Proactively Managing Electronic Records In a Federal Environment <ul><li>Ken Matthews </li></ul>
Part 4: Electronic Records Overview <ul><li>Introduction and Definitions </li></ul><ul><li>Creating Electronic Records </l...
Introduction and Definitions <ul><li>Definition of Electronic Records </li></ul><ul><li>Types of Electronic Records </li><...
What Are Electronic Records? <ul><li>....data in any form that can be read and processed by a computer and that satisfy th...
Types of Electronic Records <ul><li>Word processing documents </li></ul><ul><li>Electronic Mail Messages </li></ul><ul><li...
Examples Of Electronic Information Systems <ul><ul><li>Payroll Data System </li></ul></ul><ul><ul><li>Knowledge Management...
Developing & Implementing Electronic Records <ul><li>Agency is encouraged to develop Technological applications (such as e...
Creating Electronic Records Overview  <ul><li>Scheduling Electronic Records </li></ul><ul><li>Selecting the Media  </li></ul>
Scheduling Electronic Records   <ul><li>Before  designing or developing  any new electronic records management solutions, ...
Selection of Media  <ul><li>Consult with your Records Management staff before selecting media to preserve electronic recor...
Maintaining and Using Electronic Records - Overview <ul><li>Office Automation Applications </li></ul><ul><li>Managing Elec...
Office Automation  Applications  <ul><li>If agency office automation applications currently do not meet records management...
Managing Electronic Records in Office Automation Applications   <ul><li>Coordinate - successful management of electronic r...
Managing Electronic Records in Office Automation Applications (continued) <ul><li>Use CD’s as a electronic filing cabinets...
<ul><li>System owners and users are responsible for maintaining or using the electronic information systems,  data base ma...
Electronic Mail Requirements <ul><li>Before deleting email, authors should determine whether the email meets the legal def...
Electronic Mail Requirements (continued) <ul><li>Receipt data must include information regarding date and time of receipt ...
Retiring and Disposing of Electronic Records - Overview <ul><li>Retiring and Disposing of electronic records </li></ul><ul...
Retiring and Disposing of Electronic Records <ul><li>Transfer a copy of the electronic record and any related documentatio...
Retiring and Disposing of Electronic Records  (continued)   <ul><li>Electronic Records shall be disposed of in accordance ...
<ul><li>Shredding </li></ul><ul><li>Defacing Of Hard Drives </li></ul><ul><li>Consult NARA For Guidance </li></ul>
Authorities for Electronic Records Management  <ul><li>General Records Schedule 20 </li></ul><ul><li>See NARA Electronic R...
Ken Matthews [email_address] Blog:  http://concerningelectronicrecordmanagement.blogspot.com Twitter:  http://twitter.com/...
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Proactively Managing Electronic Records In A Federal Environment

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A simple presentation encouraging immediate action in the stewardship of electronic records.

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  • Proactively Managing Electronic Records In A Federal Environment

