Consultancy

Framework proposal for electronic records management underpinning e-government

Government e-government programme

Following a meeting on May 28, 2005, this proposal set out how electronic records management (ERM) underpins the delivery of e-government, since electronic service delivery generates transactional and document-based records that must be retained as authentic, legally admissible evidence. It highlighted the risks of leaving electronic records ungoverned - lost documents, deleted e-mails, uncontrolled web versions - and the benefits lost when organizations keep relying on printing records to paper. The proposal offered to help government organizations build guidelines, a framework and milestones for full electronic records management, aligned to cross-government metadata and interoperability standards, so as to meet the modernizing government target of storing and retrieving all newly created public records electronically.

Sector
Government
Established
2005
Engagement trigger
Meeting of May 28, 2005
Consultancy offer
Guidelines, a framework and milestones for full electronic records management (ERM)
Target
All newly created public records electronically stored and retrieved by the modernizing government target date
Scope of application
All central government departments, their agencies, and Non-Departmental Public Bodies (NDPBs)
Infrastructure approach
Three-pronged ERM infrastructure: new-system integration, control of existing electronic records, and harmonization with residual paper-based record keeping

Background

Further to our meeting of May 28, 2005, in respect of the above subject, I am pleased to give hereafter an executive summary of the subject and how we can help as consultants.

Electronic Records Management Underpins E-Government

Electronic records management is a key technology underpinning electronic government.

The electronic delivery of services to business and the citizens will produce electronic records as evidence of individual transactions; this evidence will need to be retained and maintained over the medium to long term as records, which can demonstrate accountability and preserve reliable access. The replacement of manual and paper-based processes with electronic processes in government administration will generate electronic records as evidence in policy-making, casework and service delivery areas.

Until now, new information systems development often generates electronic records that do not fall under any formal corporate management and control. Effective electronic records management to support information age government will require a formalization of control over electronic records already existing in departments and agencies, as well as planning for those that will be generated by new service delivery and policy-making systems.

Electronic Records as a Corporate Information Resource

Government organizations need to manage electronic records as valuable corporate information resources.

Records represent an explicit corporate memory for the organization. Electronic records unlock the content previously difficult to access in paper form, enable more effective sharing of information and contribute to knowledge network flows. They support evidence-based policy making by providing reliable evidence of past actions and decisions, but to do so must be managed so as to retain their integrity and authenticity. Electronic records of authenticated electronic transactions need to be kept in such a manner that retains their qualities of legal admissibility and evidential weight. Privacy and access issue, and particularly freedom of information legislation, requires that electronic records be managed consistently within regulatory frameworks. Aspects of electronic records management should be built into both record-generating and records management systems to ensure that these longer-term requirements are met.

...By constructing interacting systems of software, standards, policies, procedures and interfaces.

Greater commonality between records management systems, including metadata standards, standard logical and physical formats, and compatible procedural control, will support interoperability and joint working between departments and agencies, and enable the managed sharing and exchange of records. The longer term requirements of public records will require public sector organizations to plan for migration of records, as hardware and software platforms change, to ensure continued access and authenticity. This maintenance of records in electronic form will make feasible their transfer to the National Archive Office, and public access both there and remotely to records in electronic form.

Framework for Electronic Records Management

Government organizations must establish framework for electronic records management to provide:

  • Background guidance to assist with the inclusion of electronic document and records management considerations in departmental e-business strategies.
  • Provide a framework and a set of millstones for departments and agencies to move towards full electronic records management by gaining formal control of existing electronic records that have value as evidence; and to plan for the implementation of electronic records management systems that will meet the modernizing Government target.
  • Encourages the adoption of cross-government standards for metadata and interoperability to support greater commonality and inter-departmental working in electronic document and records management, and in the sharing and exchange of electronic records between government systems.

