Principal Authors
Kimberly Barata and Piers Cain
Kimberly Barata is a Research Officer and Consultant for the International Records Management Trust. She is a specialist in electronic records and has advised the Governments of Ghana, Malta and the Secretariat for the Commission for East African Co-operation. Prior to her appointment with the Trust, she was the UK Representative for Archives and Museum Informatics (A&MI) and a senior research fellow at the School of Library, Archive and Information Studies at University College London. Kimberly is a graduate of the University of Pittsburgh School of Information Sciences and participated in the latter end of the Functional Requirements for Recordkeeping Project.
Piers Cain is the Director of Research, Development and Education of the International Records Management Trust. He is responsible for developing and implementing the Trust’s research strategy, directing research projects and overseeing the Trust’s education projects. His research interests include the impact of the ‘information revolution’ on in both industrialised and developing countries. In addition Mr Cain has extensive experience in a wide range of organisations, including Reuters Ltd, International Monetary Fund, European Bank for Reconstruction and Development and the Corporation of London.
Contributors
Rick Barry
John McDonald
Laura Millar
Rosemary Murray-Lachapelle
Reviewers
Sue Bryant, Treasury Board of Canada
Christiane Desautels, National Archives of Canada
Terry Cook, (formerly) National Archives of Canada
Tony Leviston, State Records Authority of New South Wales
Testers
Kenya National Archives and Documentation Service
State Archives and Heraldic Services, South Africa
This module is based on a variety of sources developed by records and archives programmes around the world. While a bibliography of sources is provided, much of the information for this module derives from guides and reports prepared by the following organisations:
Archives of Ontario
Centre for Technology in Government, New York State, US
National Archives and Records Administration, US
National Archives of Australia
National Archives of Canada
National Archives of the Netherlands
New York State Archives and Records Administration
Public Record Office, UK
State Records Authority of New South Wales, Australia
University of British Columbia
University of Pittsburgh
We are grateful for the support of these and other organisations that share a common concern about the management of electronic records.
Contents
Introduction 1
Lesson 1 Electronic Records: Basic Concepts 5
Lesson 2 Electronic Record-keeping Systems 20
Lesson 3 Management Issues and Electronic Records 50
Appendix 1: Guidance for the Creation and Use of
Electronic Records 70
Lesson 4 Establishing an Electronic Records Programme:
Programme Level Issues 78
Lesson 5 The Components of an Electronic Data and
Records Management Programme 100
Lesson 6 What to Do Next? 152
Figures -
Data versus Records 13
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Content, Context and Structure of an Electronic Record 15
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Example of a Template 26
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Table of Standards for Different Types of Data 33
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Table of Selected Information Technology Standards
of Relevance to Record Keeping 34
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Framework for Records Management 63
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Custodial versus Non-custodial Model 66
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Competencies 85
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Matching Strategies to Environments 92
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Cost of Processing Electronic Records 114
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Appraisal Checklist for Electronic Records 115
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Example of Data File Transfer/Electronic Records Form 122
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Preparing a Data File for Long-term Retention 125
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Codebook and Partial Dump of a Data File 127
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Example of a Validation Statement 128
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A Printout Showing Errors 129
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Migration Strategies 134
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Integrating Common Record-keeping Considerations
into Computer Systems Development 144
Introduction
Introduction to Managing Electronic Records
Managing Electronic Records introduces the basic principles of electronic records management.
Electronic record: A digital record that can be manipulated, transmitted or processed by a computer.
Computerisation has led to rapid and dynamic changes in the way governments and businesses operate. Records managers today encounter a much wider range of records, paper-based and electronic, than they dealt with even ten years ago. Even the strategies adopted for integrating and managing paper and electronic records will be subject to change over time. As a result, this module offers only an introduction to the management of electronic records and should not be viewed as a comprehensive training programme that will equip records professionals for all situations.
Students of this module are strongly advised to seek more detailed information from the sources listed in Lesson 6 and the bibliography and to take every opportunity to keep abreast of emerging records management issues.
This module focuses primarily on the management of electronic records in the public sector, but it will have relevance to other sectors. It is particularly concerned with the management of electronic records in current and semi-current use. When the records become archives some of the principles covered in the module on Managing Archives will need to be adapted.
It is vital that students should be familiar with the use of computers before studying this module. The module Understanding Computers: An Overview for Records and Archives Staff provides an introduction to the basic issues involved, but in order to gain real value from the module, students will need to gain more in-depth experience using computers. Moreover, it the module is to expose the student to what it means in practical terms to manage electronic records, it must go beyond the theoretical concepts involved. Therefore, several of the lessons seek to challenge students to understand technical concepts.
The module is composed of six lessons:
Lesson 1: Electronic Records: Basic Concepts
Lesson 2: Electronic Record-keeping Systems
Lesson 3: Management Issues and Electronic Records
Lesson 4: Establishing an Electronic Records Programme:
Programme Level Issues
Lesson 5: The Components of an Electronic Data and
Records Management Programme
Lesson 6: What to Do Next?
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