## What To Do If Your Public Body Is Being Privatised

 

## © Crown Copyright 2011

You may re-use this information (excluding logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence or email psi@nationalarchives.gsi.gov.uk. Where we have identified any third-party copyright information, you will need to obtain permission from the copyright holders concerned. This publication is available for download at nationalarchives.gov.uk. 

Contents 
1 
Introduction................................................................................................ 
3 
1.1 
What is the purpose of this guidance? 
......................................................... 3 
1.2 
Whom is this guidance for? ......................................................................... 4 
2 
What do to if your public body is being privatised 
...................................... 
4 
2.1 
The joint information transition team............................................................ 5 
2.2 
Action plan .................................................................................................. 6 
2.3 
The information survey 
.............................................................................. 13 
2.4 
Reviewing your records to assess value ................................................... 14 
2.4.1 
Records for permanent preservation .................................................. 14 
2.4.2 
Records with ongoing business value ................................................ 15 
2.4.3 
Ephemeral records 
............................................................................. 16 
2.5 
Assigning ownership of records 
................................................................. 17 
2.6 
Preserving publicly available material 
........................................................ 18 
2.6.1 
Websites ............................................................................................ 18 
2.6.2 
Datasets 
............................................................................................. 18 
2.6.3 
Maintaining usability through and after transfer .................................. 19 
2.7 
Post-privatisation....................................................................................... 20 
3 
Further reading 
........................................................................................ 
20 
3.1 
Public Record Bodies 
................................................................................ 20 
3.2 
Conducting an information survey ............................................................. 20 
3.3 
Copyright .................................................................................................. 20 
3.4 
Transferring digital records 
........................................................................ 21 

## 1 Introduction

The National Archives is the central advisory body on the care of records and archives, in all media, from creation to long-term preservation. We provide advice to government departments and the wider public sector on the management of digital and paper records, and their selection and transfer to The National Archives. This guidance forms part of a suite of guidance that The National Archives is delivering to support information management across government and the public sector. 

## 1.1 What Is The Purpose Of This Guidance?

This guidance provides a plan for the actions you must take to manage information if your public body is being privatised. It will help you to understand your obligations for the long term preservation of your Public Records and also to make sure that your successor organisation has access to the information it needs to function. This guidance complements Machinery of Government Changes: Guidance on Transfer of Records, Information and Knowledge1. This guidance gives more detailed guidance on how to transfer information, whether you are transferring to The National Archives, your parent government department, another department or agency, or to a private body. Guidance on other key implementation challenges is available from the Cabinet Office and from The National Archives. 

## 1.2 Whom Is This Guidance For?

This guidance is primarily aimed at Departmental Records Officers2 (DROs) or the equivalent role in your organisation. It may also be useful for Heads of Knowledge and Information Management, Senior Information Risk Owners, change or project managers, that is, anyone within your organisation responsible for managing information risk, or managing change. 

 

## 2 What Do To If Your Public Body Is Being Privatised

If your public body is being privatised, your information needs to be properly disposed of or transferred to another organisation (either your parent department, or a successor body). You need to build this into your planning at the earliest stages. If you are the Departmental Records Officer (DRO) for the public body being privatised, get in touch with your parent department"s DRO 
and The National Archives3 as soon as you can, to discuss the future management of, and access to, your records. 

 
Department or agency records created prior to privatisation will 
 
remain public records after privatisation.  


They must be safeguarded according to obligations laid down by the Public Records Act, the Freedom of Information Act, and any other relevant 
 
legislation or codes of practice. Make sure that your successor body is aware of these requirements4. Get specialist advice on the management of records held by approved Places of Deposit from The National Archives as soon as you are aware of proposals for privatisation. You must discuss ownership and access rights with your parent department and consult your parent department"s legal and legislative teams as soon as possible to finalise ownership, copyright and intellectual property requirements. See 2.5 for further information. When a function or body is privatised, loss of staff and expertise will be extensive and sudden. It is vital to take early decisions on the disposal of records and the sensitivity of selected records while the expertise is still available. 

## 2.1 The Joint Information Transition Team

The first action you need to take is to establish a joint information transition team including officials from the public body, the parent department and the successor organisation (if possible) and include expertise from information management, information technology, information assurance and change management. This will help you to ensure that information is protected and usable after transition. Your joint information transition team is responsible for information management before, during and after the transition programme. 

