Professional Documents
Culture Documents
Electronic Records Management
Electronic Records Management
AND RECORDS
MANAGEMENT COURSE
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MODULE 1
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RECORDS MANAGEMENT STRATEGY PATH
RECORDS MANAGEMENT STRATEGY PATH
Manual Records Environment
Records
Records Systems and Policy System and Policy
Start RM Training Decongestion and End
Management Audit Design Implementation
Clean-Up
Electronic Records Management
Conduct an an
Environment
3
WHAT IS RECORDS MANAGEMENT?
• “The management of information resources in the manner that makes
information easily accessible, securely protected, stored, and disposed of
when no longer required for administrative purposes” (National Archives
and Records Services-South Africa).
• Focuses on objectives of records management
• “The control of the creation, receipt, maintenance, use and disposal of
records in accordance with professional and international standards of
practice”. (International Council of Archives).
• Focuses on the lifecycle of a record
• “Records management (RM)…is the professional practice or discipline of
controlling and governing what are considered to be the most important
records of an organization throughout the records life-cycle, which
includes from the time such records are conceived through to their
eventual disposal”. (Wikipedia)
• Focuses on the lifecycle of a record
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WHAT IS RECORDS MANAGEMENT CONT…?
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WHAT IS RECORDS MANAGEMENT CONT…?
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WHAT IS RECORDS MANAGEMENT CONT…?
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WHAT IS RECORDS MANAGEMENT CONT…?
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WHAT IS RECORDS MANAGEMENT CONT…?
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WHAT IS A RECORD?
• “A record is defined as being something that represents proof of existence and
that can be used to recreate or prove state of existence, regardless of medium or
characteristics. A record is either created or received by an organization in
pursuance of or compliance with legal obligations, or in the transaction of
business. Records can be either tangible objects, such as paper documents like
birth certificates, driver's licenses, and physical medical x-rays, or digital
information, such as electronic office documents, data in application databases,
web site content, and electronic mail (email)”. Wikipedia
• “Records are recorded information, regardless of medium or characteristic that
has been created within or received by an organization and that has been or is
used in the accomplishment of work, as evidence of activities, or because of the
information it contained”. Dr. Mark Langemo
• Record: “recorded information regardless of form or medium” (National Archives
and Records Services-South Africa).
• By format we mean records are structured differently: memo, maps, plans, reports, minutes
etc take unique formats when developed
• By medium we mean that records sit on different platforms: paper, microfilm, audio-visual,
electronic.
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IS A RECORD THE SAME THING AS A DOCUMENT?
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IS A RECORD THE SAME THING AS A DOCUMENT?
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WHAT IS AN ELECTRONIC RECORD?
• A record that is created, generated, sent, communicated, received, or
stored by electronic means and that requires some form of computer
technology to access and use.
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OTHER RECORD MEDIA
• Physical records
• Paper records
• Micrographic records
• Audio-visual records
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CLASS ACTIVITY
• Indicate whether each of the following items is a document or a
record.
• Blank application form
• Signed minutes of a management meeting
• Draft submission distributed for inputs
• A course manual
• An invoice of a processed payment
• An employee’s hand written notes from a meeting
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RECORDS MANAGEMENT MATURITY MODEL
• The Records Management Maturity Model describes “the typical behavior
exhibited by an organizations at five levels of maturity:
• Level 1: Uncertainty: At this stage there are no disciplined records management processes.
Recordkeeping depends on the efforts of few individuals. There is also no supporting
platform for records management processes (E.g. no dedicated records management unit,
no records storage facilities, no records classification systems, policies and guidelines etc.).
• Level 2: Awakening: At this stage, an Organization is beginning “to smell the coffee”. The
platform is not yet intact but there are efforts to establish one. For example relevant
personnel is appointed, a file plan is developed etc. There are attempts to develop systems
to support records management processes.
• Level 3: Enlightening: At this stage, the supporting platform is established: dedicated records
management unit, trained records staff, classification systems, policies, guidelines, storage
facilities. However, this platform is not supported by the human element: behaviour,
practices and attitudes
• Level 4: Wisdom: At this stage there is a convergence between the platforms and the human
factor. Officials within the Organization fully appreciate and adhere to the new records
management regulations.
• Level 5: Certainty: The “meeting of minds” between the platform and the human factor is so
mature that it makes it easy to implement an electronic records management system/s
within the Organization.
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RECORDS MANAGEMENT MATURITY MODEL
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WHY MANAGE RECORDS?
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RISKS ASSOCIATED WITH POOR RECORDS
MANAGEMENT
• Failure to meet legislative and regulatory requirements;
• Embarrassment to your chief executive, the government and/or private individuals, especially if inability to
manage information competently is highlighted in the media;
• Poor strategic planning and poor decisions based on inaccurate information;
• Business critical information not accessible for the conduct of business, dispute resolution, legal challenge or
evidential purposes;
• Loss of credibility, lowered public confidence, or financial or legislative penalties through inability to produce
records or provide evidence of business activity when required in a timely manner;
• Inability to provide evidence of the organization's activities or undertakings with external agencies, clients or
contractors;
• Inconsistent and inefficient conduct of business;
• Inability to exploit organizational information and knowledge to full potential;
• Unlawful disposal of records
• Duplication of effort, and poor resource and asset management;
• Reduced capability of demonstrating good performance and any increased efficiencies or improved service
delivery; and
• Organizational embarrassment and damage to reputation.
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ADMINISTRATIVE BENEFITS OF RECORDS
MANAGEMENT
• Tangible/measurable benefits:
• Reduced storage costs associated with keeping only required records
• Reduced storage costs moving from paper-based to electronic storage
• Reduced storage costs associated with offsite storage
• Reduced consumable costs associated with less paper-based records
• Increased productivity associated with automation of information related
tasks and use of document templates
• Reduced staff costs due to efficient performance of information related tasks
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ADMINISTRATIVE BENEFITS OF RECORDS
MANAGEMENT
• Intangible/immeasurable benefits:
• Easy retrieval of information for optimal office performance
• Expedites investigations
• Increased efficiency in receipt and fulfillment of customer orders and service delivery
• To protect people’s rights and entitlements
• To achieve strategic objectives
• Effective compliance with document protection principles
• Effective compliance with freedom of information and other information-related legislation
• Demonstrating the authenticity of records to increase the evidential weight for legal
admissibility
• Improved decision-making and policy formation supported by reliable information
• Increased accountability and transparency by providing reliable records of actions and
decisions
• Improved information flow, information sharing, innovation and creativity through enhanced
corporate knowledge management
• Efficient collaborative working and continuity
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LEGAL REQUIREMENTS FOR RECORDS
MANAGEMENT
• The Constitution of the Republic of South Africa (Act No. 108 of 1996)
• The Constitution can be considered as the foundation for sound records
management practices.
• As much as the Constitution does not specifically refer to “records management”, it
has provisions which has far reaching implications to records management practice.
