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15 invalidates accounting entries. In computing, the term is also used for an electronic or paper log used to track computer activity. For example, a corporate employee might have access to a section of a network in a corporation such as billing but be unauthorized to access all other sections. If that employee attempts to access an unauthorized section by typing in passwords, this improper activity is recorded in the audit trail. Audit trails are used to record customer activity in e-commerce. The customer's initial contact is recorded in an audit trail as well as each subsequent action such as payment and delivery of the product or service. The customer's audit trail is then used to respond properly to any inquiries or complaints. A company might also use an audit trail to provide a basis for account reconciliation, to provide a historical report to plan and support budgets, and to provide a record of sales in case of a tax audit. Audit trails are also used to investigate cyber crimes. In order for investigators to expose a hacker's identity, they can follow the trail the hacker left in cyberspace. Sometimes hackers unknowingly provide audit trails through their Internet service providers' activity logs or through chat room logs. 4.1.6.2 Digital certificates and digital signatures The best way to protect the authenticity of records is by way of digital certificates and digital signatures. A digital certificate contains a person’s name, a serial number, expiration dates and a copy of a person’s digital signature as well as the digital signature of the certificate-issuing authority and is used to establish a person’s credentials when doing business or other transactions. A digital signature is an electronic signature that can be used to authenticate the identity of a sender of a message or a signer of a document, and is used to ensure that the content of a document or message is unchanged. 4.2 E-mail E-mail can be a form of official communication. Messages sent or received in the performance of the functions of an office (as well as their attached metadata) are public records that must be retained for as long as they are needed for official purposes. Examples of messages sent by e-mail that are public records include: • policies and directives • correspondence or memoranda related to official business • work schedules and assignments • agendas and minutes of meetings • drafts of documents that are circulated for comment or approval • any document that initiates, authorizes, or completes an official business transaction Managing electronic records_Policy Guidelines.doc First Edition Version 1.1 April 2003
16 • final reports or recommendations. Some examples of messages that are not public records are: • personal messages and announcements not related to official business • copies or extracts of documents distributed for convenience of reference • phone message slips • announcements of social events, such as retirement parties or holiday celebrations. E-mail records should be managed according to the basic principles that apply to records in any medium. The management and retention of e-mail records are subject to the National Archives and Records Service of South Africa Act (Act No. 43 of 1996 as amended) and its regulations. The information contained in par 4.1.1-4.1.8 is also applicable to e-mail. 4.3 Websites and web-based activities A website is a collection of information, documents, or databases that is provided to a user community through a web interface. Web-based activities refers to the interactive communication of information and/or the conduct of business activities through web technologies. Governmental bodies are using websites and Intranet sites as a means of information dissemination, communication and collaboration. Increasingly Websites are also used to extend online service provision to clients. Websites comes in many different forms, each of which poses a different challenge when it comes to the management of the site as a record. Websites can be: • Static This is the most basic form of website. It consists of a collection of static documents sitting in folders on a database. The documents are hyperlinked, and the only activity on the site is the movement between the hyperlinked documents. These sites are relatively easy to preserve. Snapshots of the sites can be taken or the entire site can be written to a CD. Version control can be applied when the site changes. • Dynamic On a dynamic website users can make requests, through the use of an e-form, for data contained in a database on the server that will be assembled on the fly according to what is requested. Dynamic websites are linked to the Internet and can query all available resources to answer a specific query. These types of websites are more difficult to manage as records. • Interactive These websites are dynamic sites which are also used as an user interface to provide web-enabled services to the public. These sites are the most difficult to manage as records. Managing electronic records_Policy Guidelines.doc First Edition Version 1.1 April 2003
Page 1 and 2: MANAGING ELECTRONIC RECORDS IN GOVE
Page 3 and 4: Content PREFACE ...................
Page 5: i PREFACE The increasing use of ele
Page 8 and 9: 3 The Public Finance Management Act
Page 10 and 11: 5 guidelines set out in this public
Page 12 and 13: 7 means that it takes up very littl
Page 14 and 15: 9 o identifying records that are du
Page 16 and 17: 11 requirements regarding the mediu
Page 18 and 19: 13 the AIIM International Standards
Page 22 and 23: 17 While some of the records publis
Page 24 and 25: 19 The National Archives and Record
Page 26 and 27: 21 electronic document management,
Page 28 and 29: 23 necessary to avoid technological
Page 30 and 31: 25 • if and e-mail is received an
Page 32 and 33: 27 records to capture of their webs
Page 34 and 35: 29 only be necessary to provide an
Page 36 and 37: 31 bodies should ensure that, even
Page 38 and 39: 33 Managing electronic records_Poli
Page 40 and 41: 35 To ensure that records remain ac
Page 42 and 43: 37 Because users have high expectat
Page 44 and 45: 39 records. Archiving Electronic re
Page 46 and 47: 41 The electronic records managemen
Page 48 and 49: 43 duplicating documents that alrea
Page 51 and 52: 46 ANNEXURE B: Digital preservation
Page 53 and 54: 48 Migration Strategy 5. Store reco
Page 55 and 56: 50 ANNEXURE C: Schedule for electro
Page 57 and 58: 52 the system. A transfer list in w
Page 59 and 60: 54 Supportive legal documents attac
Page 61 and 62: 56 ANNEXURE D: General disposal aut
Page 63 and 64: 58 Africa, EXCLUDING records contai
Page 65: 60 4.13 Security Backup Files Elect
Page 68 and 69: 63 (e) (f) (g) annotated drafts whe
Page 70 and 71:
65 - Information in a form intended
Page 72 and 73:
67 3. Deterioration of magnetic med
Page 74 and 75:
69 Floppy disks and diskettes shoul
Page 76 and 77:
71 signal which can be read using a
Page 78 and 79:
73 in optical disks. WORM and rewri
Page 80 and 81:
75 Insects and rodents once attract
Page 83 and 84:
78 ANNEXURE I: Glossary Act The Nat
Page 85 and 86:
80 Electronic records Any informati
Page 87 and 88:
82 microfilm or electronic media).
Page 89 and 90:
84 Transmission data Information in
Page 91 and 92:
86 ANNEXURE J: Bibliography Aeon Ar
Page 93 and 94:
88 Kronauer, C.: Special Report SAN
Page 95:
90 Vasudeva, A.: Special Report SAN
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