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The purpose of this presentation is to provide guidance on the laws and regulations that govern TRICARE Management Activity (TMA) records. This presentation will also provide specific examples of policies and procedures that are both protective and compliant when handling TMA records.
Management & staff support for custodians is needed
Records destruction freezes
Records need to be retired at Federal Records Center (FRC)
Filing is not according to Administrative Instruction 15 (AI-15)
Records Management This Agency Let Their Records Storage Policy Go Down the Toilet
Records Management Cheney Defiant on Classified Material Executive Order Ignored Since 2003
Cheney aides have not filed reports on their possession of classified data and at one point blocked an inspection of their office
In 2004, the Archives' Information Security Oversight Office, decided to conduct an on-site inspection of Cheney's office to see how sensitive material was handled. The Vice President's staff blocked the inspection
Cheney's office argued that it was exempt from the rules in this case because it is not strictly an executive agency
The Justice Department confirmed that it is looking into the issue
By Peter Baker – Washingtonpost.com - Updated: 9:38 p.m. MT June 21, 2007
In May of 2005, Morgan Stanley was ordered to pay $1.45 billion in a civil lawsuit, due in large part to failure to properly produce electronic documents. The Judge ruled that Morgan Stanley had committed "willful and gross abuse of its discovery obligations" and reversed the standard burden of proof, requiring Morgan Stanley to prove that it had not committed the infractions of which it was accused of instead of requiring the plaintiff to prove that it had deleted thousands of e-records
Records Management Court Cases Involving E-mail (1 of 2)
Former star investment banker, Frank Quattrone, was convicted of obstructing federal investigations into stock offerings at Credit Suisse First Boston. Central to the case was an e-mail Quattrone forwarded telling employees it was "time to clean up those files" after he learned of the investigation
More than 500 of former West Virginia Gov. Bob Wise's intimate e-mails with a state employee were obtained under the Freedom of Information Act and made public in 2003. The employee's husband filed for divorce and Wise didn't seek re-election in 2004
Records Management Court Cases Involving E-mail (2 of 2)
In a Massachusetts class-action suit over the dangers of the diet drug combination Phen-Fen, the court allowed this e-mail from a company executive to be admitted: "Do I have to look forward to spending my waning years writing checks to fat people worried about a silly lung problem?"
Chevron settled a lawsuit for $2.2 million that involved an interoffice e-mail giving 25 reasons why beer is better than women
Records management is a staff function, not "office services." It cuts across organizational lines
Information should be treated as a resource, the same as personnel, facilities, and money
Manage records through their "life cycle“
Paperwork and electronic processes , not just “media”, need to be managed
A records management program should be continuous , not a one-time action
Records management should never become an administrative "burden"
Records Management First, What is a Record? “ Records include all books, papers, maps, photographs, machine readable materials, or other documentary materials, made or received by an agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of Government or because of the informational value of data in them.” 44 U.S.C. Sec. 3301 In other words, any information in any media created or received while fulfilling the duties of your position, or conducting official business, except reference materials Regardless of physical form or characteristics,
Meta Data used to retrieve / search and completes the context of electronic record
Records Management What is an Electronic Record? (1 of 2) Electronic records include data files and databases, machine readable indices, word processing files, E-mails, instant messages, digitized versions of hard copy records and much, much more
“ Much of the information of the late 20th century and 21st century will be lost if we don’t do something about solving the problems of saving electronic information over time. The truth is that vital digital materials are being lost every day, and the cost of those losses is unknown and unknowable.” - Reynolds Cahoon, Assistant Archivist and Chief Information Officer at NARA. August 9, 2004 Federal Times Records Management Challenges of Electronic Records
What is the agency E-mail policy: keeping copies electronically or in paper files?
How does the agency capture the whole E-mail record—the transmission data as well as the content of the message?
Records Management TMA and the DoD E-mail Policy (1 of 2)
Memo Re-issued May 22, 2005
Subject: Electronic Mail Records and Electronic Mail Retention Policies for the DoD, by Linton Wells II, Acting Assistant Secretary of Defense Networks and Information Integration and DoD Chief Information Officer
Print and File
Currently, TMA’s policy is to print record E-mail messages and file them in the appropriate case or subject folder
Determine whether it meets the legal definition of a record
Should contain essential transmission, receipt data, and attachments (metadata)
When E-mail is retained as a record, the periods of its retention are governed by records retention schedules
Delete non-record E-mail (short term records that have a retention of 180 days or less)
Note: Messages from PDA’s are treated the same as E-mail Records Management Points to Remember about E-mail Records
Records Management The Information and System Lifecycle
When would you
Phase 1 Initiation Phase 2 Acquisition/ Development Phase 3 Implementation Phase 4 Operations/ Maintenance Phase 5 Disposition Creation/Receipt of Records Active use of office records Records Management Inactive use: Federal Records Center
Records Management Lifecycle - Electronic Records Creation or Creation or Receipt Receipt ‘ On - line ” Storage ‘ On - line ” Storage Inactive “ Near Line ” Inactive “ Near Line ” Inactive “ - ” Inactive “ - ” Inactive in Records Center Disposition Disposition Creation or Creation or Receipt Receipt ‘ On - line ” Storage ‘ On - line ” Storage Disposition Disposition Inactive “ Off-Line” Permanent: 2 - 5% Temporary: 95 - 98% Inactive “ Near-line” Capture Active Use & Distribution Migration Transfer Archives Destruction Inactive: in records center
Records that could (and should) have been destroyed prior to the freeze must now be retained!
If you did not follow your records schedule and you still have the records on hand you cannot destroy them until all issues have been resolved
Backup tapes and discs are for Disaster Recovery, Not recordkeeping Records Management Backup Tapes and Recordkeeping Because they do not have the features specified in 36 CFR 1234.24, paragraph (c), backup tapes should NOT be used for recordkeeping purposes
Records Management Transfer to Federal Records Centers It’s in your interest! It’s in the public’s interest
TMA offices and contractors transfer their inactive records to NARA for proper storage Records Management Transfer
Records Management Storage and Handling of Electronic Media