vital record identification coupled vital records will be able to continue in the event of a disaster. How each authority does this is for them to determine in light of their with evaluation of protection. business needs, but the plan should point to it. As part of the migration to Read further explanation and guidance about element 10 - electronic document management, key hard copy records have been scanned. While our records management 11-01 IG Guidance on managing Element 11: Audit trail RMP11-01 NES will continue with guidance provides for tracking paper files the implementation of Alfresco files, NES does not currently have An audit trail is a sequence of steps documenting the movement Enterprise Content Management 11-02 Extract from Alfresco formal record audit trails for most and/or editing of a record resulting from activities by individuals, System, including the application of of its unstructured records. software specification detailing systems or other entities. audit functionality to corporate audit functionality The Keeper will expect an authority’s RMP to provide evidence that records held within the repository. Given that the volume of and the authority maintains a complete and accurate representation of all Review May 2014 significance of paper-based 11-03 ECMS Implementation Plan changes that occur in relation to a particular record. For the purpose of this plan can be taken to include movement of a record corporate records is small and ‘changes’ RMP11-02 The NES data quality even if the information content is unaffected. Audit trail information diminishing, we do not propose to 11-04 NES Data Quality standard workstream will continue the must be kept for at least as long as the record to which it relates. and questionnaire introduce manual audit or analysis and documenting of type controls for paper This audit trail can be held separately from or as an integral part of “registry” existing audit trail mechanisms the record. It may be generated automatically, or it may be created records as we consider such an within NES core systems and manually. approach disproportionate. databases. Aug 2013 Onwards Read further explanation and guidance element 11 - Our migration to electronic document management using the Alfresco software will provide adequate audit trail for corporate
vital records will be able to continue in the event of a disaster. How each authority does this is for them to determine in light of their business needs, but the plan should point to it. Read further explanation and guidance about element 10 - vital record identification coupled with evaluation of protection. As part of the migration to electronic document management, key hard copy records have been scanned. Element 11: Audit trail An audit trail is a sequence of steps documenting the movement and/or editing of a record resulting from activities by individuals, systems or other entities. The Keeper will expect an authority’s RMP to provide evidence that the authority maintains a complete and accurate representation of all changes that occur in relation to a particular record. For the purpose of this plan ‘changes’ can be taken to include movement of a record even if the information content is unaffected. Audit trail information must be kept for at least as long as the record to which it relates. This audit trail can be held separately from or as an integral part of the record. It may be generated automatically, or it may be created manually. Read further explanation and guidance element 11 - While our records management guidance provides for tracking files, NES does not currently have formal record audit trails for most of its unstructured records. Given that the volume of and significance of paper-based corporate records is small and diminishing, we do not propose to introduce manual audit or “registry” type controls for paper records as we consider such an approach disproportionate. Our migration to electronic document management using the Alfresco software will provide adequate audit trail for corporate 11-01 IG Guidance on managing paper files 11-02 Extract from Alfresco software specification detailing audit functionality 11-03 ECMS Implementation Plan 11-04 NES Data Quality standard and questionnaire RMP11-01 NES will continue with the implementation of Alfresco Enterprise Content Management System, including the application of audit functionality to corporate records held within the repository. Review May 2014 RMP11-02 The NES data quality workstream will continue the analysis and documenting of existing audit trail mechanisms within NES core systems and databases. Aug 2013 Onwards