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My name is Anisha James and I am the records manager at the Australian National Audit Office in Canberra. The ANAO is a commonwealth agency responsible for financial statement and performance audits of 300 agencies and commonwealth bodies. I would like to give you a little background of my experience and what my role in my employment is. I started with the records management section when I was 22 at the Australian Taxation Office and it was there that I decided I had found a career that I wanted to peruse and move up the ranks within the public sector. I have worked on various major projects across many agencies and have often been found to have a high level of expertise in all Census & sentencing projects and have shown initiative for improvement to records management practices. I continued to work for various government agencies as a records officer and three years later was given the opportunity to act as the Records Manager where I found my true niche within the Information Management Section and found a true passion for this line of work. In previous departments as a records manager, I lead a team of 5 records officers with vast duties and was the first point of contact for all the Agencies Freedom of Information Requests and reported to the Director of Information Management. Whilst being within this position I also over saw all requests that came from all posts which included file creation and advice and provided TRIM support via conference call liaison. Firstly as the records manager at the Australian National Audit Office I oversee the policy, procedures and daily business as usual within the unit. My position gives me the opportunity to work on all relevant tasks that the records unit is involved in as well as providing support to all executive level and implementing policies and procedures that are in line with the National Archives of Australia. I also have involvement in all daily duties to which my staff are assigned. The Records Unit at the ANAO is responsible for all electronic and paper files, mail processing as well as providing support to the Auditor General on a daily basis as well as being first point of contact for cabinet requests that come from our auditor teams to view cabinet submissions which are all requested from the Prime Minister and Cabinet department through a security classifified portal which only few have access to within the Information Management section. Before I had commenced with the Australian National Audit Office the Electronic Document Records Management tool I had used was TRIM, as most of us are aware most government agencies have transitioned from paper base records to electronic using this system. At my previous agency this phase was in transition and awaiting final approval and deployment. Our mission at the ANAO is to improve public administration for the commonwealth of Australia. We have had 110 years of operation, conducted 280 Financial Assurance Audits, conducted 50 performance audits, and have managed to initiate 6 better practice guides. Id like to present to you the Electronic Document Records Management system that we use at the Australian National Audit Office.

The ANAO have implemented business requirements which manage and improve our management of electronic documents and allow auditors to securely store and search their audit papers. These include all of our auditor working papers with documents instead of paper based files while also being compliant with the National Archives of Australia record keeping requirements whilst keeping in mind of following all security procedures. At the ANAO we dont require our auditors to learn record keeping as their key focus is auditing. They collect documents from agencies, migrate them into E-Hive, allow the indesing to take place and evidence link key and i mportant documents as they develop their audit issues papers and reports. We use a system called Autonomy File site and IRM which we have re-named E-HIVE. All ANAO staff has their own access to their own audit file which is managed by our EDRMS coordinator. E-hive was the preferred system be used by our auditors as TRIM did not meet there auditing needs when going out for tender for their EDRMS. E-Hive allows our auditors to create file and use folders on the run which once created the records manager reviews and QAs back in the unit. ANAO have seen a great deal of accomplishment with using E-Hive as it has reduced audit effort by 5-6 weeks per audit, provided easier evidence collection and indexing which makes it easier to find required documentation, and allows the enterprise and team file sharing in a secure environment. We have also found that its reduced records staffing costs and has reduced the cost on file transport and storage. You may ask what is next for the ANAO to achieve, well we still have a rather large amount of work to continue with even though the ANAO have achieved so much already. We will be working on how we can improve bulk scanning, improve the federated searching, we still have more than 30,000 paper files to destroy by 2018, we are looking at improving the records management reporting cycle and were focusing on more productivity savings. All users can obtain access and support through the EDRMS coordinator to different folders that they need access to for all audit purposes and for their business sections. E-Hive allows our clients to create the documents and then transfer or save them into a file which is created by either the client or our Records Management Team. On some occasions we do create a paper file if needed for high security classification reasons, for instance our auditors can request documents through the ANAO cabinet system which our Cabinet Liaison Officer from our Security branch then forwards to the Prime Minister & Cabinet System. The cabinet system is a highly classified portal that a number of agencies use to liaise with Prime Minister & Cabinet to obtain minutes from a previous meeting or submissions that are being reviewed or audited depending on the need. Once the file is created by the Records Management Unit, the owner of the file is changed and given to the requesting officer of the documents and once completed it is either stored or destroyed of appropriately following all policies and guidelines in line with the ANAO.

I have been asked to speak on 3 main points to you today with the first being deciding on the format for digital records retention. The second I would like to speak on is preparing the records before moving it into digital archives and the third, complying with legal business requirements for disposing digital records.

But firstly just before moving with the above topics, when implementing an EDRMS it is important to follow all steps and one step that is fundamentally important is creating a checklist for the implementation. There are 3 phases that you should have in mind when creating this within your project.

