Complete List of Papers Available for Downloading

There are a number of white papers providing further background information on many subjects. To access the latest additions or for a complete list use the menu tabs above. To download a document simply click on the name and complete the form.

DLM Forum - Revising MoReq: A Report on the Scoping of MoReq2 (107.5 KB)

Richard Blake's (The National Archives of the UK) presentation on behalf of the DLM Forum regarding the development of MoReq2
Downloads(7521)

Why Create an Information Asset Register (25.6 KB)

An information asset register is a complete and current database of what is held to support business procedures and activities. This is especially useful for identifying the structured information that is held in computer systems.

You may find the following document useful. It describes why it is important but also provides you with an example of the information you should record and maintain for each of your information assets.

This document was created by The Local e-Government Standards Body using material from the Records Management society
Downloads(1654)

Creating a Classification Scheme and Fileplan (57.2 KB)

Classifying information is an essential first step to managing it. Classification puts information in context, supports browsing, allows retention policies to be applied and can improve security. Extended into a fileplan, it can provide a structure to support an organisations storage needs. Creating a fileplan can appear to be an enormous task. This paper looks at how to go about creating a classification scheme and fileplan and the issues involved.
Downloads(278)

Developing an Information Management Strategy (55.4 KB)

All too often organisations have a fragmented approach to Information Management, data is duplicated in many places and users are expected to enter the same information many times. Developing an Information Management Strategy is the foundation stone that should be in place before considering cost justifying or implementing EDRMS. This paper looks at the reasons why IMS is so important and how to go about developing one. Note this has been revised on 11 May 2006
Downloads(214)

Developing a Business Case for Electronic Document & Records Management (111.1 KB)

No project will be funded unless a compelling business case can be produced. Many public sector organisations struggle to articulate the business need and financial justification for EDRMS. Spending time and resources just to comply with FOI is not enough. This paper looks at the approaches that have been found to be successful in convincing senior management of the business benefits of the project.
Downloads(206)

Guidelines on Implementing a EDRM system (46.3 KB)

This paper sets our guidelines on the essential phases and steps in implementing a corporate EDRMS systems. The session covers both management and technical aspects of the project. The session includes guidance on User engagement programmes, pre-implementation key tasks, project implementations steps, customer - supplier interface and acceptance testing.
Downloads(150)

Guidelines for Developing Corporate File Plans (96.2 KB)

This paper provides a guide to developing a Corporate File Plan
Downloads(140)

The MoReq Specification (ZIP Format) (244 KB)

This specification describes Model Requirements for the Management of Electronic Record (MoReq). It focuses mainly on the functional requirements for the management of electronic records by an Electronic Records Management System (ERMS).

This specification is written to be equally applicable to public and private sector organisations which wish to introduce ERMS, or which wish to assess the ERMS capability they currently have in place.

While the specification focuses on functional requirements, it recognises that non-functional attributes are central to the success of an ERMS, as with any information system. However, these non-functional attributes vary enormously between environments. Accordingly, they are identified but described only in outline.
Downloads(106)

Information Audit Questionnaire (14.8 KB)

Sample questionnaire for performing an Information Audit

This example of interview sheets may help record high level information:

This document has been provided by the Records Management Society.
Downloads(104)

The role of Information in Enterprise Application Integration and Middleware (57 KB)

Delivering joined up services offers huge benefits to the citizen but will require authorities to make significant changes to become more flexible in the way they work. That flexibility will extend to the way that they manage information.
This paper discuss the issues and approach to implementation EAI, Middleware, anf the role of corporate information management.
Downloads(96)

E-mail Management (33.6 KB)

The volume of e-mail continues to increase, as do the threats from poor management of e-mail. Legal liability, confidentiality breaches, damage to reputation and lost productivity can all result. An increasing range of solutions are being provided to solve the issues of e-mail management. This paper looks at strategies for taking control of e-mail, from organisation culture and personal behaviour to classification of information and technical solutions.
Downloads(95)

How to perform an information audit (35.3 KB)

This analysis is also good for finding out what is actually used and needed. It can help identify both gaps and redundant information.

