Both the transferring and receiving organisations will need a project management team who should manage the change and oversee the transfer of people and functions.

These two project teams should form a joint team to manage the handover of information and records. This team should work closely with the overall project management team and should  include:

• the Departmental Record Officers and other records, information management and knowledge management staff
• internal and external IT personnel
• information security teams

Both organisations should make adequate budgetary provision for this work.

The team managing the handover of information and records should identify and arrange for the transfer of relevant paper and digital records. It should also ensure the transition of informal knowledge. It must also ensure that processes and decisions around information management are carefully and consistently documented. This team should also seek expert advice (from organisation or department lawyers and the Information Policy team at The National Archives) on issues of the legal status of information being loaned or transferred beyond a Crown body.

Existing knowledge management tools such as staff directories and intranets should be used to ease the transition between the two organisations.

Both organisations affected by the machinery of government change should:

• manage and jointly own the change
• approach the change in a spirit of openness and co-operation
• document the process to ensure accountability and transparency
• comply fully with legislative requirements for example the Public Records Act (PRA), Freedom of Information Act (FOIA), Data Protection Act (DPA)
• consider the Crown copyright and database rights with regard to information being transferred and the type of receiving organisation
• focus on effective communication with the end-users or customers
• take opportunities to save money, be more efficient and more effective in the management of records
• make adequate resources available to ensure business continuity

 If information is not managed through the process of reorganisation:

• vital operational records could be lost or corrupted and the receiving organisation may be unable to locate or access the information they need in order to carry out their business effectively
• the transferring organisation will be at risk of failing to comply with information legislation, such as the Freedom of Information Act, Data Protection Act, Public Record Act and guidelines on data handling
• time and resources may be wasted transferring or storing information that is no longer required
• the receiving organisation may not have the rights to use and re-use the transferred information
• the receiving organisation may be unable to account for their decisions, past actions or provide evidence to an inquiry or to demonstrate the authenticity of their information
• vital administrative records may be lost or corrupted such as pension records which may be required many years later

Good management and transfer of information and records can help:

• improve efficiency and save money by ensuring that only relevant information is transferred
• organisations to comply with legislation
• safeguard the public record, ensuring it remains available for future use and re-use
• support ongoing policy making and public service delivery

Organisation records created prior to a change of status will remain public records after a change of status. Similarly, Crown copyright and database rights are determined by the circumstances of the creation of the information.  This is because Crown copyright applies to works created by officers of servants of the Crown and it will continue to apply after an organisation has changed status.

A change of status may be in the form of:

• selling of the shares (privatisation) of an organisation
• ownership is taken on by employees, customers or other stakeholders (mutualisation)
• an organisation is converted into a government owned company
• dissolution

Public records 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 requirements. 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 any type of change of status.

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.

For more information, please see our guidance on:
What to do with your records if your public body is undergoing a status change (PDF, 0.16Mb)

Copyright and intellectual property

Discuss copyright ownership of records with your parent department’s legal and legislative teams as soon as you can, and finalise ownership arrangements before any change of status.

The National Archives is responsible for the licensing of Crown copyright and database right. The Copyright Team can advise and assist when copyright ownership of records and databases might need to be assigned (i.e. transferred) to or away from the Crown.

Copyright created by non-Crown bodies can be assigned from the legal owner to the Crown. In exceptional cases, Crown copyright may be assigned away from the Crown, but as assignments of Crown copyright run contrary to government and open data policy, they are rarely granted. If there is a valid case for assignment, a formal submission will be prepared for review and approval by the Keeper of Public Records.

You should address copyright ownership arrangements with your parent body and The National Archives prior to the change in status taking affect.

Please see the guidance on copyright assignments or email the Copyright team for further advice.

Access to records

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 the change of status.

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 any applicable 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.

Records with ongoing business value may be required by your parent department or by the successor organisation (or both).

Both parent department and successor organisation require records of ongoing business value

In this case, transfer the records to your parent department. Make arrangements for transfer of technology, licences and documentation if needed. The successor organisation 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 organisation is, you should ensure your parent department knows that they will need to agree access or loan rights with the successor organisation once they come into existence.

Only the successor organisation requires 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).

Before any change of status, you must agree the status of your records with your parent department, and ensure your successor body is aware of this. This means agreeing and documenting what records remain public records after transfer. Note that any records owned by your parent department are automatically public records.

Successor organisation requires access to open public records held at The National Archives

Copies can be requisitioned from The National Archives or other places of deposit. If copies are not available due to size or cost limitations, the relevant bodies must sign a formal loan agreement. If the successor organisation wants access to closed public records, they must discuss this with the parent department.

