ELECTRONIC RECORDS MANAGEMENT HANDBOOK

1 STATE AND CONSUMER SERVICES AGENCY DEPARTMENT OF GENERAL SERVICES ELECTRONIC RECORDS MANAGEMENT HANDBOOK State of California RECORDS MANAGEMENT Program ELECTRONIC RECORDS MANAGEMENT HANDBOOK State RECORDS Department of General Services State of California Published By Empowering Government with Solutions, Quality Products and Services California RECORDS & Information MANAGEMENT Sacramento, California February 2002 Supersedes previous edition dated August 1995 PREFACE The California Department of General Services (DGS), State RECORDS , California RECORDS and Information MANAGEMENT (CalRIM) is responsible for guidance of the State of California RECORDS MANAGEMENT Program. The common goal is to ensure that state agencies acquire, manage, and use information resources economically and efficiently.

2 The ELECTRONIC RECORDS MANAGEMENT HANDBOOK is one of a series of initiatives on RECORDS and information MANAGEMENT . This HANDBOOK is part of CalRIM s continuing effort to help state agencies improve their office systems and procedures. The purpose of this ELECTRONIC RECORDS MANAGEMENT HANDBOOK is to provide guidance for managing ELECTRONIC RECORDS and ELECTRONIC recordskeeping systems for California State government to meet current and emerging record MANAGEMENT responsibilities and the many challenges of e-government. It is not a regulation or manual, but focuses on methods and procedures, not equipment. The principles and techniques included, if followed, should increase ELECTRONIC recordskeeping efficiency, effectiveness, and economy.

3 CalRIM revised this HANDBOOK by employing the RECORDS MANAGEMENT Consulting Services provided by the DGS Procurement Division Master Services Agreement (MSA) Program, with additional information compiled by the CalRIM staff. The Secretary of State, State Archives staff and volunteer state agency members that comprised the RECORDS MANAGEMENT Customer Council also contributed. Information was also obtained from the Texas State Library, RECORDS MANAGEMENT Division and the State of Oklahoma on Basic Guidelines for Disaster Planning. This HANDBOOK is based on Federal guidelines developed by the U. S. General Services Administration, Information Resources MANAGEMENT Service (IRMS). IRMS is responsible for developing government-wide policies and guidance for automatic data processing, RECORDS and telecommunications.

4 Please feel free to contact CalRIM (916) 375-4398 with any questions you may have concerning information in this HANDBOOK . iiELECTRONIC RECORDS MANAGEMENT TABLE OF CONTENTS ELECTRONIC INFORMATION PROCESSING SYSTEM VERSUS ELECTRONIC RECORDSKEEPING RECORDS MANAGEMENT PRACTICES - KEY ELECTRONIC ELECTRONIC RECORDS ELECTRONIC ELECTRONIC RECORDSKEEPING SYSTEM (ERS)..4 ELECTRONIC RECORDSKEEPING SYSTEMS AND PROGRAM THE RECORDS MANAGEMENT PROGRAM INCLUDES THE MANAGEMENT OF ELECTRONIC PROGRAM MANAGEMENT INFORMATION TECHNOLOGY AND RECORDSKEEPING THE DEPARTMENT OF INFORMATION TECHNOLOGY (DOIT)..7 UNDERSTANDING INFORMATION THE RELATIONSHIP OF INFORMATION TECHNOLOGY TO RECORDS AGENCY INCORPORATING ELECTRONIC RECORDS THE RECORDS MANAGEMENT REVIEW & REVIEW AND EVALUATION OF THE RECORDS MANAGEMENT DOCUMENTATION OF EXISTING ELECTRONIC RECORDS RECORDS THE IMPORTANCE OF THE INVENTORY AND DATABASE APPRAISING DEVELOPING THE RECORDS RETENTION SCHEDULE FROM THE APPRAISAL APPRAISING ELECTRONIC RECORDS FOR RECORDS MANAGEMENT PURPOSES INCLUDES IDENTIFYING THE record COPY VERSUS WORKING DOCUMENT OR CONVENIENCE APPROVAL OF THE RECORDS RETENTION creating ELECTRONIC ORGANIZING COMPUTER RECORDS SERIES ARRANGING ELECTRONIC iiiEVALUATE THE ADEQUACY OF THE CURRENT CLASSIFICATION STANDARD ELECTRONIC RECORDS

5 COPYING AND ERASING FILES HAS A DIRECT IMPACT ON ELECTRONIC record DATABASE METHODS USED TO ARRANGE RECORDS WITHIN A DATABASE MANAGEMENT PROGRAMS ALSO ACCESS DATABASE ADVANTAGES AND LIMITATIONS OF DATABASE LEGAL HARDWARE AND DATA DATA ENVIRONMENTAL DISASTER PREPAREDNESS AND ASSESSMENT OF EMERGENCY DISASTER PLANNED BACKUP OF ELECTRONIC STEPS FOR SALVAGING DAMAGED DISASTER RECOVERY STATE RECORDS CENTER DISASTER CARE OF STORAGE MEDIA AND TRANSMISSION HARD DISK MAGNETIC TAPE AND OPTICAL THE WORLD WIDE WEB & LEGAL ASPECTS OF ELECTRONIC ELECTRONIC RECORDS AND ELECTRONIC THE ELECTRONIC SIGNATURE IN GLOBAL AND NATIONAL COMMERCE ACT AND THE UNIFORM ELECTRONIC TRANSACTION THE ELECTRONIC SIGNATURE IN GLOBAL AND NATIONAL COMMERCE ACT (ESGNCA).

