Steering Into the future
ELECTRONIC RECORDKEEPING IN NSW
Recordkeeping is an essential business function throughout the NSW Public Sector with responsibilities cascading to every level of decision making.  In an environment where the business of government is increasingly being conducted through electronic processes and tools the Archives Authority is taking on a proactive role aiming to support agencies in meeting their recordkeeping responsibilities and facilitate better use of the electronic environment in which they operate.
This booklet aims to highlight the concepts and strategies that were announced in July 1995 as part of a whole of government approach to electronic recordkeeping in our publication, ‘Documenting the Future - Policy and Strategies for electronic recordkeeping in the New South Wales Public Sector’.  This booklet also aims to introduce the tools which are currently available and in development to help agencies create and manage records in the dynamic electronic environment.
The policy and strategies articulated in 'Documenting the Future' have heralded a new era for the services and guidance the Archives Authority provides to agencies.  We are developing policy, standards, codes of best practice, guidelines and supporting documents and training in consultation with New South Wales government agencies in order to establish and promote a sound recordkeeping regime across the New South Wales public sector. Based on national and international best practice these new activities promote efficient and effective recordkeeping, ensure records function as evidence, support government accountability and offer a realistic and cost-effective approach.  Accordingly we aim to support agencies’ business through these documents and through training to ensure that adequate electronic records are made, captured and maintained.  These records in turn support ongoing business, internal and public accountability and contribute to our State's cultural heritage.
What are records?
Records are a category of information identified by the particular function they perform in the support of business, accountability and cultural heritage. They substantiate who did what, where, and when. This is illustrated in the definition of a record in the Australian Standard, AS 4390 Records Management :
"recorded 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" (Australian Standard AS 4390 Records Management, Part 1: Definitions, Clause 4.21).
The purpose of records - evidence - and the context in which they are created - the transaction of business - distinguishes them from other documents and information. For example an electronic message is a record.  An electronic message written and stored on computer is a document which has only information value until it is transmitted to another person/system. When the message is transmitted it is taking place in a transaction and is therefore evidence of such activity.
Complete records are composed of three characteristics: content, context and structure.  Content, is the substance of the message.  The context of the record gives us the necessary information regarding the business function and activity in the course of which the record is created  The third characteristic is structure, which includes format, relationships between data elements and the links documenting a chain of activity.
These elements affect the capture, retention, management and use of records within an electronic recordkeeping system. They are crucial in preserving the value of records as evidence over time as required.  They also enable the maintenance of records in the electronic form in which they have been created, thus promoting convenience of use of electronic records..
Continuum Management - effectively planning for the future
Continuum management is a model and a tool for planning the management of records covering the whole extent of a record’s existence. An agency can use this model to establish a consistent and coherent regime of management from the time of the creation of records (and before creation in the design of recordkeeping systems) through to the preservation and use of records as archives.  Many recordkeeping functions can be automated or streamlined so they are not labour intensive (and therefore costly) as they were in the traditional recordkeeping environment.
For example, using the continuum model of management, records disposal activities can be automated.  Records can be appraised at or before creation, and their management planned for accordingly. This ensures that records are created where and when it is appropriate and their value as evidence protected over time.  Appraisal effectively becomes part of the design phase of recordkeeping systems.  Agencies can actively determine what records need to be created and retained for business and accountability purposes.  Those records which need to be retained to meet cultural heritage requirements can be easily identified with the help of the Archives Authority and managed as archives with suitable care.  For agencies this means a consistent approach to efficiently managing their records while required for business, and then disposing (either by retention as archives or destruction) of records as appropriate when no longer required by the agency.
The strategies outlined in 'Documenting the Future' are premised on the continuum management approach to recordkeeping.  This approach shares responsibility and promotes  multidisciplinary action for recordkeeping among all those who have a stake in records such as records managers, archivists, information technology professionals, auditors, legal professionals, managers etc because of their involvement in the business and appraisal process. It also has implications for the way that records managers and archivists work together from the design stage for recordkeeping systems (refer to Australian Standard AS 4390 Records Management, Part 3: Strategies, Clause 6.2.2).