The first phase is the inititiation phase. Each agency have there on preferred method and you will need to have in place your own project management team that will assist and be the level 2 support that will continue right through till the project ceases. I have previously worked in a project team for the launching of one of our Government departments in Canberra and within this project several key developments had to be initiated before tendering.

Some key points included; ? ? ? ? ? ? How would the EDRMS improve Information Management and General Record Keeping Benefits it would have on the department Plans for stakeholder environments Project budgets for each initiative All Record O fficers to be fully aware of changes in policies and guidelines Assess all risks and discuss strategies for issues that may be encountered whilst the project is in full force.

And many more that most agencies have had the opportunity to be aware of.

Phase 2 is identifying all business needs and having a full understanding of how your department or business approaches and how they manage their information. Some examples that I had involvement in were; ? ? ? ? Where our current records were stored and in what format The software we were currently using The amount of records that were being produced on a quarter basis Reviewing the access and security rights in line with Record Officers standards

Phase 3 requires having a post implementation plan. The implementa tion plan that has been finalised for the Australian National Audit Office saw the approach that was initiated for the beginning of the project, to the findings including ? ? ? ? ? Rollout Scope The use Records Management Training and communicationsTraining Issues within the systemBenefits of the EDRMS, Savings, ROI

It also saw the lessons that were learnt and how the Australian National Audit Office dealt with the issues to ensure a smooth transition was available for all staff.

Now to speak on deciding the format of digital records.

To give you an overview of deciding on the format for digital records there a some standards you do need to follow. Firstly you need to know what records you have in your agency, you need to know what sections have their own reco rds; for example a personnel record obviously would be a record that relates to all personnel documentation such as pay, details of the employees bank accounts for salary, references such as emergency contacts ect; the same would be for a finance record, all details of bank statements or invoices would obviously go on the record accordingly. You do also need to know within your not what records exist but if you need to have anything further as agencies grow and new sections are implemented for any business reason.

The Records Unit needs to know how the records are used in your relevant agency but also by other agencies that may need to acquire the information whether it being an Audit that may be conducted or an FOI request from another agency for a court case. Digitizing accumulated physical records provides advice on a range of issues that should be considered when planning digitization projects and explores records management and records handling issues that arise for both the source records and the digi tized records. These include:
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exploring the reasons for digitizing accumulated paper records identifying factors that need to be considered for different digitization rationales assisting agencies approach the justification and planning of digitization projects making sure correct decisions are made about the source records after digitization has occurred ensuring the correct technical standards are used for digitization projects

Most organizations store their digital records in various places, this can range from centralized databases, removable storage media and most agencies are still storing their records on their personal or network folders. Sometimes service providers can store records on the departments

behalf. Having all digitalized records stored means that it must be controlled and monitored regularly. At the ANAO our EDRMS co -coordinator monitors all incoming requests daily and ensures all created documents are with the appropriate standard set out by the Australian National Archives and complies with everyday record keeping business practices

Deciding on a format for digital records can be varied as some agencies can use between 25.50 formats for different records. When deciding on a format you will need to understand that each file will need its own digital preservation strategy which will restrict the number of file formats already in use but will make the preservation side less challenging.

Using file formats that are used in everyday business is recommended however be aware of all the risks. File formats that are commonly used within the Australian National Audit Office are formats such as XML, Adobe Flash, sometimes and Media in MP3 format and usual Microsoft documents such as word, Excel, PowerPoint.

At the ANAO our records are electronically saved to our EDRMS, when working on an audit paper or annual reports whatever format it is commenced whether word, Excel or current forms, it is automatically saved on the electronic system. For papers that have not been digitalized already, all necessary documentation is scanned and saved on the appropriate created folder that our EDRMS co- coordinator approves and then linked to the file.

Finally our RMU staff will need to have a clear understanding of how long the record needs to be kept and this can be done by following the National Archives of Australia standards from the Administrative Function Disposal Authority or for the files that are specific to your agency, you may need to follow your RDA.

Whilst working in a range of government agencies I have noticed that some agencies store their digital records in various places within their agency, this can be on the agency data base, removable media storage, network folders and in personal folders or it can be managed by an external contract provider on the agencys behalf. The important thing to remember when storing electronic records is to remember that is needs to be managed accordingly; it is easy to lose digital records so monitoring the systems we use is important to ensure we are keeping the record keeping standards a float. Digital records in some cases need to have their retention extended

When we begin to prepare the records before moving them into the digital environment there are certain aspects that you need to initiate which would include;

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Equipment used for the scanning of paper based records Skilled staff who understand the preservation of record keeping Ensuring all quality assurance is taken out for each record Security of documents in transition

If you were looking to outsource for your department you would need to look at few key points such as ? ? Financing your project such as scanning and engaging a specialized business Transporting all the records to the vendor but still following all policies and guidelines set out by the NAA

Whilst you are in this transition it is a good opportunity for you to conduct a Sentencing and Census project on all records that will remain in digital format. This will ensure that all records that are due for destruction will be updated and destroyed accordingly.

