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Recordkeeping Standards Adrian Cunningham, Sue McKemmish, David Roberts and Barbara Reed (updated March 2003)

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1 Recordkeeping Standards Adrian Cunningham, Sue McKemmish, David Roberts and Barbara Reed (updated March 2003)

2 The Presentation zEvolution of RM standards: yDevelopment of AS 4390 yDevelopment of ISO and AS zRecords Continuum frame of reference zPolicies & responsibilities, strategies, system design and implementation, monitoring and auditing zAdoption of standards by governments and private sector in Australia zAustralian Records and Archives Competency Standards

3 Overview of AS 4390 zOrigins and development zPurpose yvoluntary code of best practice yapplicable to all sectors ylink to ISO 9000 quality standards and certification zStructure: yGeneral Principles, Responsibilities, Strategies, Control, Appraisal and Disposal, Storage

4 Definition of recordkeeping zMaking and maintaining complete, accurate and reliable evidence of business transactions zNot province of records managers, archivists or system administrators alone - essential role of all employees zIncludes: ycreation of adequate records in course of business activity ydesign, establishment and operation of RK systems ymanagement of records used in business and as archives

5 Definition of Recordkeeping System zrecords practitioners and users zauthorized policies, assigned responsibilities, delegations of authority, procedures and practice zpolicy statements, procedural manuals, guidelines and other documentation zthe records themselves zinformation and records systems zsoftware, hardware and other equipment

6 Concept of a Record zRecorded information in any form, including data in computer systems, created or received and maintained by an organisation or person in the transaction of business or the conduct of affairs and kept as evidence of such activity zEvidential purpose zTransactional context zAccountability framework

7 Identification of attributes of records as evidence (AS 4390 Pt. 3) zFull and accurate records are: ycompliant yadequate ycomplete ymeaningful ycomprehensive yaccurate yauthentic yinviolate zNote: based on Pittsburgh “Functional Requirements for Evidence in Recordkeeping”

8 Concept of Records Management zRecords management is the discipline and organizational function of managing records to meet operational business needs, accountability requirements and community expectations zConcerned with: ymanaging the records continuum yproviding a service to an organization and its clients ymanaging records to meet legal, evidential and accountability requirements ymanaging records as an asset & information resource ypromoting efficiency and economy

9 Records Management as Steering Activity zRM as steering activity for whole-of-organisation zStandard setting, policy development, system design, guidelines for system implementation, specifications for records systems, consultancy and advisory services … zRecords Management as operational activity - implementing policies, systems, procedures, and recordkeeping processes; managing staff and resources See Archives Authority of NSW pamphlet, “What is records management? Records management in the NSW Public Sector” (Sept 1995): click on NSW Public Sector, then Government RK Manual, then “What is records management …”

10 Role of Records Management zSupports policy and decision making zSupports consistency, continuity and productivity zEnables organization to meet legal obligations zProtects interests of organization and rights of employees, clients, citizens zSupports better performance of business activities zProvides protection and support in litigation zSupports risk management zDocuments corporate activities and achievements zSupports R&D

11 Coverage of electronic and traditional records zAS 4390: yChallenged popular perception or RM as paper- based, limited to centralized filing systems yaddressed management of electronic records as well as conventional physical records yelectronic records not treated as a peculiar type of record, but as mainstream, just as conduct of business electronically has become mainstream

12 Links to ISO Initiative zResponse to world wide agreement to internationalise AS4390 zScope: yrecordkeeping principles, assigning recordkeeping responsibilities, production of records, management and control of authentic, reliable, useable, full and accurate records zBuilt on and extends many of features of AS 4390

13 Comparison of AS 4390 and ISO zSimilar definition of records zDefines characteristics of records and records systems (a better construct) zDefinition of records management extended to include concept of recordkeeping and recordkeeping system as per AS 4390 (does not use terms recordkeeping or recordkeeping systems) zExtended definition of RM role and purposes

14 ISO definition of records zDocuments created, received, and maintained as evidence and information by an agency, organization, or person, in pursuance of legal obligations or in the transaction of business