Roles and responsibilities - now and for the future
One of the main strategies being followed for recordkeeping in New South Wales is the establishment of a clearly defined role for recordkeeping professionals and the Archives Authority itself.
The role of the recordkeeping professional will be to determine and define a recordkeeping framework to suit their organisations based on the size and nature of the organisational environment. Recordkeeping professionals will act as consultants in establishing, implementing and monitoring standards for recordkeeping, rather than deciding about specific records in specific recordkeeping systems or creating extensive documentation about them.  This will enable the recordkeeping professional to influence recordkeeping over entire organisations rather than small sections.  This role will include educating employees in their recordkeeping responsibilities.  Specialised assistance will be given by the Archives Authority and recordkeeping consultants to recordkeeping professionals so that they can carry out such activities.
In this new environment of recordkeeping, agencies will be required to:
•	keep full and accurate records of business to meet a uniform level of accountability
•	implement records management programs which satisfy government approved policies, standards and codes of best practice supporting the new State Records legislation.
These requirements will not have to be met by the agency in isolation and without assistance. The Archives Authority sees its role as a steering one which will guide agencies towards sound recordkeeping practices.  We will be helping agencies by:
•	facilitating the implementation of agency requirements of the new State records legislation
•	issuing policies, standards and codes of best practice for recordkeeping 
•	facilitating  networks of recordkeeping professionals
•	providing guidance and training, and
•	by encouraging the development of useful tools for electronic recordkeeping.
Improving recordkeeping practices
Central to the needs of agencies is the improvement of recordkeeping practices and the development and implementation of better recordkeeping systems designed to manage the increased demands on recordkeeping in the electronic business environment.  Many automated business systems to date have not been designed to ensure that records able to function as evidence are created.  We will assist agencies in meeting their recordkeeping needs in the electronic environment.
In addition to documentation issued by the Archives Authority, we have endorsed and encouraged the use of the Australian Standard AS 4390 Records Management by agencies as a standard of best practice catering for both the paper and electronic environments.
The design methodology for recordkeeping systems outlined in the Australian Standard AS 4390 Records Management uses the continuum management model described earlier to establish a regime of records management prior to records creation at the design (or re-design) stages of a recordkeeping system.  As part of this methodology recordkeeping professionals analyse the business, technological and organisational nature of their organisations through investigation, analysis of business activity, and identification of recordkeeping requirements associated with that activity.  With this knowledge existing systems can be assessed and strategies for recordkeeping identified to suit the environment.  The subsequent design of the recordkeeping system incorporates the processes and practices that support agency business.  The system is implemented and reviewed at a later stage.
The methodology for designing and implementing recordkeeping systems involves:
•	a systems design methodology summarised in figure 1 below
Figure 1:  Summary of methodology for designing and implementing recordkeeping systems described in Part 3 of Australian Standard AS 4390
•	articulating recordkeeping requirements as the basis for the design of recordkeeping systems.  Determining recordkeeping requirements focuses activity on why records need to be kept in each case, what specific needs they must satisfy and what the risk is of not satisfying those needs, for example, for evidence.
•	a mix of tactics such as policy, design, standards and implementation which are then tailored to individual recordkeeping environments.  Organisations differ in their regulatory and technological environments and organisational cultures. Any one or combination of these tactics can be used to suit a particular environment for successful development and implementation of a recordkeeping system and associated practices.
•	a multidisciplinary approach within and between organisations in the design, management and monitoring of electronic records within systems.  The use of the methodology and tactics described above moves beyond traditional records management and requires a multidisciplinary approach because it involves management principles, the law, a range of technologies, audit processes and systems design.
A Framework for Implementation
The Archives Authority has begun to develop various products to help cultivate a better recordkeeping environment within New South Wales.  These products will be implemented on a whole of Government basis.  The diagram below depicts the whole of government framework for records management in New South Wales.
