PARBICA 14
Recordkeeping for Good Governance
Toolkit Training
Workshop 1 – Digital records
Samoa,
August 22, 2011
Helen Walker – National Archives of Australia
Emma Buckley - National Archives of Australia
August 22 - Workshop 1 sessions
Time
Session
11.30 – 1.00
Session 1 - Introduction to digital recordkeeping
1.00 – 2.00
Lunch
2.00 – 3.30
Session 2 – Digital recordkeeping myths and
assessing your digital readiness
3.30 – 4.30
Session 3 – Choosing the best strategy
What is the aim of Phase 5 of the
Toolkit?
• To help organisations in the Pacific region put
in place appropriate and sustainable solutions
for managing their digital records
• To help guarantee that digital records of
government activities and decisions are
properly managed to ensure their integrity,
useability, accessibility and survival for as
long as they are needed
Toolkit Reference Group
What are the Phase 5 Toolkit products?
(Guidelines 12 - 19)
12. Introduction to digital recordkeeping
Provides an overview on
digital records and recordkeeping, addressing key
concepts, benefits, risks and
myths. Includes a glossary
for records managers and for
IT professionals
13. Digital recordkeeping readiness
self-assessment checklist for
organisations
• Allows organisations to assess their
resources, policies, procedures, tools,
technologies, training and organisational
culture to help them determine their level of
readiness to pursue a digital recordkeeping
strategy.
14. Digital Recordkeeping – choosing
the best strategy
• Addresses seven different options for
managing digital records, looking at the
advantages and disadvantages of each.
15. Scanning paper records to digital
records
• Practical advice for organisations
considering a scanning project.
• Looks at the various processes involved in a
scanning project from planning to file storage,
risks and issues such as outsourcing, and
includes information on technical standards
and the different equipment available.
16. Systems and software checklists
• There are three parts to Guideline 16, which
provide systems and software checklists for
organisations to assess the recordkeeping
functionality of their business systems . They
are designed to be used three different
audiences: records managers, senior
managers and IT managers.
16A. Systems and software checklists
• 16A is a checklist that allows a records
manager to see at a glance how well their
existing business systems meet core
recordkeeping requirements.
16B. Systems and software checklists
• 16B allows assessment against high-level
recordkeeping principles (ICA-Req statement
of principles), and is designed to help gain
senior management approval for a business
case or project.
16C. Systems and software checklists
• 16C allows assessment of the systems against
detailed functional recordkeeping requirements, and
is designed to be completed by an IT manager. As
well as allowing organisations to test how well their
existing business systems support good
recordkeeping, the tools can also be used to build a
design of preferred recordkeeping functionality for
future systems, or as a benchmark should a systems
audit be required.
17. Managing Email
• Practical advice on email
management, including
why emails should be
captured, when to capture
it, how to store it, and tips
for managing email.
18. Digital Preservation
• Looks at issues such as
preserving authenticity and
access, and dealing with
technological obsolescence. Explains open
and proprietary formats and provides
examples of low-budget digital preservation
solutions. Also examines the digital
reformatting of analogue audio visual
recordings.
19. Implementing a digital
recordkeeping strategy
• The processes needed to support and enable
successful implementation of a digital
recordkeeping strategy. Includes
project planning through to rollout
of strategy.
Introduction to digital
recordkeeping
•
•
•
•
What are digital records?
What is digital recordkeeping?
The importance of metadata
Risks and benefits of digital records
Digital records
• Information created, received, and
maintained as evidence and information by
an organisation or person, in the pursuance
of legal obligations or in the transaction of
business.
• Many different types and formats
• ‘Similar but different’ to paper records
Viewing a paper record vs
viewing a digital record
1.
2.
Digital records: similar to but
different from paper records
• Unlike paper, the record is not the physical
object
• Digital records pose different problems for
management and preservation
• Digital records still need to fulfil the key
characteristics of records
Digital record terminology – can be
confusing!
•
•
•
•
•
•
Digital vs electronic?
Born-digital
Reborn digital
Digitization
Digitalisation
Digital preservation
What is digital recordkeeping?
• ‘The activities and
processes involved
in managing a digital
record over the
course of its life’
Recordkeeping
Strategy
Planning
Creation
and
capture
Disposal
Preservat
ion
Classifica
tion
Access
Maintena
nce
The importance of metadata
What is in the can?
abstract
Size
Metadata is just a label.
title
content
lineage
Quality
Images
reports
distribution
Directions
for use
contact
details
data
quality
Unique
identifier
Basic record metadata
Basic metadata includes:
• title
• creator, sender, receiver
• date when created or
received
• security classification
• registration or control
number
Other metadata
More metadata needs to be added to records
when they are:
– Stored
– Accessed
– Changed
– Kept, destroyed or transferred
Group activity – Finding metadata
In groups, take 5 minutes to note down the
different types of metadata in the exercise
examples.
