Audit in electronic records management - Filip Boudrez - - Antwerp City Archives - ErpaWorkshop Antwerpen 16 april 2004

2 Overview  Objectives  Checkpoints  Audit: how?  Informationsystems: design and use  Conclusion

3 Objectives  ultimate objective: delivery of ‘quality’ records  creation of records which are effective for the business processes: complete, reliable, re-usable are understandable: contextualised, readable … can efficently be archived  audit: controlling records creation and management embedded in regular inspection work

4 Checkpoints  availability of: a consistent RM-procedure formally established based on a policy approved / supported by management awareness of existence by staff - promulgation resources tools and guidelines

5 Checkpoints  the procedure itself: compliance with legal obligations, recommended procedures and established standards responsibles appointed and roles defined adequate, efficent and effective regular review and update applied, put into practice documented  checking is fine, but what criteria do you use and how do you measure them?

6 Audit: how?  instrument: inventory of informationsystems  assessment based on: measurable indicators: - time needed for document retrieval - and office documents: volume mailboxes and personal homefolders  volume central filing system; number of servercrashes - subject classification system: number of empty attributes questions, problems of creators validation of records offered for transfer

7  (self-)monitoring: checklist for IT-staff, creator and e-Archivist e.g. importance of metadata and documentation  inspecting design, implementation and use of informationsystems Audit: how?

8 Informationsystems: design  archival service as project partner  defining requirements: identification, registration and capture of records history (audit trails), versions security metadata file formats and profiles  applying standards, multi-vendor support  automated or userfriendly  keeping documentation  legacy data / records + metadata

9 Informationsystems: design  preservation strategy: DAVID-decision making model: long term preservation procedure  archiving module / tools  tools / instruments: verifying, controlling source code testing, evaluating tools  examples: website design mail registration application

10 Informationsystems: use  problems, errors, bugs ?  RM-procedure: applied ?  records: ‘real’ records captured, transferred or removed? authentic and reliable  taken full advantage of available technology  use in conformance with intended purposes: mailregister application  dossier management system system  DMS

11 After the audit The audit = basis for planning actions improvements new recommendations  advizing and guiding role for the archivist

12 Conclusion Some benefits:  raising awareness  discovering weaknesses in RM-procedures  allows pro-active work  cost effective: creator, IT-staff and archival service  more efficient and effective use of technology  improving quality of the records  …

13 Questions? Comments?