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27 records to capture of their websites in their specific legal, business and social context. The necessary policy requirements associated with managing websites should then be drafted to ensure that these records are kept. Governmental bodies should document the results of the risk assessment. websites are not static; therefore the potential risk level should routinely be investigated and documented. Due to the nature of the websites it is preferable that the records are captured at the back end at the time that the records are created and posted to the website. All documents published to the website should be checked into the electronic repository as records before being published to the site. The appropriate metadata for each individual record should be captured before it is published to the website. Metadata regarding the posting of the record to the website (e.g. date of posting, format it was published in, authorizations for postings and removal from website) should also be captured and linked to the record. The website should link to the repository and extract its information from the repository. This should prevent multiple copies of the same document existing in various places. Extracting a precise copy of the site to the electronic repository should create a record of the public face of the website. This should be done the first time the website becomes active and thereafter each time a change/update is done. If the website changes on a daily basis the governmental body should decide how frequently version control should be applied, taking into account the specific risks that were identified during the risk assessment. The links in the extracted copy of the website should remain active. If a record that was linked to the specific website was disposed of according to a disposal authority, the link to the metadata of that document should be maintained to indicate what happened to the specific document. A historical log should be kept all actions taken on the website after it has been extracted to the electronic repository. Besides the metadata regarding every record that is posted to the website appropriate metadata about the website itself should also be captured at the time that the website is extracted to the repository. Records of web-based activities should be extracted to the Integrated Document Management System. Single transactions between the website and the user should be captured at the time of the transaction. The following should be captured: o Date and time of the transaction; o The IP or domain address of the user; o The user profile; o The query or other action performed; o The resources provided to the user with the relevant metadata attached; o If an e-form was used, information regarding the specific version of the e- form that was used for that specific transaction. The National Archives and Records Service does not yet have the expertise to Managing electronic records_Policy Guidelines.doc First Edition Version 1.1 April 2003
28 advise client offices on the technology behind the proper management of web-based recordkeeping. The National Archives of Australia does however have a comprehensive guideline for archiving web resources. The publication Archiving Web Resources: Guidelines for keeping records of web-based activity in the Commonwealth Government can be accessed on http://www.naa.gov.au. This will give governmental bodies an idea how to go about managing websites as records. See also par. 4.3. 6.10 Establish maintenance and migration procedures Records need to remain accessible and understandable if they are to be used. Random spot checks should be done to ensure that data degradation does not go unnoticed. Furthermore a statistical sample of all data sets stored on optical and magnetic media should be read annually to detect any loss of data. Data should be copied to new or re-certified tapes at least once every 5-10 years and more frequently for optical storage media to prevent physical loss of data. To prevent technological obsolescence of the storage medium, electronic records should be migrated through changes in software and hardware platforms. Maintenance of electronic storage media as well as migration to new software and hardware platforms requires a continued commitment from an office. Offices need to budget for the expense as well as for the use of the human resources required to maintain electronic records in a readable format. If the necessary procedures are established beforehand, the use of resources can be planned to fit into the long-term strategies of the office. See also paragraphs 4.1.3.2 6.11 Apply for the appraisal of all other records systems In order to manage electronic records systems other than the correspondence system efficiently and determine retention periods, a governmental body must compile a comprehensive inventory/catalogue (See Annexure I) of all electronic records systems containing a brief description of the purpose of each system. The general disposal authorities for the disposal of ephemeral electronic and related records (Annexure D) and transitory records (Annexure E) that authorise the destruction or erasure of certain categories of electronic records can then be applied by the governmental body to dispose of non-archival systems. The inventory/catalogue must be also be submitted to the National Archives to appraise the remaining electronic systems. The National Archives will require the office to compile detailed descriptions of the archival systems for the issuing of a disposal authority as well as for archival management and retrieval purposes. The schedule must be compiled according to the elements required in the schedule of electronic records systems (Annexure C). The precise manner of how electronic records should be scheduled can be negotiated with the National Archives and Records Service. In some cases it may 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 28 and 29: 23 necessary to avoid technological
Page 30 and 31: 25 • if and e-mail is received an
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
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