What are the benefits of digital
recordkeeping?
The benefits of (good) digital
recordkeeping…
• Records can be accessed anywhere, anytime
(by an authorised person)
• Multiple copies of records not needed
• Records more easily discoverable and
retrievable
• Records are more secure, due to access
controls
• Cost savings – less duplication and doublehandling
What are the risks of digital
recordkeeping?
The risks and challenges of digital
recordkeeping…
• Lots and lots of digital information created
and sent today – hard to keep up
• Computer software and hardware going out
of date (technological obsolescence)
• Challenges to authenticity – easy to amend or
delete digital records
• Loss of security and privacy
• Long-term costs
More risks and challenges of digital
recordkeeping…
• Loss of control due to reliance on vendors
and external providers
• Lack of access to resources such as IT
support and software vendor assistance – a
problem in the Pacific?
• Managing change for users
• Choosing inappropriate systems or software
applications
Lunch
Session 2 – Digital recordkeeping
myths and Assessing digital readiness
• 15 digital recordkeeping myths
• Digital recordkeeping: self-assessment
checklist for organisations
15 Digital recordkeeping myths
1
Everything on a computer is safe
2
Information generated on my computer is not a record
3
Digital storage is cheap
4
Computers will create a paperless office
5
All information generated or received on my computer at
work is my own personal property
6
Scanning is a cheaper and more reliable way of storing
information
7
‘Archiving’ is the same as digital recordkeeping
15 Digital recordkeeping myths cont.
8
Databases such as spreadsheets are reliable forms of
evidence
9
Outsourcing will solve all my problems
10
Google will help me to find everything I need
11
Our shared drive is good enough for managing records
12
When I delete an email it has been destroyed
13
Digital records cannot be used as evidence
14
I will be able to access all my records in ten years’ time
15
Recordkeeping is not my responsibility
Assessing digital readiness
• Online service delivery requires government
agencies to have the right infrastructure in
place to manage digital records
• Toolkit Guideline 13 – a checklist which can
be used to conduct a high-level assessment
of your records management environment
and infrastructure to determine whether this
infrastructure will support a move towards
digital recordkeeping
1. Policies and responsibilities
•
Whatever systems your organisation uses to
carry out work or deliver services, you will
need to establish internal policies and
responsibilities for records and information
management that suit the organisational
structure, culture and resources.
2. Tools and Procedures
• Various tools and procedures are needed for the
successful implementation of records management
policies. These include records classification
schemes, records retention and disposal schedules,
and business continuity plans.
• These tools should be developed along with
procedure manuals providing guidance on creating,
capturing, classifying, storing, retrieving, tracking,
disposing of and preserving records.
• Use the Toolkit guidelines!
3. Digital Recordkeeping Technologies
• Various technologies and products are now
available for managing digital records and
digital information. These technologies and
products allow users to capture, classify,
store and retrieve records regardless of their
format (paper, email, web pages, digital
documents, databases etc).
• Alternatively, recordkeeping functionality may
exist within, or be added to, business
systems.
4. Training and resources
• Although your organisation may have
established records and information
management policies, tools and procedures,
they will not be effective unless they are
supported by trained records management
staff and the resources needed to implement
and maintain them.
5. Organisational culture and
awareness
• Records and information management
polices, procedures, tools and resources will
not be effective unless there is a meaningful
commitment to implementing them. Managers
and staff need to be aware of how important
trustworthy and well-managed records are for
delivering effective government services and
for protecting the accountability and integrity
of the organisation.
6. Monitoring and evaluation
• Your organisation’s records and information
management infrastructure (including people,
procedures, tools and technologies) must be
regularly monitored and evaluated to find out
whether it is meeting requirements and
expectations. If there are problems or new
challenges, action is needed.