                                            

## 2.2 Action Plan

| Action                                          | Responsibility     | Evidence of        |
|-------------------------------------------------|--------------------|--------------------|
| completion                                      |                    |                    |
|                                                |                   |                    |
| Set up a Joint Information Transition Team     |                    |                    |
| Include expertise from a range of disciplines  | Heads of KIM,      | Team established  |
| Departmental                                    |                    |                    |
| Include people from the public body            | Terms of reference |                    |
| Records                                         |                    |                    |
| documented and                                  |                    |                    |
| Include people from the parent department      |                    |                    |
| Officers (DROs)                                 |                    |                    |
| agreed                                         |                    |                    |
| Include people from your successor body (if     |                    |                    |
| in parent                                       |                    |                    |
| Parent department                               |                    |                    |
| possible)                                       |                    |                    |
| department,                                     |                    |                    |
| commits to team                                 |                    |                    |
| public body and                                 |                    |                    |
| remaining in place                              |                    |                    |
| successor body                                  |                    |                    |
| after privatisation,                            |                    |                    |
| until all actions are                           |                    |                    |
| completed and                                   |                    |                    |
| responsibility                                  |                    |                    |
| transferred to the                              |                    |                    |
| parent department"s                             |                    |                    |
| DRO                                             |                    |                    |
|                                                 |                    |                    |
| Get in touch as soon as you hear you may be     |                    |                    |
| being privatised                               |                    |                    |
|                                                |                   |                    |
| Contact The National Archives                   |                    |                    |
|                                                |                    |                    |
| DRO in public                                   | Contact made       |                    |
| Contact the Departmental Records Officer        |                    |                    |
| body, or Head                                   |                    |                    |
| (DRO) of your parent department                 |                    |                    |
|                                                 |                    |                    |
| of Knowledge                                    |                    |                    |
| and Information                                 |                    |                    |
| Management                                      |                    |                    |
| (KIM)                                           |                    |                    |

## Carry Out A Comprehensive Information Survey 

|                                              |                   |
|-----------------------------------------------|--------------------|
| Document your records, their business and     |                    |
| DRO for public                                | Information survey |
| operational use and the technology that       |                    |
| body with                                     | documented        |
| supports them; legal requirements and         |                    |
| guidance from                                 |                    |
| Major record series                           |                    |
| intellectual property rights for each record. |                    |
| DRO of parent                                 |                    |
| identified prior to                           |                    |
| Perform a sensitivity review. (               | 2.3                |
| department                                    |                    |
| privatisation                                |                    |
| Share the results with the DRO of your parent |                    |
| Public record status                          |                    |
| department                                    |                    |
| agreed                                        |                    |
|                                               |                    |

## Categorise Your Records

Each record must be categorised: 

|                                            |                   |                    |
|--------------------------------------------|--------------------|---------------------|
| Does it have historical value, requiring   | DRO for public     | Records categorised |
| permanent preservation?                   | body and The       | and documented on   |
| National                                   | information survey |                     |
| Is it required by the successor body?     |                    |                     |
| Archives                                   |                    |                     |
| Is it required by the parent department?  |                    |                     |
| Is it ephemeral (with no historical or     |                    |                     |
| business value)?                          |                    |                     |

  
The answer may be no to all, yes to all, or a mixture of the two. (2.4) When categorising your records, think about legal requirements, intellectual property rights and operational requirements. 

 
Decide on the action(s) required for each record: 
 
 
1) Transfer to parent department for 
 DRO for public 
 Actions recorded on 
permanent preservation as a public 
body, The 
information survey 
record 
National 
2) Transfer to parent department for ongoing 
Archives 
business use 
3) Successor body to agree access 
rights/loan arrangements 
4) Dispose of record 
1) Transfer records 
 Records with 
 DRO in public 
 DRO in parent 
to parent 
permanent value 
body transfers 
department transfers 
department for 
transferred to the 
documents to 
records for 
permanent 
parent department 
parent 
permanent 
preservation 
prior to privatisation 
department 
preservation to The 
 
 
National Archives or other approved 
 Transition team 
Place of Deposit in 
is responsible 
due course 
for ensuring 
 
transferred records are still 
usable as required 
 Agree ownership, 
 DRO of parent 
 Ownership of records 
legal requirements 
department 
agreed prior to 
and intellectual 
privatisation. IAO 
property rights with 
assigned 
the parent department 
 