You may find the following resources useful:

This information audit guidelines have been developed by the Records management Society Local Government Group
Downloads(94)

The TNA Fileplan Guide (484 KB)

Advice and guidance of developing a Business Clasification Scheme
Downloads(85)

MoReq 2 Scoping Report as endorsed by the DLM Forum (224 KB)

The report scopes a MoReq2 as an updated MoReq (Model requirements for the management of electronic records). It was endorsed by the members at the DLM Forum Annual General Meeting on 6th October 2005.
It is being considered by the European Commission as the basis for an ITT.
Downloads(81)

Introducing Records Management into an Advanced Document Management Programme (247.3 KB)

This paper examines the implications of:
Applying the principles of electronic records management to a policy making environment, is a well-trodden route for which a number of case studies exist within central government.
Extending those principles to embrace Freedom of Information is a pioneering step: no-one has yet done it, no-one yet knows what to expect in the way of FOI requests, or whether the pattern of requests under the Data Protection Act will also change.
Downloads(72)

The MoReq Specification (PDF Format) (1155.3 KB)

Guidelines on developing a policy for managing email (568.5 KB)

This guidance provides advice on aspects and areas that should be considered when developing an organisational policy for managing email. The guidance addresses how email can be used as a business tool for internal and external communication and how these types of email communications should be managed as records. Although there is some advice about where email records should be managed the guidance does not provide detailed technical advice on the management of email records.
Downloads(65)

The Role of Corporate Information Management in a Council Strategy (57.1 KB)

The Government IT Strategy remarks that corporate services and infrastructure are seen as the Cinderella resulting in the public sector being significantly behind the private sector in efficiency and effectiveness. Information management can be seen as the Cinderella within ICT departments.

Information is probably the second most valuable asset in a Council after its staff. Too often this asset is managed by individuals or departments in their own silos. The ability to to deliver more efficient services will be constrained until the importance of information as an asset is recognised.

This paper examine these issues.
Downloads(54)

Information Audit Guide (35.3 KB)

This Information Audit Questionnaire, produced by Hertfordshire County Council, may help you collect the high level information that you need:

The material in this link has been provided with authorisation from Hertfordshire County Council
Downloads(46)

A practitioners guide to FOI (337 KB)

This guide outlines a structured approach which will help authorities comply with the legislation. It is consistent with best advice available from the Information Commissioner, the Department of Constitutional Affairs, and sector bodies such as the Local Government standards committee. For public authorities, the challenge under the FOI Act is to provide an open service to the citizens that they serve. A structured approach to information management can help comply with this legislation and at the same time deliver a more efficient service.
Downloads(35)

UK TNA Functional Requirement for ERMS (Part 1) (377.7 KB)

This sets out the required system functionality required by EDRM suppliers to meet TNA Approval
Downloads(34)

UK TNA Metadata Standards (Part 2) (281.2 KB)

Sets out the implications for records management metadata in compliant systems. It has been agreed with the Office of the e-Envoy that this document will form the basis for an XML schema to support the exchange of records metadata and promote interoperability between ERMS and between ERMS and other systems.
Downloads(31)

The MoReq Specification (MS Word) (1016.8 KB)

UK TNA Requirements for ERM Systems Reference Document (Part 3) (409.4 KB)

This sets out the required system functionality that suppliers of EDRMS have to meet.
Downloads(25)

TNA Guidance for Implementing EDRMS (110.7 KB)

Guidance on successful implementation of electronic records management.
Downloads(23)

Don't let e-mail graveyards expose you to risk and make your information strategy unsustainable (129.9 KB)

The Web in the nineties has swept the fax phenomena away in ptp business communications methods and produced the 'son of fax'. This precocious sibling has quickly out shone its parent and at the same time replaced many of the transactions that were previously conducted through the phone, dramatically reduced mail volumes plus radically changed external and internal business communication.

The 'son of fax' volumes in five years have grown 26 fold between 1995 and 2000 from 101 billion to 2,6 trillion.

Martin Waldron Managing Director of In-Form Consult discusses the impact and implementation of e-mail in today's business environment.
Downloads(22)

TNA Records Retention Policy (132.1 KB)

The attached document, created by the TNA, provides detailed guidance on retention.
Downloads(21)

The changing face of records (103.6 KB)

In central and local government; in the financial sector; in manufacturing and in industrial environments; the concept of accurate and reliable records is fundamental to the conduct of that activity. In a paper-based economy, little distinction was drawn between documents and records: the use of folders, staples, locked filing cabinets and similar naturally gave the necessary context that distinguished a transient document from a vital record. And in many cases, disposal is not an issue: the paper is simply kept until the ravages of time render it unreadable.
Downloads(20)

