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

Issues for consideration- consolidated list

Records-information-knowledge

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?

Broader framework

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?

Appraisal strategies

1. How similar (and valid) are the reasons for appraising electronic records to those applying to traditional paper-based records?
2. Should State Records adopt a functional appraisal methodology to appraise all of the output records of an agency, regardless of the manner in which they were generated.
3. What transitional strategy is appropriate to adopt? For example, State Records could adopt a mixed appraisal strategy which would involve the following:

   (a) continuing with a micro appraisal approach of the traditional format records,

   together with

   (b) a macro appraisal strategy intended to analyse the functions ofelectronic systems and then assigning appraisal criteria to those functions - the value or relative importance of these functions being reflected in the electronic records which are retained.

Ensuring adequate records are generated

1. To what extent should State Records be involved in the system design stage for all electronic systems being implemented and designed by government agencies?
2. What other strategies are viable to ensure that the record-making and subsequent management is assured, for example, the routine involvement of departmental records managers in the design of systems?
3. What impact might come from State Records adopting a role of assisting in the design of "whole of government systems" initially and expanding into agency operation specific systems at a later date?
4. How is State Records to handle the issue of existing systems which were not designed to capture and manage records?
5. How will State Records deal with those agencies which have complicated software systems in use which incorporate data elements from different systems and in widely differing formats?
6. How will State Records ensure that e-mail is seen and managed as an official record?

Management of electronic records

1. How will State Records define what is best practice for records management? What are going to be the litmus tests?
2. To what extent are records management models adopted by other government in Australia appropriate in the South Australian sector?
3. Should records management standards, issued by State Records, be mandatory or voluntary? Which is possible under our legislation?
4. How will State Records ensure acceptance of any standards?
5. How appropriate is it for State Records to look at a range of standards tailored to the differing range of records management competency in agencies? Is this in conflict with whole-of-Government vision for "boundaryless agencies", one stop shop &c?
6. How far should State Records advocate an automatic disposal regime? How will State Records ensure that there is not a mindless application of automatic disposal sentencing if the system has the capability to do so?
7. How will State Records ensure compliance with disposal schedules issued for electronic records? What records should be kept of their application and of those electronic records which have been destroyed?
8. How appropriate and viable is it for State Records to adopt a rolling program of dealing with entire agencies and minimise acting or responding on demand?
9. What is the most useful approach to take with surveys of agencies’ official electronic records and their electronic records management practices?

Maintenance of electronic records

1. How worthwhile is it likely to be for State Records to develop a single metadata standard which would embrace all of the electronic systems in use in the South Australian public sector?
2. Should State Records try and identify a set of metadata standards for those whole of government systems which are currently in use, or under consideration, in the public sector?
3. How can State Records deal with the identification of metadata element for agency specific systems?
4. How will State Records ensure that agencies build long term management techniques into systems designed with a specific set of functions, and time frame, in mind?
5. Should State Records adopt a role of training agency staff in the concept of metadata and leave it up to them to ensure that this data is captured so that the records maintain their usefulness? Is this a role which is best seen as something fundamentally new and best carried out by a departmental Chief Information Officer?
6. How should State Records identify the key metadata elements for the ongoing preservation of electronic records?
7. How diverse are the electronic systems in use in South Australia?
8. Would State Records be in a position to make such a standard binding on the public sector?
9. Whether mandatory or voluntary, how would State Records ensure that the standard was being followed?

Custody or non-custody

1. To what extent should State Records act (or plan to act) as a custodian for the storage of electronic records?
2. How would State Records meet the obligations of the 15 year transfer period in a non-custodial model?
3. Would it be best for State Records to prepare individual agreements with agency customers, for the custody of electronic records, on a case by case basis?
4. Should State Records accept the electronic records of a defunct agency for whom no clear successor can be identified?
5. In a non-custodial model how would State Records be able to ensure that agencies are meeting the three key elements of content, context and structure?

Access

1. If State Records were to be a custodian of electronic records how would it ensure that the records were accessible to the public given the widely differing formats of records currently being created?
2. In a non-custodial model how would State Records minimise the impact on agencies when handling public access requests?
3. How would State Records satisfy agencies that public users would not be a threat to other systems not directly available to users?
4. How would State Records ensure that privacy and confidentiality concerns were met in custodial or non-custodial access models?
5. How would State Records ensure that it could maintain an effective link in central gateway model? How would security and resourcing issues be addressed?
6. How would State Records ensure that it had sufficient intellectual control over electronic records in a non-custodial model?

Contact the State Records of South Australia

Previous

Next