managing electronic records in governmental bodies - National ...

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properties are fused in a single physical paper document. Visible to our eyes, we can
read the text or content of the document. We can also see its physical structure: the
document that is a ledger or cashbook will have a different format to a letter. Finally,
we can easily deduce the context. A letter, for example, will show from whom and to
whom it was written, the date it was written and the date it was received stamped on
it, and its heading, file number and position in the file will all contribute to the context
in which it was written and received.
In an electronic system, the properties of content (the information a record contains),
structure (the appearance and physical layout or type) and context (the intended
use, purpose and recipients, etc) may be physically separate. An electronic
database may contain content in the form of data, but the information on its structure
(such as the record format) and context (what other records it relates to) may be
kept separately in software, technical documentation and directories. The problem is
that content on its own does not constitute a record as it is not sufficient to guarantee
authenticity or reliability for legal purposes or operational continuity, and without
context it is difficult to interpret the full meaning of a document. An example of such
a situation would be a database containing correspondence without any form of
subject classification system or meaningful reference numbers, or links between
related documents, which is searched in a hit-or-miss method by arbitrary keywords
only. As technology has developed, the problem of content, context and structure not
being integrated has become more acute. Some systems are designed to maintain
different types of information as separate entities, and the software then creates a
temporary record in answer to a specific query bringing together information that is
kept in different physical entities. Unless archival considerations are built into an
electronic system to ensure the maintenance of the essential characteristics of
records, it may not in fact contain records, but merely information or data.
3. Why do we create records
Both governmental and private institutions routinely create and accumulate records
as they undertake their business. These records are created for a purpose and, as
evidence of official business, they have on-going use as a means of management,
accountability, operational continuity, legal evidence and disaster recovery. They
also form the memory of the institution that created them, and by extension, they are
part of society’s memory and the broader cultural heritage. In some cases records
also have a bearing on the rights of citizens. A body’s ability to function efficiently
and give account of its actions could therefore be negatively affected if sound
records management principles are not applied. The need for effective management
of records is enhanced by the Public Finance Management Act, 1999, the Promotion
of Access to Information Act, 2000 and the Promotion of Administrative Justice Act,
2000, in terms of which governmental bodies have an obligation to manage their
records properly and to provide access to information contained in records, as well
as reasons for administrative decisions.
Records in electronic form also possess processing capabilities, which could be of
considerable value for research and analysis. The high density of electronic data
Managing electronic records_Policy Guidelines.doc
First Edition
Version 1.1
April 2003