Transcript Document
The PRA and Email Management 23 November 2007 Kate Jones Government Recordkeeping Programme Archives New Zealand Christchurch 23/11/2007 1 Overview • • • • • • Background to PRA Principles & Responsibilities Coverage & Compliance Email Management and the PRA Email archiving solutions ANZ’s Support Tools Christchurch 23/11/2007 2 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 Christchurch 23/11/2007 3 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 Christchurch 23/11/2007 4 The Purpose of the PRA Is Good Recordkeeping • Management accountability • Democratic accountability • Collective memory and historical heritage • Good business practice Christchurch 23/11/2007 5 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 Christchurch 23/11/2007 6 Who does PRA cover? Wide definition of organisations covered: • Public offices • Local authority organisations Christchurch 23/11/2007 7 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 Christchurch 23/11/2007 8 What is a Local Authority? Local authority organisations include: • Local government organisations • Regional councils and territorial authorities • Council-controlled organisations and trading organisations Christchurch 23/11/2007 9 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 Christchurch 23/11/2007 10 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 Christchurch 23/11/2007 11 What is a Local Authority Record? Local authority record• Records created or received by a local authority in the conduct of its affairs Local authority ‘Protected Records’• Classes of protected records as declared by the Chief Archivist in the Local Government Schedule Christchurch 23/11/2007 12 Recordkeeping Responsibilities The 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 Christchurch 23/11/2007 13 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 Christchurch 23/11/2007 14 Create & Maintain Records Includes all formats • • • • • • • Email SMS Instant Messaging Telephone calls Water samples Websites Databases, etc. Christchurch 23/11/2007 15 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 Christchurch 23/11/2007 16 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.) Christchurch 23/11/2007 17 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 Christchurch 23/11/2007 18 Compliance Framework • Independent audits • Mandatory standards • Direction to report to Chief Archivist • Inspections • Annual Report to Parliament on state of recordkeeping Christchurch 23/11/2007 19 Retain those emails! Christchurch 23/11/2007 20 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 Christchurch 23/11/2007 21 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 Christchurch 23/11/2007 22 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 Christchurch 23/11/2007 23 What are Email ‘Archiving’ Solutions? • • • • Email retention systems Vault storage Black box storage IT definition of ‘archive’ Christchurch 23/11/2007 24 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 Christchurch 23/11/2007 25 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 emails • 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 Christchurch 23/11/2007 26 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. Christchurch 23/11/2007 27 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 Christchurch 23/11/2007 28 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 Christchurch 23/11/2007 29 How can Archives NZ help? • Continuum Recordkeeping Resource Kit and Website • Regular recordkeeping forums • Quarterly newsletter • [email protected] Christchurch 23/11/2007 30 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) Christchurch 23/11/2007 31 Any questions? Email: [email protected] Phone: 04 894 6002 Continuum Website: www.archives.govt.nz/continuum/ Christchurch 23/11/2007 32