{ "Business-Standards": "Electronic Records Management", "Business Lifecycle": [{ "erm-010": [ { "Identifier": "ERM.010.010", "Activity": "Records Creation", "Description": "Records Creation refers to the process of creating digital objects in the course of agency business." }, { "Identifier": "ERM.010.020", "Activity": "Records Validation", "Description": "Records Validation refers to the process of verifying a digital object possesses the characteristics of a record." }, { "Identifier": "ERM.010.030", "Activity": "Records Retention", "Description": "Records Retention refers to the process of analyzing the business value of groups of records and assigning retention periods." }], "erm-020": [ { "Identifier": "ERM.020.010", "Activity": "Access Level Management", "Description": "Access Level Management refers to the process of determining the appropriate level of access for agency personnel to a record." }, { "Identifier": "ERM.020.020", "Activity": "Records Maintenance", "Description": "Records Maintenance refers to the storage, retrieval, and handling of records by a Federal agency." }, { "Identifier": "ERM.020.030", "Activity": "Litigation Hold", "Description": "Litigation Hold refers to the process of identifying a group of records and locking them down to ensure no changes can be made. The records will be locked down until the litigation hold is lifted." }, { "Identifier": "ERM.020.040", "Activity": "Information Request", "Description": "Information Request refers to the process of identifying a group of records and making the records available to satisfy a Freedom of Information Act, Congressional, or e-discovery request." }, { "Identifier": "ERM.020.050", "Activity": "Records Migration", "Description": "Records Migration refers to the process of identifying a group of records whose retention period is longer than the life of the records system and migrating those records to a new records system to serve out their retention period. It also refers to the process of converting records into acceptable formats to avoid technological obsolescence." }], "erm-030": [ { "Identifier": "ERM.030.010", "Activity": "Records Disposal Eligibility", "Description": "Records Disposal Eligibility refers to the process of identifying groups of records that have met their records retention period. The records must not be part of any hold or information request to be eligible for disposal." }, { "Identifier": "ERM.030.020", "Activity": "Records Disposal Approval", "Description": "Records Disposal Approval refers to the process of notifying business owners of records eligible for disposal and obtaining the proper approvals to destroy the eligible records." }, { "Identifier": "ERM.030.030", "Activity": "Records Disposal Action", "Description": "Records Disposal Action refers to the process of disposing of records eligible and approved for disposal." }, { "Identifier": "ERM.030.040", "Activity": "Temporary Records Retention Period Change", "Description": "Temporary Records Retention Period Change refers to the process of changing the retention period of a group of temporary records due to special circumstances such as an order, law, or business justification." }], "erm-040": [ { "Identifier": "ERM.040.010", "Activity": "Records Transfer Eligibility", "Description": "Records Transfer Eligibility refers to the process of determining if records are ready to be transferred to NARA for permanent storage." }, { "Identifier": "ERM.040.020", "Activity": "Records Transfer Action", "Description": "Records Transfer Action refers to the process of ensuring the records are in the correct formats prior to being transferred to NARA for permanent storage." }, { "Identifier": "ERM.040.030", "Activity": "Records Transfer Completion", "Description": "Records Transfer Completion refers to the process of agencies removing copies of permanent records from their records system after being notified by NARA that NARA has accepted legal custody of the permanent records." }, { "Identifier": "ERM.040.040", "Activity": "Permanent Records Retention Period Extension", "Description": "Retention Period Extension refers to the process of extending the time frame for which an agency retains legal custody of permanent records due to special circumstances such as an order, law, or business justification." }] }], "Business Capabilities": [ { "Capability