Transcript presentation title - Local Government Association

Meeting the National Priority Outcomes
What are the implications for records
management?
Clare Lunn
e-Government Strategic Support Unit
(e)Records Management: a key
building block for better government?
“Records management is a corporate function, in a similar
way to human resources, finance and estates
management. With other issues such as FoI and data
protection it is a vital part of information management as
a whole… The inclusion of information management
functions within the same command will ensure
coordinated and consistent progress towards the
implementation of FoI and the achievement of other
Government objectives under the Modernising Local
Government agenda.”
Model Action Plan for Local Government, 2002, TNA
Agenda
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Meeting the National Priority Outcomes
What does Priority Service Outcome G19 mean?
What does ISO 15489 mean?
How do you meet ISO 15489 and PSO G19?
How can IDeA help?
Priority Service Outcome G19
Adoption of ISO 15489 methodology for Electronic
Document Records Management (ERDM) and
identification of areas where current records
management policies, procedures and systems
need improvement to meet the requirements of
Freedom of Information (FOI) and Data Protection
legislation
Priority Service Outcome G19
Adoption of ISO 15489 methodology for Electronic
Document Records Management (ERDM) and
identification of areas where current records
management policies, procedures and systems
need improvement to meet the requirements of
Freedom of Information (FOI) and Data Protection
legislation
ISO 15489
BS ISO 15489 –1:2001
Information and documentation –
Records management Part 1: General
Part 2: Guidelines
ISO 15489 Part 1: General
• Applies to the management of records in all
formats and media
• Provides guidance on managing records
• Outlines elements which are recommended to
ensure that adequate records are created,
captured and managed
ISO 15489 Part 2: Guidelines
• Provides procedures to help ensure that
records are managed according to principles
and elements outlined in Part 1
• Provides a methodology for implementation of
a records management system
ISO 15489 Part 2: Guidleines
Introduction states :
• “… unless otherwise noted, systems may be interpreted
as paper/manual or electronic and a document may be
either paper, microform or electronic”
and
• “ This part … provides one methodology for
implementation. However, it should be noted that
national standards and legislation and regulations may
dictate other factors and requirements for legal
compliance.”
ISO 15489 Methodology
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Design and implementation methodology (for records
management)
Preliminary investigation
Analysis of business activity
Identification of requirements for records
Assessment of existing systems
Identification of strategies for satisfying records
requirements
Design of records system
Implementation of record system
Post-implementation review
ISO 15489 Methodology
Preliminary Investigation – Why?
To identify and document the role and purpose
of the organisation, its structure, legal,
regulatory, business and political environment,
critical factors, critical weaknesses associated
with records management
ISO 15489 Methodology
Preliminary Investigation – How?
• Overview of main purpose of each business
area
• Overview of existing systems
• Overview of legislative and regulatory
requirements
ISO 15489 Methodology
Design and implementation methodology
• Preliminary investigation
• Analysis of business activity
• Identification of requirements for records
• Assessment of existing systems
• Identification of strategies for satisfying records
requirements
• Design of records system
• Implementation of record system
• Post-implementation review
ISO 15489 Methodology
Analysis of business activity – Why?
• Develops a conceptual model of what the
organisation does and how it does it.
• Demonstrates how records relate to both the
organisation’s business and business
processes
• Contributes to decisions about creation,capture
control, storage and disposition of records and
about access to them
ISO 15489 Methodology
Analysis of business activity – How?
• Document the organisation’s business and
business processes
• Produce a business classification scheme
• Map information records to the business
processes
ISO 15489 Methodology
Design and implementation methodology
• Preliminary investigation
• Analysis of business activity
• Identification of requirements for records
• Assessment of existing systems
• Identification of strategies for satisfying records
requirements
• Design of records system
• Implementation of record system
• Post-implementation review
ISO 15489 Methodology
Identification of requirements for records - Why?
• To identify organisation’s requirements to create,
receive and keep records of its business activities
• To document the requirements in a structured and
easily maintainable form
• Identify requirement for evidence of and information
about each business function, activity and transaction
which should be satisfied through records
• Choose appropriate records structure which best
satisfies each business function, activity or transaction.
ISO 15489 Methodology
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Identification of requirements for records –
How?