Section 195 of the Constitution outlines a list of “basic values and principles
governing public administration”. The following are some of the principles with
relevance to records management:
• “Effective, economical and efficient use of resources”: it is imperative that records are seen
as resources within an organization. As such, records should be managed effectively,
economically, and efficiently as per the Constitution.
• “Provision of timely, accessible and accurate information”: It is imperative that records
should be kept soundly if this Constitutional imperative is to be met.
• “Accountable and transparent public administration”: there is no doubt that good
recordkeeping accentuate accountability and transparency.
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LEGAL REQUIREMENTS FOR RECORDS
MANAGEMENT CONT…
• The Public Finance Management Act (Act No. 1 of 1999)
• The PFMA was promulgated primarily to regulate financial management in
governmental bodies.
• The Act is aimed to prevent corruption by ensuring the proper management
of financial resources.
• However, these piece of legislation is also relevant to records management.)
In terms of the Act, the Head of a governmental body or the Chief Executive
Officer of a constitutional institution is the Accounting officer.
• Section 36(2) of the Act states very clearly that this person has an obligation
“to keep full and proper records of the financial affairs of the department…in
accordance with prescribed norms and standards”.
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LEGAL REQUIREMENTS FOR RECORDS
MANAGEMENT CONT…
• The Municipal Finance Management Act (Act No. 56 of 2003)
• The Act is aimed to secure sound and sustainable management of the
financial affairs of municipalities and other institutions in the local sphere of
government; to establish treasury norms and standards for the local sphere
of government; and to provide for matters connected therewith.
• According to Section 62. (1) The accounting officer of a municipality is
responsible for managing the financial administration of the municipality, and
must for this purpose take all reasonable steps to ensure—
• (a) that the resources of the municipality are used effectively, efficiently and
economically;
• (b) that full and proper records of the financial affairs of the municipality are kept in
accordance with any prescribed norms and standards;
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LEGAL REQUIREMENTS FOR RECORDS
MANAGEMENT CONT…
• The Promotion of Access to Information Act (Act No. 2 of 2000)
• This Act was passed “to give effect to the constitutional right of access to any
information held by the state, any information that is held by another person,
any information that is held by a private body and that is required for the
exercise or protection of any rights”. The aim thereof is to foster a culture of
transparency and accountability.
• The following are some of the provisions within the Act:
• Decision on request and notice thereof:
• Public Bodies: Section 25(1): Provides for the information officer to grant (or deny) access
within 30 days after the request is received.
• Private Bodies Section 56(1): Provides for the head of the private body to grant (or deny)
access within 30 days after the request is received.
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LEGAL REQUIREMENTS FOR RECORDS
MANAGEMENT CONT…
• The Promotion of Access to Information Act (Act No. 2 of 2000) cont…
• Deemed Refusal:
• Public Bodies: Section 27: “If an information officer fails to give the decision on a request
for access to the requester concerned within the period contemplated in section 25(1), the
information officer is, for the purposes of this Act, regarded as having refused the
request.”
• Private Bodies: Section 58. “If the head of a private body fails to give the decision on a
request for access to the requester concerned within the period contemplated in section
56(1), the head of the private body is, for the purposes of this Act, regarded as having refused
the request”.
• Grounds for refusal:
• Public Bodies: Sections 33-46
• Private Bodies: Sections 62-70
• PAIA Manual:
• It is expected of organizations to develop the PAIA Manual within six months after the
commencement of this section and submit to the Human Rights Commission:
• Public Bodies: Section 14
• Private Bodies: Section 51
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LEGAL REQUIREMENTS FOR RECORDS
MANAGEMENT CONT…
• The Promotion of Access to Information Act (Act No. 2 of 2000) cont…
• "The idea or suggestion of the possibility of no record of documents in writing or no records being kept
pertaining to "top management" decisions being available, especially those records like in this matter that
have or might have financial implications to the Nkandla project, is a serious indictment against those in
public office who deal with the business of government and this should not go unchallenged.
• "Failure to keep record or a tendency to lose documents, or to hide them or to deal with government
business under a cloud of secrecy where it is not justified or, like in this matter to confine disclosure to the
project managers documents in situations where a government department is taken to task or where the
shoe might pinch certain officials ... constitutes a dereliction of one of the most important obligations on a
government, which is to keep proper records.
• "Such conduct on the part of government does not advance the values espoused in our Constitution, that of
a democratic, transparent and accountable government. "It is in the public interest to keep record in order to
give credence to the business of government itself and to those who govern. "Records are kept so that such
records are preserved for posterity in keeping with our national heritage. "The National Archives Act... places
an obligation on all government employees from the top to the bottom to create proper records, whether
these concern casual, ordinary or classified information, when conducting government business,"
• Judge Vuyelwa Tlhapi in a matter between the Department of Public Works and Mail & Guardian
Centre for Investigative Journalism
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LEGAL REQUIREMENTS FOR RECORDS
MANAGEMENT CONT…
• The Promotion of Administrative Justice Act (No. 3 of 2000)
• This Act is aimed to ensure that administrative action is lawful, reasonable
and fair.
• Section 5 (1) states that “any person whose rights have been materially and
adversely affected by an administrative action…may request the
administrator …to furnish written reasons…” and such reasons to be
furnished within 90 days after receiving the request or else it should
presumed that the admin action was taken without good reason.
• It is therefore imperative for organizations to keep records that documents
and explain their actions in case such actions are questioned in terms of this
Act.
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LEGAL REQUIREMENTS FOR RECORDS
MANAGEMENT CONT…
• The Electronic Communication and Transactions Act (No. 25 of 2002)
• This Act is aimed to legalize electronic transactions and communications to
pave the way for e-service delivery. According to this Act, authentic and
reliable records/data messages should be created of electronic transactions
and communications.
• Section 15(1) of the Act states that “rules of evidence in legal proceedings not
to deny the admissibility of data messages in evidence”.
• The Act therefore has far reaching implications in regard to how electronic
records are managed since it allows for the legal admissibility of these
records.
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LEGAL REQUIREMENTS FOR RECORDS
MANAGEMENT CONT…
• The Electronic Communication and Transactions Act (No. 25 of 2002)
• Sapa | 25 March, 2014 10:48
• Murder accused paralympian Oscar Pistorius made his first call of the morning on which he shot his girlfriend
Reeva Steenkamp shortly after 3am, the High Court in Pretoria heard on Tuesday.
• Pistorius's first voice call in the early morning of February 14, 2013 was at 3:19am to a number ending in
2251, which was saved on Pistorius's phone as "Johan Silver Woods", police captain Francois Moller said
during Pistorius's murder trial. Johan Stander is the head of security at the Silver Woods estate, where
Pistorius shot and killed Steenkamp through the locked door of his toilet, apparently thinking she was an
intruder. Moller was being questioned by prosecutor Gerrie Nel.
• At 3.20am the phone was used to make an internet connection. Moller told the court earlier this could
include use of social networks like Twitter, Facebook, or WhatsApp.
