DoD 5015.2-STD11 - A Department of Defense (DoD) and NARA approved set of minimum functional requirements for ERM applications. It specifies design criteria needed to identify, mark, store, and dispose of electronic records. It does not define how the product is to provide these capabilities. It does not define how an agency manages electronic records or how an ERM program is to be implemented.
E-FOIA - Electronic processing of Freedom of Information Act (FOIA) requests, determination of fee charges and waivers, workflow, redaction, and response.
Electronic Content Management (ECM) - the technologies used to capture, manage, store, and deliver content and documents related to organizational processes; also called Enterprise Content Management.
Electronic Document Management (EDM) - Computerized management of electronic and paper-based documents. EDM includes a system to convert paper documents to electronic form, a mechanism to capture documents from authoring tools, a database to organize the storage of documents, and a search mechanism to locate the documents.
Electronic Records Management (ERM) - Using automated techniques to manage records, regardless of format. It supports records collection, organization, categorization, storage of electronic records, metadata, and location of physical records, retrieval, use, and disposition.
Enterprise and Enterprise-wide - Implementation of a single software application suite throughout all levels and components of an agency or organization.
Metadata - A term that describes or specifies characteristics that need to be known about data in order to build information resources such as electronic recordkeeping systems and support records creators and users.
Records Management Application (RMA) - A software application to manage records. Its primary management functions are categorizing and locating records and identifying records that are due for disposition. RMA software also stores, retrieves, and disposes of the electronic records that are maintained in its depository. DoD5015.2-STD requires that RMAs be able to manage records regardless of their media.
Thursday, December 31, 2009
Wednesday, December 30, 2009
The Scheduling Of Information Systems 2
Check out this SlideShare Presentation which I posted on slideshare.
The Scheduling Of Information Systems 2
View more presentations from Ken Matthews.
Management Of Information Systems, Part I
Check out this SlideShare Presentation which I posted on slideshare.
Management Of Information Systems, Part I
View more presentations from Ken Matthews.
Monday, December 28, 2009
Saturday, December 26, 2009
Wednesday, December 23, 2009
Structured Approach To Implementing Information And Records Management (Idrm) Systems
Check out this SlideShare Presentation:
Monday, December 21, 2009
Embedding Electronic Records into Fabric of your Agency
http://www.docstoc.com/docs/document-preview.aspx?doc_id=6842300
Understanding Digital Records Management
http://www.docstoc.com/docs/document-preview.aspx?doc_id=854642
Federal Electronic Records
This is not an easy read, however it does contain good information:
FEDERAL ELECTRONIC RECORDS MANAGEMENT: WHAT IS THE PLAN? WHAT IS OUR PROGRESS? House Congressional Hearing, 108th Congr -
FEDERAL ELECTRONIC RECORDS MANAGEMENT: WHAT IS THE PLAN? WHAT IS OUR PROGRESS? House Congressional Hearing, 108th Congr -
Saturday, December 19, 2009
Friday, December 18, 2009
Finding Records Management News You Can Use
Check out this SlideShare Presentation:
Finding Records Management News You Can Use
View more documents from Robin Riat.
8 reasons you need a strategy for managing information...before it's too late
Check out this SlideShare Presentation:
Create A Presentation - Presentation Creation - Presentation Tip
Excellent series to help prepare for presentation.
Create A Presentation - Presentation Creation - Presentation Tip
Create A Presentation - Presentation Creation - Presentation Tip
Wednesday, December 16, 2009
Disposal of Records
What is a record? This the official definition of a record according to 44 U.S.C. 3301.
As used in this chapter, “records” includes all books, papers, maps, photographs, machine readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by an agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the Government or because of the informational value of data in them. Library and museum material made or acquired and preserved solely for reference or exhibition purposes, extra copies of documents preserved only for convenience of reference, and stocks of publications and of processed documents are not included.Disposal of Records
As used in this chapter, “records” includes all books, papers, maps, photographs, machine readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by an agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the Government or because of the informational value of data in them. Library and museum material made or acquired and preserved solely for reference or exhibition purposes, extra copies of documents preserved only for convenience of reference, and stocks of publications and of processed documents are not included.Disposal of Records
Tuesday, December 15, 2009
Bing Video: Records Management with Alfresco
I would like for my blog to offer something new to the Records Community everyday, so that one can visit everyday and learn something new!
Bing Video: Records Management with Alfresco
Bing Video: Records Management with Alfresco
White House settles Bush-era suit over millions of e-mail messages
I have been waiting with interest for developments in this area, as these are the kinds of events that are going to significantly shape the future of eDiscovery. I will continue to stay tuned and blog immediately as I become aware.
White House settles Bush-era suit over millions of e-mail messages
By Ben BainDec 15, 2009
The Obama administration and two private groups that sued the administration of George W. Bush over its e-mail archiving practices have reached an agreement to settle the ongoing litigation that involved millions of e-mail messages.
Obama’s Executive Office of the President (EOP) has agreed to restore a total of 94 days of missing e-mails from the Bush administration, according to Citizens for Responsibility and Ethics (CREW) in Washington and George Washington University's National Security Archive, the plaintiffs in the case. Meanwhile, the government has found, sorted and properly categorized 22 million more e-mails messages than they could find in late 2005 as result of restoration pursued during the lawsuit, the Archive said in a statement.
The agreement was announced Dec. 14.
The litigation, filed in September 2007, alleged that the Bush administration violated a federal records law by not recovering, restoring and preserving millions of electronic communications and by not establishing an electronic records management system. The groups also sued the National Archives and Records Administration, which is responsible for long-term preservation of federal and presidential records.
The messages in question span between March 2003 and October 2005. The time frame includes the invasion of Iraq, key developments in the Valerie Plame leak investigation, and the government's response to Hurricane Katrina.
