Judicial RecordsJudicial Records

Prepared and Presented Prepared and Presented by:by:

Gladstone K. HlalakuhleGladstone K. Hlalakuhle

DefinitionDefinition

These are the primary source of These are the primary source of economic and social history, within economic and social history, within the nation, in addition to the legal the nation, in addition to the legal content.content.

Reveal about the daily life, Reveal about the daily life, circumstances, occupations and circumstances, occupations and concerns of the citizens.concerns of the citizens.

The records of the courts reveal The records of the courts reveal specific information about business specific information about business practices and other economic data.practices and other economic data.

Definition cont.Definition cont. Public Record: Any recorded information, Public Record: Any recorded information,

regardless of form or characteristics, regardless of form or characteristics, which is made, maintained or kept by or is which is made, maintained or kept by or is in the possession of any public agency, in the possession of any public agency, including, but not limited to, an including, but not limited to, an agreement in settlement of litigation.agreement in settlement of litigation.

Public Record: Shall not include records Public Record: Shall not include records owned by a private person or entity and owned by a private person or entity and are not related to functions or operations are not related to functions or operations funded by public funds and maintained by funded by public funds and maintained by an individual.an individual.

Types of RecordsTypes of Records

Criminal recordsCriminal records Civil RecordsCivil Records Sheriff RecordsSheriff Records Records which document court Records which document court

actions during the term or sessions actions during the term or sessions of the courts at all levels are of the courts at all levels are referred to as Dockets, Records and referred to as Dockets, Records and Case Files.Case Files.

Non-Permanent RecordsNon-Permanent Records Records which have no significant Records which have no significant

operational, informational or evidential operational, informational or evidential value. They can therefore be destroyed as value. They can therefore be destroyed as soon as they have served their primary soon as they have served their primary purpose.purpose.

Announcements and notices of meetings and Announcements and notices of meetings and other eventsother events

Requests for stock information, travel Requests for stock information, travel directions, brochures, etc.directions, brochures, etc.

Requests and confirmations of, reservations Requests and confirmations of, reservations for internal services – rooms, car parking for internal services – rooms, car parking space, etc.space, etc.

Transmission of documents: letters, Fax Transmission of documents: letters, Fax cover sheets, e-mail messages, cover sheets, e-mail messages, compliment slips and similar items which compliment slips and similar items which accompany documents but do not add accompany documents but do not add value to them.value to them.

Message slipsMessage slips Personal diaries, address books, etc.Personal diaries, address books, etc. Working papers – where the results have Working papers – where the results have

been written into an official document and been written into an official document and which are not required to support it.which are not required to support it.

Published or reference materials Published or reference materials received from other parts of the received from other parts of the institution or other external institution or other external organisations which require no organisations which require no action and are not needed for action and are not needed for “record” purposes (newsletters, “record” purposes (newsletters, flyers, etc).flyers, etc).

Records ManagementRecords Management

Preparation and maintenance of an inventory Preparation and maintenance of an inventory of each record series in the custody of the of each record series in the custody of the agency in cooperation with the archives agency in cooperation with the archives staff.staff.

Preparation and submission of retention and Preparation and submission of retention and disposition schedules for the state agency’ disposition schedules for the state agency’ records for approval or modification to the records for approval or modification to the state records board in cooperation with the state records board in cooperation with the archives staff.archives staff.

Periodical reviews of the state records, Periodical reviews of the state records, retention and disposition schedules. retention and disposition schedules.

Submission of requests to the state records Submission of requests to the state records board for any needed modifications.board for any needed modifications.Dissemination of pertinent information Dissemination of pertinent information regarding records management to regarding records management to appropriate government agencies.appropriate government agencies.Implementation of agency records Implementation of agency records management policies and procedures with management policies and procedures with the assistance of the archives staff to the assistance of the archives staff to ensure compliance with all applicable state ensure compliance with all applicable state statutes and regulations.statutes and regulations.

Official Documents in the Official Documents in the TribunalTribunal

Original documents which are integral to Original documents which are integral to the Tribunal’s proceedings and are issued the Tribunal’s proceedings and are issued by the Tribunal.by the Tribunal.

Original documents for the Chambers Original documents for the Chambers bearing the signature of a Judge or bearing the signature of a Judge or Judges, and the Seal of the Tribunal, e.g Judges, and the Seal of the Tribunal, e.g Decisions, Orders and Judgments.Decisions, Orders and Judgments.

