ELECTRONIC RECORDS IN OFFICE SYSTEMS, CHECKLIST OF GOOD PRACTICE FOR ELECTRONIC RECORDS MANAGEMENT

by Ian Macfarlane

	The following checklist is intended to assist departments to check that their policies, technology, procedures and organisation are in place which will ensure that they are meeting their obligation under the Public Records Act to safeguard and maintain records.
	
	The checklist should be interpreted to suit the particular environment of the department. The items on the checklist will then form the basis for questions that should be asked - ideally there should be an affirmative answer to each question. Otherwise, it is suggested that the risks are evaluated and remedial actions undertaken.
	
	Policies
	
1.	Does the department have a structure for its records which follows the structure of its functions or some other scheme and which facilitates the grouping into assemblies of electronic records (equivalent to the assembly of records in a paper file)? Also does the structure allow closure of assemblies of electronic records as appropriate and the setting up of new ones to reflect changes in the department’s activities? 

2.	Is there a policy that all records are owned by the organisation as a whole rather than limited to individuals or teams?

3.	Does the record keeping arrangement for each type of record make clear whether the records are to be put on to hard copy and held in traditional files; or are to be registered in an electronic record keeping system?

4.	Where electronic records are being kept, is the electronic record keeping built into business processes and tools, and are the practices systematised through the design and operation of reliable electronic record keeping systems? (These may be dedicated record keeping systems or office systems and processes which incorporate record keeping and thereby function as record keeping systems).

5.	Where there are electronic documents and paper (or other forms of records), are the records managed so that all relevant records on a topic are linked?

6.	Is there a policy for use of electronic mail which states that when a business transaction is carried out by sending an electronic message then that electronic message is a record which should be included in record keeping?

7.	Is there a policy or standard which stipulates that when a new IT system is planned:
	-	the DRO is consulted
		-	functionality for record keeping is specified which includes registration and 		indexing of documents
	-	facilities are specified for retention of records and their appraisal, 			selection and transfer to the PRO.

	Technology

8.	If a system is planned to keep records in electronic form, have the necessary electronic records management facilities been specified and developed through design, implementation and operating procedures, in consultation with the DRO? 

9.	Are the record keeping actions for registering records supported to make them semi-automatic (subject, for example, to the user’s decision as to whether the information is ephemeral/personal use only or a formal record) with defaults, prompts and help facilities?

10.	Are there facilities to handle the different stages of the information life cycle so that records in the semi-active stage are either preserved as part of  the operational system or put, together with information on data structure and context, into an actively maintained archive (i.e. one which will periodically check and refresh the integrity and accessibility of the records)?    
	
11.	Are there facilities available which will enable records which should be permanently preserved to be identified and tagged? Are there also facilities available to enable retention dates to be associated with records which should be deleted or destroyed, subject to confirmatory decision, when of no further use to the department nor the PRO?
	
12.	If electronic mail messages are to be kept as records, is their structure, content and context (for example creator, date, title etc. in the message header) being preserved and are they being captured in an electronic record keeping system?
	
13.	When a new system is introduced and migration carried out from an existing system (or if an existing system is de-commissioned), does the migration plan for data transfer specifically cover appraisal or reassessment of the records with transfer of all records which meet retention criteria to the new system? Alternatively does the plan cover transfer of such records, complete with information on data structure and context, to an actively maintained archive?

Procedures

14.	Are there procedures which state which types of computer held records should be put out to hard copy and which should be registered in an electronic record keeping system?
	
15.	With respect to the above, is there a monitoring procedure to check the completeness of the registration of records? 
	
16.	Is responsibility for electronic records delegated to “data guardians”, local supervisors of records, who are responsible for electronic records management procedures being in place and carried out in their area of the organisation?
	
17.	Does a records inventory exist which is capable of locating those records which have been determined for transfer to the PRO and locating those records which have been marked for destruction?

	
	
	Organisation
	
18.	Does the DRO or other nominated person have the task and skills available to them to:
-	state the electronic record keeping facilities required as part of the specification of a system’s requirements
-	review the types of documents and develop procedures to handle them with respect to access and storage of each type
-	develop, liaising with the PRO, policies, standards and procedures on approaches and timescales for reviews and transfers to the PRO specifically covering electronic records?

October 1996