christchurch 23/11/2007 1 the pra and email management 23 november 2007 kate jones government...

Christchurch 23/11/2007 1

The PRA and Email Management

23 November 2007

Kate JonesGovernment Recordkeeping Programme

Archives New Zealand


Overview

• Background to PRA• Principles & Responsibilities• Coverage & Compliance• Email Management and the PRA• Email archiving solutions• ANZ’s Support Tools


Public Sector Legal Framework

Information and Accountability • Official Information Act• Local Government Official

Information and Meetings Act• Public Finance Act• Privacy Act• Evidence Act• Electronic Transactions Act• Public Records Act


Public Records Act 2005 (PRA)

• Reflects changes in:– technology (electronic records, email, web,

sms)– business practice (devolution, restructuring,

corporatisation eg State Owned Enterprises)– other legislation (OIA, Privacy)

• Clean slate approach – i.e. complete review of legislation rather than “tinkering” with the Archives Act 1957


The Purpose of the PRA

• Management accountability• Democratic accountability• Collective memory and

historical heritage• Good business practice

Is Good Recordkeeping


What does the PRA do?

• Framework for regulation of records and archives in the public sector

• Flexible to handle the diversity of government activities and future circumstances

• Enabling legislation – not prescriptive


Who does PRA cover?

Wide definition of organisations covered:

• Public offices• Local authority

organisations


What is a Public Office? Public offices include:• Government departments• Offices of Parliament• All forms of Crown entities as per Crown

Entities Act – Crown agents, autonomous and independent Crown entities and Crown Entity Companies

• Tertiary education institutions and school boards of trustees

• DHBs• State Owned Enterprises


What is a Local Authority?Local authority organisations include:

• Local government organisations• Regional councils and territorial

authorities• Council-controlled organisations and

trading organisations


What is a Record?

• Wide definition of records

record means information, whether in its original form or otherwise, including (without limitation) a document, a signature, a seal, text, images, sound, speech, or data compiled, recorded, or stored, as the case may be,—

(a) in written form on any material; or

(b) on film, negative, tape, or other medium so as to be capable of being reproduced; or

(c) by means of any recording device or process, computer, or other electronic device or process


What is a Public Record?

Public record—• Records created or

received (whether before or after commencement of PRA) by a public office in the conduct of its affairs


What is a Local Authority Record?

Local authority record-• Records created or received by a local

authority in the conduct of its affairsLocal authority ‘Protected Records’-• Classes of protected records as declared

by the Chief Archivist in the Local Government Schedule


Recordkeeping ResponsibilitiesThe 2 key requirements are:

• Organisations must create and maintain full and accurate records

• Organisations must not dispose of records without the Chief Archivist’s authorisation


Create and Maintain

A public office must create and maintain:• Full and accurate records• In accordance with normal, prudent

business practice• Including records of matters contracted

out• Continue to maintain records in

accessible form for reference until disposal is authorised


Create & Maintain RecordsIncludes all formats

• Email• SMS• Instant

Messaging• Telephone calls• Water samples• Websites • Databases, etc.


Disposal

• No lawful records disposal without Chief Archivist’s authorisation

• Disposal includes transfer of control, destruction, sale and discharge

• Unless required to dispose by another Act

• Failure to maintain electronic records is considered disposal


Legal Disposal

A public office can:

• Disposal authority - legal permission to dispose of function specific records

• General Disposal Authorities – issued by Chief Archivist for disposal of common classes of records (e.g. finance, human resources, corporate services etc.)


Disposal for Local Authorities

• Chief Archivist’s authorisation required to dispose of protected records

• Non-protected records may be disposed of without Chief Archivist’s authorisation


Compliance Framework

• Independent audits • Mandatory standards• Direction to report to Chief

Archivist• Inspections• Annual Report to

Parliament on state of recordkeeping


Retain those emails!


Are Emails Public Records?

Yes!

To maintain complete and accurate evidence of

business transactions, it is essential to manage

all correspondence, including email, as records


Email management. How?

• Ensure that email is created, stored and managed in an Electronic Record-Keeping System (ERKS)

• Ensure email identified in recordkeeping policies

• Educate your staff – email management is a user responsibility


A PRA Compliant ERKS ensures that email:• maintains its contextual links with related

documents• has its recordkeeping metadata captured

and managed over time • can be re-titled to more accurately reflect

its context or content• can be grouped according to a

classification scheme as necessary • retention and disposal actions can be

defined and implemented


What are Email ‘Archiving’ Solutions?

• Email retention systems• Vault storage • Black box storage• IT definition of ‘archive’


Advantages of email archiving:

• Managing the risk of inappropriate e-mail use• Filtering and automated ‘archiving’• Secure, tamper-proof copies• Improved discoverability for litigation or Official

Information Act purposes (a double-edged sword!)

• Back-up system for ‘lost’ e-mail• Reduced storage requirements — elimination of

copies of the same message in multiple inboxes• Potential for reduced load on servers


Why are E-mail ‘Archiving’ Solutions not Recordkeeping Systems? • Automated classification of content — messages

are not reliably linked to their business context• Records communicated via e-mail are separated

from related records in other formats and systems• It is difficult to differentiate between business

critical, informational, personal, and unsolicited commercial e-mails

• Generally, only the sender, recipient or an administrator can access the messages, which means that other staff do not know of the existence of potentially key organisational information


Why are E-mail ‘Archiving’ Solutions not Recordkeeping Systems? II

• where more widespread access is available, there may be problems protecting personal privacy, especially if personal e-mail use is permitted

• it is very difficult to apply naming conventions to the message to better reflect the content

• there is lack of control and/or appraisal (selection process) for the records that are captured into the system

• it is difficult to assign different retention periods according to the different activities documented in the messages.


Recordkeeping Programmes • Email management must be

incorporated into RK policy• Staff must be educated about need

to create and maintain records – emails included

• Change management is crucial


Successful Email Management

• Email must be managed in an ERKS• Email archiving solutions as storage

solutions only• Email management identified in

wider recordkeeping policy• User education includes email

management


How can Archives NZ help?

• Continuum Recordkeeping Resource Kit and Website

• Regular recordkeeping forums• Quarterly newsletter• [email protected]


Continuum publications

• F10 Email • F14 Email Archiving Solutions • G6 Guide to developing a Recordkeeping Policy• G3 Guide to implementing IT solutions• G8 Guide to the PRA• S7 Create and Maintain Standard (exposure

draft)• S8 Recordkeeping Metadata Standard (exposure

draft)


Any questions?

Email: [email protected]: 04 894 6002

Continuum Website:www.archives.govt.nz/continuum/

christchurch 23/11/2007 1 the pra and email management 23 november 2007 kate jones government...

Documents