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47 Migration Strategy 3. Retain records in their native software environment: One option is to retain electronic records for as long as possible in the hardware and software system that was used to create them. This may be the only strategy available for preserving records in very specialised formats that cannot be accessed without the original software. [This strategy is closely related to 7 as it assumes the software will be available]. 4. Migrate records to a system that is compliant with open systems standards: This strategy is an alternative to storing electronic records in a software independent form. Instead it converts them to a format that complies with widely used international standards (open standards). Advantages • eliminates the need to reformat records retains all of the functionality of retrieval, display and manipulation • even through widely adopted standards are subject to change, they are not likely to change as often as proprietary software Disadvantages • requires long-term maintenance of hard-ware and software that may become obsolete (if the records are retained by the originator, a business decision would be made to migrate them to a new system if ongoing access is required; if the records have been transferred to an archives, the archives will have to migrate them to a new systems before their native environment becomes obsolete) • the initial expense of conversion from proprietary to standard formats (ideally, organisations should create records in standard formats that support their export to other systems) • conversion can result in the loss of information and/or initial functionality (the impact of conversion must be evaluated and tested in advance and the conversion process must be carefully documented) • many so-called ‘open standards’ have evolved into variant versions used by particular software manufacturers that may not be compatible Managing electronic records_Policy Guidelines.doc First Edition Version 1.1 April 2003
48 Migration Strategy 5. Store records in more than one format: This can reduce the uncertainty of software Obsolescence and increase the options for future migration (e.g. textual documents may be kept in two different word processing formats). This may be a sensible approach if no open standards exist and where several software products are competing for market share. Many systems today provide the capability to export documents in two or more formats so that special conversion is not needed. 6. Create surrogates for the original records: If the software dependencies are so extensive that the record cannot be migrated to different systems it may be necessary to create a ‘surrogate’ of the original record. Surrogates are documents that represent the original but that do not reproduce its original structure or content (e.g. summaries or abstracts of documents might serve as surrogates for textual records). This strategy may be necessary when access, retrieval or display of records require maintenance of executable software. This strategy should only be used when other options have been considered and found too expensive to not be feasible from a technology stand-point. Advantages • the organisation has an alternative format should one of the software packages become obsolete • retains both functionality and integrity of records when a single format cannot support both functions (e.g. electronic records stored as both bit-mapped image files and as scanned text in ASCII code. The bit-mapped images provide a physical reproduction of the original document, but the bit-mapped image cannot be searched; the scanned ASCII text may not have sufficient structure and contextual information to stand alone as a reliable record, but can be used for access and retrieval. (The term bit-mapped refers to hardware and software that represent graphic images as bit maps. Bit maps are a representation, consisting of rows and columns of dots, of a graphics image in computer memory. They are often known as raster graphics.) • if surrogates are created in software-independent formats or in formats that comply with open system standards, the complexity and cost of future migration will be reduced Disadvantages • Increases the cost of storage and maintenance • unless the process is carefully controlled and fully documented, the integrity of the records will be lost • surrogates rarely retain the functionality and utility of the original documents and often result in loss of content as well • the authenticity and legal admissibility of the record is open to challenge 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 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: 46 ANNEXURE B: Digital preservation
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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