MANAGING ELECTRONIC RECORDS

Transcription

1 TOPIC FIVE MANAGING ELECTRONIC RECORDS

2 ELECTRONIC RECORDS DEFINITION Electronic records are records whose creation, storage, access, retrieval and update requires the use of a computer. Electronic records are: Written on magnetic or optical medium Recorded in binary code Accessed using computer hardware and software

3 DATA AND ELECTRONIC RECORDS Data comprises raw unformatted information. Data lacks context and structure and is therefore meaningless on its own Electronic records have meaning and they derive meaning from their context, structure and content.

4 CONTENT, CONTEXT AND STRUCTURE OF A RECORD Content is what the records say they are. Structure relates to the appearance and arrangement of the content. (font layout, table etc) Context is the background information that helps to explain the meaning of the record. It may include information about the title, author and date of creation of the record.

5 CHARACTERISTICS OF ELECTRONIC RECORD Machine Dependent Compactness (high storage capacity) Ease of manipulation Re-packageable Multi-user Access

6 FORMATS AND TYPES OF ELECTRONIC RECORDS Data sets or database : They are a group of related electronic records organized and treated as a unit. Text-based document: these are primarily basic word processing documents with mainly words with a few or no graphical images. Multi-dimensional documents: are electronic records which consist of images of document that are converted into computer files

7 PAPER AND ELECTRONIC RECORDS The content and functions of electronic and paper records are closely related. Data may be extracted from an electronic database to produce a report on a paper. The implication of this is that paper and electronic records management must be closely coordinated.

8 THE LIFE CYCLE OF ELECTRONIC RECORDS Creation of electronic records: This stage is referred to as the input stage Methods of creating electronic records Keying-in directly into a computer using keyboard Reinserting storage equipment into a computer system to upload the stored information. Scanning a record onto a computer system

9 SAVING ELECTRONIC RECORDS Electronic records are stored in files and directories (folders). The records manager needs to provide a guideline on the structure of the storage The guidelines provided must reflect the structure of the activities and functions of the institution.

10 CREATING A DIRECTORY The structure of the directory may include subdirectories as well The directory can be compared to a tree with directories, sub-directories branching off from the main (root) directory resulting in a hierarchical structure A directory structure should based on the functions, programmes and activities of an organization

11 DOCUMENT CONTROL VERSION Version control is the means by which different versions and drafts of a document (or file or record or dataset) are managed. Version control involves a process of naming and distinguishing between a series of draft documents which lead to a final (or approved) version, which in turn may be subjected to further amendments. It provides an audit trail for the revision and update of draft and final versions of documents.

12 EXTERNAL STORAGE DEVICES Optical disks Diskettes or floppy disks Pen drives or flash disk Magnetic tapes

13 LABELING EXTERNAL STORAGE DEVICE Storage device can be identified by placing adhesive labels on them. The labels should indicate; The name of the originating office The title of the document The start and end dates The equipment on which it was used

14 LABELING EXTERNAL STORAGE DEVICE External storage device should be labeled and filed alphabetically or numerically When dealing with many devices, colouredcoded labels could be used to help identify and retrieve documents quickly. For instance, each colour could refer to a different programme, activity, subject or organizational unit.

15 ACCESS, RETRIEVAL & USE OF ELECTRONIC RECORDS The mode and speed of access and retrieval of electronic records depends on the following The media on which records are stored The structure of the storage platform The naming convention The computer system in use The skill of the searcher

16 MANIPULATION OF ELECTRONIC RECORDS Electronic records may be edited by updating, merging, adding, deleting, rearranging, reformatting or repackaging.

17 DISTRIBUTION OF ELECTRONIC RECORDS Once information is stored on a computer, it is necessary to disseminate it to people who need it Electronic records are distributed for use through: Electronic mail Local area network Wide area network Transporting external storage device

18 DISPOSITION OF ELECTRONIC RECORDS Disposition is carried out by purging inactive records from the system most often on external storage devices for keeps at the archives The dormant or inactive records could also be transferred directly into an archival facility designed into the system.

19 APPRAISAL OF ELECTRONIC RECORDS Electronic records are appraised using the same general standards used to appraise information in any other medium. Appraisal of electronic records require; A content analysis: an evaluation of the evidential and informational value of the data A technical analysis: an evaluation of the usability of the data Data with enduring value are preserved in electronic format and transferred to archives

20 DESTRUCTION OF ELECTRONIC RECORDS Electronic records should be erased in a manner that will ensure that files that have supposedly been deleted cannot be recovered.

21 REASONS FOR PROTECTION OF ELECTRONIC RECORDS short lifespan of storage media Sensitivity of storage media: data should be protected from dust, temperature, humidity etc. Machine dependence Vulnerability of access: electronic records are susceptible to alteration and unauthorized access Susceptibility to virus attacks

22 PHYSICAL PROTECTION OF ELECTRONIC RECORDS Lockable workstation accommodation Lockable storage equipment Protection against power surges: this can be done through the use of stabilizers, voltage guards, UPS etc.

23 INTELLECTUAL PROTECTION OF Backing-up ELECTRONIC RECORDS Data migration Passwording Anti-virus systems

24 GUIDELINES FOR HANDLING ELECTRONIC RECORDS Cleanliness: the storage and use environment of electronic records must always be kept clean from dust and dirt Removal and handling: handling should be done to avoid fingerprint of pomade, oil or sweat. Avoid touching the read and write area of disks. Storage of electronic records: storage devices must not be placed under heavy objects. Avoid keeping magnetic storage device near magnetic materials or fields

25 GUIDELINES FOR HANDLING ELECTRONIC RECORDS Avoid serving food and drinks in the facility where electronic records are used and stored Conducive environment for storing records (low temperature and humidity levels, control light intensity atmospheric pollution

26 BENEFITS OF ELECTRONIC RECORDS Storage space saving Change in the office settings or work environment of an organization Reduction in paper and reprographic cost Improved administrative efficiency Increased competitive advantage Speedy task performance

27 CHALLENGES ASSOCIATED WITH ELECTRONIC RECORDS Loss of electronic records. Electronic records may be lost by: System failure Activities of vicious persons Virus attack Storage media instability Reliance on technology: the speed of technological obsolescence makes long term access to and utility of electronic records difficult

28 CHALLENGES ASSOCIATED WITH ELECTRONIC RECORDS Legal issues: the format of electronic records make their admissibility as evidence in the legal settings difficult Security: the vulnerability of electronic records to unauthorized access and corruption by viruses make records insecure.

29 PROBLEMS ASSOCIATED WITH ELECTRONIC RECORDS MANAGEMENT Poor version control and naming conventions (resulting in poor labeling and slow retrieval) Authorship and ownership of electronic records

30 SOLUTIONS TO THE PROBLEMS All electronic records must be inventoried, their ownership and authorship must be determined. All electronic records must be identified, named and clearly labeled. Assigned names must be based on the content of the record. Ideally, electronic records should be preserved in American Standard Code for Information Interchange (ASCII) format. As security and guarantee, retain paper copies of valuable electronic records.

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