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
chapkenmat@gmail.com
Blog:
http://concerningelectronicrecordmanagement.blogspot.com
Twitter: http://twitter.com/chapkenmat