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Practical Tools for Electronic Records Management and Preservation

Abstract

Introduction

Electronic Records Management Goals

Functional Requirements to Ensure the Creation, Maintenance, and Preservation of Electronic Records

The Records Requirements Analysis and Implementation Tool

The Records Requirements Elicitation Component

Records Requirements Implementation Component (RRIC)

General Guidelines
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Functional Requirements to Ensure the Creation, Maintenance, and Preservation of Electronic Records

2. Records Maintenance and Accessibility

Electronic records are maintained so that they are accessible and retain their integrity for as long as they are needed.

Justification: Agencies are required to retain electronic records to meet minimal legal retention requirements imposed by business process specific administrative needs and legal or regulatory requirements. Records need to be maintained so that they are reliable and authentic. In addition, they should be legally disposed of only under an authorized disposition plan. Agencies also need to ensure that records remain accessible and useable to support the primary purposes for which they were created and any predicted secondary purposes for as long as the records must be legally retained. Records designated as 'archival' must be preserved in an accessible and useable form on a continuing basis by the agency or transferred to the relevant archival authority.

  1. Maintain integrity of records as created {all related data, documents, proofs of authenticity (e.g., electronic signatures) that comprise a record of a business transaction can be accessed, displayed, and managed as a unit}.
  2. Accessible
    1. Records or part of record can be easily retrieved in normal course of all business processes in a timely manner throughout the entire retention period.
    2. Records are searchable and retrievable for reference and secondary uses including audits and legal proceedings throughout the entire retention period.
      1. Complete records can be migrated to new system.
      2. Related meta data can be migrated to new system.
      3. Functionality necessary for predicted use of records can be reproduced in new system.
        [Note: Functionality should be based on predicted use based on status of records. For inactive records, the ability to search and retrieve records may be sufficient. For records still actively engaged in a business process, full functionality may be necessary.]
    3. Copies of records can be produced and supplied in a useable format for business purposes and all public access requirements.
  3. Disposition
    1. Authorized records disposition plan can be implemented.
    2. Authorized individual validates or changes records destruction or transfer.