Planning for a preservation should be based on the understanding of how long the records would need to be kept digitally for and how they would be used within your everyday business.

Organizing your Agencys branches into categories is a sufficient way to monitor but also organize your agencys records when going through the digital transition stage.

When moving them into to the digital phase it is important to describe the records to the best that you can provide as much information as possible. This ensures that the record will be easier to find. Good recordkeeping metadata assists preservation over time by capturing information on; ? ? ? technical dependencies, such as file format and media information any migration or conversion activities, and Essential characteristics which preserve and ensure authenticity.

In my experience whilst working in larger departments, there are more than 10 branches with more than enough paper based files that have been created, generally these could be new file parts for a court case or a project that has commenced but has not ceased. Ensuring that all folders within your EDRMS are created and follow all your guidelines and policies I would then have all records that are still active transferred to the necessary folders and also keeping in mind that all records that are digitalized are ready for further use to the specific branch within the department.

Another point that I think is important is when moving paper based files into the digital environment you need to watch for duplication, doing this will energy costs down and reduce the storage load within your EDRMS. At the commencement of the project from paper based records to electronic we deliberately did not scan 55000 old paper records so they could be phased out over time. This was a decision that was made by the executive as the files were due to be destroyed in 10 years and due to the lack of funds for the project staff and outsourcing was not an option When I was new to the EDRMS transition I wondered if you could have both a paper based record a digital record, the advice that was given to me was that I needed to consider the ? ? ? ? identifying, controlling and disposing of duplicates Authenticity and accountability concerns that may arise as a result of slight variations between versions of what is purportedly the same records. What is the true record and how are staffs to know this? Reducing storage costs associated with paper-based duplicates

Finally the migration of the records, at the Australian National Audit Office we have just completed our final migration from the previous CARMS system to E-HIVE, where over 7000 remaining files were transfe rred into our current EDRMS system. We were aware that there would be risks in doing this and plotted out strategies that we could apply if we found an interruption to the process. Completing a migration from one software configuration to another will present risks to the project but if you plan your migration carefully and ensure the authenticity, reliability and integrity of the migrated records associated with the metadata that is being transferred and not compromised this should be an easy process for you. Complying with legal business requirements for the disposing of digital records is important and necessary when sentencing a record as it maintains the life of the record and disposal actions that need to be applied. Digital records need to be kept until they are no longer required by your department unless they pose significant history to the work conducted which adds value to the department. Main reasons why digital records should be kept; ? ? It supports the efficiency of the business when been condu cted Meets the requirements that is set out of legislation and accountability

The appraisal of a digital record has the attention focussed on records that hold significant value to the information provided. When applying destruction to a digital record you need to ensure that once disposed it can not be re-activated for any purpose. Using your AFDA, RDA and GDA that has been established for your own department with the liaison of the National Archives of Australia will provide you with all the legal business requirements for each record. Using Authority for destroying records is based on the record and complies with your own agencies.

Based on the results of the two previous recordkeeping audits and the curre nt audit, the ANAO suggests that the following factors are most likely to enhance entities' capacity to meet their recordkeeping responsibilities:
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recognize recordkeeping as an integral part of doing business', requiring a sustained and visible commitment from senior management; Undertake a recordkeeping needs analysis that identifies the entity's specific recordkeeping requirements and the actions needed to address these. This analysis should be informed by an assessment of recordkeeping and related information management risks, completed as part of an entity's broader risk management framework; develop medium to long term strategies that recognize the environment in which an increasing volume of records are being created electronically; ensure that re cordkeeping policies address all systems, whether paper-based or electronic, that are used to create and store records and information; for each major programmed and business activity determine the information that needs to be created, received and maintained in entities' recordkeeping systems, and how these records will be managed to meet legal and business requirements; Supplement the entity's strategic and policy framework with practical guidance and advice, together with an ongoing programmed of training and awareness, designed to assist record creators and record users to meet their specific recordkeeping responsibilities. Such a programmed should recognize that work practice and cultural issues can be significant impediments to improving recordkeeping practices; and Assess the resources required to establish, and sustain, a recordkeeping regime that meets the entity's legislative and policy requirements.

In an overview of what I have experienced and my advice to you and something you can take back to your branch would be; ? ? ? ? Planning and constant business collaboration is the key to success Do not force the business to change to become record keepers Digitize what is valuable and be prepared to leave the rest in paper form unless the business driver is to reduce storage costs or to make the information publically available Always know and abide by the legal frameworks and requirements