Preparing For Compliance: Records Management: Www.jiscinfonet.ac.uk

Preparing for Compliance: Records Management Alan Cameron Records Management Consultant

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What is Records Management? Records management is a process for the systematic management of information recorded on all media; traditionally paper but increasingly in electronic systems. It encompasses the whole life cycle of information from creation through to final disposal. Based on the principles of regular review and controlled retention or destruction the general aim is to ensure cost-effective business processes, legal and

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Permanent Record

The Archive

Processing

Information creation

Time-Limited current information

>10%

Semi-current information

Processing

Transactional information

Final Review

90%+

Destroy destroyed as updated

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Why is Records Management Necessary Now? - HE and FE operate in a complex legal and regulatory environment - The FOI Act is aimed at increasing organisational openness - Increasingly litigious society -actions must be traceable - Demand for Improved Corporate Governance in Education - Institutionalising corporate memory • staff turnover • regular organisational change within

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What Records Management Offers

-Only the right information is created in the first place -Information is kept as long as is necessary and no longer -Information can be retrieved in a controlled and timely manner -Information is secure

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Specific Drivers

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-FOI and Data Protection -Other Legislation -Spotlight on Corporate Governance •Turnbull report -TQA -Research Quality -Risk Management and Disaster Planning -Financial Audit -New Technology

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Freedomof Information

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Why Records Management?

DataProtection

Disaster Planning

Public Accountability

Risk Management

Legal Liability

TQAAudit

Health&Safety, Employment Discrimination

Financial Audit

CorporateGovernance Legal Compliance

Demands Benefits

RegulatoryCompliance

SeniorManagementinFurther EducationColleges andHigher EducationInstitutions

CorporateAdvantage

BestPractice

Process & Business Analysis

Public Image

Long-Term Asset Management

Aninstitutional Records ManagementProgramme is acoretoolkit to meet demands onSenior Management andsupport thesebenefits

Utilisationof Physical Space

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Steps to Good Records Management 1

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Senior Management - Assign overall responsibility for RM to senior member of Management team - Commission an Audit of existing practice and business processes - Develop a Records Management Policy for the Institution - Allocate appropriate resources to implement policy

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Steps to Goods Records Management 2 The Records Manager -May well also cover FOI and DP roles in small colleges -Ensures policy covers the following  Filing classification schemes  Retention schedules  Storage and maintenance of records  Final disposition---historical archive or controlled destruction  Monitors Codes of Practice and new legislation/regulation - Communicates

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Steps to Good Records Management 3

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Every Member of Staff

-be aware of their responsibilities under DP and FoI -be aware that after 2005 their files may be open to public inspection -regularly engage in ‘good housekeeping’ disposals according to the retention schedules -keep an accurate record of activities

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The Information Audit Objectives -To establish organisational structure -To Identify which functions create which records -Identify what records are used for. -Where they are kept and by whom -How long they are kept and how long they should be kept

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The Information Audit Method -Functional Analysis of business structure -JISC Study of the Records Life Cycle http://www.jisc.ac.uk/recman -Questionnaire -Interview key members of staff

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The Information Audit Outputs -Detailed Map of information/records location -Core series of retention schedules -Access Control/ Information Security -Identify material for inclusion in Publication Scheme

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Retention Scheduling Records should be kept only as long as is necessary • To meet all regulatory and statutory requirements • To meet operational business needs • To secure Disaster and Business recovery And then when these are satisfied • Historical and cultural needs

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‘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

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Copy or Original Record?

• A record created electronically as the only record of a transaction, decision, or activity is an original record • 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)

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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

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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)

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Electronic Records Management Policy

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A policy must cover 5 principle areas 3. Capturing Electronic Records into an EDRMS 4. Designing appropriate metadata for application as record is created 5. Retention/Preservation of Electronic Records 6. Keeping records safe and accessible 7. Email management and use

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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’

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On-Line or Off-Line Preservation For On-Line • Cost of on-line storage is currently halving each 18 months • Why worry about off-line storage? 90% of all data created will be redundant and should be eliminated by the 7-year mark. Store on-line, and develop a system whereby only archive to disc or off-line records more that 7 years old. Against • Why has the concept of datawarehousing lost favour? • Data is not being managed properly • Inefficiency and slowness of response? • Decay of data which is not retrieved. Storage conditions

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Thank You

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