ID": "ERM.010.010.010", "Function": "Records Capture", "Activity Name": "Records Creation", "(I)nput, (P)rocess, (O)utput": "I", "Business Capability Statement": "A digital object is created", "Authoritative Reference": "ISO 15489-1:2016, Section 9.2 Creating records" }, { "Capability ID": "ERM.010.020.010", "Function": "Records Capture", "Activity Name": "Records Validation", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Determine whether a digital object meets the criteria for a record", "Authoritative Reference": "44 USC 3301" }, { "Capability ID": "ERM.010.020.020", "Function": "Records Capture", "Activity Name": "Records Validation", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Capture electronic messages sent or received from personal accounts within 20 days", "Authoritative Reference": "44 USC 2911" }, { "Capability ID": "ERM.010.020.030", "Function": "Records Capture", "Activity Name": "Records Validation", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Determine if the record can be placed under records management control", "Authoritative Reference": "ISO 15489-1:2016, Section 5.3 Records systems" }, { "Capability ID": "ERM.010.020.040", "Function": "Records Capture", "Activity Name": "Records Validation", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Verify the records possesses the characteristics of a record: reliability, authenticity, integrity, and usability", "Authoritative Reference": "36 CFR 1236.10" }, { "Capability ID": "ERM.010.030.010", "Function": "Records Capture", "Activity Name": "Records Retention", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Analyze records to determine retention period based on business value and legal obligations", "Authoritative Reference": "36 CFR 1225.12 (d)" }, { "Capability ID": "ERM.010.030.020", "Function": "Records Capture", "Activity Name": "Records Retention", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Determine which records schedule applies to the group of records", "Authoritative Reference": "36 CFR 1236.20 (b)(3)" }, { "Capability ID": "ERM.010.030.030", "Function": "Records Capture", "Activity Name": "Records Retention", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Obtain approval of retention period for group of records", "Authoritative Reference": "36 CFR 1225.12 (g)" }, { "Capability ID": "ERM.020.010.010", "Function": "Records Maintenance & Use", "Activity Name": "Access Level Management", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Determine appropriate access levels for a record", "Authoritative Reference": "ISO 15489-1:2016, Section 8.4 Access and permission rules" }, { "Capability ID": "ERM.020.010.020", "Function": "Records Maintenance & Use", "Activity Name": "Access Level Management", "(I)nput, (P)rocess, (O)utput": "O", "Business Capability Statement": "Assign appropriate access level for a record", "Authoritative Reference": "ISO 15489-1:2016, Section 8.4 Access and permission rules" }, { "Capability ID": "ERM.020.020.010", "Function": "Records Maintenance & Use", "Activity Name": "Records Maintenance", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Manage the metadata of a record throughout the lifecycle", "Authoritative Reference": "ISO 15489-1:2016, Section 5.2.3 Metadata for records" }, { "Capability ID": "ERM.020.020.020", "Function": "Records Maintenance & Use", "Activity Name": "Records Maintenance", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Ensure audit trail of a record is available to see what changes have been made to the content, metadata, or access level of a record and by whom", "Authoritative Reference": "36 CFR 1236.10 (c)" }, { "Capability ID": "ERM.020.030.010", "Function": "Records Maintenance & Use", "Activity Name": "Litigation Hold", "(I)nput, (P)rocess, (O)utput": "I", "Business Capability Statement": "Agency receives litigation hold", "Authoritative Reference": "ISO 15489-1:2016, Section 9.9 Disposition" }, { "Capability ID": "ERM.020.030.020", "Function": "Records Maintenance & Use", "Activity Name": "Litigation Hold", "(I)nput, (P)rocess, (O)utput": "I", "Business Capability Statement": "Scope of litigation hold is determined by General Counsel and Records Officer", "Authoritative Reference": "ISO 15489-1:2016, Section 9.9 Disposition" }, { "Capability ID": "ERM.020.030.030", "Function": "Records Maintenance & Use", "Activity