Download - Electronic Records Management (ERM)

8/14/2019 Electronic Records Management (ERM)

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Electronic Records

Management (ERM)

The Management of

Information Systems within

the Federal Government


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ERM Authorities

GSA, 36 CFR 1234, Electronic Records Management GSA, 36 CFR 1228.270, Disposition of Federal Records

OMB Circular A-130, Management of Federal Information Resources,

Executive Order 13011 (July 16, 1996), Federal Information Technology

Public Law 104-231, Electronic Freedom of Information Act (E-FOIA)

Public Law 105-277, Government Paperwork Elimination Act
http://www.access.gpo.gov/nara/cfr/waisidx_03/36cfr1234_03.htmlhttp://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=581abfe28a56ef62bf52409822f45005&rgn=div5&view=text&node=36:3.0.10.2.13&idno=36http://www.whitehouse.gov/omb/circulars/a130/a130trans4.htmlhttp://www.archives.gov/federal_register/executive_orders/1996.htmlhttp://www.usdoj.gov/oip/foia_updates/Vol_XVII_4/page2.htmhttp://www.archives.gov/records_management/policy_and_guidance/electronic_signature_technology.htmlhttp://www.archives.gov/records_management/policy_and_guidance/electronic_signature_technology.htmlhttp://www.archives.gov/records_management/policy_and_guidance/electronic_signature_technology.htmlhttp://www.usdoj.gov/oip/foia_updates/Vol_XVII_4/page2.htmhttp://www.usdoj.gov/oip/foia_updates/Vol_XVII_4/page2.htmhttp://www.archives.gov/federal_register/executive_orders/1996.htmlhttp://www.whitehouse.gov/omb/circulars/a130/a130trans4.htmlhttp://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=581abfe28a56ef62bf52409822f45005&rgn=div5&view=text&node=36:3.0.10.2.13&idno=36http://www.access.gpo.gov/nara/cfr/waisidx_03/36cfr1234_03.htmlhttp://www.access.gpo.gov/nara/cfr/waisidx_03/36cfr1234_03.html


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Overview continued The System scheduling process involves coordination between

the E-Records manager, system owners (or systemadministrators), and the National Archives and RecordsAdministration (NARA) to: Procedures will consist of:

Drafting disposition instructions, and;

Schedule site visits by the archivist to check systems,records, and resolve any issues

Upon request, a meeting should be arranged with thearchivist and E-Records manager to assist with completionof the form. This meeting will also provide an opportunityto check the system/records, and answer questions.

Afterwards, the scheduling of the disposition instructions goesthrough an approval process by NARA (and GAO if financialsystem/records) before they can be implemented and added tothe Electronic Records Disposition Schedule.


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Purpose

A "records inventory" is a detailed listing of the volume, scope, and

complexity of an organization's records. The results of this survey can

be used to analyze the records for various purposes including

retention and protection.

The purpose of this information systems inventory is to establish

current status of electronic records (and information systems)

maintained in our computing environment.


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What is an agency schedule? Agencies are required by law to develop records schedules for all of their records not

covered by the GRS (44 U.S.C. 3303). After reviewing their records, agencies submitthe schedules for NARA approval on an SF 115, Request for Records DispositionAuthority.

The SF 115 contains descriptions of record series or systems and dispositioninstructions for each. These instructions specify when the series is to be cut off, when

eligible records are to be moved to off-site storage, when eligible temporary recordsmust be destroyed or deleted, and when permanent records are to be transferred tothe National Archives.

Schedules may not be implemented until NARA has approved them. Some schedules,especially those containing records relating to financial management, claims, and otherrelated matters, must also be approved by the General Accounting Office (GAO) (44 U.S.C. 3309) before NARA will approve them.

Once approved by NARA, retention periods in the schedules are mandatory andauthorize the systematic removal of unneeded records from Federal offices.
http://www.archives.gov/about_us/basic_laws_and_authorities/disposal_of_records.htmlhttp://www.archives.gov/about_us/basic_laws_and_authorities/disposal_of_records.htmlhttp://www.archives.gov/about_us/basic_laws_and_authorities/disposal_of_records.htmlhttp://www.archives.gov/about_us/basic_laws_and_authorities/disposal_of_records.html


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What are the benefits of using records

schedules?

Using records schedules:

Ensures that the important records are organized and maintained in such a way asto be easily retrieved and identifiable as evidence of the program's activities,especially in the event of an audit, a Freedom of Information Act (FOIA) request, ora discovery in a lawsuit.

Conserves office space and equipment by using filing cabinets to store only activepaper records and conserves server space by using tapes, disks, and other off-line storage media for electronic records.

Saves money by moving inactive files to off-site storage areas until they are ready

for final disposition.

Helps preserve those records that are valuable for historical or other researchpurposes.