Original documents issued by the Office of Original documents issued by the Office of the Prosecutor bearing the signature of the Prosecutor bearing the signature of the Prosecutor, or his delegate, and the the Prosecutor, or his delegate, and the stamp of the Office of the Prosecutor.stamp of the Office of the Prosecutor.

Original documents issued by the Court Original documents issued by the Court Management Section bearing the Management Section bearing the signature of the Registrar, or his delegate signature of the Registrar, or his delegate and the stamp of the Tribunal.and the stamp of the Tribunal.

All documents concerning cases before All documents concerning cases before the Tribunal which are sent to the the Tribunal which are sent to the Tribunal by the Parties.Tribunal by the Parties.

Translation of the original documents duly Translation of the original documents duly certified by the Translation Unit of the certified by the Translation Unit of the Tribunal.Tribunal.

Case FilesCase Files Shall contain all documents pertaining to Shall contain all documents pertaining to

each case brought before a Judge or each case brought before a Judge or Chamber.Chamber.

Where a document is issued in one single Where a document is issued in one single copy but relevant to two or more files, a copy but relevant to two or more files, a certified copy of the original document certified copy of the original document shall be inserted in the relevant file(s).shall be inserted in the relevant file(s).

Each document shall be numbered in a Each document shall be numbered in a chronological order, and filed in chronological order, and filed in accordance with the instructions for the accordance with the instructions for the Court Management Section.Court Management Section.

The title and reference number of each The title and reference number of each document inserted in a folder must be noted document inserted in a folder must be noted in the indexes (public or confidential) of the in the indexes (public or confidential) of the relevant case file.relevant case file.

Documents in more than one language shall Documents in more than one language shall be filed with the instructions for the Court be filed with the instructions for the Court Management Section.Management Section.

When a document is filed with the Court When a document is filed with the Court Management Section, the Section shall Management Section, the Section shall make the appropriate arrangements for its make the appropriate arrangements for its translation into the working languages of translation into the working languages of the Tribunal.the Tribunal.

The Court Management Section shall The Court Management Section shall ensure that electronic copy of a document ensure that electronic copy of a document is filed simultaneously with the filing of is filed simultaneously with the filing of the document. It shall request the person the document. It shall request the person filing the document to provide electronic filing the document to provide electronic copy if he has not already done so. copy if he has not already done so.

The electronic copy shall then be The electronic copy shall then be transmitted to the person responsible for transmitted to the person responsible for the Tribunal’s Website or the purposes of the Tribunal’s Website or the purposes of review and loading onto the Homepage.review and loading onto the Homepage.

If possible, the Court Management If possible, the Court Management Section will establish a copy set for Section will establish a copy set for each file which shall be stored away each file which shall be stored away from the Tribunal’s facilities and from the Tribunal’s facilities and shall be certified in accordance with shall be certified in accordance with the procedure set down by the the procedure set down by the relevant Article of the Directive.relevant Article of the Directive.

Case File IndexesCase File Indexes

Each case file shall have an Index Each case file shall have an Index listing all the documents filed in that listing all the documents filed in that case. Documents which contain case. Documents which contain confidential information but whose confidential information but whose existence is not confidential may be existence is not confidential may be listed in the public index, provided listed in the public index, provided the listing does not divulge any the listing does not divulge any confidential information and provided confidential information and provided that the confidential information does that the confidential information does not appear in the Case File.not appear in the Case File.

The indexes of confidential The indexes of confidential documents shall be inserted at the documents shall be inserted at the beginning of each folder of each beginning of each folder of each case file.case file.

All non-confidential indexes shall be All non-confidential indexes shall be collected together in a “ Compilation collected together in a “ Compilation of Indexes”.of Indexes”.

CorrespondenceCorrespondence

Official correspondence of the Court Official correspondence of the Court Management Section shall be signed Management Section shall be signed by the Registrar, or by the Deputy by the Registrar, or by the Deputy Registrar or Court Management Registrar or Court Management Section officials, in so far as the Section officials, in so far as the Registrar may delegate to them his Registrar may delegate to them his signature for this purpose.signature for this purpose.

Filing of Correspondence Filing of Correspondence and Related Documentsand Related Documents

The Court Management Section shall The Court Management Section shall file official correspondence addressed file official correspondence addressed to or received by the Court to or received by the Court Management Section in the Case File, Management Section in the Case File, in accordance with the relevant Article in accordance with the relevant Article of the present Directive.of the present Directive.

A separate correspondence file may be A separate correspondence file may be maintained , if necessary, for any case.maintained , if necessary, for any case.

