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2.1 The purpose of this document is to provide a uniform policy to governmental bodies in the Western Cape Province to assist them to comply with legislative requirements regarding digital records as an integral part of the strategic management of their records resources.
2.2 The main aims and objectives of this document are:
2.2.1 To provide a guiding framework for governmental bodies within the Western Cape to compile digital strategy documents that are aligned with international standards and best practices, as well as with an eye to the unique circumstances within South Africa and the Western Cape.
2.2.2 To provide guidance on digital rights management issues that must be addressed in digitisation strategies compiled by governmental bodies. This policy document takes cognisance of the lack of guidance or legislation pertaining digital rights issues, This policy document will attempt to chart a course that will ensure that the Western Cape Archives and Records Service is able to safeguard the records in its care for future benefit of all South Africans.
2.2.3 To provide guidance on the compilation of accurate and comprehensive metadata records, as a vital means for managing electronic records and digital surrogates in the future.
2.2.4 To discuss and describe the requirements for the creation of authentic digital records that are useable and reliable for as long as they are required for functional, legal and historical purposes. This will include addressing issues such as digital rights management and metadata.
2.2.5 To give consideration to the role of digital technology in the management of records, digital technology with regard to the digitisation of original historical records, for example paper-based documents and photographs, as well as the storage of digital records.
2.2.6 To promote a preservation-appropriate approach to the digitisation of paper-based collections. In the urge to scan historical paper based records, many records are damaged and exposed to further harm. It espouses a “scan right” approach to the digitisation of historical paper based records; and a preservation-sensitive approach to the management of digitally born records.
3. Legislative Framework
3.1 International treaties and conventions
3.2 International standards and protocols
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ISO standards on metadata:
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ISO 19115:2003
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ISO 23950: Information retrieval (Z39.50)
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ISO 21127:2006
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OAI-PMH protocol (Acronym for the Open Archives Initiative – Protocol for Metadata Harvesting)
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US DoD 5015.2 Design Criteria Standard for Electronic Records Management Software Applications
3.3 National legislation and policy
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Constitution of the Republic of South Africa, 1996.
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National Archives and Records Service of South Africa Act, 1996 (Act No. 43 of 1996) as amended.
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National policy on the digitisation of heritage resources: final draft policy (for public review) August 2010.
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The Public Finance Management Act, 1999 (Act No. 1 of 1999).
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Municipal Finance Management Act, 2003 (Act No. 56 of 2003).
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The Promotion of Access to Information Act, 2000 (Act No. 2 of 2000).
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The Promotion of Administrative Justice Act, 2000 (Act No. 3 of 2000).
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The Electronic Communications and Transactions Act, 2002 (Act No. 25 of 2002).
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Protection of Personal Information Act, 2013 (Act No. 4 of 2013).
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Public Service Act, 1994 (as amended by, inter alia, the Public Service Amendment Act, 2007 (PN 103 of 2007).
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Cultural Institutions Act, 1998 (Act No. 119 of 1998).
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Cultural Promotion Act, 1983 (Act No. 35 van 1983).
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National Arts Council Act, 1997 (Act No. 56 of 1997).
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National Heritage Council Act, 1999 (Act No. 11 of 1999).
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National Heritage Resources Act, 1999 (Act No. 25 of 1999).
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South African Geographical Names Council Act, 1998 (Act No. 118 of 1998).
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World Heritage Convention Act, 1999 (Act No. 49 of 1999).
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Revised White Paper on Arts, Culture and Heritage, 2013.
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National Policy on South African Living Heritage, 2009.
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National Archives and Records Service of South Africa. Records Management Policy Manual, 2007.
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Managing Electronic Records in Governmental Bodies: Metadata requirements, 2006.
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National Archives and Records Service of South Africa. Managing Electronic Records in Governmental Bodies: Policy, principles and requirements, 2006.
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National Archives and Records Service of South Africa. Electronic records and the law: What governmental bodies need to know. Advisory pamphlet No. 2, April 2012.
3.4 Regional legislation, policy and guidelines
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Constitution of the Western Cape, 1997
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Provincial Archives and Records Service of the Western Cape Act, 2005 (Act No. 3 of 2005) and Regulations (PN. 122/2006).
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Western Cape Cultural Commissions and Cultural Councils Act, 1998 (Act No. 14 of 1998).