15 ISO characteristics of records & records systems zRecords characteristics: yauthenticity (record is demonstrably what it purports to be), reliability (record content is full and accurate), integrity (record is complete and unaltered), useability (record is locatable, retrievable, renderable and meaningful), completeness (content, structure and context) zSystem characteristics: yreliability,integrity, compliance, comprehensiveness, systematic implementation

16 ISO definition of records management zField of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use, and disposition of records, including processes for capturing and maintaining evidence and information of business activities and transactions in the form of records zScope of records management as per AS 4390 definition of recordkeeping system

17 Extended definition of role of Records Management zIncorporates roles as per AS 4390 zAdds: yprovide evidence of business, personal and cultural activity yestablish business, personal and cultural identity yfunction as corporate, personal and collective memory

18 Further Comparison of AS 4390 and ISO zNot overtly cast in records continuum framework & specifically states it does not relate to the management of archival records within archival institutions zAlso envisages RM as steering & operational activity zSimilar provisions re compliance regime, policies & responsibilities, strategies, system design & implementation, monitoring & auditing zMuch higher level view of RM operations (determining what to capture as records and how long to retain them; records capture; registration; classification; storage & handling, access & retrieval; movement tracking, applying disposition authorities; documenting RM processes

19 AS 4390 Records continuum frame of reference (1) zFocus on business functions and activities zA continuum based approach which recognises the need for: yan integrated regime of management processes for the whole of the records existence - from the time of records creation (and before creation in the design of recordkeeping systems) through to preservation and use as archives

20 AS 4390 Records continuum frame of reference (2) zAppraisal defined as: ythe process of evaluating business activities to determine which records need to be captured and how long they need to be kept, to meet business needs, the requirements of organisational accountability and community expectations zClassification serving multiple purposes: yinvolving devising & applying schemes based on business activities that generate records

21 AS 4390 Records continuum frame or reference (3) zConscious rejection of: y life cycle view yAmerican text book models of records management yimage of records managers as file clerks/janitors/”caretakers in the bone-yards of information”

22 More on the Continuum Frame of Reference zThe Records Continuum Model zAppraisal – traditional vs continuum view zDescription – traditional vs continuum view zAccess – traditional vs continuum view

23 Evidential Axis Identity Axis Transactional Axis Recordkeeping Axis Dimension 1 CREATE Dimension 2 CAPTURE Dimension 3 ORGANISE Dimension 4 PLURALISE The Records Continuum Model

24 Identity Axis Evidential Axis Transactional Axis Recordkeeping Axis Dimension 1 CREATE Dimension 2 CAPTURE Dimension 3 ORGANISE Dimension 4 PLURALISE Actor(s) Representational Trace Acts [Archival] Document Unit(s) Evidence Activities Records Organisation Organisational/ Individual Memory Functions Archive Institution Collective Memory Purposes Archives

25 Appraisal - traditional vs Continuum view zProcess of evaluating records to determine which are to be retained, which kept for specified periods & which destroyed zProcess of evaluating business activities to determine which records need to be captured & how long they need to be kept to meet business needs, the requirements of organisational accountability & community expectations

26 Description - traditional view Process of recording standardised information about the arrangement, contents and formats of the records [in custody] so that persons reading the descriptions will be able to determine whether or not the records are relevant to their research.

27 Description in the Continuum A complex multi-layered recordkeeping function that is carried out through a series of parallel and iterative processes that capture and manage recordkeeping metadata. Recordkeeping metadata is defined broadly to include all standardised information that identifies, authenticates, describes, manages and makes accessible documents created in the context of social and business activity.

28 Access - traditional view … the terms and conditions of availability of records or information maintained by an archives for examination and consultation by researchers. Administering access to archives involves establishing procedures which will ensure that legislative requirements and donor agreements are upheld, and that the records are protected from theft, damage or rearrangement.

