Helen Walker – National Archives of Australia Emma Buckley - National Archives of Australia

1. PARBICA 14Recordkeeping for Good Governance Toolkit TrainingWorkshop 1 – Digital recordsSamoa, August 22, 2011 Helen Walker – National Archives of Australia Emma Buckley - National Archives of Australia

2. August 22 - Workshop 1 sessions

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. Planning Recordkeeping Strategy What is digital recordkeeping? Disposal Creation and capture Preservation • ‘The activities and processes involved in managing a digital record over the course of its life’ Access Classification Maintenance

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

24. abstract Metadata is just a label. 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

36. 15 Digital recordkeeping myths cont.

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 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.

44. 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

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 lowto medium state of digital readiness