PARBICA 14Recordkeeping for Good Governance

Toolkit TrainingWorkshop 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 Session11.30 – 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 record-

keeping, 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 theirresources, 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’

Planning

Creation and

capture

Classification

Disposal

Preservation

Maintenance

Access

Recordkeeping Strategy

The importance of metadata

What is in the can?

Metadata is just a label. title content

Sizeabstra

ct

data quality

Directions for use

lineage

distribution

contact details

Images

Unique identifier

Quality reports

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 double-

handling

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 no-

one’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, three-levels 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 born-

digital 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 re-engineering

• 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