CREW and the Archive said the e-mail retention problem started when Bush White House offices switched their e-mail systems from Lotus Notes to Microsoft Exchange in 2002 and didn’t put in place a new automated archiving system. Instead, Bush administration officials relied primarily on a manual process named “journaling” in which e-mail messages are manually named and saved as .pst files on White House servers. The groups say the Bush administration’s failure to put in place another automated archive system contributed to the loss of millions of e-mail messages.
As part of the settlement signed Dec. 14, the Obama administration agreed to provide to the groups by Jan. 15 a publicly releasable description of the new archiving system it has put in place to manage and preserve electronic records.
"We have been briefed on the system in use since the beginning of the Obama administration and we believe that the system now in use fixes the significant problems with the prior system, including by capturing everything, properly categorizing the e-mails, and preventing unauthorized deletion," Meredith Fuchs, the National Security Archive's general counsel, said in a statement.
The Obama administration has also committed to continue to provide the groups with information related to the e-mail controversy, according to the agreement. CREW said so far the Obama administration has produced thousands of pages of documents related to the Bush administration's e-mail problems, and the documents have been posted at www.governmentdocs.org .
White House settles Bush-era suit over millions of e-mail messages
By Ben BainDec 15, 2009
The Obama administration and two private groups that sued the administration of George W. Bush over its e-mail archiving practices have reached an agreement to settle the ongoing litigation that involved millions of e-mail messages.
Obama’s Executive Office of the President (EOP) has agreed to restore a total of 94 days of missing e-mails from the Bush administration, according to Citizens for Responsibility and Ethics (CREW) in Washington and George Washington University's National Security Archive, the plaintiffs in the case. Meanwhile, the government has found, sorted and properly categorized 22 million more e-mails messages than they could find in late 2005 as result of restoration pursued during the lawsuit, the Archive said in a statement.
The agreement was announced Dec. 14.
The litigation, filed in September 2007, alleged that the Bush administration violated a federal records law by not recovering, restoring and preserving millions of electronic communications and by not establishing an electronic records management system. The groups also sued the National Archives and Records Administration, which is responsible for long-term preservation of federal and presidential records.
The messages in question span between March 2003 and October 2005. The time frame includes the invasion of Iraq, key developments in the Valerie Plame leak investigation, and the government's response to Hurricane Katrina.
CREW and the Archive said the e-mail retention problem started when Bush White House offices switched their e-mail systems from Lotus Notes to Microsoft Exchange in 2002 and didn’t put in place a new automated archiving system. Instead, Bush administration officials relied primarily on a manual process named “journaling” in which e-mail messages are manually named and saved as .pst files on White House servers. The groups say the Bush administration’s failure to put in place another automated archive system contributed to the loss of millions of e-mail messages.
As part of the settlement signed Dec. 14, the Obama administration agreed to provide to the groups by Jan. 15 a publicly releasable description of the new archiving system it has put in place to manage and preserve electronic records.
"We have been briefed on the system in use since the beginning of the Obama administration and we believe that the system now in use fixes the significant problems with the prior system, including by capturing everything, properly categorizing the e-mails, and preventing unauthorized deletion," Meredith Fuchs, the National Security Archive's general counsel, said in a statement.
The Obama administration has also committed to continue to provide the groups with information related to the e-mail controversy, according to the agreement. CREW said so far the Obama administration has produced thousands of pages of documents related to the Bush administration's e-mail problems, and the documents have been posted at www.governmentdocs.org .
A definition of the term Boolean
I have sat in several eDiscovery events recently and have encountered the term Boolean. I have been puzzled attempting to figure out contextually what in the world they were talking about. I knew it was a search term, but I could not make any other connection. Here is some information for others who may have encountered this word resulting in similar confusion???
Boolean
DEFINITION - The term "Boolean," often encountered when doing searches on the Web (and sometimes spelled "Boolean"), refers to a system of logical thought developed by the English mathematician and computer pioneer, George Boole (1815-64). In Boolean searching, an "and" operator between two words or other values (for example, "pear AND apple") means one is searching for documents containing both of the words or values, not just one of them. An "or" operator between two words or other values (for example, "pear OR apple") means one is searching for documents containing either of the words.
In computer operation with binary values, Boolean logic can be used to describe electromagnetically charged memory locations or circuit states that are either charged (1 or true) or not charged (0 or false). The computer can use an AND gate or an OR gate operation to obtain a result that can be used for further processing. The following table shows the results from applying AND and OR operations to two compared states:
0 AND 0 = 0 1 AND 0 = 0 1 AND 1 = 1
0 OR 0 = 0 0 OR 1 = 1 1 OR 1 = 1
For a summary of logic operations in computers, see logic gate.
Boolean
DEFINITION - The term "Boolean," often encountered when doing searches on the Web (and sometimes spelled "Boolean"), refers to a system of logical thought developed by the English mathematician and computer pioneer, George Boole (1815-64). In Boolean searching, an "and" operator between two words or other values (for example, "pear AND apple") means one is searching for documents containing both of the words or values, not just one of them. An "or" operator between two words or other values (for example, "pear OR apple") means one is searching for documents containing either of the words.
In computer operation with binary values, Boolean logic can be used to describe electromagnetically charged memory locations or circuit states that are either charged (1 or true) or not charged (0 or false). The computer can use an AND gate or an OR gate operation to obtain a result that can be used for further processing. The following table shows the results from applying AND and OR operations to two compared states:
0 AND 0 = 0 1 AND 0 = 0 1 AND 1 = 1
0 OR 0 = 0 0 OR 1 = 1 1 OR 1 = 1
For a summary of logic operations in computers, see logic gate.
