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Creating and capturing full and accurate records
Module 5 Creating and capturing full and accurate records
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Transition phase – paper to electronic records – Problems encountered
Retrieval of information Security of information Retention of information Standard of information Volume of information
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Goals of record keeping strategy
To ensure that records can be readily retrieved to ensure that records can be readily disseminated to meet security requirements to ensure that records are kept for appropriate period of time to control the volume of information being produced to improve the cost effectiveness of information processing
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Goals of record keeping strategy (cont)
to control the standard of presentation of information to ensure information is timely to minimise duplication of information to ensure uniform procedures for records processing to control record sizes and media types
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How do we achieve these goals?
Register Index Classify Link to other records Access to those who need to know Store in suitable media and location Secure Check to see if reliable evidence Track
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Dykeman – Measuring Records Management Fitness (1)
How does RIM program improve the bottom line? Does the RIM program operate on an annual budget? Does the RIM program have a strategic plan for the future? Do all process redesign and job reengineering projects involving processing documents call for a team approach? Is there a uniform organisation-wide records classification and filing system?
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Dykeman – Measuring Records Management Fitness (2)
Are your RIM systems based on commonly accepted guidelines and standards? Is a comprehensive records retention schedule in effect for the entire organisation? Is a regular and consistent destruction/disposal program in effect? Is a records protection and disaster recovery program in place? Does the program keep everyone involved informed of new developments?
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RIM PROGRAMS AND THE BOTTOM LINE
= Quality of information provided VALUE OF A RIM PROGRAM
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Benefits of effective RIM program
HARD $ SAVINGS Time, personnel and space Reduction of misfiles Reduction of lost documents Increased in accuracy and productivity SOFT BENEFITS Ability to produce documents as evidence Improved efficiency
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How can RIM program achieve its goals?
Improve customer service Improve productivity Save labour Eliminate lost or misfiled documents Centralise information Eliminate duplicated documents or data Reduce storage space or improve space utilisation Automate records management applications when justified Comply with reporting and retention regulations of local, state and federal agencies; and Avoid liability and litigation
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Need for strategy Problems encountered in transition phase
Development of recordkeeping strategy AUTHOR-ITATIVE RECORDS
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AUTHORITATIVE RECORDS
FULL AND ACCURATE RECORDS AS AUTHORI-TATIVE RECORDS AS ISO 15489 See the following websites for more: Setel Records New South Wales
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Characteristics of full and accurate records (AS4390-1996)
COMPLIANT – with accountability regulations ADEQUATE – suitable, sufficient for purpose COMPLETE – content plus structure and context MEANINGFUL – broader context apparent, links in sequenced activities maintained COMPREHENSIVE – cover the complete range of business activities ACCURATE – correctly reflect what takes place AUTHENTIC – true, credible INVIOLATE – securely maintained
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Characteristics of Authoritative Records (AS ISO15489)
Authenticity Reliability Integrity Useability
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Records must be compliant
AS Records must comply with the recordkeeping requirements arising from the regulatory and accountability environment in which the organisation operates. eg Income Tax Assessment Act Record all transactions relevant for tax purposes, including income and expenditure, in English, must enable tax liability to be readily ascertained, keep for 5 years Organisations should build rules and procedures into business functions to ensure compliance
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Records must be adequate
AS Records should be adequate for the purposes for which they are kept . Sufficient and suitable for type of activity or transaction. For example, a major initiative may need extensive documentation, whereas a routine administrative action can be documented with identifiable minimum of information. There should be adequate evidence of the conduct of business activity to be able to account for that conduct
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Records must be complete and meaningful
AS Complete – record must contain Structure of record – physical format and relationships between the data elements comprising the record Context – in which record was created and used including the process and participants Meaningful - the contextual linkages of records must carry necessary information to correctly understand the broader transactions that created and used them eg date and time of transaction Collection of structural and contextual data is called metadata – best if collected automatically via system controls
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Some help in creating complete and meaningful records
AS Forms - particularly on-line forms Profiling such as that used in a document management system Document styles for content, structure and formatting Templates – help automate document styles Form letters, guide letters and paragraphs – improve completeness and consistency Rules for naming files and document maintenance Guidelines for managing electronic mail messages Capturing records in business information systems such as accounting, HR etc
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Records must be comprehensive
AS Records must document the complete range of the organisation’s business. Records should be made for all business transactions for which any kind of requirement for evidence exists the business classification scheme is invaluable in ensuring that records meet this criteria
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Records must be accurate
AS Records must accurately reflect the transactions that they document. Business processes and systems should be designed to make it easy, or even automatic, to make accurate records of transactions.
