RECORDS MANAGEMENT POLICY MANUAL April 2004 National Archives and Records Service of South Africa Department of Arts and Culture National Archives and Records Service of South Africa Private Bag X236 PRETORIA 0001 ISBN 1-919965-03-03 First Edition, Version 1.1, April 2003 First Edition, Version 1.2, April 2004 The information contained in this publication may be re-used provided that proper acknowledgement is given to the specific publication and to the National Archives and Records Service of South Africa. i CONTENT INTRODUCTION....................................................................................................................................V LIST OF TERMS..................................................................................................................................VII PART 1: THE STATUTORY AND REGULATORY FRAMEWORK FOR RECORDS MANAGEMENT1 PART 2: MANAGEMENT OF PUBLIC RECORDS...............................................................................5 2.1 GENERAL...................................................................................................................................5 2.2 MANAGING PAPER-BASED RECORDS............................................................................................6 2.3 MANAGING ELECTRONIC RECORDS..............................................................................................6 2.4 MANAGING MICROGRAPHIC RECORDS..........................................................................................8 2.5 MANAGING AUDIO-VISUAL RECORDS............................................................................................8 2.6 THE DESIGNATION AND RESPONSIBILITIES OF A RECORDS MANAGER..............................................9 PART 3: RECORDS CLASSIFICATION SYSTEMS FOR PUBLIC RECORDS.................................11 3.1 GENERAL.................................................................................................................................11 3.2 DESIGNING, IMPLEMENTING AND MAINTAINING RECORDS CLASSIFICATION SYSTEMS.....................12 3.2.1 Functional subject filing systems....................................................................................12 3.2.1.1 Designing and implementing a new file plan.................................................................12 3.2.1.2 Application and Maintenance of the filing system.........................................................13 3.2.2 Schedule for records other than correspondence systems............................................13 3.2.2.1 Part A: Schedule for paper-based records other than correspondence systems.........13 3.2.2.2 Part B: Schedule for electronic records systems...........................................................14 3.2.2.3 Part C: Schedule for micrographic records...................................................................15 3.2.2.4 Part D: Schedule for audio-visual records.....................................................................15 3.3 DISCONTINUING/TERMINATING RECORDS SYSTEMS.....................................................................15 3.4 THE SPECIFIC RESPONSIBILITIES OF THE RECORDS MANAGER.....................................................16 3.4.1 Filing systems.................................................................................................................16 3.4.2 Schedule for records other than correspondence systems............................................16 PART 4: DISPOSAL OF RECORDS...................................................................................................17 4.1 GENERAL.................................................................................................................................17 4.2 SYSTEMATIC DISPOSAL PROGRAMME.........................................................................................18 4.2.1 Gain control.....................................................................................................................18 4.2.2 Apply for disposal authority.............................................................................................19 4.2.3 Disposal of records.........................................................................................................21 4.2.3.1 Destruction of records.............................................................................................21 4.2.3.2 Transfer of Records................................................................................................21 4.2.3.2.1 General................................................................................................................21 4.2.3.2.2 Transfer to archives repositories.........................................................................22 4.2.3.2.3 Transfers between governmental bodies............................................................22 4.2.3.2.4 Transfer to off-site storage facilities.....................................................................23 4.3 THE SPECIFIC DUTIES OF THE RECORDS MANAGER.....................................................................24 4.3.1 General...........................................................................................................................24 4.3.2 Destruction of records.....................................................................................................24 4.3.3 Transfer of records..........................................................................................................24 PART 5. CARING FOR PUBLIC RECORDS......................................................................................27 5.1 GENERAL.................................................................................................................................27 5.2 CARING FOR SPECIFIC TYPES OF RECORD..................................................................................28 5.2.1 Paper-based correspondence files.................................................................................28 5.2.2 Records other than correspondence files.......................................................................29 5.2.2.1 Cartographic records.....................................................................................................29 5.2.2.2 Photographs and negatives...........................................................................................29 Records Management