managing electronic records in governmental bodies - National ...
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managing electronic records in governmental bodies - National ...
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and require a confirmation by the adm<strong>in</strong>istrator to proceed with or cancel the<br />
process.<br />
Government <strong>bodies</strong> may need to move <strong>records</strong> from their system to other locations<br />
or systems to enable the permanent preservation of the documents for legal,<br />
adm<strong>in</strong>istrative or research reasons or to use outside services for the medium term or<br />
long term management of the <strong>records</strong>. Sometimes they will also need to export the<br />
<strong>records</strong>, i.e. copy<strong>in</strong>g the <strong>records</strong> to another location or system while still reta<strong>in</strong><strong>in</strong>g the<br />
orig<strong>in</strong>al <strong>records</strong>, or to destroy the <strong>records</strong>. The system must be able to execute the<br />
transfer, export or destruction <strong>in</strong> a controlled manner. In all cases, the metadata and<br />
audit trails must be transferred, exported or destroyed at the same time as the<br />
<strong>records</strong> they relate to. The system must provide a well managed process to transfer<br />
<strong>records</strong> to another system or to a third party. It must be able to transfer or export a<br />
file such that the content and structure of its <strong>electronic</strong> <strong>records</strong> rema<strong>in</strong> <strong>in</strong>tact, all<br />
components of the record are exported as an <strong>in</strong>tegral unit, all l<strong>in</strong>ks between the<br />
record and its metadata are reta<strong>in</strong>ed, and all l<strong>in</strong>ks between <strong>electronic</strong> <strong>records</strong>,<br />
volumes and files are reta<strong>in</strong>ed. It must also <strong>in</strong>clude a copy of all the audit trail data<br />
associated with the <strong>records</strong>, volumes and files be<strong>in</strong>g transferred.<br />
The system must report any failure dur<strong>in</strong>g a transfer, export or deletion. The report<br />
must identify any <strong>records</strong> dest<strong>in</strong>ed for transfer which have generated process<strong>in</strong>g<br />
errors, and any files or <strong>records</strong> which are not successfully transferred, exported or<br />
deleted.<br />
Where hybrid files are to be transferred, exported or destroyed, the system should<br />
require the adm<strong>in</strong>istrator to confirm that the paper part of the same files has been<br />
transferred, exported or destroyed before transferr<strong>in</strong>g, export<strong>in</strong>g or destroy<strong>in</strong>g the<br />
<strong>electronic</strong> part.<br />
The system should also enable the total destruction of classes and <strong>in</strong>dividual files<br />
that are stored on re-writable media, by completely obliterat<strong>in</strong>g them so that they<br />
cannot be restored by use of specialist data recovery facilities.<br />
Version Control<br />
Governmental <strong>bodies</strong> should decide as a matter of policy at which stage documents<br />
should be filed as <strong>records</strong> <strong>in</strong> the repository. If draft documents are saved as new<br />
<strong>records</strong> <strong>in</strong> the <strong>records</strong> repository each time they are edited, it will become very<br />
cumbersome to identify and retrieve the f<strong>in</strong>al version (the record copy) of a<br />
document. Keep<strong>in</strong>g unnecessary documents <strong>in</strong> the repository will also <strong>in</strong>crease<br />
migration costs and will slow down the system.<br />
The appropriate way to do version control is to keep draft versions of documents on<br />
the user's desktops or <strong>in</strong> the document management system and only to file f<strong>in</strong>al<br />
versions <strong>in</strong>to the <strong>records</strong> repository. Edit<strong>in</strong>g of f<strong>in</strong>al versions should not be allowed.<br />
However where it is appropriate to reta<strong>in</strong> various versions of a record as it passes<br />
through draft to f<strong>in</strong>alisation creat<strong>in</strong>g new and related versions of a record should be<br />
possible by mak<strong>in</strong>g and edit<strong>in</strong>g copies of the f<strong>in</strong>al version and sav<strong>in</strong>g them as new<br />
Manag<strong>in</strong>g <strong>electronic</strong> <strong>records</strong>_Policy Guidel<strong>in</strong>es.doc<br />
First Edition<br />
Version 1.1<br />
April 2003