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17 While some of the records published to websites often exist in paper format in proper record keeping systems, it does happen that records are being created in the online environment, which are not captured in record keeping systems. Governmental bodies are responsible for the creation of authentic, reliable and accurate records of all web-based activities to enable them to be accountable to the public to which the services are provided. Governmental bodies can be held accountable for the information they publish on their websites even long after the website has been updated/changed, as well as for the transactions conducted via the website. At a given time websites may contain information on: - the structure and organisation of the body concerned - the legislation it administers or under which it operates; - the functions for which it is responsible; - its current policies, guidelines, advice and publications; - its current products and services; - instructions for the access and use of those products and services and for the interpretation of the information posted to the websites; - the functionality to transact with the governmental body to obtain products and services. Websites document both the structures and public face of governmental bodies. It is necessary for governmental bodies to document their websites accurately over time so that they can reliably establish the content their websites carried at any particular point of time. If websites are not managed appropriately governmental bodies could be required to: o carry the cost of legal action when being sued for not being able to provide accurate information on the content of a website at a specific time; o operational cost when vital information is lost; o administration costs when information has to be searched for and replicated; and o historical costs when the archival records containing the corporate memory are lost. It is even more imperative that records should be created of all transactions conducted using this functionality. In the absence of a record of transactions, there is no evidence of these transactions ever having occurred. This can lead to the transaction being deemed by a court of law not to have taken place. All the information contained in paragraphs 4.1.2–4.1.8 is also applicable to websites. 4.4 Structured systems The information contained in these systems also constitutes public records that form part of the offices’ corporate memory and therefore needs to be managed according Managing electronic records_Policy Guidelines.doc First Edition Version 1.1 April 2003
18 to the same principles by which all other records are managed. All the information contained in paragraphs 4.1.2-4.1.8 above is also applicable to structured systems. Although the proper management of all structured systems is equally important, specific attention should be given to: 4.4.1 Data Warehouses and Geographic Information Systems Due to the volatile nature of the information captured in these systems specific attention should be given to their proper management. Data warehouses are central repositories that capture data from diverse online transaction processing sources for analysis and user queries. Data warehouses are mostly used actively in customer relationship management environments. Data warehouses are dynamic in nature and change frequently. Geographic Information Systems capture geographical information in the form of scanned and digitized map images. This type of system enables a user to envision geographic aspects of a body of data and is amongst others used for weather forecasting, sales analysis, population forecasting, land use planning etc. GIS databases are also dynamic in nature and change frequently. While some of the information captured on this type of databases might exist in paper format, most of the dynamic assembly of information takes place online, and the record of a specific instance of information assembly only exists in real time while the user is accessing it. Different users can also require different assemblies of information with totally dissimilar results, which makes it extremely difficult to manage these systems or the records generated while interrogating these systems. Governmental bodies can however be held accountable for the information users have obtained from such systems. It therefore is imperative that governmental bodies apply version control to both types of systems, and that they ensure that records are captured of all queries and the results of those specific queries. The absence of records of what information these systems carried as well as how the systems were interrogated and what the results of the interrogations were, could lead to governmental bodies being held accountable for how the information was interpreted and used. 5. The National Archives and Records Service’s electronic records management strategy While its practical experience in the field is still limited, the National Archives and Records Service has adopted a strategy underpinned by a legal framework explicitly provided for in the National Archives and Records Service of South Africa Act (Act No. 43 of 1996, as amended). The Act specifies in sections 13(2)(b)(ii) and 13(2)(b)(iii) that the National Archivist must determine the conditions subject to which records may be reproduced electronically as well as the conditions with regard to the way electronic records systems must be managed. Managing electronic records_Policy Guidelines.doc First Edition Version 1.1 April 2003
Page 1 and 2: MANAGING ELECTRONIC RECORDS IN GOVE
Page 3 and 4: Content PREFACE ...................
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 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
Page 53 and 54: 48 Migration Strategy 5. Store reco
Page 55 and 56: 50 ANNEXURE C: Schedule for electro
Page 57 and 58: 52 the system. A transfer list in w
Page 59 and 60: 54 Supportive legal documents attac
Page 61 and 62: 56 ANNEXURE D: General disposal aut
Page 63 and 64: 58 Africa, EXCLUDING records contai
Page 65: 60 4.13 Security Backup Files Elect
Page 68 and 69: 63 (e) (f) (g) annotated drafts whe
Page 70 and 71: 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
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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).
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84 Transmission data Information in
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86 ANNEXURE J: Bibliography Aeon Ar
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88 Kronauer, C.: Special Report SAN
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90 Vasudeva, A.: Special Report SAN
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