Record Keeping Culture and Audit
The culture and practice of record keeping and access to records within the Northern Ireland Civil Service needs to change so that staff responsible for a given area of work have easy access to the analysis and decisions underpinning the policy or initiative on which they are engaged. Regular audits of record keeping should be undertaken so as to ensure that important information is recorded, is easily identifiable, is readily accessible and remains so for as long as is necessary in respect of any policy or initiative. In addressing this recommendation, there should be a review of the NICS electronic information management system and how it is used by civil servants. Steps should be taken to ensure that the systems which civil servants are expected to use are fit for purpose and facilitate the easy saving, storage and subsequent location and use of relevant material.
- The NIAO Second Progress Report (October 2024) assessed this recommendation as "Unlikely to be Fully Implemented", noting that sub-recommendation 28(1) on record-keeping culture was Implemented, but sub-recommendations 28(2) on access to records and 28(3) on regular audits of records management remained incomplete (NIAO Second Progress Report, October 2024).
How was this evidence gathered?
Response
Accepted
Response
Accepted[Note: The NI Executive responded to recommendations 8-18, 24, 26-28, 32b, 34-36 together as a group under the 'Professional Skills, Resourcing, Record Keeping and Raising Concerns' themes.] NI Executive Response (October 2021): These recommendations can be accepted in full. They have been addressed through work to date through: revisions to the NICS Code of Ethics and production of the Guidance for Ministers; new corporate guidance developed for Private Offices; the strengthening of Private Offices by the redefining and higher grading of the Private Secretary and Assistant Private Secretary roles; planned induction, training and ongoing support for Private Office staff; existing practices such as reviews of retention and disposal schedules and Information Asset Registers; the project to review how the NICS carries out its Records Management responsibilities and improving its current electronic storage system (HPRM) for all users; the launch of an NICS data-protection and information management hub; Completion of NICS reviews of records management and HPRM optimisation; upgrade of the current records management software. Further work is required to: review and update Private Office guidance in light of recent experience; further address the culture and behaviours surrounding record keeping in the NICS; Complete a reporting exercise to ensure that products designed to address these recommendations have been appropriately embedded within all Departments.
Progress Timeline
NIAO Second Progress Report (October 2024): Unlikely to be Fully Implemented. This recommendation has three sub-parts. Sub-recommendation 28(1) on record-keeping culture is Implemented. However, sub-recommendation 28(2) on regular record-keeping audits is assessed as 'not likely to be fully addressed' — DoF has confirmed it believes existing arrangements are sufficient and has no firm commitment to undertake a record-keeping audit. Sub-recommendation 28(3) on EDRMS review is 'not yet fully implemented' — migration to MS365 is underway but database issues persist. NIAO notes that the overall position of the Record Keeping theme has regressed since 2022, and that the Covid-19 Inquiry identified significant issues with use of informal communication channels by NI officials.
Published Evidence
Published assessments of progress from inspectorates, select committees, official progress reports, and other sources. Source type badge indicates whether each assessment is independent or government self-reported.
NIAO identified RHI-28 as one of 5 recommendations unlikely to be fully addressed. Record keeping culture and electronic information management have REGRESSED since the 2022 report.
View detailed findings
RHI-28 is the specific recommendation where the NIAO found regression. It called for a fundamental change in record keeping culture and a review of the NICS electronic information management system. While a data-protection and information management hub was launched and HPRM optimisation started, the NIAO's second report found that the overall position on record keeping has regressed since 2022. The NIAO itself encountered significant difficulties securing timely access to adequate records during its review of implementation progress. Despite DoF publishing a progress report in March 2024, a complete and readily accessible audit trail was largely absent. The Department of Finance declined to commit to a programme of rolling audits of record keeping across departments. This is notable because inadequate record keeping was the central failure identified in the RHI scandal.