Records and information management policy

This policy outlines Ofcom’s commitment to maintain records of its activities, the key principles for managing records in all media, and the roles of all colleagues in its management.

Who is responsible for Ofcom's records?

• All colleagues must ensure that comprehensive records are kept of all Ofcom’s activities, in accordance with current guidelines and for as long as required by the retention schedules.
• Line managers must ensure that all colleagues in their team carry out their responsibilities in managing records and information and are appraised on their performance.
• Group Directors are ultimately responsible for the retention and effective management of the records which support the functions carried out by their Group.
• Project Managers must ensure that a complete record of each project is maintained in accordance with records management and project management guidelines.
• SharePoint Superusers manage access to and appropriate organisation of their team or project SharePoint sites.
• The Records and Information Management (RIM) Team operates a records and information management programme to comply with relevant legislation and standards, providing clear guidelines and practical procedures for all teams.
• The Corporation Secretary is responsible for Ofcom’s records and information management framework.

Why do we keep records?

Ofcom must maintain a complete set of records for as long as required to:

• comply with relevant legislation such as the Public Records Act, data protection regulations, Freedom of Information Act and the Code of Compliance on Records Management;
• provide evidence of Ofcom’s activities and decision making;
• support and defend Ofcom’s position in litigation;
• enhance business efficiency;
• promote collegiality and knowledge sharing.

Without such record keeping, Ofcom’s decisions will be vulnerable to a successful legal challenge due to lack of or inadequacy of reasoning.

Ofcom's records management principles

• Records and information are owned by Ofcom, not by the individual or team.
• Keeping records is an integral part of all business activities.
• A complete record of all activities must be securely stored in a shared location, easily identified and accessible to those who need to see it.
• The complete record may be in any format, but preferably electronic – significant emails are held alongside other information and must not be stored solely in personal mailboxes.
• Information will be held only as long as required, and disposed of in accordance with the record retention policy and retention schedules.
• The Information Asset Register provides details of how long Ofcom retains its information. Teams will keep local Information Asset Registers to ensure compliance with Data Protection Regulations.
• Practical guidance is made available to enable teams to manage their information. A brief set of key actions is available for quick reference.

Monitoring the policy

Failure to manage information in accordance with relevant legislation could have serious consequences for Ofcom and its consumers. To ensure Ofcom meets the requirements:

• the RIM Team will regularly monitor compliance within each team or group.
• Action plans will be developed with teams where improvements are required.
• Records due for disposal under the records retention policy will be reviewed with each team or function on a regular basis, at least annually.
• The policy and related guidelines will be reviewed annually.

Further information

For further information, please contact records.management@ofcom.org.uk