INTRODUCTION   1
Electronic Information Processing System vs. Electronic Recordskeeping System   1
Records Management Practices - General   2

KEY DEFINITIONS   3
Electronic Record   3
Electronic Records Management   4
Electronic Recordskeeping   4
Electronic Recordskeeping System (ERS)   4

ELECTRONIC RECORDSKEEPING SYSTEMS AND PROGRAM REQUIREMENTS   4
The Records Management Program Includes the Management of Electronic Records   5
Program Elements   5
Management Responsibility   6

INFORMATION TECHNOLOGY AND RECORDSKEEPING PRINCIPLES   7
The Department of Information Technology (DOIT)   7
Understanding Information Technology   7
The Relationship of Information Technology to Records Management   7

AGENCY DIRECTIVES   8
Incorporating Electronic Records Management   8

THE RECORDS MANAGEMENT REVIEW & PLAN   9
Review and Evaluation of Requirements   9
The Records Management Plan   9

RECORDS INVENTORY   11
The Importance of the Inventory and Database Uses   11

APPRAISING RECORDS   12
Developing the Records Retention Schedule from the Appraisal Process   12
Appraising Electronic Records for Records Management Purposes Includes Identifying the Record Copy vs. Working Document or Convenience Copy   13

CREATING ELECTRONIC RECORDS   15

RECORDS SERIES GROUPS   16

ARRANGING ELECTRONIC FILES   17
Evaluate the Adequacy of the Current Classification Systems   17

STANDARD TECHNOLOGY   17

ELECTRONIC RECORDS INTEGRITY   18
Copying and Erasing Files Has a Direct Impact on Electronic Record Integrity   18

DATABASE MANAGEMENT   19
Methods Used to Arrange Records Within a Database   19
Database Management Programs Also Access Information   20
Database Design   20
Advantages and Limitations of Database Management   21
Legal Guidance   21

HARDWARE AND DATA SECURITY   22
Data Concerns   22

ENVIRONMENTAL CONSIDERATIONS   22

DISASTER PREPAREDNESS AND RECOVERY   23
Assessment of Emergency Situations   24
Disaster Recovery   24
Planned Backup of Electronic Records   25
Steps for Salvaging Damaged Records   26
Disaster Recovery Plan   26
State Records Center Disaster Services   26

CARE OF STORAGE MEDIA AND TRANSMISSION SYSTEMS   27
Migration   27
Hard Disk Maintenance   28
Diskettes   29
Magnetic Tape and Cartridges   29
Optical Disks   29
The World Wide Web & Internet   30

LEGAL ASPECTS OF ELECTRONIC RECORDS   31

ELECTRONIC RECORDS AND ELECTRONIC SIGNATURES   31
The Electronic Signature in Global and National Commerce Act and the Uniform Electronic Transaction Act   32
The Electronic Signature in Global and National Commerce Act (ESGNCA)   32
Uniform Electronic Transaction Act (UETA)   32
Electronic Records as Evidence   34
Equipment and Software Reliability   34
Preparing Printouts   35
Records Retention Schedule   35

ELECTRONIC MAIL   35
Definitions   36
Record Management Concerns   36
Retention and Scheduling Requirements   37
Guidelines and Best Practices for Managing E-Mail   37
Record Copy E-mail   37
Filing   38
Distribution Lists   38
Subject Lines   38
Storage of E-mail   39
E-mail Messages and the Rules of Evidence   39
Access   40

FINAL DISPOSITION OF RECORDS   41
Records Destruction and Services   41
Archival Preservation and Processing Requirements   42
Procedures for Purging Files   42
Responsibility for Approving Disposition   43
Disposition of Magnetic Media   44

SUMMARY - WHY ELECTRONIC RECORDSKEEPING?   45

A FINAL COMMENT   45

APPENDICES   46
APPENDIX 1 - GLOSSARY OF RECORDS MANAGEMENT TERMS   47
APPENDIX 2 - STATUTORY AND OTHER REGULATORY REQUIREMENTS AND INFORMATION RELATED TO ELECTRONIC RECORDS   59
The State Records Management Act   59
The California Public Records Act (PRA)   60
The Information Practices Act (IPA) of 1977   62
Other Public Access Laws That Could Affect the Proper Management of Electronic Records   62
APPENDIX 3 - COMMON METHODS OF COMPUTER AND DATA SECURITY THAT CAN BE EMPLOYED TO CUSTOMIZE A SECURITY SYSTEM   64
APPENDIX 4 - CHECKLIST FOR PRE-PURCHASE CONSIDERATIONS AND REVIEWS FOR ELECTRONIC RECORDSKEEPING SYSTEMS   66
APPENDIX 5 - ENVIRONMENTAL CHEKCLIST FOR ESTABLISHING AN ELECTRONIC RECORDSKEEPING SYSTEM   68
APPENDIX 6 - CARE OF DISKETTES   69
APPENDIX 7 - COMMON CAUSES OF TAPE DAMAGE AND DATA LOSS   70
APPENDIX 8 - RECORDS INVENTORY WORKSHEET, STD. FORM 70   72
APPENDIX 9 - SAMPLE RECORDS MANAGEMENT DISASTER RECOVERY PLAN   73
APPENDIX 10 - INFORMATION ON OTHER RECRODS MANAGEMENT APPLICATIONS AND THEIR APPROPRIATE USE   79
Electronic Document Imaging (EDI)   79
Computer-Assisted Retrieval (CAR)   80
Scan on Demand Document Conversion Systems   80
Enterprise Report Management (ERM)   81
Records Center Management Systems   82
APPENDIX 11 - OVERVIEW OF THE UNIFORM ELECTRONIC TRANSACTIONS (UETA) ACT   83

THE WORLD WIDE WEB   88

TIM BERNERS-LEE   88

AIMS   89

ACTIVITIES   89

APPENDIX 13 - MEDIA STANDARDS   91

 

 

Updated : 9/11/2007