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Electronic recordkeeping

Government Recordkeeping Manual

Desktop Management - Guidelines for managing electronic documents and directories

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GUIDELINES


GUIDELINES

1 Set corporate policy and consistent practices

Planning for good document management practices is a vital process which requires careful attention. Electronic document management should be planned at a corporate level with responsibilities within the agency appropriately assigned. Planning should involve relevant input from recordkeeping professionals, information technology professionals and relevant stakeholders in effective corporate resource management. It should account for the end user environment. The most effective way of achieving this outcome is by actively seek input from end users during the planning and establishment of the system and clearly informing individual users of their responsibilities through out the process.

The planning process involves establishing and documenting policies and procedures which must be consistently applied across the agency. To realise the full potential of such policies and practices the individual user needs to be made fully aware that they exist. To this end they should be promoted within the agency through training and induction processes. Documented policies and procedures should be available in both paper and electronic form to promote their use and to facilitate induction of new staff. It should also be provided as part of training. At this level it is possible to address issues which may be specific to the agency such as maximising the use of operating systems and software features. For example, encouraging the use of features such as the document summary information facility in word processing applications.

Policies and procedures must be developed to suit the local computing environment regarding:

2 Assign responsibilities

In designing, developing and implementing corporate electronic document management practices, responsibility needs to be assigned to a number of issues as outlined in these guidelines. The objective is to ensure that established corporate policies and practices are consistently applied across the organisation. Consequently it is important for the agency to assign responsibility for setting up and monitoring corporate policy and consistent practices for electronic document management, and informing managers individual users of their responsibility to be both aware and compliant.

Given their relevant skills and expertise, agency recordkeeping professionals, information technology professionals and other business managers may be assigned responsibility for many aspects of designing, developing and implementation. Although roles and responsibilities need to be clearly ascertained, the manner in which such responsibility will be assigned will vary for individual agencies according to their local requirements.

3 Engender corporate-wide commitment

One of the main operating issues of electronic document management focuses on engendering commitment to good document management practices across the agency. Commitment can be cultivated by making relevant tools available which encourage and facilitate business communication by electronic means. It also increases awareness of the benefits and importance of electronic document management. Examples of such tools include thesauri, standard approved abbreviations and corporate style manuals. In addition to providing tools the agency should assign responsibility for training users of the system. It is important for the agency to recognise that training should be regarded as an ongoing process rather than a one-off event. Such training and awareness raising should communicate to individuals their role, obligations and responsibilities. This may take the form of briefing session and providing simple and accessible guidelines11.

4 Organise the electronic workspace

The electronic workspace is the environment in which the user operates. It is a combination of many elements such as the logical organisation of the electronic documents, the interface used to communicate with the user and the desktop which organises various software applications. It can be configured in a number of ways to satisfy business requirements using a choice of operating system and software products. In many instances the specific configuration may not be relevant to the end-user as long as the necessary links between documents are established.

An organised electronic workspace which is based on consistent principles across the whole organisation is critical for document management purposes. Two main steps need to be taken:

1. Share the electronic workspace

The electronic workspace needs to be shared throughout the organisation with different levels of accessible workspace established as required.

2. Organise the electronic documents within the shared electronic workspace

4.1 Using the shared workspace

This concept involves assessing whether a document should be maintained in a shared workspace or if it should reside on an individual's directory. It is premised on the fact that the organisation operates through various workgroups. It also recognises the fact that certain documents do not belong to specific workgroups. Some are more appropriately managed at the corporate level while others are clearly the domain of the individual. Once the shared workspace has been established it becomes necessary to determine the user permissions, resolving issues such as who has authority to add and delete from the workspace and who has read only access to documents.

Three levels of workspace can be identified12. These levels of workspace are a means for organising corporate information. They do not form a basis for appraising or disposal of electronic records. The agency needs to assign responsibility for the creation of these levels of workspace and how they should be allocated across the organisation:

Individual users have a responsibility to be familiar with the boundaries of the different levels of workspace to ascertain exactly where documents should reside.