Electronic Records Management Initiative
Important NARA Electronic Records Initiative
Electronic Records Management Initiative
See Guidance Products issued
This page provides information on the E-Government Electronic Records Management Initiative, for which NARA is the managing partner. E-Government is part of the President's management agenda aimed at making it simpler for citizens to receive high-quality service from the Federal Government, while reducing the cost of delivering those services. The Electronic Records Management Initiative is one of 24 initiatives under E-Government. Records management is an important part of the infrastructure that will make E-Government work, and we are working closely with our partners to ensure success.
The Electronic Records Management Initiative will provide the tools that agencies will need to manage their records in electronic form, addressing specific areas of electronic records management where agencies are having major difficulties. This project will provide guidance on electronic records management applicable government-wide and will enable agencies to transfer electronic records to NARA in a variety of data types and formats so that they may be preserved for future use by the government and citizens. (from E-Government Strategy, February 27, 2002)
--------------------------------------------------------------------------------
Vision:
To effectively manage and facilitate access to agency information in order to support and accelerate decision making and ensure accountability.
--------------------------------------------------------------------------------
Goals:
To integrate e-records management concepts and practices with comprehensive information management policies, processes and objectives to assure the integrity of e-records and information.
To employ ERM to support interoperability, timely and effective decision making, and improved services to customers.
To provide the tools for agencies to access e-records for as long as required and to transfer permanent e-records to NARA for preservation and future use by government and citizens
--------------------------------------------------------------------------------
Organization and projects:
NARA is the managing partner agency for the ERM Initiative. The projects that are part of the ERM Initiative are organized into three issue areas, each with a lead partner agency:
Enterprise-wide ERM
Lead Agency: Environmental Protection Agency
Point of Contact: NARA, ERM@nara.gov
This issue area will provide tools for agencies to use as they plan and implement ERM systems
Electronic Information Management Standards
Lead Agency: Department of Defense
Point of Contact: Ronald Kelly, ronald.kelly@osd.mil
This issue area is promoting Government-wide use of the DoD 5015.2 Standard for Records Management for Federal agencies
Transfer of Permanent E-records to NARA
Lead Agency: National Archives and Records Administration
Interim Point of Contact: Mark Giguere, mark.giguere@nara.gov
This issue area will address an expansion of both the number of formats NARA can accept, and the media and techniques that can be used by Federal agencies when transferring their permanently valuable electronic records to the National Archives of the United States
Records Management Services
Lead Agency: National Archives and Records Administration
Point of Contact: Mark Giguere, mark.giguere@nara.gov
Electronic Records Management Initiative
Electronic Records Management Initiative
See Guidance Products issued
This page provides information on the E-Government Electronic Records Management Initiative, for which NARA is the managing partner. E-Government is part of the President's management agenda aimed at making it simpler for citizens to receive high-quality service from the Federal Government, while reducing the cost of delivering those services. The Electronic Records Management Initiative is one of 24 initiatives under E-Government. Records management is an important part of the infrastructure that will make E-Government work, and we are working closely with our partners to ensure success.
The Electronic Records Management Initiative will provide the tools that agencies will need to manage their records in electronic form, addressing specific areas of electronic records management where agencies are having major difficulties. This project will provide guidance on electronic records management applicable government-wide and will enable agencies to transfer electronic records to NARA in a variety of data types and formats so that they may be preserved for future use by the government and citizens. (from E-Government Strategy, February 27, 2002)
--------------------------------------------------------------------------------
Vision:
To effectively manage and facilitate access to agency information in order to support and accelerate decision making and ensure accountability.
--------------------------------------------------------------------------------
Goals:
To integrate e-records management concepts and practices with comprehensive information management policies, processes and objectives to assure the integrity of e-records and information.
To employ ERM to support interoperability, timely and effective decision making, and improved services to customers.
To provide the tools for agencies to access e-records for as long as required and to transfer permanent e-records to NARA for preservation and future use by government and citizens
--------------------------------------------------------------------------------
Organization and projects:
NARA is the managing partner agency for the ERM Initiative. The projects that are part of the ERM Initiative are organized into three issue areas, each with a lead partner agency:
Enterprise-wide ERM
Lead Agency: Environmental Protection Agency
Point of Contact: NARA, ERM@nara.gov
This issue area will provide tools for agencies to use as they plan and implement ERM systems
Electronic Information Management Standards
Lead Agency: Department of Defense
Point of Contact: Ronald Kelly, ronald.kelly@osd.mil
This issue area is promoting Government-wide use of the DoD 5015.2 Standard for Records Management for Federal agencies
Transfer of Permanent E-records to NARA
Lead Agency: National Archives and Records Administration
Interim Point of Contact: Mark Giguere, mark.giguere@nara.gov
This issue area will address an expansion of both the number of formats NARA can accept, and the media and techniques that can be used by Federal agencies when transferring their permanently valuable electronic records to the National Archives of the United States
Records Management Services
Lead Agency: National Archives and Records Administration
Point of Contact: Mark Giguere, mark.giguere@nara.gov
Electronic Records Management Initiative
Sarbanes-Oxley Act 2002
This is important information which should be familiar to all those in the Electronic Records Community:
Sarbanes-Oxley Act
- The Sarbanes-Oxley Act of 2002 (often shortened to SOX) is legislation enacted in response to the high-profile Enron and WorldCom financial scandals to protect shareholders and the general public from accounting errors and fraudulent practices in the enterprise. The act is administered by the Securities and Exchange Commission (SEC), which sets deadlines for compliance and publishes rules on requirements. Sarbanes-Oxley is not a set of business practices and does not specify how a business should store records; rather, it defines which records are to be stored and for how long.
