Electronic Records Management
Select from the list of available functions to view associated activities
Capability ID | Function | Activity Name | (I)nput, (P)rocess, (O)utput | Business Capability Statement | Authoritative Reference |
---|---|---|---|---|---|
ERM.010.010.010 | Records Capture | Records Creation | I | A digital object is created | ISO 15489-1:2016, Section 9.2 Creating records |
ERM.010.020.010 | Records Capture | Records Validation | P | Determine whether a digital object meets the criteria for a record | 44 USC 3301 |
ERM.010.020.020 | Records Capture | Records Validation | P | Capture electronic messages sent or received from personal accounts within 20 days | 44 USC 2911 |
ERM.010.020.030 | Records Capture | Records Validation | P | Determine if the record can be placed under records management control | ISO 15489-1:2016, Section 5.3 Records systems |
ERM.010.020.040 | Records Capture | Records Validation | P | Verify the records possesses the characteristics of a record: reliability, authenticity, integrity, and usability | 36 CFR 1236.10 |
ERM.010.030.010 | Records Capture | Records Retention | P | Analyze records to determine retention period based on business value and legal obligations | 36 CFR 1225.12 (d) |
ERM.010.030.020 | Records Capture | Records Retention | P | Determine which records schedule applies to the group of records | 36 CFR 1236.20 (b)(3) |
ERM.010.030.030 | Records Capture | Records Retention | P | Obtain approval of retention period for group of records | 36 CFR 1225.12 (g) |
ERM.020.010.010 | Records Maintenance & Use | Access Level Management | P | Determine appropriate access levels for a record | ISO 15489-1:2016, Section 8.4 Access and permission rules |
ERM.020.010.020 | Records Maintenance & Use | Access Level Management | O | Assign appropriate access level for a record | ISO 15489-1:2016, Section 8.4 Access and permission rules |
ERM.020.020.010 | Records Maintenance & Use | Records Maintenance | P | Manage the metadata of a record throughout the lifecycle | ISO 15489-1:2016, Section 5.2.3 Metadata for records |
ERM.020.020.020 | Records Maintenance & Use | Records Maintenance | P | 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 | 36 CFR 1236.10 (c) |
ERM.020.030.010 | Records Maintenance & Use | Litigation Hold | I | Agency receives litigation hold | ISO 15489-1:2016, Section 9.9 Disposition |
ERM.020.030.020 | Records Maintenance & Use | Litigation Hold | I | Scope of litigation hold is determined by General Counsel and Records Officer | ISO 15489-1:2016, Section 9.9 Disposition |
ERM.020.030.030 | Records Maintenance & Use | Litigation Hold | P | Place hold on records identified by scope determination | 36 CFR 1236.20 (b)(7) |
ERM.020.030.040 | Records Maintenance & Use | Litigation Hold | O | Agency has applied litigation hold to all identified records | 36 CFR 1236.20 (b)(7) |
ERM.020.030.050 | Records Maintenance & Use | Litigation Hold | P | Lift hold on records identified by scope determination | 36 CFR 1236.20 (b)(7) |
ERM.020.040.010 | Records Maintenance & Use | Information Request | I | Agency receives information request | ISO 15489-1:2016, Section 9.9 Disposition |
ERM.020.040.020 | Records Maintenance & Use | Information Request | I | The scope of the information request is determined by the Records Officer and General Counsel | ISO 15489-1:2016, Section 9.9 Disposition |
ERM.020.040.030 | Records Maintenance & Use | Information Request | P | Identify records and respond to satisfy an information request | ISO 15489-1:2016, Section 8.5 Disposition authorities |
ERM.020.040.040 | Records Maintenance & Use | Information Request | O | Identified records are made available to satisfy the information request | 36 CFR 1236.20 (b)(5) |
ERM.020.050.010 | Records Maintenance & Use | Records Migration | I | Identify records to migrate to new records system before the current system is retired | 36 CFR 1236.14 (a) |
ERM.020.050.020 | Records Maintenance & Use | Records Migration | P | Export records from legacy system for migration | 36 CFR 1236.14 (b)(2) |
ERM.020.050.030 | Records Maintenance & Use | Records Migration | P | Convert records into acceptable formats to protect from technological obsolescence | 36 CFR 1236.14 (b)(3) |
ERM.020.050.040 | Records Maintenance & Use | Records Migration | O | Converted records can be imported into agency systems | NARA Bulletin 2010-05: Cloud Computing |
ERM.030.010.010 | Records Disposal | Records Disposal Eligibility | I | Records have met their retention period | 36 CFR 1226.10 |
ERM.030.010.020 | Records Disposal | Records Disposal Eligibility | I | Records have no further business value | 36 CFR 1225.18 (d)(3) |
