1. www.jiscinfonet.ac.uk Electronic Records Management Alan Cameron Records Management Consultant

2. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk The Medium is the Message…………? Marshall McLuhan 1960s No Longer

3. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk An open-top filing system

4. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk ‘What’s Different ? ….research and experience shows that the successful management of electronic records…….require involvement right from the record’s creation and systems development………. National Archives of Australia, ‘‘ Managing Electronic Records: A shared responsibility’’,1997

5. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk Permanent Record Final Review The Archive Transactional information Destroy Processing >10% 90%+ destroyed as updated Information creation Time-Limited current information Semi-current information

6. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk Additional Challenges Easy to change,reproduce and modify Complex and lack of a clear linear structure at creation phase Fluidity Transience and need for decision making at the very beginning of the life cycle (EFFECTIVELY AT POINT OF CREATION)

7. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk Copy or Original Record? 1.A record created electronically as the only record of a transaction, decision, or activity is an original record 2.A record which is created electronically as an facsimile or digitised version of a record created in another medium (paper, film,voice) is a copy record (this remains true whether or not the original still exists)

8. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk Best Practice 1.Copy electronic documents likely to have same evidential weight in court as photocopies, faxes, and microfilm copies as secondary evidence. 2. The weight allowed by a court will depend upon whether the case is a civil one (balance of probabilities) or criminal (beyond all reasonable doubt) 3. Key Standards BSI,PD0008:1999 ‘Legal admissibility and Evidential Weight of Information stored Electronically’ BSI, PD5000:1999 ‘Electronic Documents and E-Commerce Transactions as legally admissible Evidence

9. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk Objectives of Electronic Records Management 1.Authenticity( an accurate account of the of an activity,transaction or decision) 2. Integrity (an assurance that the data in the record has not been altered subsequent to creation) 3. Non-repudiation ( preventing the originator from disowning the record)

10. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk Electronic Records Management Policy A policy must cover 5 principle areas 1.Capturing Electronic Records into an EDRMS 2.Designing appropriate metadata for application as record is created 3.Retention/Preservation of Electronic Records 4.Keeping records safe and accessible 5.Email management and use

11. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk The Basics Three elements (not rocket science) 1.Technology 2.Policies 3.Training

12. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk Good eRecords Management Practices Corporate Workspace Group Space Individual Space

13. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk When Introducing new technology Provide a shared file area  Improvement on local storage  Server vs EDMS vs EDRMS System Selection  Include functionality for RM/preservation  Common searching  Registry of all databases in use

14. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk

15. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk Make better Use of Existing Investment 1.E-mail use funtionality to manage inbox automatic deletion of emails after ???DAYS 2.Ms Office use document properties box to improve metadata use read-only tag to ‘declare’ documents as records use templates to improve form design

16. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk Policies Agreed File plan for shared file area  Great advantages in basing it on function  Control creation and management of folders File naming conventions agreed………but K.I.S.S Version Control Emails  Responsibility for capture  Avoid attachments ?

17. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk E-Mail Policy Options 1 Ownership  All messages belong to the organisation  Only business messages are owned by the organisation  Personal messages are jointly owned  Personal messages are confidential Permitting e-mail Use  E-mail only for organisation’s business  May be used for incidental personal purposes  Personal purposes without restriction

18. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk E-Mail Policy Options 2 Encryption  None without specific authority  Only specified forms of encryption permitted  Encrption permitted Labelling  All personal messages must be labelled as such  Messages must disclose limits of employee’s authority  Personal messages must carry a specified disclaimer

19. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk E-Mail Policy Options 3 Monitoring  E-mail may be monitored for any business purpose, without notice or consent  Monitoring permitted with good cause or legal obligation  Systematic monitoring with agreed procedures  No monitoring Contents Disclosure  Messages contents may be disclosed for any business purpose without consent  Disclosure as required by the law  Disclosure permitted within agreed procedures  No disclosure

20. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk E-Mail Policy Options 4 Notification of Monitoring or Disclosure  No notification unless required by law or other duty  Notification forbidden by the legal process  Notifcation after any access or disclosure Substantive Rules  System may not be used for illegal or wrongful purposes  System may not download software without technical approval  System may not be used for electronic snooping

21. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk Some Necessities Vital Records and Disaster Planning Business Recovery Update off-site/ security copies Ensure data transfer is a fully documented and certified process Ensure security copies also meet requirements of FoI and Data Protection No electronic ‘bermuda triangles’

22. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk Training Cannot be left to the Records Manager or IT guru  Create a records aware organisation Stress advantages to user  Once in place and embedded in people’s minds it does become second nature. Make it appropriate to level of staff

23. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk References www.pro.gov.uk/recordsmanagement/eros/guidelines/defaul t.htm http://thedocumentsite.co.uk/legaladmissibility www.dca.gov.uk/foi/map/gusv4contents.htm www.ucl.ac.uk/e-term.htm www.dpconline.org.uk

24. Providing Expertise in Planning & Implementing Information Systems www.jiscinfonet.ac.uk Any Questions? Thank You www.jiscinfonet.ac.uk