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Transcript of Pro Actively Managing Electronic Records in a Federal Environment
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Proactively
Managing ElectronicRecords In aFederalEnvironment
Ken Matthews
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Part 4: Electronic Records
OverviewIntroduction and DefinitionsCreating Electronic Records
Maintaining and Using Electronic RecordsRetiring and Disposing of ElectronicRecords
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Introduction and
DefinitionsDefinition of Electronic Records Types of Electronic Records
Developing & Implementing ElectronicRecords
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What Are Electronic
Records?....data in any form that can be read andprocessed by a computer and that satisfy thelegal definition of a record
.National Archives & Records Administration
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Records
Word processing documentsElectronic Mail MessagesElectronic Freedom of Information ActElectronic Data InterchangesNumerical and Textual spreadsheetsData files or Database SystemsWeb applications
Text messagesElectronic files...................and more......
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Examples Of Electronic
Information SystemsPayroll Data SystemKnowledge Management System
Economic & Social Data BaseFinancial Management System
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Developing & Implementing
Electronic RecordsAgency is encouraged to develop
Technological applications (such aselectronic document filing, data baseapplications, etc.) to improve themanagement of Agency records or tosupport the functions of offices
Systems containing such electronicrecords must be designed so thatadequate maintenance and dispositionprocedures are in place from the outset
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Creating Electronic Records
OverviewScheduling Electronic RecordsSelecting the Media
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Scheduling Electronic Records Before designing or developing any newelectronic records management solutions,
Agencys should prioritize the scheduling of Electronic Records with NARASubmit system and technical documentationto the Records Management Staff
Coordinate with Records ManagementSuggested disposition for your system
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Selection of MediaConsult with your Records Managementstaff before selecting media to preserve
electronic records. Certain requirementsmust be met prior to transferringpermanent records to NARACD-ROM is the preferred media to be usedto store the records.
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a n a n ng an s ngElectronic Records -
OverviewOffice Automation ApplicationsManaging Electronic Records in Office
Automation ApplicationsSystem owners (or system managers) andend-users ResponsibilitiesSpecial Requirements for Email Records
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Office Automation
ApplicationsIf agency office automation applicationscurrently do not meet records managementrequirements. Implement Strategies to manageelectronic documents for administrative purposesand to track revisionsIn lieu of an electronic records application printrecords to hard copy and file them in the paper
recordkeeping system
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Managing Electronic Records in OfficeAutomation Applications
Coordinate - successful management of electronic records requires theparticipation of all employees
File management - Establish adirectory, subdirectory and common filenaming conventions on the LAN networkpublic directory Technical Support. - Coordinate withyour System Administrator
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Managing Electronic Records in OfficeAutomation Applications(continued)
Use CDs as a electronic filing cabinetsto store electronic records of those
being prepared for transitionMaintain consistent filing schemes onpersonnel computer
Be aware of business processesBe aware of audit requirementsBe aware of eDiscovery implications
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3 System owners and users areresponsible for maintaining or usingthe electronic information systems,data base management system or other systems
3 System owners and end-users shalluse and comply with technicaldocumentation to maintain and use
information systems
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Electronic Mail
RequirementsBefore deleting email, authors shoulddetermine whether the email meets thelegal definition of a record, and if sopreserve a copy of the message Transmission data must include
information regarding the identities of sender, addressee(s), date & timemessages were sent
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Electronic MailRequirements(continued)
Receipt data must include informationregarding date and time of receipt of a
message, and/or acknowledgement of receipt or access by addressee(s)If transmission and receipt data are notprinted, the hard copies must be annotated
as necessary to include the data
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e r ng an spos ng oElectronic Records -
OverviewRetiring and Disposing of electronic recordsAuthorities for Electronic RecordsManagement Program
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Retiring and Disposing of
Electronic Records Transfer a copy of the electronic recordand any related documentation and
indexes to the National Archives at thetime specified on the RecordsDisposition ScheduleMost common transfer media forelectronic records is CD
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Retiring and Disposing of
Electronic Records (continued) Electronic Records shall be disposed of inaccordance with the Records Disposition
Schedule approved by NARAUnscheduled electronic records areconsidered permanent until a dispositionschedule for electronic records has been
approved by NARA
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ShreddingDefacing Of Hard Drives
Consult NARA ForGuidance
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Authorities for Electronic RecordsManagement
General Records Schedule 20See NARA Electronic Records
Website The Federal InformationResources ManagementRegulations (FIRMR), (41 CFR)201-45
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Blog:http://concerningelectronicrecordmanagement.blogspot.com
Twitter: http://twitter.com/chapkenmat
mailto:[email protected]://concerningelectronicrecordmanagement.blogspot.com/http://concerningelectronicrecordmanagement.blogspot.com/mailto:[email protected]