The Court Management Section shall The Court Management Section shall file, following the same principles, file, following the same principles, all documents sent by the Section all documents sent by the Section and their annexes noting the name and their annexes noting the name of the addressee and in due course of the addressee and in due course stapling, where available, the proof stapling, where available, the proof of receipt of the document or its of receipt of the document or its copy.copy.

Record BookRecord Book

The Record Book shall be open to the The Record Book shall be open to the public and otherwise maintained in public and otherwise maintained in accordance with the Rules. It shall be in a accordance with the Rules. It shall be in a diary format, with one page for each day.diary format, with one page for each day.

Non-confidential particulars of each case Non-confidential particulars of each case and each document filed in the case file, and each document filed in the case file, including orders, decisions, decisions and including orders, decisions, decisions and judgments, shall be noted in the Record judgments, shall be noted in the Record Book on their day of filing.Book on their day of filing.

The Record Book is a permanent The Record Book is a permanent record of the Tribunal and shall not record of the Tribunal and shall not be destroyed . It shall be maintained be destroyed . It shall be maintained in the Archives.in the Archives.

Summary SheetSummary Sheet

The Summary Sheet shall contain The Summary Sheet shall contain the essential information relating to the essential information relating to all cases which are before a Judge or all cases which are before a Judge or Chamber of the Tribunal, and the Chamber of the Tribunal, and the dates of the various stages so far dates of the various stages so far reached in those cases, excluding reached in those cases, excluding those subject to an order for non-those subject to an order for non-disclosure.disclosure.

The Summary Sheet, which shall be The Summary Sheet, which shall be an integral part of the Record Book, an integral part of the Record Book, is principally intended to facilitate is principally intended to facilitate the location of documents in the the location of documents in the case file, to provide a quick case file, to provide a quick reference for basic information reference for basic information concerning the case and to provide a concerning the case and to provide a basis for compiling information or basis for compiling information or statistics for the preparation of statistics for the preparation of annual and budgetary reports.annual and budgetary reports.

Certified CopiesCertified Copies

Copies of Original documents issued Copies of Original documents issued by the Tribunal must bear the stamp by the Tribunal must bear the stamp of the Tribunal and the signature or of the Tribunal and the signature or initials in blue ink of the Registrar of initials in blue ink of the Registrar of his delegate. his delegate.

Copies certified in this manner shall Copies certified in this manner shall be regarded as exact and unaltered be regarded as exact and unaltered reproduction of the original.reproduction of the original.

To certify documents, the Registrar To certify documents, the Registrar may also make use of certificates may also make use of certificates under conditions to be established in under conditions to be established in the Instructions for the Court the Instructions for the Court Management Section. Thus, Management Section. Thus, documents covered by a Certificate documents covered by a Certificate signed by the Registrar or his signed by the Registrar or his delegate will also be considered delegate will also be considered certified copies.certified copies.

Filing by FacsimileFiling by Facsimile

The Court Management Section shall The Court Management Section shall process documents sent by facsimile process documents sent by facsimile transmission in accordance with the transmission in accordance with the laid down provisions.laid down provisions.

Parties who send documents by Parties who send documents by facsimile must also deliver the facsimile must also deliver the signed original document within a signed original document within a reasonable period.reasonable period.

After-Hours FilingAfter-Hours Filing

After-hours filing refers to the filing of After-hours filing refers to the filing of documents outside of the following hours: documents outside of the following hours:

9 a.m. to 5.30 p.m; Monday –Thursday 9 a.m. to 5.30 p.m; Monday –Thursday and 9 a.m. to 12.30 p.m.on Friday, or on and 9 a.m. to 12.30 p.m.on Friday, or on weekends or public holidays.weekends or public holidays.

A party anticipating a late filing must A party anticipating a late filing must notify the Court Management Section notify the Court Management Section during the business hours to request during the business hours to request permission and instruction for the after-permission and instruction for the after-hours filing.hours filing.

Deficient FilingDeficient Filing

1. The Court Management Section is 1. The Court Management Section is responsible for verifying compliance with the responsible for verifying compliance with the formal requirements laid down in the formal requirements laid down in the relevant Articles of the present directive.relevant Articles of the present directive.

2. This section shall inform the party who 2. This section shall inform the party who submitted a formal defective document of the submitted a formal defective document of the deficiency and requesting that it be deficiency and requesting that it be corrected.corrected.

A party who presents a defective document A party who presents a defective document may correct the deficiency by letter or may correct the deficiency by letter or facsimile.facsimile.