managing electronic records in governmental bodies - National ...

More documents

Recommendations

Info

23 necessary to avoid technological obsolescence for as long as the records are required; • All preservation actions should be documented; • Any loss of functionality, structure or content that occurs during preservation actions should be fully documented. 6.6 Ensure that electronic records are accessible Certain basic records management principles apply to any record, whether in a filing cabinet or on a computer disk. Records are valuable only if they can be found when needed for action or reference. Proper classification labelling, indexing, and preservation actions are necessary to ensure that electronic records are available and accessible throughout their useful life. The easiest way to ensure that records are accessible is to file them in a file plan containing subjects connected to the business operations/functions of the office. See also par. 4.1.1. Indexing is a more complicated way to find electronic documents if a file plan is not used. An indexing system requires the document creator to indicate the name of the document, the addressee, the date, and the identifier of the disk/tape on which it is stored, etc. An abstract of the document may also be useful. The index can be printed out, or stored on cards or in a data base management system on a labelled diskette. This is a more complicated retrieval mechanism that the file plan e need to establish a formal, office-wide system for filing, labelling, and naming electronic records depends on how the information is used. Such a system is essential if the office plans to maintain records solely in electronic form, without converting the information to paper or microforms. If there is a high turnover of personnel, or if information is shared or routed electronically, a formal system may be particularly advantageous. If information is shared on paper, however, minimal identifying information should be sufficient. 6.7 Ensure that electronic records are identifiable Labels are essential to identify electronic media. Labels on a diskette’s jacket (external labels) should include the originating office name, title, beginning and ending dates, what software was used to create the records (e.g., LOTUS 1-2-3 or MSWord), and on what equipment it was produced. Labels on a computer magnetic tape should include the volume/serial number, the name of the office that created the data, and data set name(s). Identification of any access restrictions should be included on any external label. Document, file, and directory naming conventions (internal labels) should be easily understandable and standardised so that authors and their colleagues or successors can find and use information stored on disks or tapes. Naming conventions are particularly useful when several people share a computer with a hard disk if the disk Managing electronic records_Policy Guidelines.doc First Edition Version 1.1 April 2003
24 has not been partitioned into individual work directories. Naming conventions are particularly useful in ensuring that each document can be recognised as a unique entity. 6.8 Manage e-mail as records E-mail should be managed according to the basic principles that apply to records in any medium. The management and retention of e-mail are subject to the National Archives and Records Service of South Africa Act, (Act No 43 of 1996 as amended), and its regulations. The following guidelines are applicable to the management of e- mail: Each governmental body needs to establish a policy for the capturing records of e- mail communications. Its own unique functions and environment should inform this policy. The policy should be endorsed by senior management and should be communicated throughout the organisation as part of the overall records management policy. See par 6.1 The policies should inform e-mail users that official records communicated through e-mail systems must be identified, managed, protected, and retained for as long as is needed for ongoing operations, audits, legal proceedings, research, or any other anticipated purpose. A policy should also explain how the governmental body would implement a records management programme that includes e-mail records. For example, the policy should specify where official records will be kept, such as in a central repository associated with a departmental network or LAN or in decentralised electronic or paper-based filing systems. Governmental bodies should inform end users about policies for security, backup and purging to protect records from alteration, loss, or inappropriate destruction. Retention periods for records communicated through e-mail systems, like other records are derived from the functional needs of the office and any additional legal and audit needs. Generally, records transmitted through e-mail systems will have the same retention periods as records in other formats that are related to the same function or activity. Strategies for managing and preserving electronic messages as records will differ, depending on the specific environment within a governmental body. There are two basic options for filing and managing e-mail records: • print messages and file them in paper-based filing systems, or • transfer e-mail messages to an electronic file plan in the electronic repository. The method chosen will depend on whether the office has a paper-based filing system or an Integrated Document Management System in place. If the office uses the first option, the following should be kept in mind to prevent unnecessary duplication of e-mail messages on the paper-based files: • if an e-mail message is sent and no reply is expected, print and file the message; 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 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 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
Page 72 and 73: 67 3. Deterioration of magnetic med
Page 74 and 75: 69 Floppy disks and diskettes shoul
Page 76 and 77: 71 signal which can be read using a
Page 78 and 79:
73 in optical disks. WORM and rewri
Page 80 and 81:
75 Insects and rodents once attract
Page 83 and 84:
78 ANNEXURE I: Glossary Act The Nat
Page 85 and 86:
80 Electronic records Any informati
Page 87 and 88:
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
show all

managing electronic records in governmental bodies - National ...

You also want an ePaper? Increase the reach of your titles

Delete template?

Save as template?