Management, appraisal and preservation of electronic records: Vol 1 ...

More documents

Recommendations

Info

Records life cycle 4 : Management of electronic records 4.1 This section deals briefly with: ■ The records life cycle and the management processes which are applied to electronic records ■ the secure capture of electronic records into a records management system ■ the appraisal, scheduling and disposal of electronic records ■ the preservation of electronic records, and the transfer of selected records to the Public Record Office. Further guidance will be found in the Procedures volume, where all these aspects are discussed at length. 4.2 The strategic and business environment of the organisation provide the context for the development of record keeping requirements. The role and purpose of the organisation, its structure and regulatory framework and its main business activities are factors which will help to identify critical mandatory record-keeping and accountability requirements. The style and structure of the organisation, the management framework, and the degree of centralisation or decentralisation inform the role of records in supporting strategic objectives and obligations. 4.3 The responsibility for maintaining and managing electronic records must be placed with managers with appropriate expertise and authority who will ensure that electronic records of present and continuing value are actively managed during their operational lifetime in accordance with these guidelines. The DRO must make these managers aware of their responsibilities under the Public Records Acts by liaising with them on a regular basis to develop procedures which will ensure compliance with established departmental policy. 4.4 Records, whether electronic or paper, pass through identifiable phases in their lifecycle from initial creation to final disposal. At each phase of the cycle, electronic records need to be actively managed according to established procedures, to ensure that they retain qualities of integrity, authenticity and reliability. 43
Management, appraisal and preservation of electronic records Capture into a secure record-keeping environment 44 Creation and capture Disposition Preservation Appraisal Disposal Transfer to PRO or destruction Figure 4.1: Phases in the process of managing electronic records 4.5 The main phases are: ■ capture - the initial creation of a record, and its successful incorporation within an established record keeping system environment ■ disposition - initial decisions made on the appropriate retention period for a record and its eventual fate when no longer active ■ appraisal - the process of making decisions on initial disposition categories and final decisions on records disposal, whether for permanent preservation or destruction ■ preservation - strategies and mechanisms for the migration of records between hardware and software platforms as technologies change and are updated for as long as the records as required ■ disposal - the process of preparing records for transfer to the permanent archive (the Public Record Office, or other designated repository) for permanent preservation, or final deletion / destruction. 4.6 Through all these stages, records must be managed securely within a compliant environment to maintain their integrity, and in a manner which provides the most sophisticated access mechanisms available for operational use that is consistent with the stringencies of record keeping. 4.7 Capturing the record within the electronic environment involves management of the interface between the record-keeping system and the applications, such as word processors or e-mail clients, which are used to create or receive records. Systematic capture requires both a technical interface and a
Page 1 and 2: This document is no longer current.
Page 3 and 4: Management, appraisal and preservat
Page 6 and 7: Contents Guidance on electronic rec
Page 18 and 19: 2 : Electronic records in the organ
Page 20 and 21: Serving organisational accountabili
Page 22 and 23: Developing a culture of record keep
Page 24 and 25: Putting the electronic records poli
Page 26 and 27: Electronic records in the organisat
Page 28 and 29: Corporate standards for handling el
Page 30 and 31: Electronic records in the organisat
Page 32 and 33: 2.55 Information systems and Inform
Page 34 and 35: 3 : Record organisation and structu
Page 36 and 37: Categorisation and classification o
Page 38 and 39: Metadata Record organisation and st
Page 40 and 41: access rights, to prevent changes b
Page 44 and 45: Appraisal and disposition of record
Page 46 and 47: Physical format types Management of
Page 56 and 57: Annex
Page 60: Management, appraisal and preservat

Management, appraisal and preservation of electronic records: Vol 1 ...

Create successful ePaper yourself

Delete template?

Save as template?