Electronic Records Management Alan Cameron Records Management Consultant

Providing Expertise in Planning & Implementing Information Systems The Medium is the Message…………? Marshall McLuhan 1960s No Longer

Providing Expertise in Planning & Implementing Information Systems An open-top filing system

Providing Expertise in Planning & Implementing Information Systems ‘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

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

Providing Expertise in Planning & Implementing Information Systems 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)

Providing Expertise in Planning & Implementing Information Systems 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)

Providing Expertise in Planning & Implementing Information Systems 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

Providing Expertise in Planning & Implementing Information Systems 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)

Providing Expertise in Planning & Implementing Information Systems 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. management and use

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

Providing Expertise in Planning & Implementing Information Systems Good eRecords Management Practices Corporate Workspace Group Space Individual Space

Providing Expertise in Planning & Implementing Information Systems 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

Providing Expertise in Planning & Implementing Information Systems

Providing Expertise in Planning & Implementing Information Systems Make better Use of Existing Investment 1. use funtionality to manage inbox automatic deletion of s 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

Providing Expertise in Planning & Implementing Information Systems 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 s  Responsibility for capture  Avoid attachments ?

Providing Expertise in Planning & Implementing Information Systems 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 Use  only for organisation’s business  May be used for incidental personal purposes  Personal purposes without restriction

Providing Expertise in Planning & Implementing Information Systems 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

Providing Expertise in Planning & Implementing Information Systems Policy Options 3 Monitoring  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

Providing Expertise in Planning & Implementing Information Systems 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

Providing Expertise in Planning & Implementing Information Systems 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’

Providing Expertise in Planning & Implementing Information Systems 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

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Providing Expertise in Planning & Implementing Information Systems Any Questions? Thank You