Source document: https://docs-lawep.s3.us-east-2.amazonaws.com/1696590854566.pdf (Zimbabwe)
PUBLIC SECTOR DIGITAL RECORDS MANAGEMENT FRAMEWORK APRIL 2018 PREPARED BY NATIONAL ARCHIVES OF ZIMBABWE Contents 1.0 INTRODUCTION ................................................................................................................................... 3 1.1 Purpose ...................................................................................................................................... 3 1.2 Scope .......................................................................................................................................... 3 1.3 Benchmarking ............................................................................................................................ 4 1.4Terms of Reference ..................................................................................................................... 4 2.0 DIGITAL RECORDS MODEL .................................................................................................................. 4 2.1Model Statements ...................................................................................................................... 6 2.2 Model Common Platforms ......................................................................................................... 6 2.3 Model Responsibilities and roles ............................................................................................... 7 Table1: Roles and Responsibilities ................................................................................................... 8 3.0 TRANSITIONALINTERVENTION STRATEGY ....................................................................................... 9 3.1 Preparedness ............................................................................................................................. 9 3.2Compliance Measures ............................................................................................................... 10 3.3Standards .................................................................................................................................. 10 Table 2: Recommended International Standards .......................................................................... 11 2 1.0 INTRODUCTION Public institutions in Zimbabwe are digitising their processes to improve service delivery and corporate governance.
This has seen an influx of digital records being generated.

Digital records, just like their paper counterparts should be systematically managed to support business process and public sector accountability.

The Public Sector Digital Records Management Framework is meant to provide for systematic management of digital records.

1.1 Purpose i.

To provide guidelines for identification and implementation of appropriate digital records management systems.

ii.
ii.

To harmonise emerging digital records systems with existing paper-based record-keeping systems.

iii.

To standardise records management across public institutions to enhance information sharing and exchange.

iv.

To enhance resource sharing for public sector efficiency and cost effectiveness.

v. To provide platform that continues to support acquisition and preservation of documents of historical significance.
1.2 Scope The Framework identifies and specifies the appropriate model, roles and responsibilities, standards, technology, transitional strategies and sets parameters within which digital records procedures and processes shall be operated.

The 3 Framework does not provide detailed digital records management procedures and processes.

1.3 Benchmarking This Framework is informed by International best practices and is responsive to National requirements.
It is anticipated that throughout the implementation process, there will be close cooperation with friendly countries that have digitized their records management processes.

At a National level the Framework has been developed in collaboration with Ministry of Information and Communication Technology Post and Courier Services (MICTPCS) to ensure that it is aligned to National ICT policy.

1.4Terms of Reference The Framework is issued in terms of National Archives Act [Chapter 25:06] 1986.
2.0 DIGITAL RECORDS MODEL Digital records model constitutes the philosophical foundation for the Framework.

All digital records management decisions and system design should be guided by the model.

The model draws some parallels between physical records and digital records.

Figure 1 shows a diagrammatical presentation of the Framework.
4 Figure1: Digital Records Management (Parallel to the existing paper based model) Paper records Records management functions E-records Registry Creation Business systems/digitizing physical records Records Centre at NAZ managed by NAZ Storage and use EDRMS managed by Ministry/Department Records Centre Disposal EDRMS managed by Ministry/Department Destroy NATIONAL ARCHIVES Repositories Transfer Long term preservation (OAIS Model) TDR resident at National data centre 5 2.1Model Statements i.
Evaluation of e-government strategies must include digital records management issues.

ii.

All business systems must conform to ISO 16175-3 - Part 3. iii.

All records classified within the retention and disposal schedules must not be maintained within business system environment and must be maintained within an Electronic Documents and Records Management System (EDRMS).

iv.

Digital records worth long term preservation (archives) must be transferred to the Trusted Digital Repository.
v. Paper records that have been digitized must be maintained within the same environment as born digital records.

vi.

Public institutions must not digitize physical records for preservation purposes, and must digitize physical records only to support immediate business.

2.2 Model Common Platforms Common platforms are aimed at enhancing the following issues to enhance public sector efficiency and effectiveness; i. ii.

iii.

iv.
iii.

iv.

interoperability among government platforms information sharing and exchange of government data infrastructure and resource sharing to reduce records management costs auditing of records management systems to demonstrate authenticity and reliability of records over time.

