Access to the Evidence of E- Government: A Work in Progress Report Card THE NEW STANDARD IN RECORDKEEPING

2 Outline Review the challenges that recordkeeping professionals have encountered since the mid-1990s Identify where we have been successful Identify where more work still needs to be done Identify an agenda for future collaborative action

3 A Decade of Change Growth of and web-based communication/service delivery People expect online access to Government information and services Increased speed and volume of information flow and decision-making Good recordkeeping overlooked in the rush to adopt new technology Multi-skilling, Downsizing, Outsourcing

4 A Decade of Challenges How to incorporate good r/k functionality into software applications that people use? How to combine software applications with business processes and r/k software so that records can be made and kept as an integral part of the work process? How to ensure the physical integrity of and long- term access to digital records? How to ensure the good recordkeeping message is heard and heeded?

5 Attitudinal Challenges The world has speeded up and recordkeeping has been squeezed out After years of neglect there is a lack of understanding of the need for records Records are seen as red tape – a relic of the old process-driven way of doing business – a cost to be reduced, if not eliminated Registry clerks, dusty files and basements

6 Successes Since 1992 Research work Standards development Strategic alliances New public records laws Digital preservation strategies Professional reinvention

7 Research Work Various well-funded international research projects have given us a much better understanding of the characteristics of full and accurate digital records and strategies for making and keeping authentic, reliable, durable, accessible digital records. We are much more optimistic in 2002 than we were in 1992, when pessimism ruled.

8 Research Projects Pittsburgh Project University of British Columbia InterPARES Various EU digital preservation projects Research Libraries Group - trusted repositories and preservation metadata Monash Uni SPIRT recordkeeping metadata VERS Project – PROVic and CSIRO

9 Standards – AS 4390 (1996) & ISO (2001) Informed by the Pittsburgh Project Functional approach to recordkeeping –Identify recordkeeping requirements –Functions-based classification and appraisal Definition of full and accurate records Allocation of responsibilities Risk assessment Systems design and implementation

10 Other Standards AGLS metadata standard for online resource description – AS 5044 (2002) Recordkeeping metadata standards DIRKS Manual –Methodology drawn from AS 4390/ISO15489 –Foundation of the National Archives’ e-permanence suite of guidelines Forthcoming national standards on KM and recordkeeping compliance assessment

11 Strategic Alliances – Government Online Commonwealth – Internet 2001 Commitment and GovOnline Strategy –AGLS metadata standard and NAA Archiving websites guidelines - both key enablers in GovOnline Strategy –Guidelines for r/k and the use of authentication and encryption processes and technologies NSW – State Records and the Office of Information Technology Add value, demonstrate our relevance

12 Strategic Alliances – Auditors, etc Commonwealth – Auditor-General and the Public Service Commissioner –Poor recordkeeping highlighted by most ANAO reports in recent years –2001/2 Recordkeeping Audit made 6 recommendations – more audits to follow WA State Records Commission includes the FOI Commissioner, the Ombudsman and the Auditor General Internal auditors are crucial

13 Other Strategic Alliances Lawyers (FOI, Evidence Act, Electronic Transactions Act, etc) Journalists –Access to evidence, documentary trails and accountability –Communicators/multipliers of our message Scholarly Community/Academies IT and Library Professionals

14 New Public Records Laws A raft of new archives and records legislation in recent years Often prompted by spectacular instances of public sector recordkeeping failure Assisted by vigorous lobbying by ASA and RMAA

15 New Public Records Laws South Australia, 1998 New South Wales, 1999 Western Australia, 2001 Queensland, 2002 Australian Capital Territory, 2002 NT Information Act, 2002 Commonwealth still saddled with 1970s laws, despite 1998 ALRC report

16 Digital Preservation Strategies 1994 – Playing for Keeps Conference and the ‘distributed custody model’ Since then – various standards have been developed and much research has been done VERS Project – VERS Encapsulated Objects with XML metadata NAA Digital Preservation strategy – normalise digital objects using XML & other open standards – ‘read only’ renderings of records for access

17 Professional Reinvention We now routinely deploy new skills: –IT skills –Legal awareness –Risk management –Functional analysis –High level communication skills –Auditing & compliance assessment skills Professional barriers breaking down

18 More Work Needed Standards Implementation and change management Getting the message across Professional reinvention Transparency/accountability of our work

19 Change Management Despite all the successes, bad attitudes to recordkeeping are still widespread: –Tendency to underestimate the complexity of the work involved in managing the transition to good digital recordkeeping –Tendency to throw software at the problem –Tendency to treat r/k in isolation from other organisational changes – need to integrate –Importance of CEO support and staff training SELL the benefits of good records

20 Professional Reinvention (I) Too many records and IM professionals are scared to leave their comfort zone 2002 survey: responsibilities of most agency RM staff limited to paper records We have to apply our skills to new, scary but exciting organisational challenges Deal with people we don’t usually talk to Remove our blinkers and our shackles Don’t be too precious about our ‘turf’ (if we alienate or antagonise we’ll be sidelined)

21 Professional Reinvention (II) Don’t erect language barriers around ourselves to make us feel special and important, because it will stop us getting our message across Become agents of change, not opponents of change – exert a positive influence on the change that is occurring Good communication is an essential part of the job – put time and effort into it

22 Transparency and Accountability in our Work Being a professional does not mean you have a monopoly on wisdom Doing everything behind closed doors is a dangerous & short-sighted strategy We must know our stakeholders and be transparent and accountable to them Eg. NAA developing a framework for community consultation on appraisal

23 E-Government Strategy 2002 Updates the GovOnline Strategy of 2000 Client-focussed, integrated online service delivery and ‘joined-up government’ To build user trust and confidence, agencies must comply with E- Permanence and NAA metadata standards

24 Information Management Strategy Committee, Consists of 10 Departmental Secretaries and various working groups Shared leadership on multi-agency and whole-of-government information management strategies Need for a W-of-G IM Policy and Strategy Framework, the absence of which has hindered the success of e-permanence

25 Conclusion In the era of e-Government the search for recordkeeping nirvana is never-ending!