51354 Module 5

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51354 - 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
Check to see if reliable evidence
Secure
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 4390-1996
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 4390-1996

• Records must comply with the recordkeeping
  requirements arising from the regulatory and
  accountability environment in which the
  organisation operates.
• eg Income Tax Assessment Act 1936Record 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 4390-1996

• 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 4390-1996

• 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 4390-1996

• 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 4390-1996

• Records must document the complete range of the
  organisations 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 4390-1996

• 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
AS 4390-1996

• 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 4390-1996

• 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 4390-1996

• 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 4390-1996

• 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 4390-1996

• 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 4390-1996

• 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)
AS ISO 15489

• 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)
AS ISO 15489

• 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 15489 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 15489 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 15489 Integrity
AS ISO 15489

• The integrity of a record is assured when the
  record is complete and unaltered
• To ensure a records 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
AS ISO 15489

• 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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Some useful websites
DIRKS Strategies for Documenting Government
Business The DIRKS manual http//www.records.nsw
.gov.au/publicsector/DIRKS/final/downloadable/intr
oproj.htm

• Managing Electronic Messages as Records
• http//www.naa.gov.au/recordkeeping/er/elec_messa
  ges/guidelines.html
• COFSTA Policy Statement 7 Principles on full
  and accurate records
• http//www.cofsta.org.au/Policy/policy207.htm
• US-InterPARES Project International Research on
  Permanent Authentic Records in Electronic Systems
• http//www.gseis.ucla.edu/us-interpares/pdf/InterP
  ARES1FinalReport.pdf
• State Records of New South Wales Guidelines on
  better recordkeeping
• http//www.records.nsw.gov.au/publicsector/rk/crea
  tion/contents.htm

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Using web resources for assignment one

• Some suggested search techniques for assignment
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• 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