The legislation not only affects the financial side of corporations, it also affects the IT departments whose job it is to store a corporation's electronic records. The Sarbanes-Oxley Act states that all business records, including electronic records and electronic messages, must be saved for "not less than five years." The consequences for non-compliance are fines, imprisonment, or both. IT departments are increasingly faced with the challenge of creating and maintaining a corporate records archive in a cost-effective fashion that satisfies the requirements put forth by the legislation.
FAQ: What is the impact of Sarbanes-Oxley on IT operations?
The following sections of Sarbanes-Oxley contain the three rules that affect the management of electronic records. The first rule deals with destruction, alteration, or falsification of records.
Sec. 802(a) "Whoever knowingly alters, destroys, mutilates, conceals, covers up, falsifies, or makes a false entry in any record, document, or tangible object with the intent to impede, obstruct, or influence the investigation or proper administration of any matter within the jurisdiction of any department or agency of the United States or any case filed under title 11, or in relation to or contemplation of any such matter or case, shall be fined under this title, imprisoned not more than 20 years, or both."
The second rule defines the retention period for records storage. Best practices indicate that corporations securely store all business records using the same guidelines set for public accountants.
Sec. 802(a)(1) "Any accountant who conducts an audit of an issuer of securities to which section 10A(a) of the Securities Exchange Act of 1934 (15 U.S.C 78j-1(a)) applies, shall maintain all audit or review workpapers for a period of 5 years from the end of the fiscal period in which the audit or review was concluded."
This third rule refers to the type of business records that need to be stored, including all business records and communications, including electronic communications.
Sec. 802(a)(2) "The Securities and Exchange Commission shall promulgate, within 180 days, such rules and regulations, as are reasonably necessary, relating to the retention of relevant records such as workpapers, documents that form the basis of an audit or review, memoranda, correspondence, communications, other documents, and records (including electronic records) which are created, sent, or received in connection with an audit or review and contain conclusions, opinions, analyses, or financial data relating to such an audit or review."
Sarbanes-Oxley Act
- The Sarbanes-Oxley Act of 2002 (often shortened to SOX) is legislation enacted in response to the high-profile Enron and WorldCom financial scandals to protect shareholders and the general public from accounting errors and fraudulent practices in the enterprise. The act is administered by the Securities and Exchange Commission (SEC), which sets deadlines for compliance and publishes rules on requirements. Sarbanes-Oxley is not a set of business practices and does not specify how a business should store records; rather, it defines which records are to be stored and for how long.
The legislation not only affects the financial side of corporations, it also affects the IT departments whose job it is to store a corporation's electronic records. The Sarbanes-Oxley Act states that all business records, including electronic records and electronic messages, must be saved for "not less than five years." The consequences for non-compliance are fines, imprisonment, or both. IT departments are increasingly faced with the challenge of creating and maintaining a corporate records archive in a cost-effective fashion that satisfies the requirements put forth by the legislation.
FAQ: What is the impact of Sarbanes-Oxley on IT operations?
The following sections of Sarbanes-Oxley contain the three rules that affect the management of electronic records. The first rule deals with destruction, alteration, or falsification of records.
Sec. 802(a) "Whoever knowingly alters, destroys, mutilates, conceals, covers up, falsifies, or makes a false entry in any record, document, or tangible object with the intent to impede, obstruct, or influence the investigation or proper administration of any matter within the jurisdiction of any department or agency of the United States or any case filed under title 11, or in relation to or contemplation of any such matter or case, shall be fined under this title, imprisoned not more than 20 years, or both."
The second rule defines the retention period for records storage. Best practices indicate that corporations securely store all business records using the same guidelines set for public accountants.
Sec. 802(a)(1) "Any accountant who conducts an audit of an issuer of securities to which section 10A(a) of the Securities Exchange Act of 1934 (15 U.S.C 78j-1(a)) applies, shall maintain all audit or review workpapers for a period of 5 years from the end of the fiscal period in which the audit or review was concluded."
This third rule refers to the type of business records that need to be stored, including all business records and communications, including electronic communications.
Sec. 802(a)(2) "The Securities and Exchange Commission shall promulgate, within 180 days, such rules and regulations, as are reasonably necessary, relating to the retention of relevant records such as workpapers, documents that form the basis of an audit or review, memoranda, correspondence, communications, other documents, and records (including electronic records) which are created, sent, or received in connection with an audit or review and contain conclusions, opinions, analyses, or financial data relating to such an audit or review."
Monday, December 14, 2009
Records management - encyclopedia article about Records management.
We said that we would look at ISO Regs in regards to Records Management. Here are some notes taken from online encyclopedia:
Records management - encyclopedia article about Records management.: "ISO 15489:2001 states that records management includes:
setting policies and standards;
assigning responsibilities and authorities;
establishing and promulgating procedures and guidelines;
providing a range of services relating to the management and use of records;
designing, implementing and administering specialized systems for managing records; and
integrating records management into business systems and processes"
Records management - encyclopedia article about Records management.: "ISO 15489:2001 states that records management includes:
setting policies and standards;
assigning responsibilities and authorities;
establishing and promulgating procedures and guidelines;
providing a range of services relating to the management and use of records;
designing, implementing and administering specialized systems for managing records; and
integrating records management into business systems and processes"
Records management - encyclopedia article about Records management.
This page provides a wealth of information that I find very helpful as write various articles and prepare presentations.
Records management - encyclopedia article about Records management.
Records management - encyclopedia article about Records management.
Sunday, December 13, 2009
5 Benefits of ERM Technology
A very good eRecord presentation emphasizing the importance of an Electronic Records Management application/solution.
Saturday, December 12, 2009
Thursday, December 10, 2009
Doculabs E-Discovery ROI Calculator
I like these eDiscovery metrics and I think the message is very clear. Must see video for those in the field of eDiscovery and eRecords Management.
