Proactively Managing Electronic Records In a Federal Environment

Ken Matthews

Part 4: Electronic Records OverviewIntroduction and DefinitionsCreating Electronic RecordsMaintaining and Using Electronic RecordsRetiring and Disposing of Electronic

Records

Introduction and DefinitionsDefinition of Electronic RecordsTypes of Electronic RecordsDeveloping & 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 RecordsWord processing documentsElectronic Mail MessagesElectronic Freedom of Information Act Electronic Data InterchangesNumerical and Textual spreadsheetsData files or Database SystemsWeb applicationsText messagesElectronic files...................and more......

Examples Of Electronic Information Systems

Payroll Data SystemKnowledge Management SystemEconomic & Social Data Base Financial Management System

Developing & Implementing Electronic RecordsAgency 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 RecordsOverview Scheduling Electronic RecordsSelecting 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 - OverviewOffice Automation ApplicationsManaging Electronic Records in Office

Automation ApplicationsSystem 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 processesBe aware of audit requirementsBe 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 RequirementsBefore 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 - OverviewRetiring and Disposing of electronic recordsAuthorities 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 20See NARA Electronic Records

Website The Federal Information

Resources Management Regulations (FIRMR), (41 CFR) 201-45

Ken Matthewschapkenmat@gmail.comBlog: http://concerningelectronicrecordmanagement.blogspot.com

Twitter: http://twitter.com/chapkenmat