    1. 1. Proactively Managing Electronic Records In a Federal Environment <ul><li>Ken Matthews </li></ul>
    2. 2. Part 4: Electronic Records Overview <ul><li>Introduction and Definitions </li></ul><ul><li>Creating Electronic Records </li></ul><ul><li>Maintaining and Using Electronic Records </li></ul><ul><li>Retiring and Disposing of Electronic Records </li></ul>
    3. 3. Introduction and Definitions <ul><li>Definition of Electronic Records </li></ul><ul><li>Types of Electronic Records </li></ul><ul><li>Developing & Implementing Electronic Records </li></ul>
    4. 4. What Are Electronic Records? <ul><li>....data in any form that can be read and processed by a computer and that satisfy the legal definition of a record </li></ul><ul><li>… . National Archives & Records Administration </li></ul>
    5. 5. Types of Electronic Records <ul><li>Word processing documents </li></ul><ul><li>Electronic Mail Messages </li></ul><ul><li>Electronic Freedom of Information Act </li></ul><ul><li>Electronic Data Interchanges </li></ul><ul><li>Numerical and Textual spreadsheets </li></ul><ul><li>Data files or Database Systems </li></ul><ul><li>Web applications </li></ul><ul><li>Text messages </li></ul><ul><li>Electronic files...................and more...... </li></ul>
    6. 6. Examples Of Electronic Information Systems <ul><ul><li>Payroll Data System </li></ul></ul><ul><ul><li>Knowledge Management System </li></ul></ul><ul><ul><li>Economic & Social Data Base </li></ul></ul><ul><ul><li>Financial Management System </li></ul></ul>
    7. 7. Developing & Implementing Electronic Records <ul><li>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 </li></ul><ul><li>Systems containing such electronic records must be designed so that adequate maintenance and disposition procedures are in place from the outset </li></ul>
    8. 8. Creating Electronic Records Overview <ul><li>Scheduling Electronic Records </li></ul><ul><li>Selecting the Media </li></ul>
    9. 9. Scheduling Electronic Records <ul><li>Before designing or developing any new electronic records management solutions, Agency’s should prioritize the scheduling of Electronic Records with NARA </li></ul><ul><li>Submit system and technical documentation to the Records Management Staff </li></ul><ul><li>Coordinate with Records Management Suggested disposition for your system </li></ul>
    10. 10. Selection of Media <ul><li>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 </li></ul><ul><li>CD-ROM is the preferred media to be used to store the records. </li></ul>
    11. 11. Maintaining and Using Electronic Records - Overview <ul><li>Office Automation Applications </li></ul><ul><li>Managing Electronic Records in Office Automation Applications </li></ul><ul><li>System owners (or system managers) and end-users Responsibilities </li></ul><ul><li>Special Requirements for Email Records </li></ul>
    12. 12. Office Automation Applications <ul><li>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 </li></ul><ul><li>In lieu of an electronic records application print records to hard copy and file them in the paper recordkeeping system </li></ul>
    13. 13. Managing Electronic Records in Office Automation Applications <ul><li>Coordinate - successful management of electronic records requires the participation of all employees </li></ul><ul><li>File management - Establish a directory, subdirectory and common file naming conventions on the LAN network public directory </li></ul><ul><li>Technical Support. - Coordinate with your System Administrator </li></ul>
    14. 14. Managing Electronic Records in Office Automation Applications (continued) <ul><li>Use CD’s as a electronic filing cabinets to store electronic records of those being prepared for transition </li></ul><ul><li>Maintain consistent filing schemes on personnel computer </li></ul><ul><li>Be aware of business processes </li></ul><ul><li>Be aware of audit requirements </li></ul><ul><li>Be aware of eDiscovery implications </li></ul>
    15. 15. <ul><li>System owners and users are responsible for maintaining or using the electronic information systems, data base management system or other systems </li></ul><ul><li>System owners and end-users shall use and comply with technical documentation to maintain and use information systems </li></ul>
    16. 16. Electronic Mail Requirements <ul><li>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 </li></ul><ul><li>Transmission data must include information regarding the identities of sender, addressee(s), date & time messages were sent </li></ul>
    17. 17. Electronic Mail Requirements (continued) <ul><li>Receipt data must include information regarding date and time of receipt of a message, and/or acknowledgement of receipt or access by addressee(s) </li></ul><ul><li>If transmission and receipt data are not printed, the hard copies must be annotated as necessary to include the data </li></ul>
    18. 18. Retiring and Disposing of Electronic Records - Overview <ul><li>Retiring and Disposing of electronic records </li></ul><ul><li>Authorities for Electronic Records Management Program </li></ul>
    19. 19. Retiring and Disposing of Electronic Records <ul><li>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 </li></ul><ul><li>Most common transfer media for electronic records is CD </li></ul>
    20. 20. Retiring and Disposing of Electronic Records (continued) <ul><li>Electronic Records shall be disposed of in accordance with the Records Disposition Schedule approved by NARA </li></ul><ul><li>Unscheduled electronic records are considered permanent until a disposition schedule for electronic records has been approved by NARA </li></ul>
    21. 21. <ul><li>Shredding </li></ul><ul><li>Defacing Of Hard Drives </li></ul><ul><li>Consult NARA For Guidance </li></ul>
    22. 22. Authorities for Electronic Records Management <ul><li>General Records Schedule 20 </li></ul><ul><li>See NARA Electronic Records Website </li></ul><ul><li>The Federal Information Resources Management Regulations (FIRMR), (41 CFR) 201-45 </li></ul>
    23. 23. Ken Matthews [email_address] Blog: http://concerningelectronicrecordmanagement.blogspot.com Twitter: http://twitter.com/chapkenmat

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