ERM.030.010.030 | Records Disposal | Records Disposal Eligibility | I | Records are not part of a litigation hold or information request | ISO 15489-1:2016, Section 9.9 Disposition |
ERM.030.020.010 | Records Disposal | Records Disposal Approval | P | Notify business owners of eligible records for disposal | ISO 15489-1:2016, Section 9.9 Disposition |
ERM.030.020.020 | Records Disposal | Records Disposal Approval | O | The disposal of eligible records is approved by records stakeholders | ISO 15489-1:2016, Section 9.9 Disposition |
ERM.030.030.010 | Records Disposal | Records Disposal Action | P | Dispose of approved records from agency systems | ISO 15489-1:2016, Section 9.9 Disposition |
ERM.030.030.020 | Records Disposal | Records Disposal Action | O | Report created of records disposed of from agency systems | ISO 15489-1:2016, Section 9.9 Disposition |
ERM.030.040.010 | Records Disposal | Temporary Records Retention Period Change | I | Agency is notified that temporary records approved for disposal are part of an order, law, or business justification to change the retention period | 36 CFR 1226.18 |
ERM.030.040.020 | Records Disposal | Temporary Records Retention Period Change | P | Extend the retention period of temporary records approved for disposal to accommodate an order, law, or business justification | 36 CFR 1226.18 |
ERM.030.040.030 | Records Disposal | Temporary Records Retention Period Change | I | The special circumstances surrounding changing the retention period of the temporary records are no longer applicable | 36 CFR 1226.18 |
ERM.030.040.040 | Records Disposal | Temporary Records Retention Period Change | O | The temporary records whose retention period was changed are disposed of in accordance with the records schedule | 36 CFR 1226.18 |
ERM.040.010.010 | Records Transfer | Records Transfer Eligibility | I | Permanent records have met their retention period | NARA Bulletin 2015-01: Age of Records |
ERM.040.010.020 | Records Transfer | Records Transfer Eligibility | I | Permanent records are not part of a litigation hold or information request | 36 CFR 1235.14 |
ERM.040.010.030 | Records Transfer | Records Transfer Eligibility | P | Approve transfer of permanent records to NARA | 36 CFR 1235.10 |
ERM.040.020.010 | Records Transfer | Records Transfer Action | I | Permanent records are in acceptable file formats to be transferred to NARA | NARA Bulletin 2014-04, Appendix A: Table of File Formats |
ERM.040.020.020 | Records Transfer | Records Transfer Action | O | Sensitive permanent records have passwords and other encryption disabled prior to transfer to NARA | NARA Bulletin 2014-04: Format Guidance |
ERM.040.020.030 | Records Transfer | Records Transfer Action | O | Permanent records are exported from agency systems to NARA | 36 CFR 1235.10 |
ERM.040.020.040 | Records Transfer | Records Transfer Action | P | Prepare records for transfer to NARA | 36 CFR 1235.48; NARA Bulletin 2015-04: Metadata Guidance for the Transfer of Permanent Electronic Records |
ERM.040.020.050 | Records Transfer | Records Transfer Action | O | Permanent records are transferred to NARA for permanent storage | 36 CFR 1235.18 |
ERM.040.030.010 | Records Transfer | Records Transfer Completion | I | Agency is notified that NARA has received permanent records | NARA Bulletin 2014-04: Format Guidance |
ERM.040.030.020 | Records Transfer | Records Transfer Completion | P | Transfer legal custody of records from agency to NARA | 36 CFR 1235.22 |
ERM.040.030.030 | Records Transfer | Records Transfer Completion | O | Agency destroys permanent records from their agency systems | ISO 15489-1:2016, Section 9.8 Migrating and converting records |
ERM.040.040.010 | Records Transfer | Permanent Records Retention Period Extension | I | Agency is notified that permanent records approved for transfer are part of an order, law, or business justification to extend the retention period | 36 CFR 1235.14(b) |
ERM.040.040.020 | Records Transfer | Permanent Records Retention Period Extension | P | Extend the time frame for which an agency retains legal custody of permanent records to accommodate an order, law, or business justification | 36 CFR 1235.14(b) |
ERM.040.040.030 | Records Transfer | Permanent Records Retention Period Extension | I | The special circumstances surrounding extending the time frame for which an agency retains legal custody of permanent records are no longer applicable | 36 CFR 1235.14(b) |
ERM.040.040.040 | Records Transfer | Permanent Records Retention Period Extension | O | The permanent records whose legal custody was retained by the agency are transferred to NARA in accordance with the records schedule | 36 CFR 1235.12(a) |