Council on archives international records management trust



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Legislation


Legislation describes the institution’s powers and duties.

Most National Archives are established by legislation. Other archival institutions abide by similar policies or directives. In order to protect electronic records, archival legislation may need to be amended to



  • broaden the definition of official records to include electronic records

  • empower the National Archives to set rules for electronic records management

  • empower the National Archives to create a specialised electronic records management unit and define its powers and responsibilities

  • require creating agencies to allocate resources to maintain electronic records of permanent value (this point is important for implementing a non-custodial policy).

The legislation may either need to take into account, or require changes in, other legislation that affect the creation and management of records in the public sector. The list of legislation that may be affected can be lengthy; it may include

The general issue of legal admissibility of electronic records will also have to be taken into account, including rules of evidence. The National Archives will have to work closely with government lawyers.
Activity 15

Does the National Archives Act in your country define a record? Does the definition take into consideration electronic records? What other types of legislation in your country could be affected by electronic records?


Standards


As noted earlier in this module, standards are measurable rules that can be subject to auditing or review. Technical standards are particularly important because they provide the key to migrating electronic records into new media and environments.

Standards are measurable rules.

Although the National Archives or other archival institution cannot expect to set technical standards for computerised systems unilaterally, the institution needs to be able to contribute to the process. It will therefore need to develop and maintain a knowledge of which technical standards best meet the requirement to preserve and maintain access to electronic records over time.

The International Standards Organisation is developing a standard for records management that is likely to be of particular value in future. The standard will articulate the main principles of records management and provide an objective point of reference to those designing, implementing or managing record-keeping systems. Such a standard will be of use to those working with systems designers on new IT systems.

For more information on the International Standards Organisation, see Lesson 6.

Codes of Best Practice


Unlike standards, codes of best practice are not mandatory. They act as a benchmark against which an organisation can measure its practices and systems. Codes of best practice are not normally subject to a formal audit regime, but failure to comply with them would leave an agency open to criticism.

Guidelines and Manuals


Guidelines and manuals provide guidance in support of the standards and codes of best practice. An archival institution will normally develop a range of guidelines and manuals in partnership with the audit office, IT managers, security officers and others. For example, guidelines might cover the management of electronic records on the individual staff member’s ‘desk top’ or personal computer. Such guidelines might include explanations of how best to create records, manage directories and files and use records efficiently (see Appendix 1). However, such guidance addresses primarily a management issue. Records staff should contribute to developing them, but ultimately it is the responsibility of the department or agency’s managers to decide which working practices are appropriate.

Training, Services and Support


Archival institutions need to provide further guidance and assistance to agencies and their staff on practical application. This should include regular training courses and customised training services as well as consulting services to solve particular problems in the agencies themselves.

Publicity/Outreach


Even a well-designed records management programme will have no effect if no one knows about it. The archival institution must utilise all available means to publicise the electronic records management policy and the framework of legislation, standards, codes of best practice, guidelines and manuals, training and support. For example, the archival institution could publicise good records management practice on posters, articles in staff magazines, workshops and even articles in the press or interviews on television or radio.

Standards, codes, guidelines, training programmes and publicity mechanisms are all part of a successful institutional framework.

Activity 16

Based on your reading of this module, write down all the risks you think an organisation might face when electronic records are created and used.



Appendix 1

Guidance for the Creation and Use of Electronic Records

It is important to make the distinction between record keeping and records management. The guidance below follows addresses record-keeping issues. This information is only intended as an introduction. Readers are directed to the resources information in Lesson 6 for references to publications offering more detailed guidance. Several archival institutions around the world, for instance the National Archives of Canada and the State Records Authority of New South Wales, have developed such guides.

If an office plans to maintain records solely in electronic form, without printing paper, it will be essential to establish a formal, office-wide system for creating, filing, labelling and naming electronic records. A formal system will also be advantageous if there is a high turnover of personnel, or if information is shared or routed electronically. In addition, a formal system will facilitate retrieval, help to ensure proper security and protection of the documents. It will even help facilitate retention and disposal.



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