Electronic Records Management and the E-Government Strategy

Information age government is underpinned by the effective management of electronic records. Transactional records will be generated by new forms of service delivery, as electronic transactions are received from business and the citizens, and processed in one or several departments. Document-based records will be generated within departments by day-to-day working activities in relation to policy-making and administration, casework and operational services. Increasingly, innovation in ways of working, knowledge-based activities and operational use of information will produce more sophisticated electronic records that can only be managed electronically. All types of electronic record form part of the corporate memory of the organization. Effective electronic records management (ERM) supports:

  • Efficient joint working, information exchange and inter-operability between government organizations.
  • Evidence-based policy making by providing reliable and authentic information for the evaluation of past actions and decisions.
  • Administration of data protection principles and effective implementation of freedom of information and other information policy legislation, through good organization of records.
  • Knowledge management across sectors of government by making reliable information available for sharing, extraction and summarization.
  • Various specialized legislation by demonstrating the authenticity of records and supporting legal admissibility.

Risks of Ungoverned Electronic Records

Depending on maintaining physical records in conventional paper filing system, by printing electronic records to paper as most government organizations do, and as electronic methods of working increase in extent and sophistication these systems are breaking down. For example:

  • Staff forgets to print and file significant documents.
  • e-mail messages are deleted from servers without any prior achieving.
  • Website and intranet documents are not effectively controlled as dated versions.
  • Multimedia documents cannot be printed without loss of information.

Benefits of Effective Electronic Records Management

A failure to manage electronic documents and transactions as formal corporate records will mean that significant opportunities are lost, for exploiting the content to support new ways of working with faster access to higher quality and up-to-date information. Electronic records will have to be managed and maintained by electronic means to gain the full benefits of e-government which include:

  • Better and consistent development and stewardship of corporate memory.
  • Collaboration across workgroups and the enterprise
  • Enabling clerical staff to become professional knowledge workers
  • Greater access to corporate information
  • Improved public service and service quality
  • Managing information as an asset, encouraging its collection, dissemination and sharing
  • Promotion of organizational learning and understanding
  • Reduced cost of business operations

How the Consultants Can Help

The modernizing government target applies to all central government departments and their agencies, and Non-Departmental Public Bodies (NDPBs)

  • Provide guidelines for the inclusion of electronic records management considerations in the development of departmental e-business strategies.
  • Provide a framework and a set of milestones to move towards full electronic records management in order to meet the modernizing government target. By that date all newly created public records will be electronically stored and retrieved - through gaining formal control of existing electronic records which have continuing value as evidence; and to plan for the implementation of new electronic records management systems and facilities.
  • Provide guidelines to support greater commonality and inter-departmental working in electronic document and records management, and in the sharing and exchange of electronic records between government organizations.

Developing Infrastructure for ERM: Three Approaches

Developing infrastructure for ERM in government organizations in three ways

  • By integrating ERM facilities and procedures into new e-government systems and business processes as these are developed and implemented, and by ensuring that electronic records are captured and made available for effective management in controlled records management systems as these become operational.
  • By gaining control of the current situation in government organizations, where electronic information may often be lost or kept in an unstructured and uncoordinated manner, to enable identifying, evaluating, and integrating of existing electronic documents of continuing value within the ERM infrastructure as it develops.
  • By implementing electronic systems for the management of electronic documents and records within government organizations, so that these can be accessed, maintained and retrieved in a manner which retains authenticity and integrity; and by harmonizing electronic with residual paper-based record keeping systems.

Cross-Cutting Coordination Issues

Building such an infrastructure will involve co-ordination of records management and information management issues across several aspects of e-government strategy; including:

  • Policy and strategy issues, to support an integrated strategy and plan within and between departments
  • Information policy issues, authentication and the retention of knowledge of authentication; privacy and data sharing; openness and freedom of information
  • System design issues in the development of new IT systems and networks
  • Interoperability issues, including a common approach to the use and description of electronic records through metadata standards, and the ability to develop integrated resource discovery and information retrieval systems
  • Skills and competency development, for all types of user and for record managers, in generating and describing electronic information.

Closing

We hope the above proposal shed light on the subject matter, and capture your interest.

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