• At 3.20am Pistorius called 082911, an emergency services number. The call lasted 66 seconds. This was
followed by another internet connection, and then a call at 3.21am to a number ending in 6797 -- security at
the Silver Woods estate.
• Then, at 3.21am Pistorius called 121, his voice mailbox number. A minute later, Silver Woods' security called
Pistorius back. More internet connections followed, and then, at 3.55am, Pistorius called his friend Justin
Divaris.
• At 4.01am he called his older brother Carl. Pistorius has been charged with the premeditated murder of
Steenkamp and contraventions of the Firearms Control Act. He allegedly fired a shot from a Glock pistol
under a table at a Johannesburg restaurant in January 2013.
• On September 30, 2012 he allegedly shot through the open sunroof of a car with his 9mm pistol while driving
with friends in Modderfontein.
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LEGAL REQUIREMENTS FOR RECORDS
MANAGEMENT CONT…
• The Electronic Communication and Transactions Act (No. 25 of 2002)
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LEGAL REQUIREMENTS FOR RECORDS
MANAGEMENT CONT…
• The Minimum Information Security Standard (MISS)
• Foundation for the controversial Protection of State Information Bill(the so-called the
Secrecy Bill)
• MISS is a policy document on information security in government. It is aimed at providing the
necessary procedures and measures to protect information.
• Chapter 4: Document Security
• Par 1 1.1 states that “All bodies/institutions/organizations have at their disposal
intelligence/information that is to some extent sensitive in nature and obviously requires security
measures. The degree of sensitivity determines the level of protection, which implies that information
must be graded or classified according to it”.
• Par 11.1.1 further states that “An effective registry is the core of effective document control and of
document security. One registry should be the central/main registry where all incoming mail must be
received, opened and from where it must be distributed internally. The receiving and distributing must
be recorded in the relevant registers”.
• Chapter 5: Security vetting
• Par 1.5 states that “From the lowest level up to Deputy Director General all staff members and any
other individuals who should have access to classified information, must be subjected to security
vetting”.
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LEGAL REQUIREMENTS FOR RECORDS
MANAGEMENT CONT…
• The Protection of Personal Information (POPI) Act (No. 4 of 2013)
• The Act is aimed “To promote the protection of personal information processed by
public and private bodies” in line with Section 14 of the Constitution which provides
“that everyone has the right to privacy”
• Section 2 of the Act-
• give effect to the constitutional right to privacy, by safeguarding personal information when
processed by a responsible party, subject to justifiable limitations that are aimed at— (i)
balancing the right to privacy against other rights, particularly the right of access to
information; and (ii) protecting important interests, including the free flow of information
within the Republic and across international borders;
• regulate the manner in which personal information may be processed, by establishing
conditions, in harmony with international standards, that prescribe the minimum threshold
requirements for the lawful processing of personal information;
• provide persons with rights and remedies to protect their personal information from
processing that is not in accordance with this Act; and
• establish voluntary and compulsory measures, including the establishment of an Information
Regulator, to ensure respect for and to promote, enforce and fulfil the rights protected by
this Act
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LEGAL REQUIREMENTS FOR RECORDS
MANAGEMENT CONT…
• The National Archives and Records Service Act (No. 43 of 1996 as
amended)
• This Act is aimed at regulating the management of records in governmental bodies.
The following are some of the important clauses within the Act:
• Section 13 (1): “…the National Archivist shall be charged with the proper management and
care of records in the custody of governmental bodies”.
• Section 13(2)(a): “no public record under the control of a governmental body shall be
transferred to an archives repository, destroyed, erased, or otherwise disposed of without
the written authorization of the NA”
• Section 13(2)(b)(i): “The NA shall determine records classification systems to be applied by
governmental bodies”.
• Section 13(2)(b)(ii): “The national archivist shall determine the conditions subject to which
electronic records systems should be managed”
• Section 13 (5) (a) “The head of a governmental body shall, subject to any law governing the
employment of personnel of the governmental body concerned and such requirements as
may be prescribed, designate an official of the body to be the records manager of the body”.
• Section 13 (5) (b) The records manager shall be responsible to see to it that the governmental
body complies with the requirements of this Act.
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LEGAL REQUIREMENTS FOR RECORDS
MANAGEMENT CONT…
• Various Provincial Archives and Records Service Acts
• Mpumalanga: Archives Act (Act No. 14 of 1998)
• Free State: Provincial Archives Act (Act No. 4 of 1999)
• Kwazulu-Natal : Provincial Archives Act (Act No. 5 of 2000)
• Limpopo: Northern Province Archives Act (Act No.5 of 2001)
• Eastern Cape: Provincial Archives and Records Service (Act No. 7 of 2003)
• Western Cape: Provincial Archives and Records Service of the Western Cape
Act (Act No. 3 of 2005)
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LEGAL REQUIREMENTS FOR RECORDS
MANAGEMENT CONT…
• ISO 15489
• Section 4 of the ISO 15489-1:2001 states that records management includes:
• setting policies and standards;
• assigning responsibilities and authorities;
• establishing and promulgating procedures and guidelines;
• providing a range of services relating to the management and use of records;
• designing, implementing and administering specialized systems for managing records;
and
• integrating records management into business systems and processes.
• The Standard was adopted by SABS as SANS 15489
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MODULE 2
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PAPER FILING SYSTEM AS THE BASIS
FOR ELECTRONIC FILING
• Although many records are now created, received and maintained in
electronic formats, organizations still create and receive records in
paper form which are stored in established paper filing systems.
• It is advisable to organize the electronic filing structure to mirror an
existing paper system, with electronic folder names and hierarchies
matching those of the paper files. This allows easy association
between records relating to the same matter held on different
formats, enabling all records on a particular matter to be readily
identified and accessed.
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PAPER FILING SYSTEM AS THE BASIS
FOR ELECTRONIC FILING CONT…
• When operating mirrored paper/electronic filing systems it is useful to cross
reference between the two to indicate to users accessing either a paper or
electronic file that there are additional records in the other format held
elsewhere.
• Possible approaches could include:
• Note attached to the inside cover of a paper file to indicate existence and network location
of any mirror electronic folder which should also be referenced to locate relevant
documents.
• Notepad document placed within an electronic folder which indicates the existence of
related paper documents on a mirror paper file.
• Note in database field to indicate existence and file location of associated paper documents.
• However, there is no point in replicating a non-functional paper filing system in
the electronic environment. In such cases, the creation of an electronic system
will provide a useful opportunity to re-think the approach and structure which
will apply to both systems.
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STANDARD METHODS TO ARRANGE
RECORDS
• There are various ways to arrange records. The following are the most
common patterns:
• By subject: records are arranged by subject name
• By name/alphabetical: records are alphabetically arranged by names. For example,
this could be names of departments, clients, suppliers, or employees.
• Geographically: records are arranged by geographic location, such as by continent,
regional area, country, state, county, or city.
• Numerically: records are arranged by numerical order. This could be by an assigned
job number, contract number, invoice number, project number, or an employee ID
number.
