsection (4) in relation to different authorities.
(6) Before issuing guidance under subsection (4), the Keeper must-
(a) consult the following on a draft of the guidance, namely-
(i) such authorities as the Keeper considers will be affected by the guidance, and
(ii) such other persons (if any) as the Keeper considers appropriate, and
(b) have regard to any views expressed in response to the consultation.
(7) Authorities must have regard to the guidance issued by the Keeper in preparing their records management plans for agreement with the Keeper.
(8) An authority-
(a) must, if the Keeper so requires, or
(b) may, with the Keeper's agreement,
have separate records management plans for public records relating to separate functions of the authority.
(9) A group of two or more authorities-
(a) must, if the Keeper so requires, or
(b) may, with the Keeper's agreement,
have a common records management plan for both or, as the case may be, all of the authorities in the group.
2 Authorities to which Part 1 applies
(1) The authorities to which this Part applies are the bodies, office-holders and other persons listed, or of a description listed, in the schedule.
(2) The Scottish Ministers may by order made by statutory instrument amend the schedule by-
(a) adding-
(i) a body, office-holder or other person, or
(ii) a description of bodies, office-holders or other persons,
(b) removing an entry listed in it, or
(c) modifying an entry listed in it.
(3) An order under subsection (2)(a) may add a body, office-holder or other person, or a description of bodies, office-holders or other persons, only if the body, office-holder or person, or (as the case may be) each of the bodies, office-holders or persons within the description, is-
(a) a part of the Scottish Administration,
(b) a Scottish public authority with mixed functions or no reserved functions (within the meaning of the Scotland Act 1998 (c.46) ), or
(c) a publicly owned company.
(4) In subsection (3)(c), "publicly owned company" means a company that is wholly owned by-
(a) the Scottish Ministers, or
(b) another authority.
(5) For that purpose, a company is wholly owned-
(a) by the Scottish Ministers if it has no members other than-
(i) the Scottish Ministers or other companies that are wholly owned by the Scottish Ministers, or
(ii) persons acting on behalf of the Scottish Ministers or of such other companies,
(b) by another authority if it has no members other than-
(i) the authority or other companies that are wholly owned by the authority, or
(ii) persons acting on behalf of the authority or of such other companies.
(6) In this section, "company" includes any body corporate.
(7) An order under subsection (2) may-
(a) include consequential, supplementary, incidental, transitional, transitory or saving provision,
(b) modify any enactment.
(8) An order under subsection (2) is not to be made unless a draft of the statutory instrument containing the order has been laid before and approved by resolution of the Scottish Parliament.
3 Meaning of "public records"
(1) In this Act, "public records", in relation to an authority, means-
(a) records created by or on behalf of the authority in carrying out its functions,
(b) records created by or on behalf of a contractor in carrying out the authority's functions,
(c) records created by any other person that have come into the possession of the authority or a contractor in carrying out the authority's functions.
(2) In subsection (1) "contractor", in relation to an authority, means a person to whom functions of the authority are delegated (whether under a contract or otherwise) by the authority.
4 Agreement of plans
(1) An authority must submit its proposed records management plan to the Keeper for agreement by such date as the Keeper may determine.
(2) The proposed plan is to be submitted in such form and manner as the Keeper may determine.
(3) On receiving the proposed plan, the Keeper must-
(a) agree it, or
(b) if the Keeper considers that it does not set out proper arrangements for the management of the authority's public records, return it.
(4) What constitutes "proper arrangements" in any case is for the Keeper to determine.
(5) In deciding whether to agree or return the proposed plan, the Keeper must have regard to-
(a) the guidance issued by the Keeper under section 1(4),
(b) the model records management plan published under section 8,
(c) the nature of the authority and its public records, and
(d) any representations made by the authority.
(6) Where the Keeper is considering returning the proposed plan, before deciding whether to do so, the Keeper must-
(a) notify the authority-
(i) that the Keeper is considering returning the proposed plan, and
(ii) of the reasons for doing so,
(b) give the authority an opportunity to make representations, and
(c) have regard to any representations made by the authority.
(7) If the Keeper returns the proposed plan-
(a) the Keeper-
(i) must state reasons for the return, and
(ii) may propose modifications to the proposed plan, and
(b) the authority must submit a revised plan to the Keeper for agreement by such date as the Keeper may determine.
(8) Subsections (2) to (7) apply to a revised plan submitted under subsection (7)(b) as they apply to a proposed records management plan submitted under subsection (1).
(9) The Keeper may make different determinations under this section for different authorities or different descriptions of authorities.
5 Review of plans
(1) An authority must-
(a) keep its records management plan under review, and
(b) if the Keeper so requires (whether at the time of agreement of the plan or otherwise), carry out a review of the plan by such date (the "review date") as the Keeper may determine in accordance with subsections (2) to (4).
(2) The Keeper must not determine a review date under subsection (1)(b) which is earlier than five years after the date on which the authority's records management plan was last agreed.
(3) In subsection (2), reference to the plan being agreed includes-
(a) agreement of the plan under section 4,
(b) if the authority has been required to carry out a review of the plan under subsection (1)(b) of this section or section 6(3)(b), agreement of the revised or, as the case may be, resubmitted plan, and
(c) if the authority has submitted a revised plan under subsection (6) of this section, agreement of the revised plan.
(4) If-
(a) the Keeper has determined a review date under subsection (1)(b) in relation to a plan, and
(b) before that date, the Keeper agrees-
(i) a revised plan submitted by the authority under subsection (6), or
(ii) if the authority has been required to carry out a review of the plan under section 6(3)(b), a revised or, as the case may be, resubmitted plan,
the Keeper must determine a new review date and inform the authority of the new review date.
(5) After carrying out a review of its plan in accordance with subsection (1)(b), the authority must, by the review date, either-
(a) revise its plan and submit the revised plan to the Keeper for agreement, or
(b) if the authority decides not to revise its plan, resubmit its current plan to the Keeper for agreement.
(6) An authority may at any time revise its records management plan and submit the revised plan to the Keeper for agreement.
(7)...
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