Policies

2.7 Strategies and Policies to Manage E-Records

2.7.1 Policies

Table 1 is a summary of the challenges described by Spindler (2003: 1019).

Table 1: Challenges to e-records preservation

Challenge

I

^Example

1 . Phy,kai degm

d1

0n of "omge media CD does not read anymore since air pollutants have degraded the

recording surface.

2. Physical obsol e

�

cence of storage media 5.25 inch floppy disc does not fit in CD-R drive

3. Incompatibili tv/non-interoperability of One manufacturer' s DVD disc will not play in DVD players

storage media produced by a different manufacturer.

4. Software, ope ating system, or encoding New software release will not run file from old release.

incompatibility/r on-interoperability New software release opens old file, but contents are corrupted.

Software is not compatible with operating system.

,

Product designed for displaying with one internet browser does not look the same in a different browser.

Proprietary backup software and storage format not compatible with new release or other backup software.

Proprietary codes from HTML editing packages do not convert to XML.

5. Human error/vandalism Accidental or malicious deletion.

Website is vandalized.

6. B ackups and snapshots Backups lost or overwritten.

Wrong files backed up.

Incomplete snapshot: Video server backed up, Web server not backed up.

7. Metadata Snapshots of different servers not contemporaneous.

Insufficient context to verify source and authenticate content.

Source: Spmdler (2003: 1019)

Ngulube (2003b) further explained that policies assist archival institutions to understand the physical needs of records and to meet, or extend, nationally and internationally agreed standards for the preservation of archival materials. At the same time, a policy reminds the formulators of the constraints they must all accept if important records are to be saved for present and future generations. Ranson ( 1995 : 440) provided a definition of policies as:

Policies are statements that are typically expressed both in utterance and textual form. They have a distinctive and formal purpose for organisations and governments; to codify and publicise the values, which are to inform future practice and thus encapsulate prescription for reform. Policies are oriented to change and action, providing public intent of transforming practice according to ideal values.

Menou (199 1 : 50) defined a national policy as a set of principles that guide a regular course of action. A policy consists of:

• An image of the desired state of affairs, as a goal or set of goals, which are to be achieved or pursued.

• Specific means by which the realization of the goals is to be brought about.

• The assignment of responsibilities for implementing the means.

• A set of rules or guidelines regulating the implementation of the means.

Furthermore, Menou ( 1 99 1: 50) represented a policy model as:

• De facto, that is they can be inferred by observing patterns of action and

behaviour among key players.

• De jure, that is they are stipulated in documents such as legal acts and regulations;

and

• Formalized policies codified in documents originating from stakeholders such as professional associations and organizations.

The present study adopted the 'de jure ' policies. It was in this case that the respondents were asked if the legislation explicitly addressed the management of e-records.

In general, policies set out goals to be achieved, as well as guidelines for implementing them. Policy deals with "why" and "what", and plan with "how" (Menou 199 1 : 5 1).

Written policies serve as binding contracts between the information agencies and the stakeholders. They help set standards. Written policies can be used as tools for staff training and evaluation. In addition, they assure continuity and inform staff and users of the scope and goals of the preservation programme. They facilitate a planned response to technological change (Ngulube 2003b). The existence of preservation policies does not guarantee their implementation. Ngulube (2003b) pointed out that:

Policies are important because they can outline explicitly the responsibilities of the archivists for the preservation of archival materials of all types in order to guarantee access to the information they contain, both for the current generation of archives and record users, and for generations to come.

Governments have more influence and an important role to play in policy-making.

According to Oppenheim ( 1 998: 47), government is probably the biggest collector, analyst, provider and disseminator of information in any country. Governments can act as an exemplar to other sections of the community by becoming leading-edge technology users, introducing electronic procurement procedures, becoming major purchasers and users of electronic information, becoming significant providers of information on the World Wide Web (WWW) or requiring adherence to national and internationally backed standards.

The extent to which government information resources are available for third party exploitation is also important. Government information is the property of the taxpayers, who pay for its collection, and therefore a government is under an obligation to provide this information equitably and efficiently to the public at large. It is therefore important that government policies represent a compromise between these approaches (Oppenheim 1 998: 48). Oppenheim ( 1 998: 48) stated that:

There is increasing interest worldwide In how electronic information and the telecommunications networks for its distribution can be employed to extend participation of citizens in the democratic process at local, regional, national and

even supranational levels. This participation can be enhanced by the provision of materials produced by government in electronic format to those citizens able to access it in, combined with e-mail facilities to permit citizens to communicate with legislators and decision makers at all level of government.

Well-developed policies help organizations to improve the quality and reliability of their electronic record keeping systems and can protect organizations against litigation over improper use of information systems for record keeping purposes (Hedstrom 2000: 167).

As a starting point, every organization should determine whether e-records are acceptable in the jurisdictions in which they operate and for the purpose for which the records will be created and used. Hedstrom (2000: 167) points out that policies should define the acceptable uses of information technology for record-keeping purposes, delineate the processes and methods necessary to ensure accuracy and authenticity of e-records, specify provisions for quality control, storage and retention and set parameters under which access to e-records are permitted or denied. E-records policies should spell out the roles and responsibilities of management, systems administration staff and end-users for the creation, maintenance, protection and release of e-records.