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DISPOSAL AUTHORITY ISSUED BY THE NATIONAL ARCHIVIST............................................... 30 6.14 MANAGE DATA WAREHOUSES AND GEOGRAPHIC INFORMATION SYSTEMS AS RECORDS .............................................................................................................................. 30 7. MANAGING ELECTRONIC RECORDS WITHOUT THE BENEFIT OF AN INTEGRATED DOCUMENT MANAGEMENT SYSTEM ..................... 30 7.1 RECORDS MAINTAINED ON INDIVIDUAL PC’S AND NETWORK DRIVES ...................... 31 7.2 RECORDS MAINTAINED IN ELECTRONIC DOCUMENT MANAGEMENT SYSTEMS AND IMAGING AND SCANNING SYSTEMS...................................................................................... 31 ANNEXURE A: REQUIRED RECORDS MANAGEMENT FUNCTIONALITY CONTAINED IN INTEGRATED DOCUMENT MANAGEMENT SYSTEMS ................................................................................................................................34 ANNEXURE B: DIGITAL PRESERVATION STRATEGIES...................................... 46 ANNEXURE C: SCHEDULE FOR ELECTRONIC RECORDS SYSTEMS OTHER THAN THE CORRESPONDENCE SYSTEM.................................................. 50 A. GENERAL REMARKS................................................................................................. 50 B. INFORMATION THAT SHOULD BE INCLUDED IN THE SCHEDULE................................. 51 C. DISPOSAL INSTRUCTIONS: ELECTRONIC RECORDS................................................... 52 DEPARTMENT OF FISHERIES ............................................................................... 53 ANNEXURE D: GENERAL DISPOSAL AUTHORITY NUMBER AE1 FOR THE DESTRUCTION OF EPHEMERAL ELECTRONIC AND RELATED RECORDS OF ALL GOVERNMENTAL BODIES......................................... 56 ANNEXURE E: GENERAL DISPOSAL AUTHORITY NUMBER AT2 FOR THE DESTRUCTION OF TRANSITORY RECORDS OF ALL GOVERNMENTAL BODIES ............................................................................. 62 ANNEXURE F: HANDLING MAGNETIC MEDIA ....................................................... 66 ANNEXURE G: HANDLING OPTICAL STORAGE MEDIA ...................................... 72 ANNEXURE H: EXAMPLE OF AN INVENTORY/CATALOGUE FOR ELECTRONIC RECORDS SYSTEMS ............................................................. 76 ANNEXURE I: GLOSSARY .............................................................................................. 78 ANNEXURE J: BIBLIOGRAPHY .................................................................................... 86 FURTHER INFORMATION............................................................................................... 92
i PREFACE The increasing use of electronic systems by governmental bodies to conduct their business has significantly changed the way that records are created and kept. Electronic recordkeeping poses particular challenges to governmental bodies and to the National Archives and Records Service, both of which need to ensure that reliable records are maintained over time as evidence of official business for the purposes of accountability, operational continuity, disaster recovery and institutional and social memory. With paper-based records, provided a well-structured file plan is maintained and the records are physically protected, the evidence they contain remains accessible and readable over time. However, in the rapidly-changing technological environment, the same cannot be said of electronic records. It is essential for governmental bodies to give specific consideration to the preservation of electronic records as part of a formal policy of managing records. To promote strategies for the appropriate management of electronic records of government, the National Archives and Records Service of South Africa Act (No 43 of 1996, as amended) contains two provisions specifically regarding electronic records systems: that the National Archivist shall determine the conditions subject to which electronic records systems shall be managed, and also the conditions subject to which public records may be electronically reproduced (section 13(2)(b)(ii) and (iii)). As with other public records, the legislation provides that electronic records may not be disposed of without the written authorisation of the National Archivist (section 13(2)(a)). The legislative provisions regarding archival custody take the special needs of electronic records into account, in that while public records that have been appraised as having archival value are to be transferred to archival custody after 20 years, the National Archivist may in consultation with the head of a governmental body identify records which should remain in its custody or should be transferred to archival custody at an earlier time (section 11(2)(b)). The purpose of these Policy Guidelines is to provide guidance to governmental bodies to assist them to comply with legislative requirements regarding electronic records as an integral part of the strategic management of information. Without such strategic management, the records of governmental bodies will be insecure and the effective functioning and accountability of bodies, based as it is on the information held in their own records, will be jeopardised. And there will be no long-term institutional and social memory of the present age in the custody of the National Archives and Records Service. Dr Graham Dominy NATIONAL ARCHIVIST APRIL 2003 Managing electronic records_Policy Guidelines.doc First Edition Version 1.1 April 2003
Page 1 and 2: MANAGING ELECTRONIC RECORDS IN GOVE
Page 3: Content PREFACE ...................
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
Page 53 and 54: 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
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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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