managing electronic records in governmental bodies - National ...

More documents

Recommendations

Info

37 Because users have high expectations of electronic retrieval systems, most records management software has the capability to do full text searches and some also have advanced search aids such as thesaurus assist, relevance ranking, concept searching, Boolean operators, metadata searching, etc. The records management software chosen should preferably also allow for the paper holdings of the body and records in other formats to be recorded. This will enable the users to find records in all formats on a specific subject. Metadata management Preservation of metadata with the specific electronic document gives context to the document. Without the necessary context attached the electronic document will not be a record. It is no use to have the content but not to know where it comes from, who the creator was, when it was created or where it is located. The records management software chosen must prompt the users to preserve the metadata with the documents they create. It must also support automated capturing of as many metadata elements as possible, to minimise the amount of data entry performed by the users. Retention and disposal A fundamental aspect of records management is the use of retention schedules to manage the disposal of records from operational systems. Disposal schedules define how long the records have to be kept by the system, and how they may be disposed of. The disposal instructions and retention periods are applied to each subject file within the file plan. This means that all documents within that subject file carry the same disposal instruction and retention period. It also means that the disposal instruction and retention period apply to records in all formats relating to a subject. To ensure that the right records are destroyed at the right time the records management software that is chosen should not allow for automatic software-driven destruction to take place. It should rather allow for built in triggers to prompt the records manager that a disposal action should take place. Triggers can be based on an event, such as the closing of a file, the last action date or any other action that the user specifies. The rationale behind this is that it can happen that a retention period is too short, or that it is necessary for some reason to change the disposal instruction of a file. Human intervention should be mandatory before any destruction takes place. This will enable retention periods to be reviewed and the correctness of the destruction to be confirmed. It will also serve to ensure that there are proper disposal authorities in place, and that proper audit trails are in place before the physical destruction of records. It will also enable the reversal or alteration of the disposal instructions of records if necessary. The system should alert the administrator if an electronic file that is due for destruction is referred to in a link from another file and must pause the destruction process to allow the administrator to review the retention periods of all related files, Managing electronic records_Policy Guidelines.doc First Edition Version 1.1 April 2003
38 and require a confirmation by the administrator to proceed with or cancel the process. Government bodies may need to move records from their system to other locations or systems to enable the permanent preservation of the documents for legal, administrative or research reasons or to use outside services for the medium term or long term management of the records. Sometimes they will also need to export the records, i.e. copying the records to another location or system while still retaining the original records, or to destroy the records. The system must be able to execute the transfer, export or destruction in a controlled manner. In all cases, the metadata and audit trails must be transferred, exported or destroyed at the same time as the records they relate to. The system must provide a well managed process to transfer records to another system or to a third party. It must be able to transfer or export a file such that the content and structure of its electronic records remain intact, all components of the record are exported as an integral unit, all links between the record and its metadata are retained, and all links between electronic records, volumes and files are retained. It must also include a copy of all the audit trail data associated with the records, volumes and files being transferred. The system must report any failure during a transfer, export or deletion. The report must identify any records destined for transfer which have generated processing errors, and any files or records which are not successfully transferred, exported or deleted. Where hybrid files are to be transferred, exported or destroyed, the system should require the administrator to confirm that the paper part of the same files has been transferred, exported or destroyed before transferring, exporting or destroying the electronic part. The system should also enable the total destruction of classes and individual files that are stored on re-writable media, by completely obliterating them so that they cannot be restored by use of specialist data recovery facilities. Version Control Governmental bodies should decide as a matter of policy at which stage documents should be filed as records in the repository. If draft documents are saved as new records in the records repository each time they are edited, it will become very cumbersome to identify and retrieve the final version (the record copy) of a document. Keeping unnecessary documents in the repository will also increase migration costs and will slow down the system. The appropriate way to do version control is to keep draft versions of documents on the user's desktops or in the document management system and only to file final versions into the records repository. Editing of final versions should not be allowed. However where it is appropriate to retain various versions of a record as it passes through draft to finalisation creating new and related versions of a record should be possible by making and editing copies of the final version and saving them as new 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 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 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?