Policy Manual 1st Edition Version 1.2 April 2004 i i 5.2.2.3 Books and registers other than library material.............................................................30 5.2.2.4 Electronic Records........................................................................................................31 5.2.2.4.1 Caring for magnetic media......................................................................................31 5.2.2.4.1.1 General.............................................................................................................31 5.2.2.4.1.2 Magnetic tapes.................................................................................................32 5.2.2.4.1.3 Diskettes...........................................................................................................32 5.2.2.4.2 Caring for optical media......................................................................................33 5.2.2.5 Micrographic records...............................................................................................34 5.2.2.6 Audio-visual records......................................................................................................35 5.3 THE SPECIFIC RESPONSIBILITIES OF THE RECORDS MANAGER.....................................................36 PART 6: TRAINING.............................................................................................................................37 6.1 GENERAL.................................................................................................................................37 6.2 SPECIFIC RESPONSIBILITIES OF THE RECORDS MANAGER............................................................37 PART 7: COMPLIANCE MONITORING..............................................................................................39 7.1 GENERAL.................................................................................................................................39 7.2 SPECIFIC DUTIES OF THE RECORDS MANAGER............................................................................39 PART 8: FURTHER INFORMATION...................................................................................................41 ANNEXURE 1: TYPES OF RECORDS, THE LIFE CYCLE AND VALUE OF RECORDS................43 ANNEXURE 2: NATIONAL ARCHIVES AND RECORDS SERVICE OF SOUTH AFRICA ACT (ACT NO. 43 OF 1996)..................................................................................................................................45 ANNEXURE 3: NATIONAL ARCHIVES AND RECORDS SERVICE OF SOUTH AFRICA REGULATIONS (R1458, 2002.11.20).................................................................................................57 ANNEXURE 4: GUIDELINES FOR THE COMPILATION OF A RECORDS MANAGEMENT POLICY ..............................................................................................................................................................65 ANNEXURE 5: DESIGNING, IMPLEMENTING AND MAINTAINING FILE PLANS..........................69 ANNEXURE 6: LIST OF PROTOTYPE FILE PLANS........................................................................89 ANNEXURE 7: SCHEDULE FOR PAPER-BASED RECORDS OTHER THAN CORRESPONDENCE SYSTEMS: ALL GOVERNMENTAL BODIES (EXCLUDING LOCAL AUTHORITIES)....................................................................................................................................91 ANNEXURE 8: SCHEDULE(S) FOR PAPER BASED RECORDS OTHER THAN CORRESPONDENCE FILES FOR LOCAL AUTHORITIES...............................................................99 ANNEXURE 9: EXAMPLE OF AN INVENTORY/CATALOGUE FOR ELECTRONIC RECORDS SYSTEMS...........................................................................................................................................107 ANNEXURE 10: EXAMPLE OF A DESCRIPTION OF AN ARCHIVAL ELECTRONIC RECORDS SYSTEM.............................................................................................................................................109 ANNEXURE 11: EXAMPLE OF A DESCRIPTION OF A MICROFILM PROJECT FOR INCLUSION IN THE SCHEDULE OF MICROFILM PROJECTS...........................................................................115 ANNEXURE 12: LIST OF GENERAL DISPOSAL AUTHORITIES..................................................119 ANNEXURE 13: APPLICATION FOR DISPOSAL AUTHORITY FOR TERMINATED CORRESPONDENCE FILES.............................................................................................................123 Records Management Policy Manual 1st Edition Version 1.2 April 2004 ii i ANNEXURE 14: APPLICATION FOR DISPOSAL AUTHORITY FOR TERMINATED RECORDS OTHER THAN CORRESPONDENCE FILES....................................................................................125 ANNEXURE 15: DESTRUCTION CERTIFICATE............................................................................129 ANNEXURE 16: PACKING OF FILES IN ARCHIVAL BOXES.......................................................131 ANNEXURE 17: TRANSFER LIST...................................................................................................135 ANNEXURE 18: CONTACT PARTICULARS: NATIONAL AND PROVINCIAL ARCHIVES SERVICES..........................................................................................................................................137 ANNEXURE 19: PRACTICAL TIPS FOR MOVING PAPER-BASED RECORDS..........................141 ANNEXURE 20: CHECK-LIST FOR OFF-SITE STORAGE FACILITIES........................................145 ANNEXURE 21: PROTECTING RECORDS AGAINST VARIOUS PERILS...................................149 ANNEXURE 22: THE ORGANISATION AND FUNCTIONS OF A REGISTRY...............................153 ANNEXURE 23: PAPER CONSERVATION GROUP AND PRODUCTS........................................167 ANNEXURE 24: CONTACT PARTICULARS OF COMPANIES OFFERING TRAINING FOR REGISTRY CLERKS.........................................................................................................................169 ANNEXURE 25: RECORDS MANAGEMENT COURSE.................................................................171 ANNEXURE 26: RECORDS MANAGEMENT PERFORMANCE CRITERIA..................................173 ANNEXURE 27: INSPECTIONS BY STAFF OF THE NATIONAL ARCHIVES AND RECORDS SERVICE............................................................................................................................................181 