29 Access in the Continuum Access is the process of establishing terms and conditions which govern the uses and views of records according to the rights of the individuals involved in the transactions, the business purposes of the transactions and community expectations

30 Recordkeeping policies & responsibilities zRK responsibility exists at all levels of organization (CEOs, managers, records managers, system administrators, individual employees) - needs to be identified & specified zRM program should be in compliance with requirements of regulatory environment zRM policies, standard procedures & practices should be documented, promulgated & implemented zBest practice RK systems should be implemented, monitored and reviewed zTraining programs should address RM roles and responsibilities of all employees

31 Regulatory environment = juridical context zRecordkeeping requirements in general and specific law (re creation, evidence, retention and disposal, custody, access, privacy) zIndustry self-regulation, standards and codes zProfessional standards, codes, best practice, ethics zTechnical standards and codes

32 Recordkeeping strategies zDesign RK systems that capture and manage full and accurate records zDocument RK systems zTrain records practitioners and other employees zConvert records to new systems zSet standards zMeasure compliance and performance

33 Recordkeeping system design and implementation zInvestigate zAnalyse business activity zID RK requirements zAssess existing systems zID strategies for satisfying RK requirements zImplement RK system zReview zSee Appendix A, AS 4390 Pt. 3 - Model Implementation Plan

34 Monitoring and auditing (1) zA compliant organization can demonstrate: ydeveloped strategies yidentified accountability requirements yidentified RK requirements yidentified RK related risks yassigned responsibilities

35 Monitoring and auditing (2) yRK requirements integrated into policies, business rules, procedures, work processes, and information, business application and communication systems yRK procedures and practices ensure capture and management of full and accurate records yRK system(s) established and functioning in accordance with best practice yall records captured in RK systems yall systems regularly performance tested

36 Further references zState Records Authority of NSW web site:Standard on Records Management and Guidelines on Implementation of Standard (www.records.nsw.gov.au - click on NSW Public Sector, Government RK Manual, Standard on RM links)

37 Adoption of AS 4390 by Australian governments zThe Standard was endorsed by the National Archives of Australia, State Records Authority of NSW and other state archives zAS 4390 formed the basis of a radical transformation of recordkeeping in the Australian government sector zArchival authorities are reinventing themselves as proactive promoters of best practice recordkeeping - their core business spans the entire records continuum

38 NAA and SRA NSW as lead agencies zNAA and SRA NSW are promoting ISO and AS compliance zThey are developing various detailed manuals and standards that expand upon the ISO and AS zCheck out these developments by browsing: ywww.naa.gov.au (click on Services to Government and check out policies, standards, guidelines re electronic recordkeeping and records management) ywww.records.nsw.gov.au (click on NSW Public Sector; follow links to Government RK Manual, State Records Act, Standard on Full & Accurate Records, Manual for Design & Implementation of RK Systems (DIRKS), policies on and Electronic RK

39 Standards-based toolkit for government agencies (1) zDIRKS Manual - Designing and Implementing Recordkeeping Systems y8-step methodology drawn from AS 4390 yAnalysis of functions and activities leading to a business classification scheme zRecordkeeping Metadata Standards yRecords registration, classification and management metadata at/from point of creation within an agency domain

40 Standards-based toolkit for government agencies (2) zKeyword AAA Thesaurus of General Administrative Terms - a functions-based thesaurus for classifying general administrative records zGuidelines for preparing agency-specific functions thesauri based on a BCS zFunctional analysis/business classification scheme as basis of new functions-based agency disposal authorities

41 Standards-based toolkit for government agencies (3) zNew General Disposal Authority for general administrative records based on the functions identified in Keyword AAA

42 Standards-based toolkit and software vendors zSoftware vendors have been consulted in the development of many of the new manuals and standards zA key objective is to exert a positive influence on the software market zDetailed standards and manuals of archival agencies provide the basis for auditing product and system compliance with the ISO and AS Standards

43 RM Standards in the private sector in Australia zKPMG zBHP zLink to ISO 9000 Series of Quality Standards (For discussion of links between records management standards, ISO 9000 and metadata standards, see Duff and McKemmish, “Metadata and ISO 9000 Compliance”, on reserve in Lab)

44 Australian Records and Archives Competency Standards zDeveloped within Records Continuum Framework zBasis for recognition of records and archives educational programs zBasis for development of workplace based training, recognition of prior learning, etc. zAuthoritative source for job description and classification


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