4.2 Hierarchical activity based directory structure

Within the concept of the shared workspace a number of options are available for organising documents in directories and sub-directories. The preferred approach utilises the hierarchical features of the subdirectories to enable the overall structure to mirror the functions and activities of the organisation. This approach provides a logical layout given that it reflects the way the organisation operates.

It involves identifying at a broad level the functions carried out by the organisation which would form the first level of the directory structure, and the specific activities which are attributable to those functions which would form the second level of the directory structure. The Australian Standard AS 4390 Records Management provides useful advice with respect to the analysis of business functions and activities of an organisation13. Such an analysis should firstly focus on the goals and the strategies of the organisation. Having identified these, broad functions which support the pursuit of these goals and strategies can be determined. Then a more detailed analysis of the activities of the organisation which make up the functions of the organisation. For control purposes this functional hierarchy can be used in conjunction with controlled vocabulary systems, such as a thesaurus14, for naming the directories to result in a rational directory structure. This approach specifically negates the use of directory names based on the names of individuals in the workgroup or their position titles which does not provide a logical basis for the organisation of information. It also reinforces the concept of information as a corporate resource and does not encourage the perception that individual users own the information that is created. Refer to figure 2 for an example of a hierarchical activity based directory structure in a shared electronic workspace.

Responsibility for creating and monitoring logical sub-directories at both the corporate and workgroup levels should be assigned. This avoids the risk of creating a myriad of sub-directories which become cumbersome to search across. It also ensures consistency in applying directory naming conventions.

5 Select document naming convention

Agencies should adopt a standard naming convention for naming electronic documents. Key individuals involved in implementation need to engender support for the selected standards. Ideally, document names should also be based on controlled vocabulary systems such as a functional thesaurus to promote consistency. Alternatively, agencies should select an approach which will be adopted as a standard throughout the organisation. Given the hierarchal layout of the directory structure, document names need not reflect the titles used in directories and sub-directories. Instead, the document title can be used for the specific subject of the document, document type, version number or other unique identifiers.

In selecting an approach the following factors may be influential:

Figure 2 Example of a hierarchical activity based directory structure in a shared electronic workspace. Document and directory names are based on controlled vocabulary

5.1 Document naming options

Document naming conventions should be determined by business practice. There is significant variation in the use of PC operating systems among agencies. The document naming conventions below apply to a DOS/Windows 3.X or Windows `95/Macintosh operating system environment.

DOS/Windows 3.X operating systems

Within a DOS or Window 3.X operating systems document names are limited to eight characters with the option of using a three character extension. In the absence of a agency functional thesaurus for naming documents alternative conventions for document naming have been listed below in order of preference:

1. Select first four characters of the document's two main keywords

2. Use the full key word if it is eight characters or less

3. Use agreed abbreviations

4. Use consonants only - omit vowels, double consonants, spaces and plurals

Windows `95 or Macintosh operating systems

Character restrictions for document naming do not exist within these operating systems. However, it is important to establish a consistent and sensible approach to document naming. The most effective approach in these circumstances is to use a short phrase:

5.2 Document name extension

The document name extension is a three character suffix to the document name which is separated from the rest of the document name by a dot. Most applications automatically assign an extension to the document. For example Word 6.0 attaches a `.doc' extension. These extensions can be utilised as an additional document identifier. Existing extensions can be overwritten with a document type extension which can effectively distinguish different types of documents. It is then possible to use these extensions to search for documents by document type.

Certain precautions may need to be implemented when using non-standard extensions. For example in the Windows 3.x environment there is a need to associate new extensions with relevant applications in File Manager. When compiling a list of accepted document type extensions do not use extensions that can be confused with operating system commands or those which may not be tolerated by certain software packages. Check software manuals for extensions which are not acceptable.

Within the Windows `95 environment, document extensions are invisible unless the user specifically prompts for them. Given the absence of character restrictions the use of document extensions are less relevant in this environment.

Refer to Appendix B: Document Type Extensions.