ANNEXURE 28: RECORDS OTHER THAN CORRESPONDENCE FILES.....................................185 ANNEXURE 29: LIST OF CIRCULARS ISSUED BY THE NATIONAL ARCHIVIST......................187 CHANGE HISTORY...........................................................................................................................189 Records Management Policy Manual 1st Edition Version 1.2 April 2004 v INTRODUCTION Sound records management is fundamental for good governance and effective and efficient administration. It forms the basis for formulating policy, managing resources and delivering services to the public. Records management also provides a basis for accountability and protecting the rights of individuals. To support continuing service delivery and provide the necessary accountability, governmental bodies should create and maintain authentic, reliable and usable records. Governmental bodies should also ensure that the integrity of the records is protected for as long as they are required as evidence of business operations. This manual is issued in terms of section 13(4) of the National Archives and Records Service of South Africa Act, 1996. The purpose of this manual is to impart the National Archives and Records Service’s records management policy and to provide information regarding the management of records in all formats in an integrated manner. The manual contains detailed information regarding the specific requirements and conditions for the management of public records and highlights the specific obligations of heads of governmental bodies and records managers in terms of the National Archives and Records Service Act, 1996 as amended. The manual is also used as the basis for the training presented in the National Archives and Records Service’s Records Management Course. This manual is applicable to all governmental bodies viz. any legislative, executive, judicial or administrative organ of state (including a statutory body) at the national level of government, and until provincial archival legislation takes effect, also all provincial administrations and local authorities. As soon as archival legislation comes into force in a specific province, such provincial offices and local authorities will receive specific guidelines from the relevant provincial archives service. The guidelines issued by the provincial archives services will not be inconsistent with these guidelines. Should a provincial archives service however prefer to continue using these guidelines they should be read in conjunction with that provinces specific archives and records management legislation. This manual should be retained by the records manager of each office and should be updated with such amending or additional instructions as are made available to offices from time to time. The records manager should ensure that the information in this manual is communicated to all creators of records. Dr Graham Dominy National Archivist 1 April 2003 Records Management Policy Manual 1st Edition Version 1.2 April 2004 vi i LIST OF TERMS Act: The National Archives and Records Service of South Africa Act (Act No. 43 of 1996, as amended.) Appraisal: The process of determining the eventual disposal of records and the decision regarding the preservation requirements of each document or series of documents. Archival value: Those values, administrative, fiscal, legal, evidential and/or informational, which justify the indefinite or permanent retention of records. Archives: Records in the custody of an archives repository. Closed Volume: Volumes of records in a current classification system that have reached a thickness of 3 cm or have become full, after which a new volume has been opened. Correspondence system A set of paper-based and electronic communications and associated documents, sent, received, generated, processed and stored during the conduct of business. Current records: Records that form part of a records classification system still in use. Custody: The control of records based upon their physical possession. Disposal: The action of either destroying/deleting a record or transferring it into archival custody. Disposal authority: A written authority issued by the National Archivist specifying which records should be transferred into archival custody or specifying which records should be destroyed/deleted or otherwise disposed of. Records Management Policy Manual 1st Edition Version 1.2 April 2004 vi ii Disposal authority number: A unique number identifying each disposal authority issued to a specific office. Disposal instruction: The specific instruction regarding disposal allocated to each record e.g. D for delete/destroy and A for transferring into archival custody. Electronic Document Management System: A system that provides the ability to capture, describe and categorize, store and retrieve, share and reuse electronic documents regardless of specific format. Electronic records: Information which is generated electronically and stored by means of computer technology. Electronic records can consist of an electronic correspondence system and electronic record systems other than the correspondence system. Electronic Records Management System: A system that supports the medium to long term information needs of an office. It provides functionality over and above that of an electronic document management system to preserve the security, authenticity and integrity of records to enable the permanent preservation of records. Its primary management functions are – • to manage a corporate file plan according to which records are filed; • 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; • managing records in all formats in an integrated manner. Electronic records system: This is the collective noun for all components of an electronic information system, namely: electronic media as well as all connected items such as source documents, output information, software applications, programmes and meta data (background and technical information i.r.o. the information stored electronically) and in hard copy. All these components are defined as records by the Act. They must therefore be dealt with in accordance with the Act’s provisions. File: 1) An organised arrangement of records on the same subject accumulated in chronological order within the same cover/folder/container. Records Management Policy Manual 1st Edition Version 1.2 April 2004