Management of Electronic Records
A Feasible Solution for the Management of Electronic Records within a Federal Government Environment
The outline:
First the Basics
1. What is a Federal Record?
2. What is the difference between a Record and a Document?
3. What is Records management?
4. Why should be Federal Records be managed?
5. Who is responsible for the management of Federal Records
Fundamentals of Electronic Records
1. What is an Electronic Record?
2. Why focus on Electronic Records?
3. Who is Managing Electronic Records?
4. What are the Consequences for not managing Electronic Record?
5. What are some of the Laws governing Electronic Records Management?
Finding Electronic Records
1. Where are Electronic Records
2. Who is producing Electronic Records
3. When does an Electronic form of information become an Electronic Record
4. What types of Systems contain Electronic Records
5. What should be done when one realizes they are interacting with an Electronic Record?
Five Essential Factors for your Business Case
1. What is a Business Case?
2. Who should have a Solid Business Case?
3. What are the Five Essential Factors of a Business Case?
Functional Requirements which form the Core of Your Solution
1. What do we mean by Requirements?
2. What are the essential Requirements?
3. What are the flexible Requirements?
4. How are the Requirements established?
Feasible, Doable and Practical Solution
1. Where do we begin?
2. How to access the situation?
3. How to establish a Project Plan?
4. Who needs to be involved?
5. What are the keys to Success?
6. What are the risks?
7. How to minimize the risk?
8. What works?
Five benefits for implementing eRecords Solution
1. The ability to more speedily locate information previously very difficult to locate
2. The ability to improve work process because information is more easily shared
3. Cost savings derived from the elimination of paying for storage
4. Documents are more efficiently managed throughout lifecycle
5. Documents integrity & authenticity is verifiable
Five consequences of not implementing an eRecords Solution
1. Failure to abide by rules and regulations established by NARA and…
2. Inability to efficiently manage eRecords throughout lifecycle
3. Ineffective retention and disposal of eRecords
4. Implications posed by audits and ediscovery
5. Inefficient use of Government resources
Ready, Set and Go!
The outline:
First the Basics
1. What is a Federal Record?
2. What is the difference between a Record and a Document?
3. What is Records management?
4. Why should be Federal Records be managed?
5. Who is responsible for the management of Federal Records
Fundamentals of Electronic Records
1. What is an Electronic Record?
2. Why focus on Electronic Records?
3. Who is Managing Electronic Records?
4. What are the Consequences for not managing Electronic Record?
5. What are some of the Laws governing Electronic Records Management?
Finding Electronic Records
1. Where are Electronic Records
2. Who is producing Electronic Records
3. When does an Electronic form of information become an Electronic Record
4. What types of Systems contain Electronic Records
5. What should be done when one realizes they are interacting with an Electronic Record?
Five Essential Factors for your Business Case
1. What is a Business Case?
2. Who should have a Solid Business Case?
3. What are the Five Essential Factors of a Business Case?
Functional Requirements which form the Core of Your Solution
1. What do we mean by Requirements?
2. What are the essential Requirements?
3. What are the flexible Requirements?
4. How are the Requirements established?
Feasible, Doable and Practical Solution
1. Where do we begin?
2. How to access the situation?
3. How to establish a Project Plan?
4. Who needs to be involved?
5. What are the keys to Success?
6. What are the risks?
7. How to minimize the risk?
8. What works?
Five benefits for implementing eRecords Solution
1. The ability to more speedily locate information previously very difficult to locate
2. The ability to improve work process because information is more easily shared
3. Cost savings derived from the elimination of paying for storage
4. Documents are more efficiently managed throughout lifecycle
5. Documents integrity & authenticity is verifiable
Five consequences of not implementing an eRecords Solution
1. Failure to abide by rules and regulations established by NARA and…
2. Inability to efficiently manage eRecords throughout lifecycle
3. Ineffective retention and disposal of eRecords
4. Implications posed by audits and ediscovery
5. Inefficient use of Government resources
Ready, Set and Go!
E-Discovery For Dummies Cheat Sheet - For Dummies
Dummies.com
Cheat Sheet
E-Discovery For Dummies
From e-Discovery For Dummies by Linda Volonino, Ian Redpath
You can make e-discovery easier by knowing how the court separates electronically stored information (ESI) into two tiers; the seven basic steps in e-discovery; implications of the e-discovery federal rules; and the timeline that actually begins prior to litigation.
E-Discovery Categories of Electronically Stored Information
In e-discovery, electronically stored information (ESI) is divided into five categories, which are grouped into two tiers based on the effort and cost needed to access ESI. Keep these categories in mind when requesting ESI or responding to a request:
Category What It Is Accessibility
Active, online data ESI created, received, or processed; or that’s quickly and frequently accessed. Examples: hard drives and active network servers. First tier: reasonably accessible
Near-line data (short for near online) ESI stored on removable media or accessed via automated or robotic storage systems. Access speeds range from a few milliseconds up to 2 minutes. Examples: optical disk and magnetic tape. First tier: reasonably accessible
Offline storage and archives ESI sent to storage. Unlike the first two categories, offline ESI is accessed manually. Examples: magnetic tape or optical disks; referred to as JBOD (just a bunch of disks). First tier: reasonably accessible
Backup tapes, commonly using data compression ESI stored for backup or disaster recovery and not organized for retrieval of specific files or messages. Retrieving ESI requires restoring the entire tape and might require reversing the compression used to fit more bytes of data. The discovery of ESI from backup tapes requires proof that their need and relevance outweigh their retrieval and processing costs. Example: backup tapes. Second tier: not reasonably accessible
Erased, fragmented, or corrupted data Erased, overwritten, fragmented (broken up and stored in separate areas), or corrupted files (damaged by computer viruses, or a hardware/software malfunction) are the least accessible. This ESI might be accessed only after significant processing or might be impossible to access at all. Second tier: not reasonably accessible
Seven Steps of the E-Discovery Process
In the e-discovery process, you must perform certain functions for identifying and preserving electronically stored (ESI), and meet requirements regarding conditions such as relevancy and privilege. Typically, you follow this e-discovery process:
1.
