State Records of South Australia MANAGING ELECTRONIC RECORDS ISSUES a discussion paper

The context (continued)

(iv) Records - information - knowledge.

Records are a part of the information/knowledge asset base which is being regarded, increasingly, as a major organisational asset. The application of technology is escalating dramatically the volume of information available to organisations and individuals: how government reacts in this environment - whether in seeking the information, in undertaking interpretation and analysis, in making policies, or in implementing and monitoring such policies - is known and capable of proof only by its records. Records provide the evidence of deliberations, decisions and transaction. Their continuing integrity is crucial for as long as they have value for government or the community.

Typically, records have been valued more highly and managed better by those agencies whose functions centre round maintaining records - particularly those with registration functions prescribed by statute. Examples of these functions includes: land titles; mining claims; births, marriages and deaths; and criminal activities. There are also particular activities where, as a result of government requirements, all agencies have taken care to maintain full and accurate records: for example, financial and personnel management. The emphasis on occupational health, safety and welfare and the need for agencies to document not only present policies and practice, but those from earlier years, is another recent example where record keeping has had high priority in agencies, since it is a key component in keeping Workcover levies at the lowest cost.

The benefit to the business of an agency from systematic good records keeping across all its activities is not well reinforced by such externally imposed whole-of-Government requirements. However, where agencies see that it is useful to have ready access to information on how present policies have evolved and worked, coupled with information about the various clients affected by their policies, programmes and procedures, a high profile for records management is seen as good business sense and good stewardship.

Presently the South Australian Government, like other governments in Australia, is in a transitional stage of adjusting its services to a new environment, where technology enables fast inter-agency communication, dissolves agency boundaries into a web page hyperlink, and permits massive searches of information throughout the world. What is lacking at present is a consistent infrastructure to support these changes and to ensure that government policies and services do not become fragmented and chaotic.

Most records created now by people within the Government are electronic. In many cases this simply means they are created on a personal computer networked within a work group or agency. The record may be transmitted electronically and become part of an accumulation of electronic records. Yet often the ‘recordkeeping system’ to which it belongs is no more than a server filled with an unstructured mass of records which are difficult to locate and subject to intermittent purges. In such cases reliable and enduring recordkeeping still depends on record creators printing all records of more than transient value and ensuring that they are incorporated into a structured paper based recordkeeping system. This is still the prevalent situation for electronic mail, where selective printing and filing is generally a response to the large number of such messages and also a default to any alternative policies. But such a solution is unlikely to provide adequate evidence of messages which have significance as a record of decision-making.

There is a thus a real risk that electronic records will not perform the function of traditional paper-based format records. First, the habits of paper-based record-keeping may be hard to break. Because we still rely on paper as the usual basis for reference, discussion and decision, there is a tendency to associate the paper record as necessarily being the record. Second, the requirements for electronic records management may be seen as too difficult, too costly, and unhelpful. This is an era when currency of information is viewed as the basis for competitive advantage. Spending money on ensuring electronic records are accessible ten, twenty, fifty years hence can look rather irrelevant in that context. The difficulty with this perspective, of course, is that - increasingly - the electronic record will be incapable of being adequately reproduced as a paper-based record. Multimedia and interoperability are two obvious examples of this.

While a convergence in records management practices will facilitate managing access to records (both within agencies and under the Freedom of Information Act), it seems unlikely that most of the records of the Government will be available on a Government Intranet for interagency collaboration or the Internet for direct public access. Currently South Australian Government agencies are required to have published at least annually an information statement which includes a description of their structure and functions, how those functions affect members of the public, what arrangements exist to enable members of the public to participate in the formulation of the agency’s policy, what kinds of documents are usually held by the agency, and how a member of the public obtains access to these documents. Typically, these statements - in variable format and detail - are found in departmental annual reports.

The approach being considered by the Commonwealth is to develop an implementation plan for a standard comparable to that evolved for the United States Federal Government. This standard, known as the Government Information Locator Service (GILS), will make government information available at department and agency level. Such a development looks useful for South Australia. Since the Australian Archives is the lead agency for this work in the Commonwealth, it could be appropriate for State Records to advance South Australia’s understanding, and eventual adoption of such a standard, by seeking a close working relationship with the Australian Archives on this project.

Issues for consideration

1. To what extent is the evidential nature of records understood within government? Is it seen as conflicting with the emphasis on managing the information and knowledge asset base?
2. How desirable is it to aim for records created electronically to be managed electronically?
3. How useful would it be for State Records to promote the development of a South Australian Government Information Locator System to improve the increased visibility of government information holdings?

(v) The broader framework for electronic records strategies

As with most new initiatives it would not be possible for State Records to develop and promulgate a position on electronic records without some consideration of the broader context, both within State Records and the public sector generally. This section of the paper addresses some of the major issues.

The Records Management Office of the Archives Authority of New South Wales has carefully formulated a strategic direction for the management of electronic records, and their policy on electronic records simply forms one element of this direction. Developing an equivalent framework would give State Records the opportunity to structure its programs and policies and also give agency customers a clearer idea of the goals and targets. State Records has already done some preliminary work in this direction in its Policy and Procedure Manual, issued in 1996. The development of a framework can build on this.

In addition the South Australian Government currently has a number of initiatives under way which impact directly, and indirectly, on the issue of electronic records management. The most obvious of these for records managers and archivists is the Whole of Government Records Management Project, established in 1995 and co-ordinated through State Records. This project seeks to improve records management practice, and move to greater uniformity within the South Australian public sector, with a mandated records management software as a tool and catalyst. However, this project is not a complete solution to the issues and challenges of electronic records management.

Whilst the mandated software represents a very good way to manage records electronically, it may not represent the appropriate solution to the management of electronic records. Given some of the functional capabilities of the system, and the whole of government mandate, it is essential that any future directions for the management of electronic records be considered in conjunction with this project.

A recent consultancy was undertaken by IMS to address the issues of future records management in South Australia. One of the four major themes which the consultancy report identified was the management of electronic records.

What may be less obvious to records managers and archivists is the wider whole-of-Government approach and its impact on the management of records, information and knowledge. During the term of the records management project, mandated human resources and financial management packages have been widely implemented. With a thrust towards electronic commerce and the greater delivery of government services online, there will be an increasing focus on linking the various facets of information and communication together. So the broader framework for records management needs to relate to this over-arching broader strategy, as well as taking into account government-wide information technology standards.

Issues for consideration

1. What elements should State Records consider for the broader framework within which the policy should operate?
2. Would it be possible/advisable for State Records to adopt a model similar to that in use by the Archives Office of New South Wales?
3. How could State Records link its intended policy into the broader frameworks and strategies in place in the South Australian public sector?

(vi) The intended audience for any State Records policies and guidelines

The intended audience for any policies and guidelines issued by State Records on electronic records will vary considerably in terms of their experience and desire to implement. A multi prong approach, consisting of the following, may be an appropriate approach:

•General policy statements for acceptance by departmental Chief Executives

•Specific guidelines for use by actual records mangers and system designers

•the possible development of electronic record users guidelines for use by all members of the South Australian public sector

•the development of a hidden user interface to ensure the effective and immediate capture of all electronic records(including e-mail)

The key to success, however, is support from senior level managers in all of the ten current departments and the dedication of resources to support the programs both inside State Records and in agencies.