• Chronologically: records are arranged by date order. This can be done by annual or
fiscal year, by month, by quarter, or by date.
• A file plan should therefore be developed to provide a scheme/pattern by
which different categories of records are managed
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WHAT IS A FILE PLAN
• “A predetermined classification plan by which records are stored in the
interest of efficient retrieval and disposal”
• A File Plan is an essential component of a records management
programme developed in line with ISO 15489, the international standard
on records management
• A file plan is the primary records management planning document.
• Although file plans can differ across organizations, they typically:
• Describe the kinds of items the organization acknowledges to be records.
• Describe what broader category of records the items belong to.
• Indicate where records are stored.
• Describe retention periods for records.
• Delineate who is responsible for managing the various types of records“
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WHAT IS A FILE PLAN
• The basic component of a File Plan is a hierarchical classification
structure, with the top level containing the broadest categories and
the lower levels becoming increasingly specific.
• A unique reference code is then allocated to each category.
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THE FUNCTIONAL SUBJECT FILE PLAN
• The most recommended file plan is the Functional Subject File Plan (ISO 15489)
• Adopted by the National Archives and Records Services as the standard file plan in
governmental bodies
• The functional approach bases its structure around the underlying functions and
activities which the institution carries out, rather than trying to reflect the organizational
structure it chooses to carry them out at any particular time.
• Although the same department may be known as Human Resources, Personnel & Staff
Development and Staff Welfare in as many years, the roles it carries out will largely
remain constant: recruitment, appraisal, training, disciplinary procedures etc.
• By basing your structure on these underlying functions and the activities which are
carried out to achieve them, you should have a far more stable filing system. It should
also be easier to navigate by those who do not have a detailed knowledge of the area in
question as it does not rely on obscure department-specific names or acronyms.
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THE FUNCTIONAL SUBJECT FILE PLAN
CONT…
• The drawbacks of basing a filing system around your administrative
structure
• It may seem sensible to base your group filing system on the structure of the
group in question (department, section etc). After all it would require little
research on your part and would be immediately understood by everyone
within the group. There are, however, some serious drawbacks to basing your
filing structure around your current administrative structure. Chief amongst
these is the fluidity of such structures and the regular re-organizations of
departments. Such changes rapidly lead to problems with your filing system.
Not only must everything be changed to match the new structure, but it can
be difficult to know what to do with the existing information.
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THE FUNCTIONAL SUBJECT FILE PLAN
CONT…
• The Functional Subject File Plan is based on 3 principles:
• The organizational principle: Helps to determine the number of file plans needed. To
have its own file plan, a body (or part thereof) should represent a complete entity.
Thus is should be able to function independently (not autonomously)
• The functional principle: The Functional Subject File Plan is based on the functions of
the organization. Main functions are determined and referred to as the main series
of the file plan. Support functions precede line functions
• The one subject-one file principle: The principle implies that a file cover should
contain documents dealing with one subject. In other words, after identifying the
main functions of an organization, the functions should be broken down finely into
specific subjects. E.g. HR-Labour relations-disputes. Documents on the same subject
should then belong to a single home (file cover). It doesn’t matter from whom the
document comes; by whom or which organization it was created. What matters is
the subject. Documents authored by different people in different organizations (inter
and intra-departmental) will share the same folder by virtue of their common
subject.
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DEVELOPING A CLASSIFICATION
SCHEME FOR FUNCTIONAL SUBJECT
FILE PLAN
• There are several components of a file plan: e.g. general instructions,
list of series of separate case files etc.
• But the core of the file plan is the Business Classification Scheme
(Subject Classification) which covers all the institution’s business
functions and activities. The classification structure is the hierarchy of
categories and sub-categories representing business functions and
activities, and individual record series.
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DEVELOPING A CLASSIFICATION
SCHEME FOR FUNCTIONAL SUBJECT
FILE PLAN
• Steps in the development of a classification scheme
• Step 1: Identify the high level functions, e.g. (Dept. of Roads and Transport):
• Roads infrastructure
• Human resource management
• Traffic management
• Financial management
• Supply chain management
• Marketing
• Legal services
• Public transport and freight
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DEVELOPING A CLASSIFICATION
SCHEME FOR FUNCTIONAL SUBJECT
FILE PLAN
• Steps in the development of a classification scheme
• Step 2:Arrange the high level functions starting with the support functions
and then the line functions e.g. (Dept. of Roads and Transport):
• Human resource management
• Financial management
• Supply chain management
• Marketing
• Legal services
• Roads infrastructure
• Traffic management
• Public transport and freight
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DEVELOPING A CLASSIFICATION
SCHEME FOR FUNCTIONAL SUBJECT
FILE PLAN
• Steps in the development of a classification scheme
• Step 3: Allocate a reference code to each high level function e.g. (Dept. of
Roads and Transport):
1. Human resource management
2. Financial management
3. Supply chain management
4. Marketing
5. Legal services
6. Roads infrastructure
7. Traffic management
8. Public transport and freight
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DEVELOPING A CLASSIFICATION
SCHEME FOR FUNCTIONAL SUBJECT
FILE PLAN
• Steps in the development of a classification scheme
• Step 4: Identify activities (2nd level functions) for each high level function e.g.
(HRM):
1. Human resource management
Recruitment
Training and development
Labour relations
Employee wellness
Staff losses
Leaves
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DEVELOPING A CLASSIFICATION
SCHEME FOR FUNCTIONAL SUBJECT
FILE PLAN
• Steps in the development of a classification scheme
• Step 5: Allocate a reference code to each activity (2nd level function) e.g.
(HRM):
1/1 Recruitment
Advertisement
Shortlisting
Interviews
Appointments
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DEVELOPING A CLASSIFICATION
SCHEME FOR FUNCTIONAL SUBJECT
FILE PLAN
• Steps in the development of a classification scheme
• Step 7: Allocate reference codes for each sub-activities (3rd level functions)
e.g. (Recruitment):
1/1 Recruitment
1/1/1 Advertisement
1/1/2 Shortlisting
1/1/3 Interviews
1/1/4 Appointments
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DEVELOPING A CLASSIFICATION
SCHEME FOR FUNCTIONAL SUBJECT
FILE PLAN
05/10/24 ERM-13933 54
DEVELOPING A CLASSIFICATION
SCHEME FOR FUNCTIONAL SUBJECT
FILE PLAN
• The Classification Scheme may have as many levels as are required to
classify all record series adequately, or it may be necessary to extend it.
• However, for control purposes it is advisable to limit the levels to 7
• If the lowest level category in any section of the Scheme contains a very
large number of record series, it may be advisable to extend the hierarchy
in that section (i.e. for that activity) to separate smaller units of activity,
steps in a process or groups of individual transactions.
• There is no need to extend the hierarchy for a function any further once all
record series relating to the function can be easily classified.
• It is not essential to have the same number of levels throughout the
hierarchy.
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CLASS ACTIVITY
• Think of any function within your organization that you are familiar
with. Then Follow the 7 steps outlined in the preceding slides to
develop a classification scheme thereof. The scheme should not
exceed a page.
