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Christchurch 23/11/2007 1 The PRA and Email Management 23 November 2007 Kate Jones Government Recordkeeping Programme Archives New Zealand
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Christchurch 23/11/2007 2 Overview Background to PRA Principles & Responsibilities Coverage & Compliance Email Management and the PRA Email archiving solutions ANZ’s Support Tools
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Christchurch 23/11/2007 3 Public Sector Legal Framework Information and Accountability Official Information Act Local Government Official Information and Meetings Act Public Finance Act Privacy Act Evidence Act Electronic Transactions Act Public Records Act
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Christchurch 23/11/2007 4 Public Records Act 2005 (PRA) Reflects changes in: – technology (electronic records, email, web, sms) – business practice (devolution, restructuring, corporatisation eg State Owned Enterprises) – other legislation (OIA, Privacy) Clean slate approach – i.e. complete review of legislation rather than “tinkering” with the Archives Act 1957
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Christchurch 23/11/2007 5 The Purpose of the PRA Management accountability Democratic accountability Collective memory and historical heritage Good business practice Is Good Recordkeeping
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Christchurch 23/11/2007 6 What does the PRA do? Framework for regulation of records and archives in the public sector Flexible to handle the diversity of government activities and future circumstances Enabling legislation – not prescriptive
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Christchurch 23/11/2007 7 Who does PRA cover? Wide definition of organisations covered: Public offices Local authority organisations
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Christchurch 23/11/2007 8 What is a Public Office? Public offices include: Government departments Offices of Parliament All forms of Crown entities as per Crown Entities Act – Crown agents, autonomous and independent Crown entities and Crown Entity Companies Tertiary education institutions and school boards of trustees DHBs State Owned Enterprises
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Christchurch 23/11/2007 9 What is a Local Authority? Local authority organisations include: Local government organisations Regional councils and territorial authorities Council-controlled organisations and trading organisations
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Christchurch 23/11/2007 10 What is a Record? Wide definition of records record means information, whether in its original form or otherwise, including (without limitation) a document, a signature, a seal, text, images, sound, speech, or data compiled, recorded, or stored, as the case may be,— (a) in written form on any material; or (b) on film, negative, tape, or other medium so as to be capable of being reproduced; or (c) by means of any recording device or process, computer, or other electronic device or process
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Christchurch 23/11/2007 11 What is a Public Record? Public record— Records created or received (whether before or after commencement of PRA) by a public office in the conduct of its affairs
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Christchurch 23/11/2007 12 What is a Local Authority Record? Local authority record- Records created or received by a local authority in the conduct of its affairs Local authority ‘Protected Records’- Classes of protected records as declared by the Chief Archivist in the Local Government Schedule
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Christchurch 23/11/2007 13 Recordkeeping Responsibilities The 2 key requirements are: Organisations must create and maintain full and accurate records Organisations must not dispose of records without the Chief Archivist’s authorisation
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Christchurch 23/11/2007 14 Create and Maintain A public office must create and maintain: Full and accurate records In accordance with normal, prudent business practice Including records of matters contracted out Continue to maintain records in accessible form for reference until disposal is authorised
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Christchurch 23/11/2007 15 Create & Maintain Records Includes all formats Email SMS Instant Messaging Telephone calls Water samples Websites Databases, etc.
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Christchurch 23/11/2007 16 Disposal No lawful records disposal without Chief Archivist’s authorisation Disposal includes transfer of control, destruction, sale and discharge Unless required to dispose by another Act Failure to maintain electronic records is considered disposal
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Christchurch 23/11/2007 17 Legal Disposal A public office can: Disposal authority - legal permission to dispose of function specific records General Disposal Authorities – issued by Chief Archivist for disposal of common classes of records (e.g. finance, human resources, corporate services etc.)
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Christchurch 23/11/2007 18 Disposal for Local Authorities Chief Archivist’s authorisation required to dispose of protected records Non-protected records may be disposed of without Chief Archivist’s authorisation
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Christchurch 23/11/2007 19 Compliance Framework Independent audits Mandatory standards Direction to report to Chief Archivist Inspections Annual Report to Parliament on state of recordkeeping
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Christchurch 23/11/2007 20 Retain those emails!
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Christchurch 23/11/2007 21 Are Emails Public Records? Yes! To maintain complete and accurate evidence of business transactions, it is essential to manage all correspondence, including email, as records
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Christchurch 23/11/2007 22 Email management. How? Ensure that email is created, stored and managed in an Electronic Record- Keeping System (ERKS) Ensure email identified in recordkeeping policies Educate your staff – email management is a user responsibility
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Christchurch 23/11/2007 23 A PRA Compliant ERKS ensures that email: maintains its contextual links with related documents has its recordkeeping metadata captured and managed over time can be re-titled to more accurately reflect its context or content can be grouped according to a classification scheme as necessary retention and disposal actions can be defined and implemented
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Christchurch 23/11/2007 24 What are Email ‘Archiving’ Solutions? Email retention systems Vault storage Black box storage IT definition of ‘archive’
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Christchurch 23/11/2007 25 Advantages of email archiving: Managing the risk of inappropriate e-mail use Filtering and automated ‘archiving’ Secure, tamper-proof copies Improved discoverability for litigation or Official Information Act purposes (a double-edged sword!) Back-up system for ‘lost’ e-mail Reduced storage requirements — elimination of copies of the same message in multiple inboxes Potential for reduced load on servers
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Christchurch 23/11/2007 26 Why are E-mail ‘Archiving’ Solutions not Recordkeeping Systems? Automated classification of content — messages are not reliably linked to their business context Records communicated via e-mail are separated from related records in other formats and systems It is difficult to differentiate between business critical, informational, personal, and unsolicited commercial e- mails Generally, only the sender, recipient or an administrator can access the messages, which means that other staff do not know of the existence of potentially key organisational information
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Christchurch 23/11/2007 27 Why are E-mail ‘Archiving’ Solutions not Recordkeeping Systems? II where more widespread access is available, there may be problems protecting personal privacy, especially if personal e-mail use is permitted it is very difficult to apply naming conventions to the message to better reflect the content there is lack of control and/or appraisal (selection process) for the records that are captured into the system it is difficult to assign different retention periods according to the different activities documented in the messages.
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Christchurch 23/11/2007 28 Recordkeeping Programmes Email management must be incorporated into RK policy Staff must be educated about need to create and maintain records – emails included Change management is crucial
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Christchurch 23/11/2007 29 Successful Email Management Email must be managed in an ERKS Email archiving solutions as storage solutions only Email management identified in wider recordkeeping policy User education includes email management
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Christchurch 23/11/2007 30 How can Archives NZ help? Continuum Recordkeeping Resource Kit and Website Regular recordkeeping forums Quarterly newsletter rkadvice@archives.govt.nz
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Christchurch 23/11/2007 31 Continuum publications F10 Email F14 Email Archiving Solutions G6 Guide to developing a Recordkeeping Policy G3 Guide to implementing IT solutions G8 Guide to the PRA S7 Create and Maintain Standard (exposure draft) S8 Recordkeeping Metadata Standard (exposure draft)
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Christchurch 23/11/2007 32 Any questions? Email: kate.jones@archives.govt.nz Phone: 04 894 6002 Continuum Website: www.archives.govt.nz/continuum/
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