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Basic Electronic Records Management


Basic Electronic Records Management The Lone Arranger s Dilemma What Is A Record? A physical entity that provides first-hand evidence or proof of a ... – PowerPoint PPT presentation

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Title: Basic Electronic Records Management

Basic Electronic Records Management
  • The Lone Arrangers Dilemma

What Is A Record?
  • A physical entity that provides first-hand
    evidence or proof of a transaction or event
  • Electronic records have no physical attributes
  • An electronic record presents only a partial view
    of a database

Electronic Records
  • Include digital images, e-mail, databases, word
    processed documents, spreadsheets, CAD, GIS, web
    pages, etc.
  • Dependent upon specific hardware and software to
    be accessed and used
  • Original technology used to create electronic
    records will eventually be obsolete
  • Need to work with information technology staff to
    develop preservation plans for retaining
    electronic records long-term (more than 10 years)

Provenance and Electronic Records
  • Maintain and understand the relationships between
    records and records creators and the
    relationships among records. Contextual
  • Contextual information includes knowing where a
    document was created, in the framework of what
    process, to what end, for whom, when and how it
    was received by the addressee, and how it came
    into our hands. (Charles Dollar).
  • Understand the business functions and activities
    underlying the information system that produced
    the records.

Provenance and Electronic Records Problems
  • Electronic records do not exist as discrete
    physical entities.
  • Contextual information is either not visible or
    not captured.
  • Information is easily moved from network to
    network, office to Office.
  • Information is easily manipulated and changed to
    new formats.

What Is Metadata?
  • Data about data.
  • Corresponds to the finding aids in traditional
  • Tracks the life cycle of a record.
  • Incorporates all contextual and records retention

Media Longevity
  • Acid-free paper 500 years
  • Acidic paper 100 years
  • Microfilm (silver/polyester base) 500 years
  • Hardware and software 10 years
  • Most computer technology will become obsolete
    before its life expectancy is met, and before the
    records dependent upon it have fulfilled their

Use and Application of Records Retention Schedules
  • Functional Analysis
  • General Schedules
  • Application of retention periods

Retention Schedules Functional Analysis
  • Appraisal of common business functions rather
    than the records themselves
  • A business function represents an area of
    standard business activity such as accounting,
    marketing, public relations, legal, and human
  • Business functions always remain the same

Special Appraisal Issues
  • Documentation that describes readibility and use
    is non-existent
  • Doubts about reliability and completeness of the
  • Cost of Preservation

Application of Retention Schedules Electronic
Recordkeeping System
  • Records Retention Module
  • Link electronic records to the module
  • Calculate destruction dates
  • Module permits a hold to be placed on records
  • Identifies candidate records for destruction
  • System oversees records for destruction
  • System maintains information on records destroyed
  • System does not permit destroyed records to be