6 Common government platform issues must be addressed at three levels; i.

System level –This must be achieved through the use of a generic digital records management system across government.
In certain exceptions where a specialised system is necessary, the use of such a system must be certified by NAZ.

ii.

Procedural level –This must be achieved through the use of common procedures that standardize records management functions, practices and processes across government developed by NAZ.

iii.

Data level – This must be achieved through the use of common metadata, file formats and naming conventions.
2.3 Model Responsibilities and roles Digital records management shall be achieved through collaboration by various players, each with specific roles and responsibilities.

Table 1 below shows digital records management roles and responsibilities.

7 Table1: Roles and Responsibilities MICTPCS 1.

Host the Trusted Digital Repository (TDR) within the NDC.

2.

Where necessary, host public institutions digital records management systems Department/Ministry 1.
Incorporate records management and archival IT staff / functions into the design, development, and MICTPCS/Government implementation of business systems, Security Cluster 2.

Protect government information commensurate with the risk and magnitude of harm that could result from the loss, misuse, or unauthorized access to or modification of such information.

NAZ 1.
NAZ 1.

For providing expert guidance on and oversight of the creation, management and permanent preservation of e-records by way of developing policies, decisions, guidelines, tools and procedures.

2.

Certification of e-records management systems proposed by government institutions.

Department/Ministry 1.

Making e-records management policies, Registry staff decisions, guidelines, tools and procedures designed in line with the National tools provided by the National Archives.

2.
2.

Ascertain records management functional requirements for business systems and e-records management systems, guided by functional 8 requirements provide by the National Archives of Zimbabwe.

3.

In a timely fashion, establish, and obtain the approval of the National Archives for proposed e-records management systems MPSLSS Ministry of 1.

Restructure public sector registry system.

Public Service, Labour 2.


Develop on the job training program for and Social Services records and information professionals within (MPSLSS)/NAZ government institutions.

3.

Develop short term digital records management courses for non-records staff.

4.

Identify digitisation training needs for specific institutions prior digitisation 5.
Conduct pre-digitisation and ongoing training 3.0 TRANSITIONALINTERVENTION STRATEGY The transitional phase is critical for the success of the digital records management model.

Transitional strategies provide for a smooth adoption of digital records management both at National and institutional level.
3.1 Preparedness Paper records management systems do not readily meet the requirements of digital records and the following aspects of the existing paper records management systems must be reviewed during the transitional phase both at National and institutional levels; i.

Registry staff complement, composition and skills 9 ii.

Registry workflow processes iii.

Registry tools iv.

Registry procedures 3.2Compliance Measures i.


Any institution intending to digitise records systems must have a preparedness survey conducted by NAZ before digitisation process commences.

ii.

Minimum requirements recommended during the survey must be implemented at various stages of the digital records system implementation process as recommended.

iii.
iii.

Institutions that have digitised their records systems before the promulgation of Framework are also subject to the survey and must implement the recommendations on an ongoing basis.

3.3Standards In the absence of National Infrastructure and systems to support the proposed digital records management model public institutions with the capacity to develop their own infrastructure and systems for digital records management are encouraged to do so.
Such developments must be guided by standards recommended on table 2to ensure that such systems can be integrated into the national infrastructure and systems.

NAZ may make some modifications to the recommended international standards in response to National requirements but unless such modifications are made and published, the latest versions of the recommended international standards.
10 Table 2: Recommended International Standards Standard USES ISO 15489- Records Part 1: General gives a high level Framework for Management record-keeping and explains the benefits of good records management, the legal considerations and the importance of making someone responsible for recordkeeping.

This part also looks at what's needed for good records management, designing recordkeeping systems, records management processes, auditing and training.
Part 2: Guidelines is a guide to putting the advice given in Part 1 into practice.

It provides specific detail on developing records management policy and responsibility statements and suggests a process for developing recordkeeping systems.

It also provides advice about developing records processes and controls.