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Western Cape Heritage Resource Management Regulations, 2002 (PN 336 of 25 Oct 2002).
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Western Cape Heritage Resource Management Regulations, 2003 (PN 298 of 29 Aug 2003).
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Museums Ordinance, 1975 (Ordinance No. 8 of 1975).
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Draft Western Cape Museum Policy, 2012.
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Draft Policy for the Naming and Re-naming of Geographical Features, 2007.
3.5 National and regional standards and protocols
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SANS 15081. Electronic imaging: information stored electronically, recommendations for trustworthiness and reliability. South African Bureau of Standards, Pretoria.
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SANS 23081. Information and documentation: records management processes, metadata for records. Part 1, principles. South African Bureau of Standards, Pretoria.
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SANS 17799. Information technology: security techniques, code of practice for information security management. South African Bureau of Standards, Pretoria.
4. Policy principles and statements
4.1 POLICY 1: Managing digitisation in governmental bodies
4.1.1 All governmental bodies in the Western Cape Province must put mechanisms in place for creating and managing their own digitisation programmes.
4.1.2 All governmental bodies in the Western Cape Province are required to develop a digitisation strategy under this provincial policy that will reflect the unique characteristics of the institution, its collection(s), legislative mandate and the nature of its collections. The digitisation strategy must remain mindful of the institution’s particular circumstances regarding funding, management processes, technological support, etc.
4.1.3 The institutional digitisation strategy must include the following minimum information:
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A description of the collections within the institution and their significance and digitisation status.
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The nature of the threats to the collections.
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The frequency of usage and handling of the collections.
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The guiding principles for selection of collections for digitisation and the principles for selection of items within collections.
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The rights associated with each collection.
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The metadata to be used and applied for describing the digital resources.
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The management of the digital resource in terms of location and backup and the disaster management plans.
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Access methods to the digital resources.
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The digital preservation strategy, including the preferred media and formats, and how migration is used to ensure long term preservation.
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The digitisation approach concerning usage of external agencies (or, vendors), or internal expertise.
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The skills needed to digitise and maintain the digital resources and how these skills are to be developed through capacity development programs.
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The equipment used - if it is to be purchased, rented or outsourced to other specialists.
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The specific digitisation programs underway, including stakeholders and beneficiaries, and the specific projects that have been structures under these programmes.
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The specific policies on collection management that impact on digitisation.
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Institutional policies relating to digitisation, including: local and foreign funding, rights identification and management, handling during digitisation, storage after digitisation, access to the digital resources, digital preservation an prioritisation rules for digitisation.
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Digitisation programs and projects will be designed, structured and documented in accordance with the institution’s digitisation strategy.
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Digitisation must be addressed within the institutional strategic planning of the governmental bodies in the Western Cape Province and will be reflected within the quarterly and annual reporting mechanisms.
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Governmental bodies that hold any part of a dispersed collection of provincial, national and international significance have to negotiate with other custodians who hold other parts of the same dispersed collection in order to maintain consistency in their digitisation strategy regarding this collection. Such custodians have to work with other custodians toward creation of virtual collections to facilitate access to these collections.
4.2 POLICY 2: Maintenance of sound curatorial practice for analogue and paper-based records
4.2.1 Digitisation is not a replacement for sound curatorial management and conservation practice, but is universally acknowledged to be a value adding activity that enhances preservation of, and access to heritage collections. Further, digitisation complements and extends existing collection management functions.
4.2.2 Digital copies are not replacements for original heritage resources, but are considered to be surrogate images. Surrogate digital copies form part of the management and preservation of the original heritage resources within the institution.
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The digitisation of an original archival record/public record must, therefore, provide a surrogate copy of the record.
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This surrogate record, in digital form, may have a number of additional uses, including: identification of the item in case of theft or loss; the provision of commercial and other opportunities in the use of the image of the record.
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Digitisation must take place for the purposes of preserving information, particularly where collections are under physical threat.
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Digitisation is a vital preservation tool for the institution that must help to reduce the frequent physical handling of objects; particularly, where access or handling of a record increases the risk of loss or damage to the record.
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Digitisation must take place in order to provide a wider and easier access to information; in part this enhanced access will take place via the internet and various forms of electronic communication.
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The surrogate digital copy created in the course of digitisation projects must be created as a digital master. This digital master must include all necessary metadata in terms of this policy.
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