Download - 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]
.