Model Action Plan: Local Governement (179.6 KB)

The National Archives has produced, or collaborated in the production of, model action plans to help different parts of the public sector achieve compliance with the Records Management Code.
Downloads(19)

This Paper assesses both International, European and country compliance legislation (350.6 KB)

In-Form Consult was awarded a contract by SONY to develop a European Compliance White Paper that assesses both International, European and country compliance legislation. The white paper identifies the demanding requirements of the legislation in both the public and private sector for cost effective and reliable storage for the long term management of business information. In-Form Consult partnered with leading Information Management experts across Europe including SERDA SA and Project Consult Gmbh and other national experts in producing the report.
Downloads(19)

IM Strategy for a Local Authority (108.9 KB)

Richard Jeffrey-Cook Managing Director of IFC presented this paper at the Records Management & Enterprise Content Management Conference in Government and Public Bodies conference. The presentation covered developing an information management strategy for a public body - setting out a corporate information vision, reason for change, principals for good information management, and implementing the strategy.
Downloads(19)

Appraisal And Evaluation In Central Government (306.6 KB)

This guide is to help government departments and agencies appraise and evaluate their activities effectively. It is intended to ensure consistency across government in appraisal and evaluation practice.

It updates the 1991 edition Appraisal is essential to good decision making. Good appraisal calls for flexibility and imagination. It is not a ritual in which rigid rules are applied to the letter.

Appraisal will need to take account of the policy context in which decisions are made. These decisions often need to reflect not only formal analysis, but wider strategic or managerial considerations. Good appraisal, which follows the guidance in this book, will bring these out and provide a framework for well informed judgement, and lead to better decision making.

This edition of the 'Green Book' stresses the importance of evaluation, as well as appraisal, i.e. the systematic examination of decisions already taken in order to learn from them and to improve future decisions. There is a natural tendency, once a decision is taken, to move on to the next and let bygones be bygones. To do this, however, is to sacrifice an invaluable source of learning which can improve future decision making. I hope the material in this guide will encourage the more systematic practice of evaluation within government.

This book represents HM Treasury Guidance but it has been revised in close collaboration with economists across government, and in consultation with Government Social Researchers. I am extremely grateful for their help and encouragement. Individual departments will need to have their own detailed guidance, which is relevant to their own circumstances and which is consistent with this book.
Downloads(16)

e-Government Metadata Standard Version 3.0 (708.6 KB)

The e-Government Metadata Standard lists the elements and refinements that will be used by the public sector to create metadata for information resources. It also gives guidance on the purpose and use of each element. This is version 3.0.
Downloads(16)

WORM and Euro Law (203.5 KB)

In-Form Systems was awarded a contract by HP to undertake a European study to assess the potential evidentiary benefits of Write Once-Read Many ('WORM') Optical Disk storage for electronic records management. In-Form Systems partnered with Eversheds, a leading European legal firm in producing the report.

The study provides an assessment of the inherent characteristics of WORM to provide real weight for legal and regulatory demands for records stored on such media as opposed to other magnetic media. The study reviews the current and planned e-commerce related legislation and code of practice at a European Commission level, and for the United Kingdom, France, Holland and Germany.

- This white paper sets out the main findings;
- A presentation has been produced that summarises these findings
Downloads(14)

TNA Functional Requirments for Case Management & Workflow (108.6 KB)

This lists requirements for an ERMS which handles casework, or case folders. The requirements it contains are relevant only where casework and/or workflow are business needs; in other situations they can be ignored. They include only requirements related to the records management functionality of a case management system; they are unlikely to suffice for the specification of a complete case management application.

Note: It is not intended to form a part of any future generic functional requirements testing by TNA.
Downloads(13)

The Records Management: NHS Code of practice. Part 1 (227.7 KB)

The Records Management: NHS Code of Practice is a guide to the required standards of practice in the management of records for those who work within or under contract to NHS organisations in England. It is based on current legal requirements and professional best practice.

This code of practice replaces::
* HSC 1999/053 - For the record
* HSC 1998/217 - Preservation, retention and destruction of GP general medical services records relating to patients (replacement for FHSL (94)(30))
* HSC 1998/153 - Using electronic patient records in hospitals: Legal requirements and good practice

The code provides a key component of information governance arrangements for the NHS. This is an evolving document because standards and practice covered by the code will change over time. It will therefore be subject to regular review and updated as necessary.

