SURVEY OF SYSTEMS AND PROCEDURES FOR THE MANAGEMENT OF ELECTRONIC RECORDS IN OFFICE SYSTEMS IN GOVERNMENT: SUMMARY OF ANALYSIS

by Ian Macfarlane and Richard Blake

1. Introduction

For some time, the Public Record Office had been aware that advanced office systems now coming into widespread use have significant implications for record keeping and archives.

In order to assess the situation and needs in departments and agencies, the PRO carried out a survey across government in January 1996, to identify current structures and procedures, penetration and extent of office systems, and future plans and projects.

A total of 106 departments and executive agencies participated in the survey. This represented an overall 79% response which included a response of 90% from the large departments and agencies. The results were analysed in detail using a spreadsheet and a summary of the findings appears below. 

2. Relationship between DRO and in-house IT management

It is apparent that the relationship varies greatly in complexity and frequency but that only 40% of the departments surveyed had working relationships on records management matters between the Departmental Record Officer (DRO) and their IT branches. Of those who do, approximately 50% have formal links and 50% have informal links but these links vary considerably in frequency and quality. What is surprising is that 60% of the DROs claim to have no links. Clearly this is a matter of concern if departments are to manage the implications of electronic record keeping.

3. Current Environment of Office Systems and Procedures
	
	The survey has identified that there is a lot of activity in systems but rather less in records management procedures. 91% have some sort of electronic mail (E-mail) although the size and scale of these operations vary considerably. The networks reported vary from one of 2 users whilst at the other end of the scale 6400 users were reported. The total numbers of people able to access some networks was larger again.

The returns for those departments having electronic document management systems (EDMS) and document imaging systems (DIS), which capture original paper documents on electronic media, were significantly lower. For EDMS 43% of respondents gave a positive response, and for DIS 47%.   

	There is an absence in the majority of cases of departmental record management procedures on filing, retention or destruction of E-mail and documents held on EDMS and DIS systems. Only 31% of organisations have procedures for managing E-mail, 25% have procedures for using EDMS and 21% have procedures for DIS. It would appear that where guidance does exist it often advocates converting to paper for permanent retention but very few organisations have schemes to monitor compliance.	
	
4. Extent of Electronic Records Usage

	There is a reliance on a paper copy retention policy in 85% of organisations at least in some areas. This was accompanied by 46% stating that there are some documents which are only held in electronic form.

	It is also clear that we are in an environment of exponential growth of electronic documents. In addition to the 46% with existing electronic records where there are no copies placed on paper files, 39% of organisations are planning systems which will hold wider areas of documents in electronic form only.
	
5. Future Plans for IT and Records Management

	There is clear evidence that thought has been given to future strategy and to make plans to introduce new, or overhaul existing procedures. Currently 72% of respondents intend to develop strategies to include EDMS and DIS with 66% wishing to integrate these with other systems and 69% intending to plan new systems. A total of 99% of the departments surveyed have plans for expansion of their systems of which 16% are starting in 1996/7, 12% are starting in 1997/98, 18% have no agreed date for starting and a further 18% have plans prepared for when the budget is available. The remaining 35% have plans in all these categories.

	87% have requested guidance on best practice and sound record management procedures which is reassuring in that it shows there is a keen awareness of the problems posed by electronic records. 

The evidence of this survey has demonstrated that we are all working in a very fluid and dynamic environment. There is a clear trend however of widespread, increased reliance on electronic records.

October 1996