On-site surveillance

The National Archives of Iceland develops a plan for on-site audit for four years at a time. Based on the results, the focus of the next period is determined. Entities that measure low on the maturity levels can expect to be included in a sample for on-site audit.

On-site audit by the National Archives of Iceland consists of a visit to the premises of the obliged entity. Entity is informed that there will be an on-site audit and is asked provide the information that the National Archives considers necessary beforehand. In the on-site audit, the archiving and record management of the obliged entity is checked according to a pre-determined questionnaire and the supervision consists both of asking questions and examining how records management is conducted at the premises of the entity. The National Archives of Iceland consults with the obliged entity about a suitable time for an on-site audit.

After the on-site audit has taken place, an archivist at the National Archives prepares a audit report which states the results of the audit and suggestions or demands for improvements. The entity can comment on its content before it is published. The report will then be published on the website of the National Archives.

On-site audit process

Reports from on-site audit 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 considers the probability of the worst happening and the severity of the consequences if archiving and records management is not done properly. The most serious instance is if documents and information are lost.

The National Archives' response to cases where entity subject to the obligation to transfer records 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 an entity subject to the obligation to transfer records shows no efforts to improve after the National Archives' demands, a notification will be sent to the proper ministry. Sanctions can be imposed as a last resort 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 entities on the one hand and then on the other hand when a demand or immediate demand for improvement is made. The entity obliged to transfer it’s records starts the protocol in the appropriate place depending on the severity of the violation.