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Some aspects of accuracy
Code of conduct for staff to follow Information systems – is the collected data accurate? Can data be corrupted or lost? Can earlier records be accessed with no loss or corruption of information in the event of upgraded or new systems? How accurate are the results of converting data from one form to another with OCR and ICR software systems?
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Records must be authentic
AS It must be possible to prove that records are what they purport to be and that their purported creators have indeed created them. Records must be credible and authoritative Should be possible to show that the recordkeeping system was operating normally at the time the transactions were documented by the records Think about transactions processed electronically - do digital signatures meet business or legal needs and obligations? For extra information see ANU site
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Authenticity cont… AS Authorised creators of records, and their authorised roles in business activity need to be documented and kept up-to-date Need clear policies which deal with levels of authorisations required for particular activities and transactions, and how those authorisations are obtained and documented
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Records must be inviolate
AS Records must be securely maintained to prevent unauthorised access, alteration or removal no information in a record should be deleted, altered or lost once the transaction that it documents has occurred. Where information is added to an existing hard copy record, the added information should be initialled and dated changes and additions to electronic records should be identifiable through audit trails
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Common guidelines for maintaining the integrity of records (1)
AS Only approved participants in an activity can edit documents and data related to that activity Once a final version of a record has been produced, the record cannot be altered Annotations should be authorised and dated Audit trails of access of electronic documents should be created
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Common guidelines for maintaining the integrity of records (2)
AS Unauthorised access to computers is prevented Using storage media which offer protection against tampering and deterioration Restricting access to records eg security systems for file rooms etc
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AS ISO 15489 – Authenticity (1)
An authentic records is one that – Can be proven to be what it purports to be Can be proven to have been created or sent by the person purported to have created or sent it Can be proven to have been created or sent at the time purported
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AS ISO 15489 – Authenticity (2)
Organisations need to implement and document policies and procedures which control Creation Receipt Transmission Maintenance Disposition of records to ensure that Records creators are authorised and identified Records are protected against unauthorised Addition Deletion Alteration Use and concealment
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AS ISO Reliability (1) AS ISO 15489 A reliable record is one whose contents can be trusted as a full and accurate representation of the transactions, activities or facts to which they attest and can be depended upon in the course of subsequent transactions of activities
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AS ISO Reliability (2) AS ISO 15489 To ensure reliability records should be created at the time of the transaction or incident to which they relate, or soon afterwards, by individuals who have direct knowledge of the facts or by instruments routinely used within the business to conduct the transaction
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AS ISO Integrity AS ISO 15489 The integrity of a record is assured when the record is complete and unaltered To ensure a record’s integrity they need to be protected against unauthorised alteration Policies and procedures should specify What additions or annotations may be made to a record after it is created Who is authorised to make them Any authorised annotation, addition or deletion should be explicitly indicated and traceable
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AS ISO 15489 Useability A useable record is one that can be
Located Retrieved Presented and Interpreted A useable record should be capable of subsequent presentation as directly connected to the business activity or transaction that produced it Useability of records can be ensured through Contextual linkages
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DIRKS – Strategies for Documenting Government Business: The DIRKS manual
Some useful websites Managing Electronic Messages as Records COFSTA – Policy Statement 7 – Principles on full and accurate records US-InterPARES Project [International Research on Permanent Authentic Records in Electronic Systems State Records of New South Wales – Guidelines on better recordkeeping
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Using web resources for assignment one
Some suggested search techniques for assignment 1: 1 – advanced search – exact phrase effective records management practices [suggest you search under both records management and information management] – you could also add private sector and Australia if you wished 2 – advanced search – all the words organisational structure private sector – exact phrase – records management [see above] 3 – advanced search – all the words benchmarks private sector – exact phrase – information management practices [see above] 4 – advanced search – all the words staff support private sector – exact phrase – information management [see above]
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