It also gives specific advice about setting up monitoring, auditing, and training programs.
ISO 16175-1 - ISO 16175-1 establishes fundamental principles and Information and functional requirements for software used to create and documentation - manage digital records in office environments.
It Principles and Functional establishes the principles of good practice, guiding Requirements for Records principles, implementation guidelines, and it lists risks in Electronic Office and mitigations for the purposes of enabling better Environments - Part 1: management of records in organisations, supporting the 11 Overview and statement business needs of an organisation by enabling greater of principles effectiveness and efficiency of the operations; providing enhanced abilities to support auditing activities; improving capabilities to comply with statutory mandates specified in various information- related legislation (for example, data protection and privacy); and maximizing cross-jurisdictional consistency regarding the articulation of functional requirements for managing records.
ISO 16175-2 - Part 2: ISO 16175-2 articulates a set of functional requirements Guidelines and Functional for digital records management systems.

These Requirements for Digital requirements apply to records irrespective of the media Records Management in which they were created and/or stored.

It is Systems applicable to products that are often termed ‘electronic records management systems’ or ‘enterprise content management systems’.
ISO 16175-2 uses the term digital records management systems for those software applications whose primary function is records management.

It does not seek to set requirements for records still in use and held within business systems.
Digital objects created by email, word processing, spreadsheet and imaging applications (such as text documents, and still or moving images), where they are identified to be of business value, are managed within digital records management systems which meet the 12 functional requirements established in ISO 16175-2.
ISO 16175-3:2010 - Part ISO 16175-3 specifies general requirements and 3: Guidelines and guidelines for records management and gives Functional Requirements guidelines for the appropriate identification and for Records in Business management of evidence (records) of business activities Systems transacted through business systems.
It provides guidelines to assist in: understanding processes and requirements for identifying and managing records in business systems; develop requirements for functionality for records to be included in a design specification when building, upgrading or purchasing business system software; evaluating the records management capability of proposed customized or commercial off-the-shelf business system software; and reviewing the functionality for records or assess compliance of existing business systems.
ISO 16175-3 supports preservation by allowing the export of records to a system that is capable of long- term preservation activities, or for the ongoing migration of records into new systems.

It does not specify requirements for the long-term preservation of digital records.
ISO 23081 - Information Part 1: Principles and Documentation - ISO 23081 sets a Framework for creating, managing 13 Records Management and using records management metadata and explains Processes - Metadata for the principles that govern them.

It is a guide to Records understanding, implementing, and using metadata within the Framework of ISO 15489.
It addresses the relevance of records management metadata in business processes and the different roles and types of metadata that support business and records management processes.

It also sets a Framework for managing those metadata.

It assesses the main existing metadata sets in line with the requirements of ISO 15489.
Part 2: Conceptual and implementation issues This part of ISO 23081 focuses on the Framework for defining metadata elements for managing records and provides a generic statement of metadata elements, whether these are physical, analogue, or digital, consistent with the principles of ISO 23081-1.

ISO 26122 - Information This standard provides guidance on work process and Documentation - analysis from the perspective of the creation, capture Work Process Analysis and control of records.
It identifies two types of for Records analyses, namely functional analysis (decomposition of functions into processes), and sequential analysis (investigation of the flow of transactions).

Guidance provided in the form of lists of questions/matters to be considered under each element of the analysis is also included.

The standard describes a practical application 14 of the theory outlined in ISO 15489.
ISO/IEC 27001 - The standard covers information security leadership Information Technology - and high-level support for policy, planning an Security techniques - information security management system; risk Information Security assessment; risk treatment, supporting an information Management Systems - security management system, making an information Requirements security management system operational, reviewing the system's performance, and corrective action.
ISO 30300 - Information It establishes the objectives for using a Management and Documentation - Systems for Records, provides principles for a Management Systems for Management Systems for Records, describes a process Records - Fundamentals approach and specifies roles for top management.
and Vocabulary ISO/TR 13028 It establishes best practice guidelines for digitization to Implementation ensure the trustworthiness and reliability of records and guidelines for the enable consideration of disposal of the non-digital digitization of records source records.
15 Table 3: Transitions Road Map ACTIVITY START DATE COMPLETION DATE International Standards Naturalisation June 2018 December 2018 and Interpretation TDR system identification June 2018 December 2018 National registry system re-structuring June 2018 June 2019 and capacity building Generic EDRMS Identification December 2018 June 2019 TDR Infrastructure development December 2018 December 2020 16