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3 MAIN USES OF A FILE PLAN
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MODULE 3
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WHY EMBRACE TECHNOLOGY TO
MANAGE RECORDS?
• Information Technology is the foundation of doing business in the 21st century
just like filing cabinets were in the 20th century. What an organization would like
to do in five years often depends on what its systems will be able to do. Relations
with clients are now digital
• Information Technology is the basis for E-government. It is used to deliver
information and services to citizens.
• Information Technology is a tool for productivity and can be used to achieve
strategic advantage, competitive edge and create new services,
• Information Technology can assist an organization to cope with government
regulations (PAIA, PAJA, PFMA etc).
• Around the world, individuals, organizations and governments have embraced
information technologies. It has revolutionized the operations of organizations
• Communications and transactions in organizations have become electronic, and
an increasing number of records are born digital.
05/10/24 ERM-13933 59
WHY EMBRACE TECHNOLOGY TO
MANAGE RECORDS?
• This necessitate that organizations should implement compatible
systems to capture, maintain, use and eventually disposed these
records.
• It is also imperative therefore for records management practitioners to
learn about electronic records management systems.
• That is because these systems have redefined the concept of a record.
This new conception impacts on the whole lifecycle of a record.
• Practitioners should know be in a position to make the right decisions
regarding the selection and implementation of these systems as poor
choices may lead to waste of valuable capital
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THE BENEFITS OF ELECTRONIC
RECORDS MANAGEMENT SYSTEMS
• Widespread access: The physical composition of paper records limits
access to a specific time and place: only one person can use a record at
one time and only in one physical location. Electronic records, on the other
hand, can be shared widely and they can be accessed and used by several
people at the same time, even if they are in different places.
• Flexibility: In a paper environment, records are created, received and filed
in one office, and they accumulate in one place. Electronic records can be
stored remotely or on compact disks (CDs) or tapes, allowing people to
share records and use their information resources more dynamically.
• Efficiency and effectiveness: The use of information technologies improves
information handling and allows for the speedy retrieval of records and
information through electronic search facilities. As a result, policy makers
can make informed decisions quickly and efficiently, contributing to the
effectiveness of the organization.
05/10/24 ERM-13933 61
THE BENEFITS OF ELECTRONIC
RECORDS MANAGEMENT SYSTEMS
CONT…
• Economic benefits: In the paper environment where records are physical objects, their
accumulation requires ever-increasing amounts of space, including office space, shelves,
filing cabinets and storage boxes. Several staff members may be needed to carry out
routine procedural work such as filing documents and retrieving boxes. Through the use
of new technologies, organizations are able to economize in terms of storage space, as
computer systems can store large volumes of data and records in a small physical space.
• General business opportunities: The professional image of an organization can be
enhanced by improved information flow, and the organization may be able to take on
more complex work because it is more efficient and cost-effective. Computers can
improve communications, reduce the loss of essential information, speed up the
completion of projects and increase public awareness of the organization.
• Auditing capabilities for regulatory compliance: Well-designed records and document
management systems also allow an organization to regulate and oversee actions and
decisions. Many electronic records management software programs include mechanisms
to maintain audit trails, encouraging more accountable record keeping and promote
compliance across the organization.
05/10/24 ERM-13933 62
THE CHALLENGES OF MANAGING
RECORDS ELECTRONICALLY
• Technological obsolescence: Rapid changes in software applications and computer hardware have led to
what is commonly referred to as technological obsolescence. As new innovations in computer technology
appear, old systems become out of date and are no longer supported by the computer industry.
• Technological dependence: Electronic records depend on technology. They are created and managed by
computer hardware and software. Therefore, electronic records require mediation in order to be accessed.
It is not possible to hold a computer disk up to the light and read it, as one can read a paper document or
even, with the aid of a magnifying glass, a frame of microfilm. Because information technologies keep
changing, and because electronic records cannot be used without the necessary technologies, individuals
and organizations can quickly become dependent on technologies for their essential information. Hardware
and software have to be upgraded regularly to ensure continuing access to information and records.
• Risks to reliability and authenticity: As mentioned, changes in information and computer systems require
that information be migrated to new technologies if the information is to remain accessible over time. This
process of migration can affect the authenticity and reliability of information, as the process itself can
change the content or structure of the records. Unlike paper records, which can be moved, filed, refiled,
copied and otherwise used and reused without change, electronic records need to be managed and
preserved in such a way as to secure their authenticity as evidence.
05/10/24 ERM-13933 63
THE CHALLENGES OF MANAGING
RECORDS ELECTRONICALLY CONT…
• Decentralization of information: The decentralization of information and records management has shifted
the responsibility for managing records from records professionals to the people who create and use
records on a daily basis. Unfortunately, users are not trained to know what documentation to keep for
evidential purposes or how to describe, file or maintain records. Without centralized oversight of the
records management process, it can be more and more difficult to ensure that essential evidence has been
protected adequately.
• Loss of security and privacy: The introduction of information technologies has also affected the way
government and private organizations preserve and make available records in their custody. As mentioned,
computers allow organizations to create large and complex databases and make huge amounts of data
available electronically. Databases containing personal financial and medical records, for instance, may be
extremely useful to the individuals themselves. But without proper security protections, that information
may also be accessed by others, threatening the privacy of the owners of that information.
• Increased costs: The costs of hardware and software can be very high. Costs are incurred not only when
acquiring technology in the first place but also, more importantly, when upgrading equipment and systems,
which is essential in order to keep pace with changing technologies. When considering the acquisition of
computer equipment or the implementation of an electronic records management system, most
organizations focus on the initial budget requirements: hardware; software; licenses; supplies; and staff time
to develop and install the equipment. But annual and unexpected costs also need to be considered,
including: system maintenance fees; upgrades and repairs; and staff training. It has been argued that the
cost of maintaining and administering computer systems can exceed seven times the cost of acquiring the
equipment in the first place.
05/10/24 ERM-13933 64
THE NATURE OF ELECTRONIC
RECORDS
• Characteristics of electronic records
• Once electronic records have been created, they must be managed and
maintained for as long as required to ensure they have the following
characteristics:
• Authenticity – the record can be proven to be what it purports to be, to have been
created or sent by the person that created or sent it, and to have been created or sent
at the time it is purported to have occurred.
• Reliability – the record can be trusted as a full and accurate representation of the
transaction(s) to which they attest, and can be depended on in the course of subsequent
transactions.
• Integrity – the record is complete and unaltered, and protected against unauthorized
alteration. This characteristic is also referred to as ‘inviolability’.
• Usability – the record can be located, retrieved, preserved and interpreted.
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THE NATURE OF ELECTRONIC
RECORDS CONT…
• Formats of electronic records
• Electronic records can be created in a range of different formats
• Broadly speaking, electronic record format types include the following.
• Data sets: groups of related electronic records organized and treated as a unit. Data sets
are created, managed and used in the context of a database. For example, a data set
could contain information about employees in an organization.
