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31 bodies should ensure that, even without the benefit of an Integrated Document Management System, they exercise effective records management. 7.1 Records maintained on individual PC’s and network drives The National Archives and Records Service requires that governmental bodies should, as a matter of policy, ensure that the records that are created on individual PC’s are saved to a shared workspace so that the information they contain can be shared and re-used and so that proper retention and disposal rules can be applied after a written disposal authority has been obtained from the National Archivist. It is possible to set up a shared workspace with a directory structure that corresponds with the paper-based file plan. It is also possible to establish naming conventions for individual documents and to develop retention and disposal procedures for these records that correlate with the disposal procedures of the paper-based file plans. This method of work will however require: • properly documented and disseminated records capturing and records management policies, procedures and guidelines; • that the staff buy in to the idea and are committed to use the shared workspace; and • that the staff are properly trained in the concept of records capturing and records management in the shared workspace, because their role as users will change from that of records creators to playing a more active role in records management. The National Archives and Records Services staff do not yet have expertise to advise client offices on the management of records in shared workspaces. The National Archives of Canada does however have a very good guideline for the management of records in shared workspaces. The publication Managing Shared Directories and Files that is available on the website http://www.archives.ca can be used as a guideline for setting up and managing shared workspaces. The requirements contained in par 6.1 – 6.3 and 6.5 – 6.13 are also applicable to a system like this. 7.2 Records maintained in Electronic Document Management Systems and Imaging and Scanning Systems Some governmental bodies have the capacity to implement only electronic document management systems and/or imaging and scanning systems without the added benefit of an electronic records management application. Should this be the case the National Archives and Records Service requires that all electronic documents so created, should be classified/indexed against Managing electronic records_Policy Guidelines.doc First Edition Version 1.1 April 2003
32 and approved file plan that corresponds with the paper-based file plan. Governmental bodies should ensure that disposal authority is obtained from the National Archives and Records Service and that the retention and disposal rules are applied to records created and stored in such systems. Governmental bodies should also ensure that the records are protected against unauthorised alterations and deletion, so as to ensure their legal admissibility and/or compliance with the National Archives and Records Service Act, 1996 and the Promotion of Access to Information Act, 2000. The information contained in par 6.1 – 6.3 and 6.5 – 6.13 is also applicable to such a system. Heads of governmental bodies should however be aware that government is committed to e-government as a strategy for better service delivery to the public, and that the public sector is expected to participate fully in the planned e-government gateway. Governmental bodies will have to implement Integrated Document Management Systems (IDMS) to enable themselves to do so. Only the use of an effective IDMS will ensure that authentic and reliable evidence of transactions that take place via the gateway would be able to be captured and maintained. 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 32 and 33: 27 records to capture of their webs
Page 34 and 35: 29 only be necessary to provide an
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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