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PARBICA 14 Recordkeeping for Good Governance Toolkit Training Workshop 1

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Title: PARBICA 14 Recordkeeping for Good Governance Toolkit Training Workshop 1


1
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

2
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
3
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

4
Toolkit Reference Group
5
What are the Phase 5 Toolkit products?(Guidelines
12 - 19)
6
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

7
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.

8
14. Digital Recordkeeping choosing the
best strategy
  • Addresses seven different options for managing
    digital records, looking at the advantages and
    disadvantages of each.

9
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.

10
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.

11
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.

12
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.

13
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.

14
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.

15
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.

16
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.

17
Introduction to digital recordkeeping
  • What are digital records?
  • What is digital recordkeeping?
  • The importance of metadata
  • Risks and benefits of digital records

18
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

19
Viewing a paper record vs viewing a digital
record
1.
2.
20
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

21
Digital record terminology can be confusing!
  • Digital vs electronic?
  • Born-digital
  • Reborn digital
  • Digitization
  • Digitalisation
  • Digital preservation

22
What is digital recordkeeping?
  • The activities and processes involved in
    managing a digital record over the course of
    its life

23
The importance of metadata
  • What is in the can?

24
Metadata is just a label.
abstract
Size
title
content
lineage
Quality reports
Images
distribution
Directions for use
contact details
data quality
Unique identifier
25
Basic record metadata
  • Basic metadata includes
  • title
  • creator, sender, receiver
  • date when created or received
  • security classification
  • registration or control number

26
Other metadata
  • More metadata needs to be added to records when
    they are
  • Stored
  • Accessed
  • Changed
  • Kept, destroyed or transferred

27
Group activity Finding metadata In groups, take
5 minutes to note down the different types of
metadata in the exercise examples.

28
What are the benefits of digital recordkeeping?
29
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

30
What are the risks of digital recordkeeping?
31
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

32
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

33
  • Lunch

34
Session 2 Digital recordkeeping myths and
Assessing digital readiness
  • 15 digital recordkeeping myths
  • Digital recordkeeping self-assessment checklist
    for organisations

35
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
36
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
37
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

38
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.

39
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!

40
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.

41
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.

42
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.

43
6. Monitoring and evaluation
  • Your organisations 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.

44
Determining your agencys readiness
  • The checklists scoring system is a tool to
    identify your state of digital readiness
  • Categories of readiness are matched to
    recommendations and possible strategies

45
  • Break

46
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

47
1. Printing records for capture into a paper
filing system
  • For organisations with a low state of digital
    readiness

48
  • 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

49
  • 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

50
2. Using shared folders
  • For organisations with a low to medium state of
    digital readiness

51
  • 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

52
  • Disadvantages
  • The lack of recordkeeping functionality means
    records can be amended or deleted
  • Often end up being everyones and no-ones
    responsibility
  • Often informal titling can lead to problems
    finding and retrieving information

53
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

54
3. Using workplace collaboration software
  • For organisations with a medium to high state of
    digital readiness

55
  • Advantages
  • Allow flexible integration with various software
    tools
  • Digital recordkeeping can be an organic part of
    the organisations digitally-enabled wok
    processes
  • Can be a pathway for transitioning to an eDRMS
    system

56
  • 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

57
4. Scanning or digitising paper records
  • For organisations with a medium to high state of
    digital readiness

58
  • Advantages
  • Provides easier staff access to records
  • Provides preservation copies of paper records in
    case of disaster or loss
  • May reduce the organisations need to maintain
    paper storage facilities
  • Can be a pathway to a comprehensive digital
    recordkeeping strategy

59
  • 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

60
5. Hybrid (mixed paper and digital) systems
  • For organisations with a medium to high state of
    digital readiness

61
  • 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

62
  • 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

63
6. Electronic Document and Records Management
systems
  • For organisations with a high state of digital
    readiness

64
  • 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

65
  • 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

66
7. Incorporating recordkeeping functionality
into business systems
  • For organisations with a high state of digital
    readiness

67
What is a business system?
  • A business system is an automated system that
    creates or manages data about an organisations
    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.

68
  • 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

69
  • 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

70
Group discussion - what strategy does your agency
use?
71
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 doesnt?
  • What might be some of the current or future risks
    associated with this strategy?

72
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

73
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.

74
  • Thank you!
  • www.parbica.org
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