Name": "Litigation Hold", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Place hold on records identified by scope determination", "Authoritative Reference": "36 CFR 1236.20 (b)(7)" }, { "Capability ID": "ERM.020.030.040", "Function": "Records Maintenance & Use", "Activity Name": "Litigation Hold", "(I)nput, (P)rocess, (O)utput": "O", "Business Capability Statement": "Agency has applied litigation hold to all identified records", "Authoritative Reference": "36 CFR 1236.20 (b)(7)" }, { "Capability ID": "ERM.020.030.050", "Function": "Records Maintenance & Use", "Activity Name": "Litigation Hold", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Lift hold on records identified by scope determination", "Authoritative Reference": "36 CFR 1236.20 (b)(7)" }, { "Capability ID": "ERM.020.040.010", "Function": "Records Maintenance & Use", "Activity Name": "Information Request", "(I)nput, (P)rocess, (O)utput": "I", "Business Capability Statement": "Agency receives information request", "Authoritative Reference": "ISO 15489-1:2016, Section 9.9 Disposition" }, { "Capability ID": "ERM.020.040.020", "Function": "Records Maintenance & Use", "Activity Name": "Information Request", "(I)nput, (P)rocess, (O)utput": "I", "Business Capability Statement": "The scope of the information request is determined by the Records Officer and General Counsel", "Authoritative Reference": "ISO 15489-1:2016, Section 9.9 Disposition" }, { "Capability ID": "ERM.020.040.030", "Function": "Records Maintenance & Use", "Activity Name": "Information Request", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Identify records and respond to satisfy an information request", "Authoritative Reference": "ISO 15489-1:2016, Section 8.5 Disposition authorities" }, { "Capability ID": "ERM.020.040.040", "Function": "Records Maintenance & Use", "Activity Name": "Information Request", "(I)nput, (P)rocess, (O)utput": "O", "Business Capability Statement": "Identified records are made available to satisfy the information request", "Authoritative Reference": "36 CFR 1236.20 (b)(5)" }, { "Capability ID": "ERM.020.050.010", "Function": "Records Maintenance & Use", "Activity Name": "Records Migration", "(I)nput, (P)rocess, (O)utput": "I", "Business Capability Statement": "Identify records to migrate to new records system before the current system is retired", "Authoritative Reference": "36 CFR 1236.14 (a)" }, { "Capability ID": "ERM.020.050.020", "Function": "Records Maintenance & Use", "Activity Name": "Records Migration", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Export records from legacy system for migration", "Authoritative Reference": "36 CFR 1236.14 (b)(2)" }, { "Capability ID": "ERM.020.050.030", "Function": "Records Maintenance & Use", "Activity Name": "Records Migration", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Convert records into acceptable formats to protect from technological obsolescence", "Authoritative Reference": "36 CFR 1236.14 (b)(3)" }, { "Capability ID": "ERM.020.050.040", "Function": "Records Maintenance & Use", "Activity Name": "Records Migration", "(I)nput, (P)rocess, (O)utput": "O", "Business Capability Statement": "Converted records can be imported into agency systems", "Authoritative Reference": "NARA Bulletin 2010-05: Cloud Computing" }, { "Capability ID": "ERM.030.010.010", "Function": "Records Disposal", "Activity Name": "Records Disposal Eligibility", "(I)nput, (P)rocess, (O)utput": "I", "Business Capability Statement": "Records have met their retention period", "Authoritative Reference": "36 CFR 1226.10" }, { "Capability ID": "ERM.030.010.020", "Function": "Records Disposal", "Activity Name": "Records Disposal Eligibility", "(I)nput, (P)rocess, (O)utput": "I", "Business Capability Statement": "Records have no further business value", "Authoritative Reference": "36 CFR 1225.18 (d)(3)" }, { "Capability ID": "ERM.030.010.030", "Function": "Records Disposal", "Activity Name": "Records Disposal Eligibility", "(I)nput, (P)rocess, (O)utput": "I", "Business Capability Statement": "Records are not part of a litigation hold or information request", "Authoritative Reference": "ISO 15489-1:2016, Section 9.9 Disposition" }, { "Capability ID": "ERM.030.020.010", "Function": "Records Disposal", "Activity Name": "Records Disposal Approval", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Notify