5.3 Version control

The relevance of document version control is most pertinent in the development of policy and precedent which involves retaining a series of draft documents which culminate into a final version. Essentially, it provides an audit trail for future tracking. For this reason version control can be implemented using the following options:

1. Use the extension for version number or to indicate whether the document is a draft or final document.

2. Reserve the last two characters in the document name for version number.

3. Use a combination of 1 & 2 above in a consistent manner.

6 Using electronic document management software and other tools

A number of software products are available to help manage electronic documents. Such tools can support good electronic recordkeeping practices where they can be integrated with the records management system to ensure the capture of records which document business activity. Agencies need to be aware of how to most effectively utilise these systems together. To this end the agency should appropriately assign responsibility to facilitate this analysis and to ensure the necessary support is provided once any products are implemented. Such an analysis would revolve around determining both the information requirements and recordkeeping requirements of the agency. The Australian Standard, AS 4390 Records Management can provide assistance in this regard.

It should be noted that electronic document management software products are not in themselves substitutes for records management software products. Records management software products automate records management activities such as the registration of records, controlling and linking physical and electronic storage locations with related records enabling them to be readily accessible through tracking facilities. Some records management software products include document management modules to enable the tracking of electronic documents and to provide mechanisms for document version control.

Electronic document management practices and procedures extend beyond the implementation of software packages. The tools offered are varied and responsibility should be assigned to assess the agency's application configuration, technology infrastructure, possible expansion plans and must clearly understand how documents are developed and accessed. Selected electronic document management products should ensure the organisation's information requirements are met.

6.1 Typical features of document management software products

Commercial document management products offer a range of tools to enable systematic document management. Some of the typical features offered by these products include:

6.2 Impact of intranets

Intranets can be an effective tool for making electronic documents and other information resources accessible across the organisation and their introduction can provide a useful opportunity to establish better electronic document management practices.

7 Managing the system

The successful implementation of electronic document management practices hinges on a number of operating issues. These issues revolve around the daily management of the electronic document management system and include such issues as:

7.1 Minimise migration risks

A significant operating responsibility is to ensure reliable migration of electronic documents over successive generations of software and hardware. This is especially pertinent in the case of linked electronic documents and records. The management of software upgrades and the conversion of data from one system to another can potentially corrupt documents with compound documents at greatest risk. These risks must be identified, assessed and minimised by, for example, the selection of document management software with clearly identified migration strategies. In addition data conversion exercises should be carefully documented and system failures should be noted to maintain the reliability of the system.

7.2 Incorporate electronic document management in data management practices

Data management tools and techniques should be utilised in conjunction with electronic document management. Electronic records and documents are a subset of electronic data and therefore when data management practices fail electronic documents and records are at risk along with other data. Agencies should manage their corporate resources in compliance with information technology industry standards and codes of best practice. To this end the agency's data administrators have a responsibility to educate users of such standards and assist with implementation. Examples of such standards include X.500 for directory protocols and where applicable the ISO 9000 series of standards relating to quality assurance and management.

Agencies should ensure that the assigned responsibilities for data management extends to include the electronic document management system. Specifically this should include:

Relevant measures should be included in the agency's data security guidelines and made available to all staff.

7.3 Design for storage, document deletion and records disposal

Well managed electronic documents are an important part of an agency's information resources. They should reflect current information needs of the organisation. Consequently, it is important to carefully plan housekeeping issues. For example regularly reviewing electronic documents to ensure they are retained to meet business needs, to avoid confusion about which is the current version and to ensure that data storage capacity is efficiently used.

Document deletion should be based on a consistent set of criteria and end users should be informed of their responsibility to regularly undertake this housekeeping task. Examples of the types of criteria that document deletion should be based upon include:

· business needs: if the document is no longer required as the basis to create new documents it can be deleted

· managing versions: earlier drafts of a finalised document may be deleted where there is no recordkeeping requirement to retain such drafts.

In the absence of a fully functional recordkeeping system, electronic records may also be stored on decentralised PC systems. In these circumstances it is important to address records disposal. Rules should be established to enable the capture of all documents which are records when they participate in business transactions and are required to be retained for evidential purposes. The simplest approach is to print out such electronic records and attach them to paper files. Where agencies have the capacity to capture and maintain electronic records in electronic recordkeeping systems this is the preferred strategy over the `print and file' option.

