Federal Integrated Business Framework - Electronics Record Management

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Electronic Records Management

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Electronic Records Management

The Federal Integrated Business Framework is a model that enables the Federal government to better coordinate and document common business needs across agencies and focus on outcomes, data, processes and performance. It is the essential first step towards standards that will drive economies of scale and leverage the government’s buying power.

Electronic Records Management Lead
Name: National Archives and Records Administration
Website: https://www.archives.gov/records-mgmt/policy/fermi

Federal Business Lifecycle - Electronic Records Management

Federal Business Lifecycles, functional areas, functions, and activities serve as the basis for a common understanding of what services agencies need and solutions should offer.

Functions: Breakdown of a functional area into categories of services provided to customers.

Activities: Within a function, processes that provide identifiable outputs/outcomes to customers are defined as activities. Select from the list of available functions to view associated activities.

Select from the list of available functions to view associated activities

ERM.010 Records Capture

Identifier	Activity	Description
ERM.010.010	Records Creation	Records Creation refers to the process of creating digital objects in the course of agency business.
ERM.010.020	Records Validation	Records Validation refers to the process of verifying a digital object possesses the characteristics of a record.
ERM.010.030	Records Retention	Records Retention refers to the process of analyzing the business value of groups of records and assigning retention periods.

ERM.020 Records Maintenance & Use

Identifier	Activity	Description
ERM.020.010	Access Level Management	Access Level Management refers to the process of determining the appropriate level of access for agency personnel to a record.
ERM.020.020	Records Maintenance	Records Maintenance refers to the storage, retrieval, and handling of records by a Federal agency.
ERM.020.030	Litigation Hold	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.
ERM.020.040	Information Request	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.
ERM.020.050	Records Migration	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 Records Disposal

Identifier	Activity	Description
ERM.030.010	Records Disposal Eligibility	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.
ERM.030.020	Records Disposal Approval	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.
ERM.030.030	Records Disposal Action	Records Disposal Action refers to the process of disposing of records eligible and approved for disposal.
ERM.030.040	Temporary Records Retention Period Change	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 Records Transfer

Identifier	Activity	Description
ERM.040.010	Records Transfer Eligibility	Records Transfer Eligibility refers to the process of determining if records are ready to be transferred to NARA for permanent storage.
ERM.040.020	Records Transfer Action	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.
ERM.040.030	Records Transfer Completion	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.
ERM.040.040	Permanent Records Retention Period Extension	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 - Electronic Records Management

Business Capabilities are the outcome-based business needs mapped to Federal government authoritative references, forms, and data standards.

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)

Business Use Cases - Electronic Records Management

A set of agency “stories” that document the key activities, inputs, outputs, and other LOB intersections to describe how the Federal government operates.

Under development.

Standard Data Elements - Electronic Records Management

Identify the minimum data fields required to support the inputs and outputs noted in the use cases and capabilities.

Under development.

Performance Metrics - Electronic Records Management

Define how the government measures successful delivery of outcomes based on timeliness, efficiency, and accuracy targets.

To be developed.