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Arkib Negara ELECTRONIC RECORDS MANAGEMENT and archive mgmt guideline_eng

3 Managing Electronic

3 Managing Electronic Records 6 e-SPARK 3.1 Creating Electronic Records To support work processes, electronic records should be captured into a corporate system that has recordkeeping capability. Capture is the process of placing a document into a recordkeeping system and assigning metadata to describe the record and place it in context, so that the record can be managed over time. Examples of records are as follows: Correspondence relating to formulation and execution of policies and operating procedures. Commitments, decisions, or approvals for a course of action. Documents that initiate, deliberate, authorize or complete business transactions. Work schedule and assignments. Agenda and minutes of meetings. Drafts of major policies or decisions circulated for comments or approval. Final reports or recommendations. Documents of legal or financial implications. Acknowledgements of receipt of e-mail records that document essential transactions. Many types of information generated in the office may not be ‘records’. Typical examples are as follows: Copies or extracts of documents that are published or downloaded and distributed for information or reference purposes. Phone message slips Electronic copy of a record of which the paper copy has been filed Trends such as decentralization, the increasing use of technology in administrative processes, and inadequate control over outsourcing arrangements have created challenges for the systematic creation and keeping of records. Conscious effort is required to ensure that records supporting business activities are created and captured in recordkeeping systems. The procedures and practices a public office establishes to capture its electronic records will depend on the recordkeeping systems in use, the types of electronic records generated and the specific recordkeeping requirements the public office must satisfy. Each public office produces numerous types of electronic records during the course of its business activities. Any procedures developed to capture those records into recordkeeping systems will need to cover all common digital objects (e.g. word-processed documents and spreadsheets) while retaining a degree of flexibility to cater for non-standard data formats (e.g. vector graphics). 6 Much of the guidance that follows was derived from Digital Recordkeeping: Guidelines for Creating, Managing, and Preserving Digital Records, National Archives of Australia, consultation draft, May, 2004 Copyright Arkib Negara Malaysia Page 13 of 86

e-SPARK The skills and experience of various staff, including information and records management professionals, information technology specialists and others may be needed. Public offices with electronic document and records management software should be able to store most electronic records in their native format within the system. Capture of electronic records within a paper-based or hybrid recordkeeping system presents more difficulty and should be carefully considered by public offices. Two options, neither of which is ideal, are: • Assigning an appropriate record number to electronic records within the system and then storing them separately. • Printing records such as email and word-processed documents and attaching them to the relevant hardcopy file. Approaches such as these may provide a cost-effective interim procedure while a more comprehensive solution is being developed. 3.1.1 Creating Information About Electronic Records Classification of business activities acts as a powerful tool to assist the conduct of business and in many of the processes involved in the management of records by: • Providing linkages between individual records which accumulate to provide a continuous record of activity. • Ensuring records are named in a consistent manner over time. • Assisting in the retrieval of all records relating to a particular function or activity. • Determining security protection and access appropriate for sets of records. • Allocating user permissions for access to or action on particular groups of records. • Distributing responsibility for management of particular sets of records. • Distributing records for action. • Determining appropriate retention periods and disposition actions for records. Metadata is data describing the context, content and structure of records and their management over time. Metadata allows users to control, manage, find, understand and preserve records over time. Some examples of metadata are: • The title of a record • The subject it covers • Its format • The date the record is created • The history of its use • Details of its disposal. Copyright Arkib Negara Malaysia Page 14 of 86

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