 
 Public record status 
agreed 

Clarify copyright and 
 DRO of public 
 Copyright and 
database right status 
body, in 
database rights 
of the new body 
consultation 
assigned and 
 
with your legal 
documented 
and legislative 
 Assign non Crown 
teams 
Copyright to successor body or the Controller 
of HM Stationery Office at The National Archives 
 If successor body 
 Successor body 
 Documented loan 
requires access to the 
agrees 
agreement 
record agree access 
access/loan 
rights or loan 
rights with DRO 
arrangements with the 
in parent 
parent department 
department 
prior to privatisation 
consulting The National 
 
Archives where appropriate 
2) Transfer records 
 Agree ownership, 
 DRO of public 
 Ownership of records 
to parent 
legal requirements 
body and DRO 
agreed prior to 
department for 
and intellectual 
of parent 
privatisation 
ongoing business 
property rights of 
department, and 
 
use 
transferred records 
legal and 
with the parent 
legislative 
department  
teams in parent department 
 
 Agree with your 
 Successor body 
 Access/loan 
parent department if 
agrees 
arrangements agreed 
your successor body 
access/loan 
prior to privatisation 
can have a copy of 
rights with DRO 
 
the records for 
in parent 
ongoing business use 
department  
 Transfer records to 
 DRO in public 
 Records are 
parent department  
body transfers 
transferred in a way 
 
them to parent 
that ensures that they 
department 
are still usable as 
(with a copy to 
required 
successor body 
 
if agreed) 
3) Transfer records 
 Transfer to the 
 DRO of public 
 Agreement between 
to successor 
successor body via 
body reviews 
parent department 
organisation for 
statutory instrument, 
records 
and successor body 
ongoing business 
transitionary 
 
on management, 
use 
agreement, 
transfer, ownership 
 DRO in parent 
Memorandum of 
and access to 
department and 
Understanding or 
records - prior to 
successor body 
similar 
privatisation 
agree transfer 
 
processes (statutory 
 Records are 
instrument, or 
transferred in a way 
other agreed 
that ensures that they 
mechanism)
are still usable as 
 
 
required 

4) Delete unrequired 
 Dispose of ephemeral 
 DRO in public 
 Records disposed of 
records 
records appropriately 
body 
appropriately prior to 
privatisation 
and securely 
 
 Agree who has the authority to retrieve and 
 DRO in parent 
 Parent department 
provide access to records once they are 
department 
DRO and The 
transferred to The National Archives, 
agrees access 
National Archives 
including who assists in FOI enquiries 
with The 
agree access to 
 
National 
closed records prior 
Archives 
to privatisation 
 
 

## Preserve Publicly Available Material 

|  Ensure websites are captured into the UK    |  DRO in public    |
|----------------------------------------------|-------------------|
| Government"s web archive                     |                   |
|                                              |                   |
| body informs                                 | UK Government     |
|                                              |                   |
| The National                                 | Archive           |
| Archives" web                                |                   |
|                                              |                   |
| archiving team                               |                   |
|                                              |                   |
| of need to                                   |                   |
| capture website                              |                   |
| no later than six                            |                   |
| weeks prior to                               |                   |
| privatisation                                |                   |
|                                             |                   |
| NB: any web                                  |                   |
| content added                                |                   |
| after this date                              |                   |
| will not be                                  |                   |
| archived                                     |                   |
|                                              |                   |
|                                              |                   |
 
 Archive datasets as part of your website 
 DRO in public 
 Datasets captured 
capture, or transfer them to your parent 
body informs 
as part of the 
department. Investigate any planned updates 
The National 
website capture. 
to datasets 
Archives" web 
Unpublished 
archiving team 
Datasets transferred 
 If they are yet to be published, ensure they 
of need to 
to your parent 
are posted to your website before the date of 
capture 
department prior to 
the final website capture 
dataset(s) no 
privatisation 
 
later than six 

 

weeks prior to privatisation.  
 Document the technical dependencies; make 
 DRO in public 
arrangements for transfer of technology, 
body transfers 
licences and documentation if needed. Collect 
unpublished 
and transfer information on how the data was 
datasets 
captured processed and arranged 
 Identify documents made available for public 
 DROs in public 
 Documents 
inspection, agree if they are still required, and 
body and parent 
previously made 
make them available through appropriate 
department 
available for public 
sources 
agree 
inspection available 
 
documents 
through appropriate 
required after 
sources after 
privatisation 
privatisation 
 Agree selection and disposal of unpublished 
 DRO in public 
 Reports disposed of, 
body and The 
or transferred to The 
reports 
National 
National Archives or 
Archives agree 
your parent 
selection and 
department, as 
disposal of 
agreed, prior to 
unpublished 
privatisation 
reports 

## 2.3 The Information Survey

Your comprehensive information survey should include the information creator, the current owner, the format, and how the information needs to be used. By "used" we mean how to find, open, work with, understand and trust your information. For digital information this must include the main software formats and an inventory of all IT hardware and software used for managing and disseminating information (including servers, hard drives, laptops, data sticks, databases, internet/intranet and information held by other organisations). 