• Text-based documents: documents that contain little other than words and that can be
read by text editors or word processing software programs. For instance, a spreadsheet
from Microsoft Excel could be imported into a memo being created using Microsoft
Word, or a snapshot of a web page or a slide created using Microsoft PowerPoint could
be included in a report created using a publishing software.
05/10/24 ERM-13933 66
THE NATURE OF ELECTRONIC
RECORDS CONT…
• Formats of electronic records
• Electronic records can be created in a range of different formats
• Broadly speaking, electronic record format types include the following.
• Multi-dimensional documents: records that can be represented in more than one way on the
screen and on the printed page. For instance, a spreadsheet can be represented as a set of
figures or as the result of the calculations. Both representations are part of the record,
although it may not always be necessary to retain both of them. Similarly, a PowerPoint
presentation may consist of a set of slides and notes displayed and used in different ways.
• Multi-media documents: documents composed of a number of different elements, which
interact together to display their full meaning. These records may include graphical, moving
image, sound and text documents, which may appear differently at different times in
response to variations in user interaction. File formats can often be identified by file
extensions. For example, .doc indicates a word processed document, and .mp3 indicates an
audio file. Internet media might include text or .html files, and other file formats include PDF,
TIFF and JPEG. Each file format will have different characteristics and require different
approaches to preservation, and so understanding the different file formats in use is
important to managing the content, context and structure of the records.
05/10/24 ERM-13933 67
THE NATURE OF ELECTRONIC
RECORDS CONT…
• Components of electronic records
• One electronic document may be composed of separate parts – often called
digital components – that can be stored in different parts of a network,
brought together as a ‘virtual’ document and presented in different forms for
different uses.
• E.g. a note and voice annotations can be added to text-based documents; and digital
sound, video, 3‑D modelling and simulation can be added to presentations, reports or
other documents.
• Each component in a complex electronic record may have different
requirements for storage, reproduction and use, which is why it is critical
when preserving an electronic record to ensure that mechanisms are in place
to allow for preservation of and access to every element within the record.
05/10/24 ERM-13933 68
THE NATURE OF ELECTRONIC
RECORDS CONT…
• Multiplicity of electronic records
• It is much easier to create many copies of an electronic record than it is to
create copies of a paper record. In fact, computerization can cause people to
accumulate more records than the original records creator ever intended,
e.g. an e-mail.
• The challenge for records managers and organizations is what constitute a
record, how to determine what evidence to keep and for how long, and how
to ensure that documentation is kept securely. Because so much data can be
generated within digital systems, it is incumbent on the organization to
determine which of the many inputs and outputs flowing through computer
systems should be considered the official records of the organization.
05/10/24 ERM-13933 69
THE NATURE OF ELECTRONIC
RECORDS CONT…
• Technological framework for electronic records
• Electronic records management systems, like any Information systems, are
only as good as the technical infrastructure supporting them.
• Critical IT infrastructures to all information systems and networks are the
following:
• Power Supplies: Adequate and consistent supplies of electricity are essential for the
successful operation of IT systems. Without power, it is impossible to access anything
within an electronic system. E.g. install uninterrupted power supply or UPS system. UPS
systems, also called continuous power supply (CPS) systems, battery backups or
emergency power systems, supplies power when central electricity supplies are not
working.
05/10/24 ERM-13933 70
THE NATURE OF ELECTRONIC
RECORDS CONT…
• Technological framework for electronic records
• Bandwidth: Bandwidth is the capacity of the wire (‘pipe’) or wireless connection in a
computer network to carry information. Bandwidth is usually expressed in kilobytes
or megabytes per second. E.g. A dial up modem usually transmits data at 56
kilobytes per second (KBS), whereas a more powerful Ethernet cable transmits data
at 10 megabytes per second (MBS). Clearly, the Ethernet cable is dramatically faster
than the dial up modem. The difference is like comparing a two-lane road with a
four-lane highway; the latter can move traffic much faster than the former. The
length of time it takes to complete a task, such as downloading a document from a
central server or accessing information from the Internet, will depend on the
bandwidth available in the information system. The more bandwidth, the quicker the
process. The time needed to access digital information also depends on what is
being accessed, however. Accessing a text document requires less bandwidth than
accessing a photograph or a video.
05/10/24 ERM-13933 71
THE NATURE OF ELECTRONIC
RECORDS CONT…
• Technological framework for electronic records
• Technical Support: Every software application and every piece of hardware acquired by an
organization should come with a technical support component. For example, whenever
commercial software is purchased, a licence fee is paid allowing the purchaser to use the
software legitimately and entitles the user to a level of service and support from the
company that created the software. The software usually comes with a time-limited
warranty: a guarantee that the company will address any errors or faults in the software for
a certain period, such as one, two or five years.
• Backup Systems: Information and communications technologies can fail, whether because
the storage device ‘crashes’ or because the computer becomes ‘infected’ with a computer
virus or other malicious code. Such failures can result in lost or corrupted data. People can
also accidentally delete files from their computers, or auditors can ask to see records that
are no longer in current use. To protect valuable data, special backup applications are usually
run, ideally every day, to allow an organization to re-establish a system to its last known
‘good’ configuration and providing access to copies of records that may not be available
otherwise. Backups are usually copies of data stored on low-cost storage media, such as
magnetic tapes.
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THE NATURE OF ELECTRONIC
RECORDS CONT…
• The importance of metadata
• The term ‘metadata’ has become popular in discussions about the management of
electronic records.
• The term ‘metadata’ refers to information about information.
• Metadata provides the context for a piece of data or information so that the user of
that information understands what he or she is using and how and why it came to
be.
• Consider for a moment the following set of data:
• 100965 020359 031265 300989 060297
• Populations figures? Budget estimates? Bank account numbers? Lottery ticket
numbers?
• The only way to assign any meaning to the data is by linking the content to its
structure and context, which means providing metadata
05/10/24 ERM-13933 73
THE NATURE OF ELECTRONIC
RECORDS CONT…
• The importance of metadata
• In a paper environment it has been easy to manage metadata
• A record and metadata on one document
• In addition there were index cards, file covers, file registers.
• In an electronic environment it is challenging to manage metadata
• A record and metadata are separate
• Metadata is essential for using and preserving electronic records because it
provides the background information necessary to understand how and when
and by whom a particular set of data or a record was created, collected or
received and how it is formatted. It can be impossible, especially when using
computerized data, to understand the essential details of a record or file
without access to that background information.
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MODULE 4
05/10/24 ERM-13933 75
DEMO: CREATION OF AN
ELECTRONIC
CLASSIFICATION SCHEME
A classification scheme designed in the preceding modules is captured
in an electronic environment.
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CLASS ACTIVITY
1. Each group captures its own classification scheme into the
electronic system.