Sensitivity review

You must review the sensitivity of records of historical value before any change of status. This means you must identify information that may be exempt from disclosure under the Freedom of Information Act and the Environmental Information Regulations. You must note categories of records with particular storage and handling requirements, for example, sensitive personal data or protectively marked material. Please read our guidance on sensitivity reviewing records.

One of the priorities in any move of records and other information following a transfer of functions is information security.

Security provision should be proportionate to the nature, contents and sensitivity level of the information and should conform to the principles of the Security Policy Framework (SPF), ensuring that confidentiality, integrity and availability of information is appropriately maintained.

Any transferring organisation should satisfy itself that the receiving organisation has the necessary accreditation, infrastructure, procedures and policies in place, that is the capacity to hold and protect the material, and the organisational culture to treat it appropriately. Commercial and other partners who may be involved in handling the move of records should follow the same principles and practice.

Step one

Identify what material should be transferred to the receiving organisation and the nature of any risks associated, for example, with regards sensitivity or personal data.

Step two

Assess whether the receiving organisation meets appropriate security requirements or if existing information communications technology (ICT) infrastructure, policies and procedures will need to be revised or upgraded. This should be done by or under the auspices of the Departmental Security Officer (DSO)s concerned and guidance on accreditation and the implementation of information assurance (IA) and risk management should be sought from CESG, who are the UK’s National Technical Authority for IA. Organisations should also follow Office of the Government Senior Information Risk Owner (OGSIRO)’s guidance on managing information risk.

 Step three

Only when any necessary upgrading or implementation of appropriate security measures has taken place should the material be moved. The method of transit and the security measures employed to protect the information during the move should conform to the principles of the SPF and relevant CESG IA Standards and Guidance.

This section deals with private office records and parliamentary considerations.

Parliamentary questions

Live Parliamentary questions (PQ) become the responsibility of the new Minister straight after the announcement of any machinery of government change, unless a later date is specified. On the assumption that staff will move with functions, answers to these parliamentary questions will be prepared by the same officers as before but sent to the Parliamentary Branch of the receiving organisation for sign-off by Ministers and forwarding to Parliament.

The following steps should be taken:

• Parliamentary Branch of the transferring Department should pass details of all live PQs to the Parliamentary Branch of the receiving Department – for each PQ the text, MP, UIN and name and contact details of the official dealing with it
• the receiving Parliamentary Branch should enter details of live PQs in its PQ system
• the transferring Parliamentary Branch should tell policy officers who is responsible for PQs in the receiving Department and where to send their answers
• replies should be filed by the receiving Parliamentary Branch in accordance with its current practice
• the transferring Parliamentary Branch should brief the receiving Branch on past and expected future PQs and provide staff directory details so that the receiving Department can allocate new PQs
• the transferring Parliamentary Branch should give details of the transfer of functions to the Table Office in Parliament, copying the receiving Department into the notification

Other Parliamentary business

The receiving Parliamentary Branch will need briefing about future Parliamentary business relating to newly acquired functions. Handover notes should include details of the following:

• legislation going through Parliament
• select committee and other committee inquiries
• all notified business in the House of Commons
• relevant timetabled debates and debates scheduled but not on Order Papers
• forthcoming Parliamentary business already announced
• scheduled written Ministerial statements
• other developments pending but not yet announced

Both teams overseeing the change need to ensure that the transfer of all forms of knowledge and information is effectively managed. They should develop a communications plan to ensure any users or customers of a function being transferred receive an uninterrupted service as far as possible. They should also ensure that the changes are communicated widely within both organisations.

Communications should include:

• staff at all levels whose work is closely affected by the transfer of functions
• Private Offices, Parliamentary and Ministerial Correspondence Units
• enquiry services, call centres, help lines and libraries
• major suppliers for example paper records storage suppliers
• IT providers for example where one or both of the organisations have outsourced their IT

If knowledge champions or officers have been appointed within the organisations, they should also be fully involved in ensuring business continuity across the transition. Both organisations should ensure that risk registers covering records and information are updated following the change.

Vital records transferred should be added to the receiving organisation’s business continuity and disaster plans and removed from the transferring organisation’s plans.

The team responsible for transferring information will need to decide on the records to be transferred, in close consultation with the business unit currently responsible for the function. Not dealing properly with this aspect can lead to the build-up of backlogs of unidentified paper records in basements or off site storage; resulting in higher storage and staff costs, as well as a potential loss of important information.

Digital records and information are vulnerable to loss and corruption so it is important to manage digital information and records carefully through any machinery of government change.