Proactively Managing Electronic Records In A Federal Environment

Proactively Managing Electronic Records In a Federal Environment
Ken Matthews

Part 4: Electronic Records Overview
Introduction and Definitions
Creating Electronic Records
Maintaining and Using Electronic Records
Retiring and Disposing of Electronic Records

Introduction and Definitions
Definition of Electronic Records
Types of Electronic Records
Developing & Implementing Electronic Records

What Are Electronic Records?
....data in any form that can be read and processed by a computer and that satisfy the legal definition of a record
… . National Archives & Records Administration

Types of Electronic Records
Word processing documents
Electronic Mail Messages
Electronic Freedom of Information Act
Electronic Data Interchanges
Numerical and Textual spreadsheets
Data files or Database Systems
Web applications
Text messages
Electronic files...................and more......

Examples Of Electronic Information Systems
Payroll Data System
Knowledge Management System
Economic & Social Data Base
Financial Management System

Developing & Implementing Electronic Records
Agency is encouraged to develop Technological applications (such as electronic document filing, data base applications, etc.) to improve the management of Agency records or to support the functions of offices
Systems containing such electronic records must be designed so that adequate maintenance and disposition procedures are in place from the outset

Creating Electronic Records Overview
Scheduling Electronic Records
Selecting the Media

Scheduling Electronic Records
Before designing or developing any new electronic records management solutions, Agency’s should prioritize the scheduling of Electronic Records with NARA
Submit system and technical documentation to the Records Management Staff
Coordinate with Records Management Suggested disposition for your system

Selection of Media
Consult with your Records Management staff before selecting media to preserve electronic records. Certain requirements must be met prior to transferring permanent records to NARA
CD-ROM is the preferred media to be used to store the records.

Maintaining and Using Electronic Records - Overview
Office Automation Applications
Managing Electronic Records in Office Automation Applications
System owners (or system managers) and end-users Responsibilities
Special Requirements for Email Records

Office Automation Applications
If agency office automation applications currently do not meet records management requirements. Implement Strategies to manage electronic documents for administrative purposes and to track revisions
In lieu of an electronic records application print records to hard copy and file them in the paper recordkeeping system

Managing Electronic Records in Office Automation Applications
Coordinate - successful management of electronic records requires the participation of all employees
File management - Establish a directory, subdirectory and common file naming conventions on the LAN network public directory
Technical Support. - Coordinate with your System Administrator

Managing Electronic Records in Office Automation Applications (continued)
Use CD’s as a electronic filing cabinets to store electronic records of those being prepared for transition
Maintain consistent filing schemes on personnel computer
Be aware of business processes
Be aware of audit requirements
Be aware of eDiscovery implications

System owners and users are responsible for maintaining or using the electronic information systems, data base management system or other systems
System owners and end-users shall use and comply with technical documentation to maintain and use information systems

Electronic Mail Requirements
Before deleting email, authors should determine whether the email meets the legal definition of a record, and if so preserve a copy of the message
Transmission data must include information regarding the identities of sender, addressee(s), date & time messages were sent

Electronic Mail Requirements (continued)
Receipt data must include information regarding date and time of receipt of a message, and/or acknowledgement of receipt or access by addressee(s)
If transmission and receipt data are not printed, the hard copies must be annotated as necessary to include the data

Retiring and Disposing of Electronic Records - Overview
Retiring and Disposing of electronic records
Authorities for Electronic Records Management Program

Retiring and Disposing of Electronic Records
Transfer a copy of the electronic record and any related documentation and indexes to the National Archives at the time specified on the Records Disposition Schedule
Most common transfer media for electronic records is CD

Retiring and Disposing of Electronic Records (continued)
Electronic Records shall be disposed of in accordance with the Records Disposition Schedule approved by NARA
Unscheduled electronic records are considered permanent until a disposition schedule for electronic records has been approved by NARA

Shredding
Defacing Of Hard Drives
Consult NARA For Guidance

Authorities for Electronic Records Management
General Records Schedule 20
See NARA Electronic Records Website
The Federal Information Resources Management Regulations (FIRMR), (41 CFR) 201-45

Ken Matthews [email_address] Blog: http://concerningelectronicrecordmanagement.blogspot.com Twitter: http://twitter.com/chapkenmat

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Proactively Managing Electronic Records In A Federal Environment

by Ken Matthews

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