List all sources containing records
requirements relevant to the organisation
List all regulatory, business and general
requirements to keep records
Complete a risk assessment report
Formally document organisation’s requirements
to keep records
ISO 15489 Methodology
Design and implementation methodology
• Preliminary investigation
• Analysis of business activity
• Identification of requirements for records
• Assessment of existing systems
• Identification of strategies for satisfying records
requirements
• Design of records system
• Implementation of record system
• Post-implementation review
ISO 15489 Methodology
Assessment of existing systems - Why?
To measure extent existing systems capture
and maintain records of business activities.
ISO 15489 Methodology
Assessment of existing systems - How?
• Complete inventory of existing business
systems
• Produce report outlining extent to which the
address the organisations agreed requirements
for records.
ISO 15489 Methodology
Design and implementation methodology
• Preliminary investigation
• Analysis of business activity
• Identification of requirements for records
• Assessment of existing systems
• Identification of strategies for satisfying records
requirements
• Design of records system
• Implementation of record system
• Post-implementation review
ISO 15489 Methodology
Identification of strategies for satisfying records
requirements - Why?
To determine most appropriate policies,
procedures, standards, tools and other tactics
that organisation should adopt
ISO 15489 Methodology
Identification of strategies for satisfying records
requirements - How?
• Map strategies to either individual records
requirements or combinations of records
requirements
• Select strategies on the basis of degree of risk
involved through failure to satisfy a
requirement.
ISO 15489 Methodology
Design and implementation methodology
• Preliminary investigation
• Analysis of business activity
• Identification of requirements for records
• Assessment of existing systems
• Identification of strategies for satisfying records
requirements
• Design of records system
• Implementation of record system
• Post-implementation review
ISO 15489 Methodology
Design of a record system – Why?
Broad definition of systems encompassing
people and processes as well as tools and
technology
ISO 15489 Methodology
Design of a record system – How?
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Specify system business rules
Draw up system specification
Design descriptions
Model system
Plan integration with existing systems and
processes
ISO 15489 Methodology
Design and implementation methodology
• Preliminary investigation
• Analysis of business activity
• Identification of requirements for records
• Assessment of existing systems
• Identification of strategies for satisfying records
requirements
• Design of records system
• Implementation of record system
• Post-implementation review
ISO 15489 Methodology
Implementation of a records system - Why?
To ensure meeting all corporate and business
records requirements
ISO 15489 Methodology
Implementation of a records system How?
• Detailed project plan
• Documented policies, procedures and
standards
• Training material
• Documented migration procedures
ISO 15489 Methodology
Design and implementation methodology
• Preliminary investigation
• Analysis of business activity
• Identification of requirements for records
• Assessment of existing systems
• Identification of strategies for satisfying records
requirements
• Design of records system
• Implementation of record system
• Post-implementation review
ISO 15489 Methodology
Post-implementation review Why?
To measure effectiveness of the records
system, to evaluate system development
process so that deficiencies can be remedied
and to establish a monitoring regime for the
duration of the system
ISO 15489 Methodology
Post-implementation review How?
• Analyse whether records have been created and
organised according to the necessities of the business
activities and are appropriately interrelated to the
business processes
• Interview stakeholders
• Conduct surveys
• Random checks and observations
• Examine documentation
Priority Service Outcome G19
Adoption of ISO 15489 methodology for
Electronic Document Records Management
(ERDM) and identification of areas where
current records management policies,
procedures and systems need improvement to
meet the requirements of Freedom of
Information (FOI) and Data Protection
legislation
Meeting G19
If you follow ISO 15489 methodology you
should be able to meet Priority Service
Outcome G19 because areas where current
policies, procedures and systems need
improvement should be identified as part of the
process!
Questions to ask
• Do you have a corporate records management policy?
• Do you have a corporate records management system
(not necessarily electronic)?
• Do you have a corporate retention and disposal
schedule for records?
• Have you carried out a recent information audit
throughout the council?
• Do you operate an information security and access
scheme throughout the council?
How can IDeA help?
• Provide examples of other policies, retention
schedules etc that other authorities have
developed
• Provide information on best practice
• Provide contact with other authorities who have
faced similar problems
• Advise on meeting Priority Service Outcomes
• Provide expert(?) advice
For more information
www.idea.gov.uk - our brochure
www.idea.gov.uk/knowledge - a repository of good practice
www.localegov.gov.uk - information on National Projects
Thank you
[email protected]
e-Government Strategic Support Unit