Determining your agency’s readiness
• The checklist’s scoring system is a tool to
identify your state of digital readiness
• Categories of readiness are matched to
recommendations and possible strategies
Break
Session 3 – Choosing the best strategy
• PARBICA toolkit Guideline 14: 7 strategies for
managing digital records
• Range from printing digital records and filing
as paper records, to incorporating
recordkeeping functionality into business
systems
• Agencies should use this Guideline after
completing Guideline 13 – Self assessment
checklist
1. Printing records for capture into a
paper filing system
• For organisations with a low state of digital
readiness
Advantages:
• Paper filing systems usually easy to
understand and follow
• As organisations create and receive records
in both digital and paper formats, it can be
less confusing to retain all records in just one
format
• Paper may be more acceptable as evidence
in courts and for other legal purposes
Disadvantages:
• Double-handling of records
• Records may not be as accessible to staff, or
available when needed
• Storage space required
• Printing and filing creates extra work for busy
staff – can fail over time
2. Using shared folders
• For organisations with a low to medium state
of digital readiness
Advantages:
• Inexpensive
• Easy to use – especially if staff are already
familiar with them
• Using an organised filing structure within a
shared drive provides a clear and
understandable location for records
Disadvantages:
• The lack of recordkeeping functionality
means records can be amended or deleted
• Often end up being everyone’s – and noone’s – responsibility
• Often informal titling can lead to problems
finding and retrieving information
5 tips for managing shared folders
1. Create a clear policy and procedures for staff on
using shared folders
2. Create a logical filing structure (hierarchical, threelevels for function, activity, transaction)
3. Create a system of titling for folders and documents
that is simple and easy to understand
4. Assign responsibilities for managing folders
5. Establish suitable restrictions and controls
3. Using workplace collaboration
software
• For organisations with a medium to high
state of digital readiness
Advantages:
• Allow flexible integration with various
software tools
• Digital recordkeeping can be an organic part
of the organisation’s digitally-enabled wok
processes
• Can be a pathway for transitioning to an
eDRMS system
Disadvantages:
• May require sophisticated configuration and
user training to ensure good recordkeeping
functionality
• May be complex to manage due to the
differing requirements for managing paper
and digital records
• May require users to make difficult choices
regarding records and metadata capture
4. Scanning or digitising paper records
• For organisations with a medium to high
state of digital readiness
Advantages:
• Provides easier staff access to records
• Provides preservation copies of paper
records in case of disaster or loss
• May reduce the organisation’s need to
maintain paper storage facilities
• Can be a pathway to a comprehensive digital
recordkeeping strategy
Disadvantages:
• May result in confusing parallel paper and
digital systems
• Metadata creation and management for the
scanned copies may be costly and take time
• Scanned copies may not be adequate
substitutes for the paper originals
• There may be double-handling, due to borndigital records being printed to paper, and
later scanned back into digital form
5. Hybrid (mixed paper and digital)
systems
• For organisations with a medium to high
state of digital readiness
Advantages:
• Allows flexible integration of various software
tools
• Can be a gradual pathway to an eDRMS
• Can allow for the management of records that
need to be retained in paper form for legal or
other reasons
Disadvantages:
• More complex to manage due to differing
requirements for paper and digital records
• Requires users to make more choices
regarding records and metadata capture
6. Electronic Document and Records
Management systems
• For organisations with a high state of digital
readiness
Advantages:
• Manages records throughout their lifetime –
from the point of creation to when they are no
longer required for use
• Increases efficiency and accountability
• Reduces risk – by reducing the chance of
lost, deleted or amended records
Disadvantages:
• License fees for the software can be very
expensive
• Can be complex to use and administer
• Records can be disconnected from business
processes – often created in a business
system and then copied into an eDRMS for
records management purposes
• Requires extensive investment in change
management and user training
7. Incorporating recordkeeping
functionality into business systems
• For organisations with a high state of digital
readiness
What is a business system?
• A business system is an automated system that
creates or manages data about an organisation’s
activities. Business systems hold ‘dynamic’ data: data
that is timely (and often subject to frequent updates),
current, and able to be manipulated.
• Examples of business systems may include:
– e-commerce systems
– client-relationship management systems
– purpose-built or customised databases
– finance or human resources systems.
Advantages:
• Allows records to be made and kept in the
same system
• Can provide greater certainty that important
records will be created and kept as records
Disadvantages:
• May be difficult and expensive, requiring
complex systems redesign and reengineering
• Records managers may not have enough
influence within their organisation to convince
business and IT managers of the benefits
Group discussion - what strategy does
your agency use?
Group activity – Strategies in practice
Break into groups and do a small case study on a digital
recordkeeping strategy used in the agency of one of
the group members.
Ask:
» Why did the agency choose this
strategy?
» How is it working? What works well,
what doesn’t?
» What might be some of the current or
future risks associated with this
strategy?
Implementing a recordkeeping strategy
Key steps to a successful implementation:
• Gain high-level support
• Planning (as always!)
• A project management team with clearly
defined roles, responsibilities and stakeholder
representation
• A sound business case
• Progress in small steps
And last but not least…
Managing change.
When recordkeeping software implementation
fails, it is usually due to poor change
management, rather than the failings of the
technology. The success of any strategy is
dependent on change being successfully
managed.
Thank you!
www.parbica.org