The guidelines contained in this code of practice apply to NHS records of all types (including records of NHS patients treated on behalf of the NHS in the private healthcare sector) regardless of the media on which they are held.

Related Document: The Records Management: NHS Code of practice. Part 2
Downloads(13)

Metadata and interoperability presentations - 2004 (2084.7 KB)

List of presentations given by Senior Interoperability Advisor, Colette Coles. Cover topics such as metadata implementation, merging taxonomies and interoperability.
18 Feb 2005
Downloads(12)

Data Protection: Police Information Technology Organisation (PITO) (1060.5 KB)

The Bichard Inquiry
This is a memorandum responding to Sir Michael Bishard's invitation, submited as written evidance to his enquiry by the Police Information Technology Organisation(PITO).

Brief extract: They admit the Police National Computer's architecture is not suited to integrating and sharing information across the Police Service. They have submitted a modernisation proposal for the next Spending Review.
Downloads(12)

RMS Draft Guidlines for performing an Information Audit (79.2 KB)

Further guidance on conducting information audits from the Records Management Society Local Government Group. Note that these are in draft.
Downloads(12)

Document Conversion (79.2 KB)

This white paper addresses the issues which arise when considering the conversion of existing physical archives, that contain documents of different formats and types, into electronic format. These issues are broad in nature including the logistics of capture involving high volumes; the determination of appropriate strategies and tactics, for both delivering the conversion and maintaining normal business operations in the process; and the adoption of appropriate, reliable and sustainable document formats.
Downloads(11)

The Local Government Category List (431.6 KB)

The Local Government Category List provides a subject based list for all activities by local government, and is an excellent base for classification.

A full list of available controlled lists is available at: www.esd.org.uk/standards/
Downloads(11)

White Paper on Operational and Reputational Risk (74.8 KB)

Risks in running organisations are managed by good procedures and practices. However there is a category of risk where by their very nature, they either cannot be easily legislated for, or they are so amorphous that an organisation simply overlooks them or they do not know how to identify them in the first place. For example; risks of an operation or working practice failing i.e. 'Operational Risk' or an event leading to bad publicity and the resulting loss of reputation i.e. 'Reputational Risk'. With these risks little legislation or regulation exists.

It is in this area of what are often referred to as soft risks that organisations are becoming increasingly aware of recognising that action is overdue. Many believe themselves to be resilient against the clearly defined hard risks but are now seeking help and support to understand, quantify and mitigate the soft risks they are vulnerable to.

This white paper aims to de-mystify soft risk and more importantly explain why every organisation needs a policy to provide a cost effective resilience against them.

Downloads(11)

e-GIF Technical Standards Catalogue version 6 (213.5 KB)

The Technical Standards Catalogue defines the minimum1 set specifications that conform to the technical policies as defined in e-GIF. The current specification for the e-GIF is given below and covers the areas of interconnectivity, data integration, content management metadata and eservices access. Each area comprises of tables containing specifications and includes version numbers and notes. Government is, however, committed to ensuring that these technical policies and specifications are kept aligned to the changing requirements of the public sector and to the evolution of the market and technology.
Downloads(10)

RMS Guidlines on Retention for Local Authorities (312.8 KB)

The attached document, created by the Records Management Society Local Government Group, provides detailed guidance on retention.
Downloads(10)

RM Policy Example Westminster City Council (28.2 KB)

Example RM policy for Westminster City Council
Downloads(10)

FOI Roles & Responsibilities (25.1 KB)

Freedom of Information act - Roles & Responsibilities

Advice and guidance of ther appointnet of an Information Champion
Downloads(8)

e-Government Interoperability Framework Version 6.1 (176.3 KB)

The e-GIF defines the technical policies and specifications governing information flows across government and the public sector. These cover interconnectivity, data integration, e-services access and content management. Version 6.1 contains the high level policy statements, management, implementation and compliance regimes.
Downloads(8)

FOI Absolute and Qualified Exemptions (23.6 KB)

The following document gives details of the exemptions and a flow chart detailing how the process for implementing exemptions might work. Also see: FoI Exemption Flowchart
A flowchart showing the proces to follow when applying FoI exemptions.
Downloads(7)

FOI Exemption Flowchart (25.1 KB)

A flowchart showing the proces to follow when applying FoI exemptions.
Downloads(7)

RM Policy Example HCC (35.8 KB)

From Hertfordshire County Council
Downloads(7)