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National Archives and Records Service of South Africa Private Bag X236 PRETORIA 0001 ISBN 1-919965-02-05 First Edition, Version 1.1, April 2003 The information contained in this publication may be re-used provided that proper acknowledgement is given to the specific publication and to the National Archives and Records Service of South Africa. Acknowledgement In the compilation of these Policy Guidelines, considerable use has been made of guidelines produced by other National Archives and related institutions and individuals and made public on the Internet. In some cases, material derived from these sources has been used verbatim. Specific acknowledgement of the sources is made in the Bibliography.
Content PREFACE .................................................................................................................................I 1. INTRODUCTION .................................................................................................. 2 2. WHAT IS AN ELECTRONIC RECORD .......................................................... 5 3. WHY DO WE CREATE RECORDS.................................................................. 6 4. THE IMPORTANCE OF RECORDS MANAGEMENT AND PRESERVATION IN THE ELECTRONIC ENVIRONMENT ........................ 7 4.1 UNSTRUCTURED SYSTEMS ......................................................................................... 7 4.1.1 Classification Systems ........................................................................................... 9 4.1.2 Appraisal and disposal.................................................................................... 10 4.1.3 Accessibility..................................................................................................... 10 4.1.3.1 Storage of electronic records....................................................................... 10 4.1.3.1.1 Magnetic storage media......................................................................... 11 4.1.3.1.2 Optical storage media............................................................................ 11 4.1.3.2 Migration..................................................................................................... 12 4.1.4 Metadata.......................................................................................................... 13 4.1.5 Version control................................................................................................ 14 4.1.6 Authenticity...................................................................................................... 14 4.1.6.1 Audit and history trail.................................................................................. 14 4.1.6.2 Digital certificates and digital signatures .................................................... 15 4.2 E-MAIL..................................................................................................................... 15 4.3 WEBSITES AND WEB-BASED ACTIVITIES.................................................................. 16 4.4 STRUCTURED SYSTEMS ............................................................................................ 17 4.4.1 Data Warehouses and Geographic Information Systems................................ 18 5. THE NATIONAL ARCHIVES AND RECORDS SERVICE’S ELECTRONIC RECORDS MANAGEMENT STRATEGY....................................................... 18 6. THE RESPONSIBILITIES OF GOVERNMENTAL BODIES REGARDING THE MANAGEMENT OF ELECTRONIC RECORDS.................................. 20 6.1 ESTABLISH RECORDS MANAGEMENT POLICIES AND PROCEDURES ............................ 20 6.2 ASSIGN RESPONSIBILITY FOR ELECTRONIC RECORDS MANAGEMENT ..................... 20 6.3 NOTIFY THE NATIONAL ARCHIVES AND RECORDS SERVICE OF THE INTENTION TO INTRODUCE ELECTRONIC RECORDS SYSTEMS........................................................................ 21 6.4 IMPLEMENT AN INTEGRATED DOCUMENT MANAGEMENT SYSTEM. ...................... 21 6.5 FORMULATE AN ELECTRONIC RECORDS PRESERVATION PLAN............................... 22 6.6 ENSURE THAT ELECTRONIC RECORDS ARE ACCESSIBLE ........................................ 23 6.7 ENSURE THAT ELECTRONIC RECORDS ARE IDENTIFIABLE...................................... 23 6.8 MANAGE E-MAIL AS RECORDS .............................................................................. 24 6.9 MANAGE WEBSITES AND WEB-BASED ACTIVITIES AS RECORDS................................ 26 6.10 ESTABLISH MAINTENANCE AND MIGRATION PROCEDURES....................................... 28 6.11 APPLY FOR THE APPRAISAL OF ALL OTHER RECORDS SYSTEMS ................................ 28 6.12 TRANSFER ARCHIVAL ELECTRONIC RECORDS INTO ARCHIVAL CUSTODY ................. 29 6.13 ERASE ELECTRONIC AND RELATED RECORDS ONLY IN ACCORDANCE WITH A
Page 1: MANAGING ELECTRONIC RECORDS IN GOVE
Page 5: i PREFACE The increasing use of ele
Page 8 and 9: 3 The Public Finance Management Act
Page 10 and 11: 5 guidelines set out in this public
Page 12 and 13: 7 means that it takes up very littl
Page 14 and 15: 9 o identifying records that are du
Page 16 and 17: 11 requirements regarding the mediu
Page 18 and 19: 13 the AIIM International Standards
Page 20 and 21: 15 invalidates accounting entries.
Page 22 and 23: 17 While some of the records publis
Page 24 and 25: 19 The National Archives and Record
Page 26 and 27: 21 electronic document management,
Page 28 and 29: 23 necessary to avoid technological
Page 30 and 31: 25 • if and e-mail is received an
Page 32 and 33: 27 records to capture of their webs
Page 34 and 35: 29 only be necessary to provide an
Page 36 and 37: 31 bodies should ensure that, even
Page 38 and 39: 33 Managing electronic records_Poli
Page 40 and 41: 35 To ensure that records remain ac
Page 42 and 43: 37 Because users have high expectat
Page 44 and 45: 39 records. Archiving Electronic re
Page 46 and 47: 41 The electronic records managemen
Page 48 and 49: 43 duplicating documents that alrea
Page 51 and 52: 46 ANNEXURE B: Digital preservation
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48 Migration Strategy 5. Store reco
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50 ANNEXURE C: Schedule for electro
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52 the system. A transfer list in w
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54 Supportive legal documents attac
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56 ANNEXURE D: General disposal aut
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58 Africa, EXCLUDING records contai
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60 4.13 Security Backup Files Elect
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63 (e) (f) (g) annotated drafts whe
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65 - Information in a form intended
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67 3. Deterioration of magnetic med
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69 Floppy disks and diskettes shoul
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71 signal which can be read using a
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73 in optical disks. WORM and rewri
Page 80 and 81:
75 Insects and rodents once attract
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78 ANNEXURE I: Glossary Act The Nat
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80 Electronic records Any informati
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82 microfilm or electronic media).
Page 89 and 90:
84 Transmission data Information in
Page 91 and 92:
86 ANNEXURE J: Bibliography Aeon Ar
Page 93 and 94:
88 Kronauer, C.: Special Report SAN
Page 95:
90 Vasudeva, A.: Special Report SAN
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