A literature review involves the identification and analysis of literature related to one's research project. This process includes identifying potentially relevant sources, an initial assessment of these sources, thorough analysis of selected sources and the construction of an account integrating and explaining relevant sources (Kaniki 1999: 17). According to Neumann (2000: 447), the purpose of a literature review is to provide a theoretical background to the study, as well as to learn from what others have done. The literature was reviewed from sources such as published books, journals, the Internet and published and unpublished conference papers dealing with electronic records management.
The purpose of this study was to investigate the management of electronic records in the public sector in Lesotho. Starting with the discussion of the importance of records management and e-records life cycle, Chapter Two examines the existing IT infrastructure in the public sector, what records are being created, and the strategies, policies and models used to manage e-records. The chapter also looks into archival legislation in Lesotho and existing skills and knowledge in the management of e-records.
2.1 Archival Legislation and E-Records Management
2. 1.1 Significance of National Archives
For any government to be accountable, there is a need for record-keeping. Records are the memory of an organization and without them there would be no administration.
Public servants would not be able to account for their actions. National archives are institutions which are responsible for keeping the national records. The national archives should be the focal point for all archival institutions in the country. It should provide standards for the national archives; it should be the centre of excellence when it comes to archival collections; it should guide the national archives. Finally, it should be the key institution responsible for the management of records throughout the public service (Qobo 1996: 286).
Qobo (1996: 287) adds that the responsibilities of the national archives should include the operation of a country-wide records management of the central, local and government records, so as to ensure that records are created, utilized and disposed of methodically and that those of permanent value should be identified and preserved. 8cecords management ensures that there is a systematic control of recorded information. It provides economy and efficiency in the creation, organisation, use, retrieval and disposition of records, ensuring that records whose value has expired will not be kept in the archives. Only valuable records will be preserved and made available for public inspection, in due course.
2.1.2 Requirements
A national archive must meet certain requirements if it is to function efficiently. One such requirement is a building, preferably purpose-designed, with controlled temperature and humidity. This is especially necessary for storage areas for audiovisual records, moving images and other materials that are sensitive to high and fluctuating temperatures and humidity. Even conventional paper records need appropriate storage conditions if they are to be preserved for a long time. It will also be necessary for the building to have sufficient safeguards against fire, floods and other similar dangers. The need for appropriate and adequate storage space can, of course, never be emphasized enough, since it is a basic requirement for every national archive (Musembi 2003: 441).
The building should have the necessary facilities to preserve archives, documents and publications. These include shelves and well-equipped conservation workshops. In addition, a national archive should have adequate facilities and capabilities for arrangement, description and indexing of records and archives. The facilities should include the use of information technology.
Musembi (2003: 441) explained that a national archive needs to have adequate personnel, who must be well-qualified and experienced. Apart from general archivists, national archives need information technology experts, preservation specialists and other experts with diverse academic backgrounds. For example, all national archives need experts to
manage e-records, throughout the entire life cycle. Most other non-paper records also need specialized personnel. The total number of personnel and the type of experts required will vary from country to country, depending on the size and complexity of the particular national archive.
A national archive should have adequate financial resources for its recurrent and development budgets. Money is needed, for example, for staff salaries, procurement and maintenance of equipment, as well as for the maintenance of the archive building itself. It is mainly the inadequate provision of personnel and financial resources in developing countries that make their national archives so different from those of developed countries, in terms of performance (Musembi 2003: 441 ). Having looked at the legislation and e
records management, the following section will discuss describe the archival legislation in Lesotho.
2.1.3 Archival Legislation
The Lesotho National Archives Act was passed in 1967 and is still operational together with the Archives Regulations of 1972 and 1996 (Qobo 1 996: 289). The legislation spells out the duties of the archivist, what is expected of the archivist, and what the archivist should expect from the organization in order to be able to carry out the assigned duties. It spells out what materials should go to the archives, and when and how they should be transferred to the archives. Legislation needs to be revised regularly, to accommodate the changes in society and to accept new forms of media such as e-records.
Section 9 empowers the Chief Archivist to destroy records that should not be permanently preserved, provided the Archives Commission, which is constituted in terms of Section 6 of the Act, approves of the disposal decision. The Archives Commission is composed of seven members appointed by the Minister and it acts as a watchdog over the acquisition and preservation of archives. The Act is still operational, together with the Archives regulations of 1 972 and 1996.
The National Archives of Lesotho is charged with the responsibility of providing records and information management services to government ministries and departments, local authorities and parastatals. In terms of the Archives Act of Lesotho, Act 1967, the National Archives stipulates that public records are created, used, maintained and managed in an organized way that promotes the efficient and economic handling of information (Lesotho Archives Act 1967).
The Lesotho Archives Act 1 967 states that records include not only written records but records conveying information by any other means whatsoever. The Act is outdated and does not include e-records. The management of e-records should be clearly stated in the Act, since many records are currently being created electronically. For example, the South African National Archives Act of 1996, as amended, gives the National Archives of South Africa regulatory authority over all public records from the moment of creation and provides a separate definition of "electronic records systems". The Act accords the National Archives specific powers concerning the management of e-records. (Harris
1999/2000:7).
Qobo (1996: 290) states that when the archives regulations of 1972 were passed, the archives at that time were under the Ministry of Education, Health and Social Welfare, but at present there is no such ministry. Education has its own ministry and so does Health and Social Welfare. At present the National Archives falls under the Ministry of Tourism, Environment and Culture.
According to Harris (199912000: 9, 10), some countries have passed new laws regarding evidence, to accommodate new realities. Australia passed its Evidence Act in 1995. Also in 1995, the state of New South Wales passed a similar Act, and the other states of Australia are following suit. The United Kingdom passed its Civil Evidence Act in 1995.
In the United States, the federal government and most states have adopted uniform laws containing standard provisions for the legal admissibility of e-records. These have been adapted to the South African context to accommodate the specific attributes of electronic records.
The US Government Paperwork Elimination Act (GPEA, Pub.L. 105-277) requires that, where practicable, federal agencies use electronic forms, electronic filing and electronic signatures to conduct official business with the public, by 2003. This legislative imprimatur has accelerated the pace of change in US Government record-keeping practices. The US National Archives and Records Administration (NARA) has taken a leading role in designing processes by which agencies can move to a GPEA-compliant status, without compromising the integrity and authenticity of the public record (Victorian Electronic Record Keeping Strategy 2003).