Create and retain ESI according to an enforceable electronic records retention policy and electronic records management (ERM) program.
Enforce the policy and monitor compliance with it and the ERM program.
2.
Identify the relevant ESI, preserve any so it cannot be altered or destroyed, and collect all ESI for further review.
3.
Process and filter the ESI to remove the excess and duplicates.
You reduce costs by reducing the volume of ESI that moves to the next stage in the e-discovery process.
4.
Review and analyze the filtered ESI for privilege because privileged ESI is not discoverable, unless some exception kicks in.
5.
Produce the remaining ESI, after filtering out what's irrelevant, duplicated, or privileged.
Producing ESI in native format is common.
6.
Clawback the ESI that you disclosed to the opposing party that you should have filtered out, but didn't.
Clawback is not unusual, but you have to work at getting clawback approved, and the court may deny it.
7.
Present at trial if your case hasn't settled.
Judges have little to no patience with lawyers who appear before them not understanding e-discovery and the ESI of their clients or the opposing side.
E-Discovery Federal Rules of Civil Procedure and Federal Rules of Evidence
During the e-discovery process, keep the e-discovery amendments to the Federal Rules of Civil Procedure (FRCP) and Federal Rules of Evidence (FRE) close by. These federal rules apply to the process for preparing and producing ESI, as well as for resolving related disputes.
Here are some of the implications of these federal rules.
*
FRCP 16: Courts expect you to be ready for litigation, including being fluent in the IT and network architecture, so that the pretrial conference leads to agreements on what ESI is discoverable. FRCP 26(f) sanctions for not obeying a scheduling or pretrial order are a good thing to avoid.
*
FRCP 26: Provides protection from excessive or expensive e-discovery requests, except when you don’t deserve that protection.
FRCP 26(a)(1)(C): Requires that you make initial disclosures no later than 14 days after the Rule 26(f) meet and confer, unless an objection or another time is set by stipulation or court order. If you have an objection, now is the time to voice it.
Rule 26(b)(2)(B): Introduced the concept of not reasonably accessible ESI. The concept of not reasonably accessible paper had not existed. This rule provides procedures for shifting the cost of accessing not reasonably accessible ESI to the requesting party.
FRCP 26(b)(5)(B): Gives courts a clear procedure for settling claims when you hand over ESI to the requesting party that you shouldn’t have.
Rule 26(f): This is the meet and confer rule. This rule requires all parties to meet within 99 days of the lawsuit’s filing and at least 21 days before a scheduled conference.
Rule 26(g): Requires an attorney to sign every e-discovery request, response, or objection.
*
FRCP 33: Defines business records that are created or kept in electronic format as discoverable giving the requesting party access to them.
*
FRCP 34: Establishes a structured way to resolve disputes over document production.
FRCP 34(b): Establishes protocols for how documents are produced to requesting parties. As the requesting party, you choose the form of production. Most often, the requested form is native file because those files tend to reveal the most. You might not have the equipment or expertise to read the produced ESI easily if it’s not in native form or a form you pick. This is usually a matter of negotiation between the parties.
*
FRCP 37: Judges have the power, courtesy of Rule 37(f), to impose sanctions against a party "who fails to obey an order to provide or permit discovery."
Rule 37(e): Creates a safe harbor from sanctions if you did not preserve, and therefore no longer have, ESI that’s requested provided that certain conditions and circumstances are met. Judges also have powers that are considered inherent in the court that expand the ability to impose sanctions beyond Rule 37.
*
FRCP 45: If you’re a nonparty to e-discovery, you’re protected from some of the costs or burdens that parties typically have to pay or endure.
*
FRE 502: Protects attorney-client privilege and provides some protection against inadvertent disclosure, if you’re quick enough to notice your mistake and meet other conditions.
FRE 502(b): If attorney-client privileged or work product protected material is inadvertently disclosed, you might be able to get it back if you took reasonable steps to prevent the error; and noticed and responded promptly to fix the error.
*
FRE 901: Requires that ESI, like physical evidence, be authenticated to verify that it is what it claims to be. Metadata may be used to authenticate an ESI.
Lawyers are subject to ethical rules relating to e-discovery imposed by the Code of Professional Responsibility.
Prelitigation and e-Discovery Timeline
Adhering to a pre-litigation and e-discovery timeline will keep you on track. Before litigation even starts, you must start evaluating — with your IT team and legal counsel — where you stand in terms of your electronically stored information (ESI). Here’s the process:
*
Prior to litigation: Preserve, preserve. preserve. That is, you have the duty to preserve when a legal action is reasonably anticipated. You need to take affirmative action to prevent the destruction or alteration of what might be relevant ESI.
*
Day 1: Lawsuit is filed and complaint is served on the defendant starting the clock that counts off the days.
*
By Day 99: Litigants must participate in a meet and confer conference to negotiate an e-discovery plan.
*
By Day 120: A scheduling conference is held bringing together prosecuting attorneys, defendants, defendant’s attorneys, and the judge to schedule certain dates and deadlines for the case.
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Cheat Sheet
E-Discovery For Dummies
From e-Discovery For Dummies by Linda Volonino, Ian Redpath
You can make e-discovery easier by knowing how the court separates electronically stored information (ESI) into two tiers; the seven basic steps in e-discovery; implications of the e-discovery federal rules; and the timeline that actually begins prior to litigation.