Electronic documents that are `public records' within the meaning of the Archives Act, No. 46 of 1960 must be disposed of in accordance with Section 14 of the Act. To this end agencies should apply disposal authorities approved by the Archives Authority including the General Records Disposal Schedules and `functional' disposal schedules covering the agencies' unique records. Many of the electronic documents covered by these guidelines may be disposed in accordance with the Authority's Guidelines for Destruction of Ephemeral, Facilitative and Duplicate Records, issued in November 1996. Agency staff should contact the Archives Authority for more information.

`Data archiving' is a commonly used term to describe the transfer of data files off line to disk or tape storage. It is quite distinct from the archival management of records which extends beyond the periodic transfer of data files to alleviate on line storage. The archival management of records is concerned with the creation, capture and maintenance of records and ensuring that they remain accessible over time to meet operational business needs, accountability requirements and community expectation.

Document disposal encompasses deletion or transfer to inactive storage. Transfer to inactive storage can involve transfer to a dormant directory, or off line to disk or magnetic tape. A responsibility exists to ensure that both short and long term storage of electronic documents is based on organisational business requirements.

To effectively safeguard data and documents in information systems it is important to inform users that most operating systems do not actually erase documents instead the document name is removed from the directory. To truly erase a document (not just the document name) which may be necessary to comply with legislative requirements it is necessary to overwrite the document, reformat diskettes or physically destroy the storage medium. Many cases have been cited where computers have been sold with data inadvertently retained on hard drives or situations where it is assumed that documents have been deleted when in fact they are not truly erased17.

8 Review the system

Reviewing the system is vital to the process of ensuring that corporate policies and practices are being consistently applied across the organisation. It is also the appropriate means for evaluating the system.

Post-implementation review is part of general project management methodology and there are numerous sources for methods of carrying out this process. The Australian Standard AS 4390, Records Management18 describes this process in the context of reviewing recordkeeping systems. The general principles of the review process may be applied to reviewing an electronic document management system:

It is important to review the system on a regular basis to ensure corporate policies and practices are consistently applied across the organisation

9 Beyond document management

Essentially, this guideline is a short term measure to cope with unmanaged electronic documents and records stored on PC systems. Long term strategies revolve around designing and building electronic recordkeeping systems. Agencies with the capacity to move beyond document management should aim to accomplish such long term strategies.

The Archives Authority of New South Wales is currently developing guidance in this area. Specifically, the methodology for designing and implementing electronic recordkeeping systems outlined in the Australian Standard AS 4390 Records Management19 is being further researched and developed into a manual for practical use by agencies.

The design methodology for recordkeeping systems outlined in the Australian Standard uses the continuum management model20 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 in hand 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.

Whilst it is important to utilise electronic document management as a short term strategy to deal with a chaotic end user computing environment, agencies should plan to move beyond document management towards fully functional electronic recordkeeping.


11 Appendix C to these guidelines provide a model for user guidance.

12 Information Exchange Steering Committee (IESC), Management of electronic documents in the Australian Public Service, Australian Government Publishing Service, 1995, p. 7

13 Australian Standard AS 4390 Records Management, Part 5: `Appraisal and disposal', Clause 6.2.2

14 Agencies that utilise hierarchical activity based thesauri could use them as the basis for developing a list of approved abbreviations for naming directories. Licensed Keyword AAA users can obtain a list of approved abbreviations for naming directories based on keywords and activity descriptors through the Archives Authority of New South Wales.

15 Draft Standard on Full and Accurate Recordkeeping (Exposure draft May 1996), Archives Authority of New South Wales

16 Brian Horrocks, Judy Moss., Practical Data Administration, Prentice Hall, Hemel Hempstead, 1993 p. 217

17 Jan Crawford Greenburg, `E-mail can come back to bite', Sydney Morning Herald 27/9/1995

18 Australian Standard AS 4390 Records Management, Part 3 `Strategies', Clause 6.2.2 (h)

19 Australian Standard AS 4390 Records Management, Part 3, `Strategies', Clause 6.2.2

20 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 - no artificial construct exists between records management and archives management. 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.

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