Independent review of Scottish Government's use of mobile messaging apps and non-corporate technology

4. Records Management

The statutory framework relevant for the purposes of this review is set out in Appendix 2.

4.1 Records and their management are central to the question of how the Scottish Government has conducted itself in this matter.

4.2 This review has seen nothing to evidence that records management (RM) is not considered to be an important strategic challenge for the Scottish Government. It expends considerable attention, time, and resources in this area. It has also been subject to significant scrutiny from the Inquiry as well as the Scottish Information Commissioner and the Keeper of the National Records of Scotland.

4.3 The discovery phase of this review saw extensive evidence of the comprehensive policies, procedures, and guidance currently in place throughout the Scottish Government covering:

• Records management
• Data protection and freedom of information
• Inquiry response management
• Risk assessment and management
• Information security
• The use of corporate devices/equipment.

4.4 Some of the work that has been done in recent years has been prompted by regulatory attention, all of which is well documented, and it is not intended for this review to rehearse or otherwise comment on statutory or regulatory matters of this nature (some of which remain ongoing) beyond observing their existence and ensuring appropriate boundaries.

4.5 'A Review of Information Management in the Scottish Government' was published in January 2021^[9]. Its aim was to review corporate processes around the handling of information. One of the recommendations of that review was the implementation of a corporate information management strategy and this was published externally in December 2021^[10].

4.6 These are both well-considered and comprehensive documents that recognise the strategic importance of the area. There appears to have been an honest assessment of areas of weakness and a clearly articulated desire for those to be addressed.

4.7 But however comprehensive and professionally written strategies, policies and guidance documents may be, if people do not engage, there will be consequences. As has already been highlighted, records management is not a separate activity of any organisation, it is the lifeblood and feeds into every aspect of the work it engages in, and the outcomes experienced.

4.8 One particular comment within the 2021 documents referred to 'cultural apathy and negativity' towards the records management system used by SG (eRDM). Culture is indeed one of the biggest challenges faced by any organisation. It is very real in this context and needs to be addressed head-on. It is specifically considered later in this review.

4.9 Records management has long suffered from a reputation it does not deserve, a reputation that it is only about dusty archives. We rarely take the time to contemplate the critical role it plays in:

• Preserving the past
• Recording the present
• Informing the future.

4.10 Preserving the past and recording the present is not only about satisfying our curiosity about history, but also about accountability and justice. The Historical Abuse Systemic Review: Residential Schools and Children's Homes in Scotland 1950 to 1995^[11] stated-

"The review depended on the availability of records to fulfil the remit. In practice, however, many aspects of records – from their accessibility to their very existence – proved extremely challenging.

4.11 The remit itself yielded unexpected problems. Former residents told the review of the frustrations, surprises, shocks, and disappointments involved in their search for records. The review's research showed that many laws were in force to govern records but revealed that the practice of generating and keeping records was a different matter entirely. The review also found that record-keeping and the availability of records across all organisations and across Scotland has, and remains, very patchy indeed.

4.12 The review's work, like that of any inquiry into the past, can't proceed without the existence of properly preserved records. Records are essential for society to gain an insight into, and learn from, people's experiences.

4.13 Records of children's residential services are an essential part of ensuring children's safety and well-being. They are also significant to people who lived in children's residential establishments – they are essential to their sense of identity.

4.14 The review found that records are important to former residents for reasons that are not always revealed or fully understood and acknowledged by people who work in organisations, local authorities and central government departments that hold records.

Records are vital for public accountability. They make possible contemporary and historical analyses, investigations, monitoring and audits – internal and external. All of these hold organisations, local authorities and central government accountable for the quality of their services."

The Report of the National Cremation Investigation^[12] noted the following -

"Longstanding and wholesale failure to keep records"

"The Register was not completed using any document that was an actual record of what happened. The great tragedy of these events […]is that many parents will now be left with a lifetime of uncertainty about their baby's final resting place"

4.15 The pandemic has been a recent and powerful reminder of the importance of records management.

"The live Scottish Covid-19 Inquiry and UK Covid-19 Inquiry were set up to examine Scotland's and the UK's responses to the Covid-19 pandemic and to learn lessons for the future. Key to the success of the Inquiries will be the quality and accessibility of the records of the multitude of decisions and actions taken by government, organisations, and individuals"^[13]

4.16 These are just some examples (there are many more) illustrating the profound importance of preserving and recording records. It is most regrettable that this human-centric perspective is so often lost in discussions about records management. It is exactly these human stories that we need to hear because they help bring this area to life.

4.17 Whilst there is no doubt that there is an appreciation of the importance of records management at the senior levels of Scottish Government, there is insufficient evidence of a proactive strategy to bridge the cultural gap and shift the narrative. Significant opportunities have been missed which in turn could have supported steps being taken to tackle the apathy and negativity they have themselves identified.