E-Discovery Categories of Electronically Stored Information
In e-discovery, electronically stored information (ESI) is divided into five categories, which are grouped into two tiers based on the effort and cost needed to access ESI. Keep these categories in mind when requesting ESI or responding to a request:
Category What It Is Accessibility
Active, online data ESI created, received, or processed; or that’s quickly and frequently accessed. Examples: hard drives and active network servers. First tier: reasonably accessible
Near-line data (short for near online) ESI stored on removable media or accessed via automated or robotic storage systems. Access speeds range from a few milliseconds up to 2 minutes. Examples: optical disk and magnetic tape. First tier: reasonably accessible
Offline storage and archives ESI sent to storage. Unlike the first two categories, offline ESI is accessed manually. Examples: magnetic tape or optical disks; referred to as JBOD (just a bunch of disks). First tier: reasonably accessible
Backup tapes, commonly using data compression ESI stored for backup or disaster recovery and not organized for retrieval of specific files or messages. Retrieving ESI requires restoring the entire tape and might require reversing the compression used to fit more bytes of data. The discovery of ESI from backup tapes requires proof that their need and relevance outweigh their retrieval and processing costs. Example: backup tapes. Second tier: not reasonably accessible
Erased, fragmented, or corrupted data Erased, overwritten, fragmented (broken up and stored in separate areas), or corrupted files (damaged by computer viruses, or a hardware/software malfunction) are the least accessible. This ESI might be accessed only after significant processing or might be impossible to access at all. Second tier: not reasonably accessible
Seven Steps of the E-Discovery Process
In the e-discovery process, you must perform certain functions for identifying and preserving electronically stored (ESI), and meet requirements regarding conditions such as relevancy and privilege. Typically, you follow this e-discovery process:
1.
Create and retain ESI according to an enforceable electronic records retention policy and electronic records management (ERM) program.
Enforce the policy and monitor compliance with it and the ERM program.
2.
Identify the relevant ESI, preserve any so it cannot be altered or destroyed, and collect all ESI for further review.
3.
Process and filter the ESI to remove the excess and duplicates.
You reduce costs by reducing the volume of ESI that moves to the next stage in the e-discovery process.
4.
Review and analyze the filtered ESI for privilege because privileged ESI is not discoverable, unless some exception kicks in.
5.
Produce the remaining ESI, after filtering out what's irrelevant, duplicated, or privileged.
Producing ESI in native format is common.
6.
Clawback the ESI that you disclosed to the opposing party that you should have filtered out, but didn't.
Clawback is not unusual, but you have to work at getting clawback approved, and the court may deny it.
7.
Present at trial if your case hasn't settled.
Judges have little to no patience with lawyers who appear before them not understanding e-discovery and the ESI of their clients or the opposing side.
E-Discovery Federal Rules of Civil Procedure and Federal Rules of Evidence
During the e-discovery process, keep the e-discovery amendments to the Federal Rules of Civil Procedure (FRCP) and Federal Rules of Evidence (FRE) close by. These federal rules apply to the process for preparing and producing ESI, as well as for resolving related disputes.
Here are some of the implications of these federal rules.
*
FRCP 16: Courts expect you to be ready for litigation, including being fluent in the IT and network architecture, so that the pretrial conference leads to agreements on what ESI is discoverable. FRCP 26(f) sanctions for not obeying a scheduling or pretrial order are a good thing to avoid.
*
FRCP 26: Provides protection from excessive or expensive e-discovery requests, except when you don’t deserve that protection.
FRCP 26(a)(1)(C): Requires that you make initial disclosures no later than 14 days after the Rule 26(f) meet and confer, unless an objection or another time is set by stipulation or court order. If you have an objection, now is the time to voice it.
Rule 26(b)(2)(B): Introduced the concept of not reasonably accessible ESI. The concept of not reasonably accessible paper had not existed. This rule provides procedures for shifting the cost of accessing not reasonably accessible ESI to the requesting party.
FRCP 26(b)(5)(B): Gives courts a clear procedure for settling claims when you hand over ESI to the requesting party that you shouldn’t have.
Rule 26(f): This is the meet and confer rule. This rule requires all parties to meet within 99 days of the lawsuit’s filing and at least 21 days before a scheduled conference.
Rule 26(g): Requires an attorney to sign every e-discovery request, response, or objection.
*
FRCP 33: Defines business records that are created or kept in electronic format as discoverable giving the requesting party access to them.
*
FRCP 34: Establishes a structured way to resolve disputes over document production.
FRCP 34(b): Establishes protocols for how documents are produced to requesting parties. As the requesting party, you choose the form of production. Most often, the requested form is native file because those files tend to reveal the most. You might not have the equipment or expertise to read the produced ESI easily if it’s not in native form or a form you pick. This is usually a matter of negotiation between the parties.
*
FRCP 37: Judges have the power, courtesy of Rule 37(f), to impose sanctions against a party "who fails to obey an order to provide or permit discovery."
Rule 37(e): Creates a safe harbor from sanctions if you did not preserve, and therefore no longer have, ESI that’s requested provided that certain conditions and circumstances are met. Judges also have powers that are considered inherent in the court that expand the ability to impose sanctions beyond Rule 37.
*
FRCP 45: If you’re a nonparty to e-discovery, you’re protected from some of the costs or burdens that parties typically have to pay or endure.
*
FRE 502: Protects attorney-client privilege and provides some protection against inadvertent disclosure, if you’re quick enough to notice your mistake and meet other conditions.
FRE 502(b): If attorney-client privileged or work product protected material is inadvertently disclosed, you might be able to get it back if you took reasonable steps to prevent the error; and noticed and responded promptly to fix the error.
*
FRE 901: Requires that ESI, like physical evidence, be authenticated to verify that it is what it claims to be. Metadata may be used to authenticate an ESI.