The information survey should cover: 

 documentation and records  email and communication logs  database and/or file lists  organisation charts  contracts with external storage [paper/electronic] organisations  previous information surveys/inventories 
 
The survey should cover all the areas information could be stored in and information in all media - both physical filing locations and digital ones. Take particular care with personal filing systems, which may contain both original records and "working copies". These must be evaluated by the individual members of staff alongside information management teams and re-integrated into the main information repositories or disposed where appropriate. You may have existing surveys or inventories that you can build upon, such as an information asset register or a configuration management database 
 
(CMDB). The National Archives has produced a range of guidance that can help you to document your information and IT assets5. 

You must review the sensitivity of records of historical value *before* your public body is privatised. This means you must identify information that may be exempt from disclosure under the Freedom of Information Act and the Environmental Information Regulations (EIR). You must note categories of records with particular storage and handling requirements, for example, sensitive personal data or protectively marked material. Further guidance on reviewing records for sensitivity is available from the Ministry of Justice and the Information Commissioner"s Office.6  

## 2.4 Reviewing Your Records To Assess Value

Every record must be assssed for potential historical value and ongoing business value. 

## 2.4.1 Records For Permanent Preservation 

 Identify records of historical value that clearly merit permanent 
preservation. These will eventually need to be transferred to The 
National Archives or an approved Place of Deposit.7 Consult The 
National Archives on the method of selection and review. 
 
 Carry out an accelerated second review on these records and transfer 
them to your parent department who will safeguard them until they are sent to The National Archives as part of a planned transfer.  
                                            

 
 
 Your parent department will need to identify officials who are 
authorised to retrieve and provide access to any selected records when they are eventually transferred to The National Archives. This will include officials responsible for assisting in FOI enquiries. If the successor body want access to records of permanent value that are 
being transferred to the parent department, they have to requisition them. 

Ideally the access and loan rights should be agreed with the parent department prior to privatisation. In most cases the successor body should be given a copy of the record. If this is not possible due to size or cost limitations a formal loan agreement for the original records should be agreed. The agreement should outline access restrictions and should stipulate that requisitioned originals are not damaged in any way, that nothing is added or removed, and that the records are returned as soon as they are finished with, and not later than one year after requisition. If the record has been subsequently transferred from the parent department to The National Archives or another Place of Deposit, the request must still go via the parent department. 

Access to records of permanent value is something that you may need to discuss on a case-by-case basis with your parent department, the successor body and The National Archives. 

## 2.4.2 Records With Ongoing Business Value

Records with ongoing business value may be required by your parent department or by the successor organisation (or both).  
If both the parent department and the successor body want the records: 
transfer them to your parent department. Make arrangements for transfer of 
 
technology, licences and documentation if needed. The successor body will need to agree access and loan rights with your parent department, and in some cases they may be given a copy of the record. This is something you should discuss on a case-by-case basis with your parent department, the successor body and The National Archives. If you do not yet know who your successor body is, you should flag to your parent department that they will need to agree access or loan rights with the successor body once they come into existence. 

If the successor body wants access to open public records that have already been transferred for permanent preservation: they can requisition copies from The National Archives or other Place of Deposit. If copies are not available due to size or cost limitations, the relevant bodies must sign a formal loan agreement. See 2.4.1. If the successor body wants access to closed public records, they must discuss this with the parent department. 

If just the successor body wants the records: you should agree this with your parent department and The National Archives, and transfer records via statutory instrument (or similar, for example a Memorandum of Understanding). You can find more information about transferring records in this way in our guidance: Machinery of Government Changes: Guidance on Transfer of Records, Information and Knowledge8 

## 2.4.3 Ephemeral Records

Records not deemed worthy of permanent preservation, and not required by government or the successor body, should be securely disposed of according to approved retention policies. 

 
                                            

## 2.5 Assigning Ownership Of Records

Discuss ownership of records with your parent department"s legal and legislative teams as soon as you can, and finalise ownership before your public body is privatised9. Then assign copyright. Information and databases produced by Crown bodies are subject to Crown Copyright and Crown Database protection which is centrally managed by the Controller of HM 
Stationery Office.10  
The copyright in records and databases created by non-Crown bodies can be assigned to your successor body or to the Controller of HM Stationery Office, who will then allow the material to be made available for re-use. You should agree this with your parent body and The National Archives prior to privatisation.  