Controls the growth of records in offices through the systematic disposition of

unneeded records.


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Schedules

Does your Agency have an Electronic Recor

that has been approved by NARA?

General Records Schedules (GRS)

GRS 20, Electronic Records
http://www.usaid.gov/policy/ads/500/502maa.dochttp://www.archives.gov/records_management/ardor/index.htmlhttp://www.archives.gov/records_management/ardor/grs20.htmlhttp://www.archives.gov/records_management/ardor/grs20.htmlhttp://www.archives.gov/records_management/ardor/index.htmlhttp://www.usaid.gov/policy/ads/500/502maa.doc


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Annually: Contact system managers and provide inventory form and

instructions.

Annually: Analyze results and coordinate with the National Archives and

Records Administration (NARA) to finalize actions necessary to completethe update of the Electronic Records Disposition Schedule. These

actions might include:

Additional coordination with system managers to clarify issuesScheduling disposition for systems/records that are not scheduled

Follow up visits by NARA to check information systemsCoordination with GAO (Financial Records) and NARA on final

approval of disposition schedule

Action Plan


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Instructions to Improve the

Management of your Information

Systems

Prepare an Inventory Information Form

Prepare FAQs About Records Inventories

Provide Tips for Scheduling Electronic Databases

Provide

Records Management Briefing for Systems and Program Ma

Training, Training, and more Training
http://www.archives.gov/records_management/policy_and_guidance/frequently_asked_questions_inventories.htmlhttp://www.archives.gov/records_management/publications/tips_for_scheduling_databases.htmlhttp://opt/scribd/conversion/tmp/scratch2149/smb://FPWASH_001/M.PUB/m.as.ird.pub/New%20Folder/PowerPoints/RMBRIEF%5E1..ppthttp://opt/scribd/conversion/tmp/scratch2149/smb://FPWASH_001/M.PUB/m.as.ird.pub/New%20Folder/PowerPoints/RMBRIEF%5E1..ppthttp://www.archives.gov/records_management/publications/tips_for_scheduling_databases.htmlhttp://www.archives.gov/records_management/policy_and_guidance/frequently_asked_questions_inventories.html


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References

Terms and Miscellaneous

Information


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Official Records

"Official Agency Records" are the documentation, including all background materials,resulting from specific transactions, operations or processes which are accumulated andmaintained in filing equipment. Official Agency records include information recorded onany medium including paper, microform, cards, film, audio tape, optical disk, or magneticmedia.

By law, Federal records are:

All documentary materials including letters, memorandums, completed formsstatistical & narrative reports, graphics, photographs, audio & video recordings,maps, architectural / engineering and other drawings.

Regardless of physical forms including photographic prints & negatives, motionpicture film, tape recordings, and electronic records.

made or received by an agency of the U.S. Government under Federal law or in connectionwith the transaction of public business, and

preserved or appropriate for preservation as evidence of agency functions, organization,and activities or because of the value of the information they contain (44 U.S.C. 3301).
http://www.archives.gov/about_us/basic_laws_and_authorities/federal_agencies.htmlhttp://www.archives.gov/about_us/basic_laws_and_authorities/federal_agencies.html


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Electronic Files

Information technology uses the word

recordto describe a particular set of

information. In this data processingcontext, records are composed of

fields of information, and a collection

of such fielded records comprises anelectronic file.


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Information Systems

An Information System is the organized collection,

processing, transmission, and dissemination of

information in accordance with defined procedures.

NARA's concern is with the government information inthe system, that is, with information created, collected,

processed, transmitted, disseminated, used, stored,

and disposed of by the Federal Government. An

electronic information system includes the inputs and

outputs that are generated, as well as the information

on electronic media.

The system may contain budgetary, fiscal, social, economic, scientific-

technical or program-related data and information, operated in

support of agency programs and management responsibilities.


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Electronic Information System:

A system that contains and provides access to computerized Federal

records and other information. (36 CFR 1234.2)

May create and maintain Federal records but does not provide recordmanagement functionality.

Contains real time or frequently updated information. Is designed to allow information to be manipulated, changed, and

updated.

OMB Circular No. A-130, Management of Federal Information Resources

A. Provides uniform government-wide information resources management

policies

B. Requires agencies to plan in an integrated manner for managing

information throughout its life cycle.

Electronic Information Systems (Cont.)


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Information System Documentation

System Managers shall maintain adequate and up-to-date

technical documentation for each electronic information system

that produces, uses, or stores data files. Minimum documentation

required is a narrative description of the system; physical and

technical characteristics of the records, including a record layoutthat describes each field including its name, size, starting or

relative position, and a description of the form of the data (such as

alphabetic, zoned decimal, packed decimal, or numeric), or a data

dictionary or the equivalent information associated with a data

base management system including a description of the

relationship between data elements in data bases; and any othertechnical information needed to read or process the records

(see 36 CFR 1234.20).