business owners of eligible records for disposal", "Authoritative Reference": "ISO 15489-1:2016, Section 9.9 Disposition" }, { "Capability ID": "ERM.030.020.020", "Function": "Records Disposal", "Activity Name": "Records Disposal Approval", "(I)nput, (P)rocess, (O)utput": "O", "Business Capability Statement": "The disposal of eligible records is approved by records stakeholders", "Authoritative Reference": "ISO 15489-1:2016, Section 9.9 Disposition" }, { "Capability ID": "ERM.030.030.010", "Function": "Records Disposal", "Activity Name": "Records Disposal Action", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Dispose of approved records from agency systems", "Authoritative Reference": "ISO 15489-1:2016, Section 9.9 Disposition" }, { "Capability ID": "ERM.030.030.020", "Function": "Records Disposal", "Activity Name": "Records Disposal Action", "(I)nput, (P)rocess, (O)utput": "O", "Business Capability Statement": "Report created of records disposed of from agency systems", "Authoritative Reference": "ISO 15489-1:2016, Section 9.9 Disposition" }, { "Capability ID": "ERM.030.040.010", "Function": "Records Disposal", "Activity Name": "Temporary Records Retention Period Change", "(I)nput, (P)rocess, (O)utput": "I", "Business Capability Statement": "Agency is notified that temporary records approved for disposal are part of an order, law, or business justification to change the retention period", "Authoritative Reference": "36 CFR 1226.18" }, { "Capability ID": "ERM.030.040.020", "Function": "Records Disposal", "Activity Name": "Temporary Records Retention Period Change", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Extend the retention period of temporary records approved for disposal to accommodate an order, law, or business justification", "Authoritative Reference": "36 CFR 1226.18" }, { "Capability ID": "ERM.030.040.030", "Function": "Records Disposal", "Activity Name": "Temporary Records Retention Period Change", "(I)nput, (P)rocess, (O)utput": "I", "Business Capability Statement": "The special circumstances surrounding changing the retention period of the temporary records are no longer applicable", "Authoritative Reference": "36 CFR 1226.18" }, { "Capability ID": "ERM.030.040.040", "Function": "Records Disposal", "Activity Name": "Temporary Records Retention Period Change", "(I)nput, (P)rocess, (O)utput": "O", "Business Capability Statement": "The temporary records whose retention period was changed are disposed of in accordance with the records schedule", "Authoritative Reference": "36 CFR 1226.18" }, { "Capability ID": "ERM.040.010.010", "Function": "Records Transfer", "Activity Name": "Records Transfer Eligibility", "(I)nput, (P)rocess, (O)utput": "I", "Business Capability Statement": "Permanent records have met their retention period", "Authoritative Reference": "NARA Bulletin 2015-01: Age of Records" }, { "Capability ID": "ERM.040.010.020", "Function": "Records Transfer", "Activity Name": "Records Transfer Eligibility", "(I)nput, (P)rocess, (O)utput": "I", "Business Capability Statement": "Permanent records are not part of a litigation hold or information request", "Authoritative Reference": "36 CFR 1235.14" }, { "Capability ID": "ERM.040.010.030", "Function": "Records Transfer", "Activity Name": "Records Transfer Eligibility", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Approve transfer of permanent records to NARA", "Authoritative Reference": "36 CFR 1235.10" }, { "Capability ID": "ERM.040.020.010", "Function": "Records Transfer", "Activity Name": "Records Transfer Action", "(I)nput, (P)rocess, (O)utput": "I", "Business Capability Statement": "Permanent records are in acceptable file formats to be transferred to NARA", "Authoritative Reference": "NARA Bulletin 2014-04, Appendix A: Table of File Formats" }, { "Capability ID": "ERM.040.020.020", "Function": "Records Transfer", "Activity Name": "Records Transfer Action", "(I)nput, (P)rocess, (O)utput": "O", "Business Capability Statement": "Sensitive permanent records have passwords and other encryption disabled prior to transfer to NARA", "Authoritative Reference": "NARA Bulletin 2014-04: Format Guidance" }, { "Capability ID": "ERM.040.020.030", "Function": "Records Transfer", "Activity Name": "Records Transfer Action", "(I)nput, (P)rocess, (O)utput": "O", "Business Capability Statement": "Permanent records are