Insert framework diagram here 
A suite of standards and related documentation are being developed to support state records legislation within the recordkeeping environment.  They will be applicable to records in both the paper, electronic and mixed environments.  In addition guidance in the form of polices, codes of best practice, guidelines and training to agencies to ensure sound recordkeeping within the electronic environment will be provided. Good electronic recordkeeping will reduce the cost of government, improve the delivery of services and support accountability.  By helping agencies and government as a whole to ensure that adequate electronic records are made, captured and maintained to meet business and accountability requirements, we can help reduce reliance on paper records as well as minimise the risks associated with inadequate records of business conducted electronically.
Establishing a policy framework for electronic recordkeeping
Among the initial tasks has been to establish a policy framework for the implementation of sound electronic recordkeeping practices on a whole of government basis. Two policies have been developed.
The first of these relates to electronic recordkeeping in general and outlines seven principles which agencies should incorporate into their recordkeeping strategies and initiatives to ensure the effective management of electronic records. The principles include electronic recordkeeping being incorporated into records management programs by agencies through the development and implementation of policies, procedures and systems.  Electronic recordkeeping should become a routine part of business in the electronic environment by building it into business processes and tools and utilising existing infrastructures more effectively.
The second is a policy, supported by guidelines, for the management of electronic messages as records. Increasingly business is being conducted through the use of electronic messaging, and until now the implications for its use in business have not been made clear. This policy helps agencies clarify the importance of electronic messages as records and the principles involved in properly managing them as official records.  The policy and associated guidelines help agencies develop internal policies and guidelines to suit their individual organisational business requirements especially in regard to conditions and responsibilities for using messaging facilities.
Support and guidance in the electronic environment
A number of support mechanisms have been developed to assist agencies with implementing the policies, guidelines and the related standards in electronic recordkeeping.  These are aimed at records managers, archivists, corporate managers, information technology professionals, senior managers, and end users.  These include:
•	Desktop Management: Guidelines for managing electronic documents and directories.  We have developed guidelines on electronic document management which suggest a range of strategies to agencies operating within an unmanaged electronic PC environment.  Depending on the individual requirements, agencies can adopt one or a mix of strategies to manage electronic documents, and thereby, reduce the threat of loss to unmanaged electronic records that may also be stored on PC systems in the short term.
•	Recordkeeping systems design .  We are developing a manual to give practical guidance to agencies for the design and implementation of recordkeeping systems based on the methodology outlined in Australian Standard AS 4390 Records Management.  Refer to figure one.
•	Utilising records management software.  We are endeavouring to ensure that government approved records management software products are utilised to facilitate electronic recordkeeping by ensuring that agencies are aware of how such products can be used to effectively control electronic and paper records.
•	Training and education.  We recognise and fully acknowledge that the strategies for electronic recordkeeping that we are recommending need to be supported by effective guidance for agencies  All the policies, standards, codes of best practice and guidelines, will be supported by briefing sessions and will be included in the training conducted for recordkeeping practitioners by the Archives Authority.

Archives in Cyberspace
As part of our work in supporting the protection of electronic records throughout the records continuum we are also examining changes in the practices of the Archives Authority in order to ensure electronic access and use of the State’s official archival heritage.
As part of this, projects which will investigate the conditions and requirements for the long term preservation of electronic records as archives are planned. This will include:
•	exploring the articulation and capture of metadata for use in archival description
•	exploring the viability of distributed custody 
•	building better archival control systems and 
•	establishing networked access to the finding aids and holdings in the control of the Archives Authority.
The first step in this direction has been the establishment of the Archives Authority of New South Wales internet web site in June 1996. This web site currently provides access to information about the Authority, copies of documents issued by us, updates on work in progess, news of special events, and general information and finding aids for archival holdings.  Work produced as part of the electronic recordkeeping and recordkeeping standards projects are available on the web site.  Long term use of this facility will include access to holdings via the 'net' and virtual exhibitions.
For further information:
The Records Management Office can be contacted via electronic mail at
					rmonsw@records.nsw.gov.au
Information and documents produced as part of the electronic recordkeeping project are located on the Archives Authority Web site at
					http://www.records.nsw.gov.au
Otherwise, our contact details are as follows:
Records Management Office
Archives Authority of New South Wales 
Level 3, 66 Harrington Street
The Rocks,
Sydney 2000
Telephone:	(02) 9237 0120
Facsimile:	(02) 9237 0119