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The "system development life cycle" describes the phases

of development of an electronic information system. These

phases typically include:

1. Initiation,

2. Definition,

3. Design,

4. Development,

5. Deployment,6. Operation,

7. Maintenance,

8. Enhancement,

9. Retirement.

System development life cycle


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System development life cycle (Cont.)

A significant step in several of the stages is the

definition, development, and refinement of the data

model that includes treatment of the records being

created or managed. Information systems developed

according to system development methodologies,

including those that agencies use to implement the

electronic signature requirements of GPEA, will

produce new records or augment existing records.


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ERM Terms

Electronic Records

Electronic, or machine-readable records, are records on electronic storage

media (A Glossary for Archivists, Manuscript Curators, and RecordsManagers, Society of American Archivists: Chicago, 1992 p. 12). Electronic

record, as defined in NARA regulations (36 CFR 1234.2), means anyinformation that is recorded in a form that only a computer can process andthat satisfies the definition of a Federal record per the Federal Records Actdefinition supplied above. Federal electronic records are not necessarilykept in a "recordkeeping system" but may reside in a generic electronicinformation system or are produced by an application such as wordprocessing or electronic mail.

Metadata

Metadata is a term that describes or specifies characteristics that need tobe known about data in order to build information resources such aselectronic recordkeeping systems and support records creators and users.


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Terms (Cont.)

Electronic Recordkeeping System [ERKS]

An electronic recordkeeping system [ERKS] is an electronic informationsystem that meets an agency's recordkeeping needs. At a high level,NARA has defined an ERKS as an electronic information system in

which records are collected, organized, and categorized to facilitate theirpreservation, retrieval, use, and disposition (36 CFR 1234.2). From arecords perspective, an ERKS will ensure that the records it maintainswill have sufficient authenticity and reliability* to meet all of the agency'srecordkeeping needs.

*The International Council on Archives document Guide for ManagingElectronic Records from an Archival Perspective states "The reliability ofa record is its ability to serve as reliable evidence....Authenticity refers tothe persistence over time of the original characteristics of the record withrespect to context, structure and content. An authentic record is one thatretains its original reliability."
http://www.archives.gov/records_management/policy_and_guidance/context_for_electronic_records_management.htmlhttp://www.archives.gov/records_management/policy_and_guidance/context_for_electronic_records_management.html


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Electronic Document Management System

(EDMS)

An electronic document management system [EDMS] is software

that manages the creation, storage, and control of semi-structured

documents. It consists of several technologies including, but not

limited to document management, COLD (Computer Output to

Laser Disk), imaging, and workflow. See Preliminary Planning forElectronic Recordkeeping: Checklist for RM Stafffor a more

detailed description of these technologies.

In part, because an EDMS does not support the preservation of the

business context of an individual record (i.e., EDMS systems manage a

content item as an individual unit, as opposed to preserving itsrelationship to a larger group of documents that provide evidence of the

same particular organizational function), EDMS systems are not

electronic recordkeeping systems.
http://www.archives.gov/records_management/policy_and_guidance/preliminary_planning_checklist.htmlhttp://www.archives.gov/records_management/policy_and_guidance/preliminary_planning_checklist.htmlhttp://www.archives.gov/records_management/policy_and_guidance/preliminary_planning_checklist.htmlhttp://www.archives.gov/records_management/policy_and_guidance/preliminary_planning_checklist.htmlhttp://www.archives.gov/records_management/policy_and_guidance/preliminary_planning_checklist.html


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Records Management Application (RMA)

Records Management Application [RMA] is the term used in DoD

5015.2-STD, Design Criteria Standard for Electronic Records

Management Software Applications, for software that manages

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 repository. DoD

5015.2-STD requires that RMAs be able to manage records

regardless of their media. The DoD maintains a list of software products

that have been tested and certified to comply with the mandatory

requirements of DoD 5015.2-STD.

See NARA endorsement of DoD 5015.2-STD.

For more terms, see EPAs Records Management Glossary
http://www.archives.gov/global_pages/exit.html?link=http://jitc.fhu.disa.mil/recmgthttp://www.archives.gov/records_management/policy_and_guidance/automated_recordkeeping_requirements.htmlhttp://www.epa.gov/records/gloss/gloss01.htmhttp://www.epa.gov/records/gloss/gloss01.htmhttp://www.archives.gov/records_management/policy_and_guidance/automated_recordkeeping_requirements.htmlhttp://www.archives.gov/global_pages/exit.html?link=http://jitc.fhu.disa.mil/recmgt


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The End

Questions, Comments,Assistance????

Contact Ken Matthews

E-Records Project [email protected]

.

Download - Electronic Records Management (ERM)

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