[ { "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)" } ]