2. Each group upload a documents into the classification scheme
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COMMON APPROACH TO MANAGING
ELECTRONIC RECORDS CONT…
• Electronic records can be classified into two categories:
• Structured Electronic Records: these are records that are kept in a structured
form in columns and rows in a database. Structured systems are normally
managed in a more formal way according to database management
principles and procedures. In other words, they are kept in an electronic
information systems or business application. Examples would include
databases containing accounting and financial data, customer data, and
personnel data. Think of BAS, Logis, Finest, PERSAL etc.
• Usually managed by IT departments. IT ensures system performance and
availability and provides for back-ups and recovery in the event of disaster.
05/10/24 ERM-13933 78
COMMON APPROACH TO MANAGING
ELECTRONIC RECORDS CONT…
• Electronic records can be classified into two categories:
• Unstructured Electronic Records: Unstructured records in a typical organization
would include emails, word processing documents, spreadsheets, presentations and
graphics– documents mostly created by individual users from desktop applications.
Unstructured records would also include Adobe PDF files and electronic captures of
facsimiles as well as other image files. These are those recorded objects that are not
kept in rows and columns in a database like text-based or visually rich records
(audio, video, etc). These are records that are not kept in the organization’s formal
information systems, like e-mail, records created on individual PC’s hard drives etc.
• The vast majority of are stored on personal computers or personal. However, if not
managed, these drives can become out of control, unorganized, difficult to find
information, and a repository for out of date and unnecessary information.
• The question is how can organizations gain control of unstructured electronic
records?
• Answer? Implement an Electronic Document and Records Management System
05/10/24 ERM-13933 79
COMMON APPROACH TO MANAGING
ELECTRONIC RECORDS CONT…
• The National Archives and Records Service requires governmental bodies to
implement and maintain Integrated Document and Records Management
Systems that provide as a minimum the following records management
functionality:
• managing a functional subject file plan according to which records are filed;
• managing e-mail as records;
• managing web-sites as records;
• maintaining the relationships between records and files, and between file series and the file
plan;
• identifying records that are due for disposal and managing the disposal process;
• associating the contextual and structural data within a document;
• constructing and managing audit trails;
• managing record version control;
• managing the integrity and reliability of records once they have been declared as such; and
• managing records in all formats in an integrated manner.
05/10/24 ERM-13933 80
COMMON APPROACH TO MANAGING
ELECTRONIC RECORDS CONT…
• But what if your organization does not have the means or it is not ready to implement
fully automated Electronic Document and Records Management Systems.
• This does not however mean that they should not manage their electronic records.
• If records generated in such an environment are not managed properly it can lead to the
possible illegal destruction of records. To enhance their accountability, organizations
should ensure that, even without the benefit of an Electronic Document and Records
Management System, they exercise effective records management.
• What interim measures can you put in place to manage electronic records without an
EDRMS?
• Options
• Print and file: does not currently have the facility to keep records electronically in the long term. This means
that some records created electronically will need to be printed to paper and filed in the relevant paper filing
system.
• Use shared drives
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MANAGING ELECTRONIC RECORDS WITH A SHARED
DRIVE
• What are shared drives?
• Shared drives, also known as network drives, are not recordkeeping systems
but can be used by organizations to store electronic information, including
Word documents, Excel spreadsheets, PowerPoint slides, digital photos, PDF
documents and database reports.
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MANAGING ELECTRONIC RECORDS WITH A SHARED
DRIVE CONT…
• How does it work?
• A filing system is set up on a shared drive – the J drive is most commonly used
for this purpose.
• Records created electronically are then stored in this filing system which
should ideally mirror the system in place for paper records. The system of
folders, sub-folders and files which exists in the paper system can be easily
transferred into the electronic domain.
• All official electronic records – including word documents, spreadsheets and
e-mails (relating to business) should be saved into this filing system. Staff
should not save business records on personal network drives or the
computer's own hard drive (known as the 'H' and 'C' drives respectively on
the Standard Staff Desktop configuration). Records stored on the 'C' and 'H'
drives are inaccessible to all other staff.
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MANAGING ELECTRONIC RECORDS WITH A SHARED
DRIVE CONT…
• Even the National Archives and Records Service recommends the use
of shared drives as an interim measure.
• In its publication “Managing electronic records in governmental
bodies: policy, principles and requirements”, NARS states 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.
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MANAGING ELECTRONIC RECORDS WITH A SHARED
DRIVE CONT…
• NARS also notes that “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”.
• Clearly, a classification scheme lies at the heart of any filing system,
including the use of shared drives.
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MANAGING ELECTRONIC RECORDS WITH A SHARED
DRIVE CONT…
• There are several good reasons for managing the shared drives.
• Reducing cost – By deleting outdated or ephemeral information.
• Efficient retrieval of information (time saving) – If the shared drive is
structured logically and sensibly, folders have explanatory titles, and
individual documents are named appropriately, this increases the ease by
which information can be found.
• Reducing duplication and encouraging sharing of information - A well
managed shared drive encourages the sharing of information within
Departments and teams, and helps to move away from individual filing
systems in which many versions of the same documents are kept by
individual members of staff.
• It also reduces the need to email documents since departments can access
the document on the shared drive.
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MANAGING ELECTRONIC RECORDS WITH A SHARED
DRIVE CONT…
• Problems associated with shared drives
• Property fields are rarely populated with metadata and there are no contextual links between
documents and their business context resulting in-
• Difficulty in finding and retrieving information that is known to exist
• Difficulty in authenticating records
• Documents not providing reliable evidence of actions
• Lack of recordkeeping functionality, for instance:
• Auditing controls;
• Security controls able to match whole of Government guidelines; and
• Retention and disposal rules.
• Shared drives have often evolved informally with little planning or structure. As a result, directory
folders and documents may be poorly organized and titled. In an environment where records are
supposed to be shared with a number of users, this lack of rigour will inevitably cause difficulty in
locating, retrieving and using information and in managing versions.
• Users of shared drives often do not usually perform regular ‘housekeeping’ of their shared drives.
For example, information accumulates and is rarely deleted, leading to volumes of storage that
are costly for the organization to maintain. Excessive volumes of storage on the drive also
contribute to the inability to find and use relevant information.
• Users will often leave the organization without ‘cleaning up’ their documents on shared drives,
and it is difficult for others to determine what is of value and what has or has not been saved to
corporate recordkeeping systems.
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MANAGING ELECTRONIC RECORDS WITH A SHARED
DRIVE CONT…
• How to mitigate the problems associated with shared drives.
• Appoint an administrator/s
• Whilst all individual staff are responsible for managing and filing the records they create, it is important
that there is overall control of the folders to avoid chaos and confusion, you need to appoint an
administrator/s. The administrator's responsibilities include:
• Granting access / manage security permissions (Consider whether some folders containing
sensitive information may need to be removed from shared drives or secured and hidden from
view except to those groups who have the correct levels of authorizations).
• Maintaining logical, controlled folder structure
• Ensure names of folders and documents comply with the organization’s naming conventions
• Regular deletion of duplicate or unnecessary information
• Manage the archiving of “closed” folders and files
• Systematic disposal of records in line with approved retention period (Deletion of records is
‘disposal’ and must be recorded in the Register of Records Destroyed).