exported from agency systems to NARA", "Authoritative Reference": "36 CFR 1235.10" }, { "Capability ID": "ERM.040.020.040", "Function": "Records Transfer", "Activity Name": "Records Transfer Action", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Prepare records for transfer to NARA", "Authoritative Reference": "36 CFR 1235.48; NARA Bulletin 2015-04: Metadata Guidance for the Transfer of Permanent Electronic Records" }, { "Capability ID": "ERM.040.020.050", "Function": "Records Transfer", "Activity Name": "Records Transfer Action", "(I)nput, (P)rocess, (O)utput": "O", "Business Capability Statement": "Permanent records are transferred to NARA for permanent storage", "Authoritative Reference": "36 CFR 1235.18" }, { "Capability ID": "ERM.040.030.010", "Function": "Records Transfer", "Activity Name": "Records Transfer Completion", "(I)nput, (P)rocess, (O)utput": "I", "Business Capability Statement": "Agency is notified that NARA has received permanent records", "Authoritative Reference": "NARA Bulletin 2014-04: Format Guidance" }, { "Capability ID": "ERM.040.030.020", "Function": "Records Transfer", "Activity Name": "Records Transfer Completion", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Transfer legal custody of records from agency to NARA", "Authoritative Reference": "36 CFR 1235.22" }, { "Capability ID": "ERM.040.030.030", "Function": "Records Transfer", "Activity Name": "Records Transfer Completion", "(I)nput, (P)rocess, (O)utput": "O", "Business Capability Statement": "Agency destroys permanent records from their agency systems", "Authoritative Reference": "ISO 15489-1:2016, Section 9.8 Migrating and converting records" }, { "Capability ID": "ERM.040.040.010", "Function": "Records Transfer", "Activity Name": "Permanent Records Retention Period Extension", "(I)nput, (P)rocess, (O)utput": "I", "Business Capability Statement": "Agency is notified that permanent records approved for transfer are part of an order, law, or business justification to extend the retention period", "Authoritative Reference": "36 CFR 1235.14(b)" }, { "Capability ID": "ERM.040.040.020", "Function": "Records Transfer", "Activity Name": "Permanent Records Retention Period Extension", "(I)nput, (P)rocess, (O)utput": "P", "Business Capability Statement": "Extend the time frame for which an agency retains legal custody of permanent records to accommodate an order, law, or business justification", "Authoritative Reference": "36 CFR 1235.14(b)" }, { "Capability ID": "ERM.040.040.030", "Function": "Records Transfer", "Activity Name": "Permanent Records Retention Period Extension", "(I)nput, (P)rocess, (O)utput": "I", "Business Capability Statement": "The special circumstances surrounding extending the time frame for which an agency retains legal custody of permanent records are no longer applicable", "Authoritative Reference": "36 CFR 1235.14(b)" }, { "Capability ID": "ERM.040.040.040", "Function": "Records Transfer", "Activity Name": "Permanent Records Retention Period Extension", "(I)nput, (P)rocess, (O)utput": "O", "Business Capability Statement": "The permanent records whose legal custody was retained by the agency are transferred to NARA in accordance with the records schedule", "Authoritative Reference": "36 CFR 1235.12(a)" } ], "Business Use Cases": { "Overview of Use Cases for Electronic Records Management": "https://ussm.gsa.gov/assets/files/ERM/NARA%20ERM%20Overview%20of%20Use%20Cases%20for%20Electronic%20Records%20March%202021.pdf", "ERM.010 Use Case for Electronic Records Capture": "https://ussm.gsa.gov/assets/files/ERM/NARA%20FERMI%20Use%20Cases%20for%20Capture%20March%202021.pdf", "ERM.020 Use Case for Electronic Records Maintenance and Use": "https://ussm.gsa.gov/assets/files/ERM/NARA%20FERMI%20Use%20Cases%20for%20Maintenance%20and%20Use%20March%202021.pdf", "ERM.030 Use Case for Electronic Records Disposal": "https://ussm.gsa.gov/assets/files/ERM/NARA%20FERMI%20Use%20Cases%20for%20Disposal%20March%202021.pdf", "ERM.040 Use Case for Electronic Records Transfer": "https://ussm.gsa.gov/assets/files/ERM/NARA%20FERMI%20Use%20Cases%20for%20Transfer%20March%202021.pdf" }, "Standard Data Elements": { "Electronic Records Management Standard Data Elements": "/assets/files/downloads/erm/Electronic-Records-Management-Standard-Data-Elements.xlsx" }, "Performance Metrics": "Business Standards Under Development" }