Electronic Records
Is there a difference?
Electronic records require all the same care that should be applied to records on paper or captured on microfilm but present some unique and difficult additional challenges. The key difference is that the appropriate index terms, search data and retention period (usually referred to as metadata) have to be applied at the point of creation if there is to be any chance of finding the record again ormanaging it as a record in any rational business system.
Electronic Records are:
Easy to change, copy and modify
Complex and tend to lack a clear structure when being created
Fluid
Transient and need positive decisions for selection and preservation at the very start of the life cycle.
Copy or Original Record?
A record, which is created electronically as the only record of a transaction, decision or activity is an original record. It is worth saying that the final word processed version of a document held in an electronic system whether it is a minute or a letter is the original not the paper version.
A record, which is created electronically as a facsimile or digitised version of a record created in another medium (paper, film, voice) is a copy record. This remains true whether or not the original still exists.
Objectives of Electronic Records Management
There are three core objectives which must be applied to each and every new electronic record:
Authenticity. It must be an accurate version of the activity, transaction, or decision it represents
Integrity. The record must not be altered after it has been created or 'declared'. As a general principle if the record content/information is required for subsequent processing this should be copied and a new record created.
Non-Repudiation. The original ownership of the record must be established and maintained to prevent the originator from disowning the record.
Electronic Records Management Policy
This must cover five principal areas;
Capturing electronic records into an Electronic Records and Document Management System (EDRMS) where one exists within your institution. JISC infoNet has a separate applied infoKit on implementing Electronic Records and Document Management Systems.
Designing appropriate indexing, search-terms and reference information (usually referred to as metadata) for application as the record is created. This is the most vital step of all because without it recovery of the record from systems will be virtually impossible after a very short period of time. The electronic Bermuda triangle where data is added to a system and then is irretrievable is a very well-known phenomenon.
Keeping Records safe and accessible. This involves identifying Vital Records, updating offsite and security copies, ensuring that data transfer is a fully certified and documented process and ensuring that security copies also meet the requirements of Freedom of Information and Data Protection legislation.
E-mail management and use
Retention and Preservation of Electronic Records. This is perhaps the most little understood part of policy because it is an area in which IT specialists have traditionally been over-confident in their ability to find a technical solution when it is needed. They may be right but prevention is cheaper than cure. By way of warning about the survival rate of electronic records storage media the Digital Preservation Coalition has produced the following table of life expectancy of various electronic storage media under different conditions of temperature and relative humidity.
By way of contrast paper documents that are kept at a temperature of 16-19 degrees celcius and a relative humidity between 45-60% should be good for 100 years plus (British Standard 5454:2000).