• Liaising with ICT where appropriate.
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MANAGING ELECTRONIC RECORDS WITH A SHARED
DRIVE CONT…
• How to mitigate the problems associated with shared drives.
• Consider shared drives as part of your information management strategic framework and
include them in your Records management policy
• Have clear policy and procedures for staff regarding the use of shared drives and saving
records to corporate recordkeeping systems
• Create (or facilitate the creation of) logical hierarchical structures for information in shared
drives. It may be suitable to align the folder titles to the organization's business classification
scheme if there is one that is accepted in the workplace. Structures should be workshopped
and piloted. Structures should be flexible and be altered as the business changes.
• Define document naming conventions that are easy to use and can be adopted by all staff.
• Advise staff regarding security needs for documents they create that may be sensitive.
05/10/24 ERM-13933 89
MANAGING ELECTRONIC RECORDS WITH A SHARED
DRIVE CONT…
• How to mitigate the problems associated with shared drives.
• Create and implement standard templates which include footers that provide
the document name and file path they are also valuable for capturing
essential metadata).
• Consider change management initiatives that will promote compliance.
• Set up a transition arrangement for moving from old directory structures or
files to the new structure. This might involve, for example, freezing use of the
old structure, leaving shortcuts pointing to the new location and gradually
moving files into the new structure.
• Audit shared drives regularly to ensure procedures are followed.
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MANAGING ELECTRONIC RECORDS WITH A SHARED
DRIVE CONT…
• How to mitigate the problems associated with shared drives.
• NARS recommends the following
http://
www.national.archives.gov.za/rms/NARS_DMLIB-4878-v1-managing_electronic_records_Policy
__principles_and_Requirements_April_2006.PDF
•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.
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ELECTRONIC RECORDKEEPING
SYSTEMS
05/10/24 ERM-13933 92
ELECTRONIC RECORDKEEPING
SYSTEMS CONT…
• When identifying and purchasing electronic records management
tools one needs to understand the industry's "alphabet soup".
• There are 4 basic system types that one should understand:
• Electronic Document Management System (EDMS)
• Electronic Records Management System (ERMS)
• Electronic Document and Records Management System (EDRMS)
• Enterprise Content Management (ECM)
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ELECTRONIC RECORDKEEPING
SYSTEMS CONT…
• Electronic Document Management System (EDMS): An EDMS is a software system that
controls and organizes documents throughout an organization, whether they have been
declared as records or not. Depending upon the product, an EDMS may be as small as a
stand alone desk top system or as large as an enterprise wide server-based system.
• An EDMS typically may include:
• document and content creation
• document and content capture
• document and content editing and revision
• image processing
• document workflow/business process management (BPM)
• document repositories
• Computer-Output Laser Disk/Enterprise Report Management (COLD/ERM) and other
output systems
• information retrieval functionality
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ELECTRONIC RECORDKEEPING
SYSTEMS CONT…
• Electronic Records Management System (ERMS): An ERMS is a software
system that allows an organization to assign a specific life cycle to
individual pieces of organizational information.. Like an EDMS, they may be
as small as a stand alone desk top system or as large as an enterprise wide
server-based system. Unlike an EDMS one cannot edit or revise documents
or content once they are declared in an ERMS.
• An ERMS has the functionality to:
• receive of records
• use records
• manage and maintain electronic records
• manage paper-based and other analog records
• manage the disposition of records
05/10/24 ERM-13933 95
ELECTRONIC RECORDKEEPING
SYSTEMS CONT…
• Electronic Document and Records Management System (commonly
referred to as EDRMS)
• Is it the electronic management of paper records OR management of
electronically-generated records? It is both.
• A system specifically designed to manage the maintenance and disposition of
records. They maintain the content, context, structure and links between
records to enable their accessibility and support their value as evidence.
Electronic records management systems are distinguished from business
systems, for the purpose of this course, because their primary function is the
management of records.
• Recommended by the National Archives for the management of records in
governmental bodies
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ELECTRONIC RECORDKEEPING
SYSTEMS CONT…
• Enterprise Content Management (ECM): An ECM system, the evolutionary successor to an EDMS,
is a software system that has tools and methods utilized to capture, manage, store, preserve, and
deliver all forms of content (not just documents sand records) across an enterprise. In addition to
the tools found in an EDMS and an ERMS an ECM system has:
• collaboration tools
• digital asset management tool (consists of management tasks and decisions surrounding the
ingestion, annotation, cataloguing, storage, retrieval and distribution of digital assets: digital
photographs, animations, videos and music)
• web content management tools
• E-mail management
• Digital signatures and certificates
• portal management;
• business process management;
• biometrics and digital signatures;
• e-mail archiving
• forms management.
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MANAGING ELECTRONIC RECORDS
WITH AN EDRMS
• An Electronic Document and Records Management Systems should contain the following
minimum records management functionality:
• Classification of records: A classification scheme lies at the heart of any electronic records
management system since it defines the way in which individual electronic records are
grouped together (aggregated). A records classification scheme is a hierarchical classification
tool that can facilitate the capture, titling, maintenance and disposal of records. The most
commonly used classification scheme is the Functional Subject File Plan. In a paper-based
filing system documents are filed in a file cover which is used to keep records of the same
subject together in chronological order. The same concept applies to electronic records.
They need to be filed in chronological order in subject folders to enable them to be retrieved
in context. This refers to the process of selecting the appropriate subject from the file plan
and assigning the subject identifier to a specific document. This way all documents are
associated with a subject in the file plan that reflects the business operations/functions of
the office. Without being assigned subjects, documents that are supposed to be linked
together and read in context will not be able to be retrieved as a single unit.
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MANAGING ELECTRONIC RECORDS
WITH AN EDRMS CONT…
• An Electronic Document and Records Management Systems should contain the following
minimum records management functionality:
• Storage of electronic records: In the paper-based environment records are stored in a
dedicated, secure environment. The same should apply to electronic records. It is not very
practical to store records on a LAN file server. Access to the documents on the file server is
dependent on the security features of the host LAN. The protection it gives to the documents
is only as good as the users' application of the security system. Furthermore, if the electronic
records are stored on the LAN file server, they will have to compete for space with the
system files etc. A sound reliable repository requires a dedicated, stable, long-term storage
space. Where should one then store electronic records? The records can either be stored in
network-attached storage devices such as CD/DVD-ROM towers/ jukeboxes, etc. or in
separate storage area networks.
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MANAGING ELECTRONIC RECORDS
WITH AN EDRMS CONT…
• An Electronic Document and Records Management Systems should
contain the following minimum records management functionality:
• Search and retrieval: This is the primary reason why users would want to use
an electronic system. Nobody likes to page through hundreds of irrelevant
documents to find those that they are interested in. When the users realize
that retrieval is easier and more reliable when they classify the paper-based
and electronic records against the same file plan, they will be more inclined
to file electronic records to the classification system in the repository.
• Email archiving