6 34 UNIFORM ELECTRONIC TRANSACTION ACT (UETA)..34 ELECTRONIC RECORDS AS EQUIPMENT AND SOFTWARE PREPARING RECORDS RETENTION ELECTRONIC record MANAGEMENT RETENTION AND SCHEDULING GUIDELINES AND BEST PRACTICES FOR MANAGING record Copy Distribution Subject Storage of E-mail Messages and the Rules of FINAL DISPOSITION OF RECORDS DESTRUCTION AND ARCHIVAL PRESERVATION AND PROCESSING PROCEDURES FOR PURGING RESPONSIBILITY FOR APPROVING DISPOSITION OF MAGNETIC SUMMARY - WHY ELECTRONIC RECORDSKEEPING?..47 A FINAL APPENDIX 1 - GLOSSARY OF RECORDS MANAGEMENT APPENDIX 2 - STATUTORY AND OTHER REGULATORY REQUIREMENTS AND INFORMATON RELATED TO ELECTRONIC The State RECORDS MANAGEMENT The California Public RECORDS Act (PRA).

7 62 The Information Practices Act (IPA) of Other Public Access Laws That Could Affect the Proper MANAGEMENT of ELECTRONIC APPENDIX 3 - COMMON METHODS OF COMPUTER AND DATA SECURITY THAT CAN BE EMPLOYED TO CUSTOMIZE A SECURITY SYSTEM:..66 APPENDIX 4 - CHECKLIST FOR PRE-PURCHASE CONSIDERATIONS AND REVIEWS FOR ELECTRONIC RECORSDKEEPING APPENDIX 5 - ENVIRONMENTAL CHECKLIST FOR ESTABLISHING AN ELECTRONIC RECORDSKEEPING APPENDIX 6 - CARE OF APPENDIX 7 - COMMON CAUSES OF TAPE DAMAGE AND DATA APPENDIX 8 - RECORDS INVENTORY WORKSHEET, STD. FORM APPENDIX 9 SAMPLE RECORDS MANAGEMENT DISASTER RECOVERY APPENDIX 9 SAMPLE RECORDS MANAGEMENT DISASTER RECOVERY APPENDIX 10 - INFORMATION ON OTHER RECORDS MANAGEMENT APPLICATONS AND THEIR APPROPRIATE ELECTRONIC Document Imaging (EDI).

8 81 Computer-Assisted Retrieval (CAR)..82 Scan on Demand Document Conversion Enterprise Report MANAGEMENT (ERM)..83 RECORDS Center MANAGEMENT APPENDIX 11 - OVERVIEW OF THE UNIFORM ELECTRONIC TRANSACTIONS (UETA) THE WORLD WIDE TIM APPENDIX 13 - MEDIA v 1 INTRODUCTION ELECTRONIC technology has greatly expanded the methods of creating , editing, maintaining, transmitting and retrieving information. Much of this ELECTRONIC information is a record because it is used in state agencies to make decisions or affects citizens; therefore, it must be managed as a record . Though ELECTRONIC information processing systems contain very important information, they do not perform ELECTRONIC recordskeeping functions. ELECTRONIC recordskeeping systems provide the functionality needed to enable California State government agencies and their RECORDS managers to adhere to certain standards and guidelines established by California statutes and regulations ( , the State RECORDS MANAGEMENT Act under Sections 14740-14774 of the California Government Code; the State Administrative Manual, Chapter 1600, RECORDS MANAGEMENT ; and the Specifications for ELECTRONIC RECORDS MANAGEMENT Software ).

9 That functionality, discussed in detail in the section on ELECTRONIC Recordskeeping, is based upon the need to effectively manage and control the record lifecycle and all documents constituting the record , regardless of format. Further, controlling the lifecycle of RECORDS requires knowledge of the retention assigned to the record or its components. RECORDS may now be found on a variety of media from creation to final disposition, making the task of properly accounting for the official record increasingly complicated. Therefore any approach to the MANAGEMENT of RECORDS must incorporate accepted standards of functionality to adequately preserve the official record as certifiably authentic. The issue involving the authenticity of ELECTRONIC RECORDS has, through the eighties and nineties, primarily revolved around the capability of the media to restrict changes in the original document.

10 Now in the 21st Century, this has been greatly expanded to the more proper question concerning the document attributes and the overall system integrity to preserve and validate the record as authentic. ELECTRONIC Information Processing System versus ELECTRONIC Recordskeeping System It is important to distinguish the difference between an ELECTRONIC information processing system and an ELECTRONIC recordskeeping system. An example of an ELECTRONIC information processing system would be an e-mail messaging system, whereas an ELECTRONIC recordskeeping system is designed to not only manage e-mail reception, creation, identification, storage, accessibility, and integrity of the e-mail as RECORDS , but also the disposition of that e-mail through an electronically integrated RECORDS retention schedule.