managing electronic records in governmental bodies - National ...

Content
PREFACE .................................................................................................................................I
1. INTRODUCTION .................................................................................................. 2
2. WHAT IS AN ELECTRONIC RECORD .......................................................... 5
3. WHY DO WE CREATE RECORDS.................................................................. 6
4. THE IMPORTANCE OF RECORDS MANAGEMENT AND
PRESERVATION IN THE ELECTRONIC ENVIRONMENT ........................ 7
4.1 UNSTRUCTURED SYSTEMS ......................................................................................... 7
4.1.1 Classification Systems ........................................................................................... 9
4.1.2 Appraisal and disposal.................................................................................... 10
4.1.3 Accessibility..................................................................................................... 10
4.1.3.1 Storage of electronic records....................................................................... 10
4.1.3.1.1 Magnetic storage media......................................................................... 11
4.1.3.1.2 Optical storage media............................................................................ 11
4.1.3.2 Migration..................................................................................................... 12
4.1.4 Metadata.......................................................................................................... 13
4.1.5 Version control................................................................................................ 14
4.1.6 Authenticity...................................................................................................... 14
4.1.6.1 Audit and history trail.................................................................................. 14
4.1.6.2 Digital certificates and digital signatures .................................................... 15
4.2 E-MAIL..................................................................................................................... 15
4.3 WEBSITES AND WEB-BASED ACTIVITIES.................................................................. 16
4.4 STRUCTURED SYSTEMS ............................................................................................ 17
4.4.1 Data Warehouses and Geographic Information Systems................................ 18
5. THE NATIONAL ARCHIVES AND RECORDS SERVICE’S ELECTRONIC
RECORDS MANAGEMENT STRATEGY....................................................... 18
6. THE RESPONSIBILITIES OF GOVERNMENTAL BODIES REGARDING
THE MANAGEMENT OF ELECTRONIC RECORDS.................................. 20
6.1 ESTABLISH RECORDS MANAGEMENT POLICIES AND PROCEDURES ............................ 20
6.2 ASSIGN RESPONSIBILITY FOR ELECTRONIC RECORDS MANAGEMENT ..................... 20
6.3 NOTIFY THE NATIONAL ARCHIVES AND RECORDS SERVICE OF THE INTENTION TO
INTRODUCE ELECTRONIC RECORDS SYSTEMS........................................................................ 21
6.4 IMPLEMENT AN INTEGRATED DOCUMENT MANAGEMENT SYSTEM. ...................... 21
6.5 FORMULATE AN ELECTRONIC RECORDS PRESERVATION PLAN............................... 22
6.6 ENSURE THAT ELECTRONIC RECORDS ARE ACCESSIBLE ........................................ 23
6.7 ENSURE THAT ELECTRONIC RECORDS ARE IDENTIFIABLE...................................... 23
6.8 MANAGE E-MAIL AS RECORDS .............................................................................. 24
6.9 MANAGE WEBSITES AND WEB-BASED ACTIVITIES AS RECORDS................................ 26
6.10 ESTABLISH MAINTENANCE AND MIGRATION PROCEDURES....................................... 28
6.11 APPLY FOR THE APPRAISAL OF ALL OTHER RECORDS SYSTEMS ................................ 28
6.12 TRANSFER ARCHIVAL ELECTRONIC RECORDS INTO ARCHIVAL CUSTODY ................. 29
6.13 ERASE ELECTRONIC AND RELATED RECORDS ONLY IN ACCORDANCE WITH A