 
If you"re not sure whether you are a Crown body or a non-Crown 
 
body, please refer to Information Policy team at The National Archives. Crown bodies include central government departments, 
 
NDPBs and Executive Agencies. 
 
 
Before you are privatised, you must agree the status of your records with your parent body, and ensure your successor body is aware of this. This means 

                                            
 
agreeing and documenting what remain public records after transfer. Note that any records owned by your parent body are automatically public records. 

## 2.6 Preserving Publicly Available Material

Before your body is privatised, consider archiving/capturing websites, datasets, information made available for public inspection, and published/unpublished reports. 

## 2.6.1 Websites

All central government websites (including those of arms"-length bodies) are routinely captured and archived by The National Archives. Your information survey should include websites and you should determine whether you need any supplementary web archiving. If so, discuss at the earliest opportunity with the National Archives Web Archiving team. For more information on website archiving and managing website content see web guidelines TG105 
and TG125, produced by the Central Office of Information (COI)11. 

## 2.6.2 Datasets

According to the government"s transparency agenda, all datasets not containing sensitive data should be published on the organisation"s website, in a format that will enable them to be captured into the UK Government"s web archive. Before privatisation, as part of the information survey, datasets should be reviewed and published wherever possible. Datasets that are too sensitive to publish, but which have been selected for permanent preservation, should be transferred to your parent department in a usable format– along with any supporting information (see the chart on page 7 for more detail). Your parent department should maintain the dataset until the 
 
sensitivity falls away. You must transfer data according to the recommendations in Data Handling Procedures in Government Final Report.12 

## 2.6.3 Maintaining Usability Through And After Transfer

It is vital that the usability of the records is not lost during transfer to the parent body or to the successor organisation. You must maintain the continuity of your information so that you do not lose the ability to find, access, work with, understand and trust the information in the way that you need. For paper records this may mean maintaining filing structures, listing files, or updating catalogues. For digital records maintaining the continuity of the information may mean transferring or replicating entire technology support systems - it is not enough to transfer the digital files themselves if the recipient does not have the software or hardware to open the files. This is something you need to discuss and agree with your parent department at the earliest opportunity. These issues must be covered by the information survey and you should consult Information Asset Owners, Knowledge and Information Managers, Information Assurance Managers, change managers and IT service providers (both in-house and external) to agree how records need to be used after transfer, and take the actions required to maintain that use. 

The National Archives has a Digital Continuity Service that anyone in the public sector can use to help manage your digital information through changes.13 This includes guidance, technical tools and services, risk assessment, and a free file profiling tool called DROID. 

## 2.7 Post-Privatisation

Records created after the date of privatisation are not public records.  

 

## 3 Further Reading 3.1 Public Record Bodies

 
 More information on the Public Records Act, Public Record Bodies and 
selection processes 
 Public Bodies Reforms - checklist for departments: available from the 
Cabinet Office. 
 
Machinery of Government changes - guidance on transfer of records, information and knowledge  
 

## 3.2 Conducting An Information Survey

 
 Identify Information Assets and Business Requirements 
 
 Mapping the Technical Dependencies of Information Assets  
 
 Conducting a sensitivity review: 
www.justice.gov.uk/guidance/foi-exemptions-guidance.htm 
www.ico.gov.uk/tools_and_resources/document_library/freedom_of_inf ormation.aspx   

 

## 3.3 Copyright

 
 Copyright and related rights 
 

 
 Using materials from The National Archives. 
 
 Copyright in Works Commissioned by the Crown  
 
 The Re-use of Public Sector Information Regulations 2005 
 

## 3.4 Transferring Digital Records

 
 A wide range of digital continuity guidance  
 
 Migrating Information between EDRMS   Digital Continuity for Change Managers  
 
 Data handling review - transferring datasets 
 
 Web archiving and managing website content, web guidelines TG105 
and TG125: coi.gov.uk/guidance.php?page=239 coi.gov.uk/guidance.php?page=265 
 Exporting and Transferring Electronic Data  
 
 Interpretation of the metadata standard - the record management 
application profile of the e-GMS 
If you need any further advice or assistance, please contact the Information Management team at The National Archives:  

 
information.management@nationalarchives.gov.uk