Backing-up
Dependable backup procedures protect electronic documents from loss and corruption. Most networked environments provide for effective backup procedures. Individual hard drives on PCs are not backed up via the regular network backup procedures and must be backed up regularly by users onto diskettes.
Diskettes
Diskettes may be used to store documents with a very low reference rate or to back up individual hard drives. In addition, they are used to transport documents in the absence of network access.
The directory structure of diskettes should be the same as the directory structure used in other electronic workspace. Since diskettes have limited storage space, separate diskettes may be used for each directory or sub-directory. Alternatively, diskettes can be used to store documents belonging to one user or work group, or documents on the same subject or with the same deletion date. They can then be filed by directory or sub-directory name, user name, organisational unit, subject grouping, deletion date and so on. A printout of the document index could be stored with the diskette for retrieval purposes.
All electronic media items must be labelled. External labels on diskettes or CD ROM covers should include the name of the originating office, the title of the document and the start and end dates. They should indicate the equipment on which it was produced.
Diskettes should be labelled and filed alphabetically or numerically. When dealing with many diskettes, use colour-coded labels to help identify and retrieve documents quickly. For example, each colour could refer to a different programme, activity, subject, organisational unit, user name and so on.
Labels on a computer magnetic tape cassette should include the volume/serial number, the name of the programme office sponsoring the data and data set name(s). Access restrictions should be indicated on the label when applicable.
Labelling conventions should be kept simple. One effective system is to file like records in the same place (ie on the same labelled floppy or magnetic tape).
Electronic media needs special handling if electronic records are to be preserved for more than a short time. File custodians should know which files are permanent, what is to be done with them and when. This becomes increasingly important if computer files appraised as permanent are being maintained in decentralised locations.
The following are general maintenance suggestions.
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Backup files onto disks often – preferably after every update. Systems administrators should perform periodic system-wide backups. Ideally, backups should be kept off site.
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Do not use diskettes for long-term storage of permanent records. Temporary storage on diskettes is acceptable.
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Keep disk and tape drives clean and give them periodic preventative maintenance.
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Keep diskettes and tapes away from strong electrical or magnetic fields.
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Do not touch the recording surfaces of floppy diskettes; do not break open their outer shell.
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Do not allow unauthorised persons to have access to the computer or to the diskettes or tape files and records. Even people with good intentions can enter commands that will delete files or reformat hard disks.
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Keep food and drink away from storage media as well as equipment.
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Store disks and tapes in a vertical position in a storage container (for example a disk box).
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Store diskettes under normal office conditions, taking care to avoid extreme fluctuations in temperature and humidity if possible.
Data processing facilities storing magnetic tapes containing permanent or unscheduled records need to take account of the following points.
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Store magnetic tapes in a dust-free environment at a constant temperature between 18-20 degrees Celsius and at a constant humidity between 35 and 45 percent.
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Read annually a statistical sample of all permanent and unscheduled data sets stored on magnetic tape to detect any loss of data.
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Periodically rewind tapes at constant tension, at normal tape speed.
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Copy data on the tapes to new or re-certified tapes at least once every ten years or more frequently when necessary to prevent the physical loss of data or technological obsolescence of the medium.
Summary
This lesson has examined the management issues associated with electronic records, including the following realities:
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record keeping is becoming more complex
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automating processes is different from managing an electronic office
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relying on electronic records is a high-risk strategy
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there are high costs associated with electronic records management
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there is a risk of lost audit evidence
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electronic records contribute to the development of electronic government.
This lesson has considered the stakeholders who have an interest in the creation and use of electronic records, and it has then examined the legislative or policy framework required for effective electronic records management programme.
It concluded with an appendix of guidelines for the creation and use of electronic records.
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List ten issues that must be understood before an organisation moves from a paper-based to an electronic records environment
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Why might relying on electronic records be a high risk strategy?
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What is ‘electronic government’?
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What are the main stakeholders in well managed electronic records?
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List the layers in a framework for records management.
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What is the difference between the custodial and non-custodial models for the role of an archival institution?
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What kinds of legislation may have to be amended to take into account the existence of electronic records?
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