Lawyers are subject to ethical rules relating to e-discovery imposed by the Code of Professional Responsibility.
Prelitigation and e-Discovery Timeline
Adhering to a pre-litigation and e-discovery timeline will keep you on track. Before litigation even starts, you must start evaluating — with your IT team and legal counsel — where you stand in terms of your electronically stored information (ESI). Here’s the process:
*
Prior to litigation: Preserve, preserve. preserve. That is, you have the duty to preserve when a legal action is reasonably anticipated. You need to take affirmative action to prevent the destruction or alteration of what might be relevant ESI.
*
Day 1: Lawsuit is filed and complaint is served on the defendant starting the clock that counts off the days.
*
By Day 99: Litigants must participate in a meet and confer conference to negotiate an e-discovery plan.
*
By Day 120: A scheduling conference is held bringing together prosecuting attorneys, defendants, defendant’s attorneys, and the judge to schedule certain dates and deadlines for the case.
Comments (0)
* About For Dummies
* Subscribe or Unsubscribe to E-Mail Newsletters
* My Account
* Store
* Shopping Cart
* Topics A-Z
* Explore the New Dummies.com
* Privacy Policy
* Terms and Conditions
* Advertise with Us
* Contact Us
Copyright © 2009 & Trademark by Wiley Publishing, Inc. All rights reserved.
Wednesday, December 9, 2009
Best Catch Ever?! - Morgan State Player Makes Unreal Catch!
This is amazing and too good not to share with the world! Incredible!
A Word to Those Pivileged to Manage Words
Words are important. Words are powerful. Words are the foundations for thought and the impetus behind actions. Words are crucial and we in the Records Community should realize the value of words as well as anyone because our days are consumed with words, concepts, messages, information, explanations, and so forth and so forth. We manage them and we are tasked to implement systems and processes to preserve them.
I am writing this article with the intent that those who read will be encouraged to have an heightened appreciation for the responsibility entrusted to each of us to be stewards of words, because to know the power of words is a valuable lesson.
Are we sensitive to how we manage words? Are we cognizant of the unique responsibility we have to manage the words that originate with us, as well as those that originate with others. This subject can not be taken lightly, and I would encourage all those who read this article to take heed to the responsibility we have to be guardians of words. I am referring to words that are written, words that are spoken, words that bring joy, and words that may disrupt, words that bring hope, as well as words that bring discouragement, words that can change the course of time, as well as words that can alter ones future and beyond. At times they are seemingly so very insignificant, but are they? We are those who manage words, and this is no small order.
I am writing this article with the intent that those who read will be encouraged to have an heightened appreciation for the responsibility entrusted to each of us to be stewards of words, because to know the power of words is a valuable lesson.
Are we sensitive to how we manage words? Are we cognizant of the unique responsibility we have to manage the words that originate with us, as well as those that originate with others. This subject can not be taken lightly, and I would encourage all those who read this article to take heed to the responsibility we have to be guardians of words. I am referring to words that are written, words that are spoken, words that bring joy, and words that may disrupt, words that bring hope, as well as words that bring discouragement, words that can change the course of time, as well as words that can alter ones future and beyond. At times they are seemingly so very insignificant, but are they? We are those who manage words, and this is no small order.
Tuesday, December 8, 2009
Monday, December 7, 2009
How much information can they hold?
Startling Estimates:
1 box holds 2,500 pages (13 paperback books)
1 GB is 75000 pages (375 paperback books)
1 email is 2 pages
1 word document is 5-8 pages
1 spreadsheet 15-30 pages
1 PDF is 35 pages
1 CD (640 MB) is 48000 pages
1 DVD (4.7GB) is 350000 pages
1 Hard drive (80 GB) is 6,000,000 pages
1 box holds 2,500 pages (13 paperback books)
1 GB is 75000 pages (375 paperback books)
1 email is 2 pages
1 word document is 5-8 pages
1 spreadsheet 15-30 pages
1 PDF is 35 pages
1 CD (640 MB) is 48000 pages
1 DVD (4.7GB) is 350000 pages
1 Hard drive (80 GB) is 6,000,000 pages
Saturday, December 5, 2009
Electronic Records Management Becoming more than Just a Blur
In the past few months I have had several meetings with colleagues, coworkers, and other interested individuals about Electronic Record Management and I sense from these meetings a wave of excitement that is quite encouraging! It is delightful to see the interest, but especially gratifying is the ricochet effect that this fan base is producing, as those who attend the presentations are relaying the information we are sharing to others and this is opening the door to more and more opportunities to instruct others in the field of Electronic Records Management.
Here is just a snippet of an outline of what we shared in our last session held just this past week:
• General Overview of Record Management
• Why Records Management
• What Is A Record
• Things You Should Know
• Records Disposition
• Electronic Records Management
• Actions Items
• Questions and Answers
Like so many places that I have visited and toured in the past several months, the place where I work has some work to do to develop a mature Records Management environment, however I feel confident that progress is being made, and we have been very fortunate to be able to put some processes in place that I feel are going to prove very beneficial as we move forward in the ever evolving and developing field of Electronic Records Management.
Here is just a snippet of an outline of what we shared in our last session held just this past week:
• General Overview of Record Management
• Why Records Management
• What Is A Record
• Things You Should Know
• Records Disposition
• Electronic Records Management
• Actions Items
• Questions and Answers
Like so many places that I have visited and toured in the past several months, the place where I work has some work to do to develop a mature Records Management environment, however I feel confident that progress is being made, and we have been very fortunate to be able to put some processes in place that I feel are going to prove very beneficial as we move forward in the ever evolving and developing field of Electronic Records Management.
Tuesday, December 1, 2009
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