Supervision of the establishment

The National Archives of Iceland develop a plan for supervision of the establishment for four years at a time following a survey. On the basis of the results, the focus of the next period is determined. Those parties that measure low, in each period, in the factors that are emphasised can then expect to be included in a sample for organized supervision.

Organized supervision by the National Archives of Iceland consists of a supervisory visit to the premises of the obliged party. The process of visits is such that the obliged party receives a letter informing him/her of the planned supervision and is called upon to provide the information that the National Archives considers necessary before the visit is made. In a supervisory visit, the archives and records management of the obliged party are checked after a pre-determined questionnaire and the supervision consists both of asking questions and examining how records matters are conducted at the premises of the parties concerned. The National Archives of Iceland consults with the obliged party about a suitable time for a supervisory visit.

After the supervisory visit has taken place, a document keeper at the National Archives prepares a report which states the results of the supervision and suggestions or demands for improvements. The report is given to a person subject to supervision for reading and can comment on its content. The report will then be published on the website of the National Archives. Following the publication of the report, the improvement work of the parties concerned is monitored.

The history of supervisory visits

Reports from supervisory visits to the parties responsible for the delivery will be published here.

The National Archives of Iceland has prepared a risk assessment based on the aspects of archiving and records management that are governed by law and regulations. The risk assessment takes into account the probability of the worst happening and the severity of the consequences if there is a failure in the archiving and records management. The most serious is if documents and information are lost.

The National Archives' response to cases where a person subject to the obligation to provide documents does not comply with laws or regulations that apply to archiving and records management is thus based on this risk assessment. In cases of minor violations, the National Archives' response is to issue recommendations for improvement, which are followed up in the next survey. In cases of more serious violations, the National Archives demands immediate improvements, which are followed up within a certain time frame. If a person subject to the obligation to provide documents shows a lack of care in the results of the National Archives' supervision, a notification will be sent to the department of professional affairs of the person concerned. An emergency remedy is to apply an appeal, but the National Archives can appeal on the basis of Article 47 of the Act on Public Archives (violation of the Act on Public Archives).

In the case of municipalities and their institutions, the relevant municipality will be informed of alleged violations of the law. If the demands for improvement are not fulfilled by the municipality or its institutions, this can lead to an appeal for violation of the law on public archives, see Article 47 of the law.

Risk assessment – Level of seriousness of the infringement.

The National Archives of Iceland has developed a response protocol for organized surveillance which shows the protocol when a recommendation is issued to the delivery obligation on the one hand and then on the other hand when a demand or immediate demand for improvement is made. The delivery obligation has the protocol in the appropriate place depending on the severity of the violation.