Hhs RM Segment Gap Analysis and Strategic Improvement

United States Department of
Health & Human Services

Office of Resource Management,
Office of Records Management and
Enterprise Architecture
Program Management Office
HHS Records Management Segment Gap
Analysis and Strategic Improvement
Opportunities
Version 1
June 26, 2009
HHS Records Management Segment Gap Analysis and Strategic Improvement Opportunities
Version
a!le of "ontents
# $ntroduction%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%#
Vision...............................................................................................................................................2
Records Management Segment Goals and Objecties.......................................................................2
!ocument Oerie".........................................................................................................................#
$e% Records Management !riers, &olicies and &rocedures............................................................#
'onte(t )or media*neutral Records ...................................................................................................6
'onte(t )or +lectronic Records ..................................................................................................6
& Records Management 'overnance Structure%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%(
,aseline............................................................................................................................................-
Ga.s.................................................................................................................................................9
/arget Vision....................................................................................................................................9
) *usiness Process "onsistenc+%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%#,
,aseline..........................................................................................................................................11
Ga.s...............................................................................................................................................12
/arget Vision..................................................................................................................................12
- Paper Records%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%#)
,aseline..........................................................................................................................................1#
Ga.s...............................................................................................................................................1#
/arget Vision..................................................................................................................................1#
. Electronic Records%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%#-
+*mail S%stems...............................................................................................................................10
,aseline....................................................................................................................................10
Ga.s.........................................................................................................................................11
/arget Vision............................................................................................................................16
!ocument Re.ositor%, 2eb 'ontent, and 'orres.ondence Management S%stems..........................13
,aseline....................................................................................................................................13
Ga.s.........................................................................................................................................1-
/arget Vision............................................................................................................................1-
Records Management S%stems.......................................................................................................19
,aseline....................................................................................................................................19
Ga.s.........................................................................................................................................20
/arget Vision............................................................................................................................20
4ll Ot5er 6/ S%stems......................................................................................................................20
,aseline....................................................................................................................................20
Ga.s.........................................................................................................................................21
/arget Vision............................................................................................................................21
/ Scheduling of $ S+stems%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%&&
,aseline....................................................................................................................................22
Ga.s.........................................................................................................................................22
/arget Vision............................................................................................................................2#
0 RM $ntegration 1ith other Enterprise Processes%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%&-
7uman Resources 87R9 ...........................................................................................................20
'a.ital &lanning........................................................................................................................20
:S !e.artment o) 7ealt5 and 7uman Serices
June 26, 2009
O'6O;ORM O))ice o) Records Management and +nter.rise 4rc5itecture
i
Version
+nter.rise 4rc5itecture.............................................................................................................21
6n)ormation Securit%.................................................................................................................26
'ontinuit% o) O.erations 8'OO&9...................................................................................................26
<reedom o) 6n)ormation 8<O649.....................................................................................................23
=itigation and Records 7olds..........................................................................................................23
( 2ederal Record "enters Audits%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%&3
,aseline....................................................................................................................................29
/arget Vision............................................................................................................................29
3 Other 'aps and Opportunities%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%),
Resources........................................................................................................................................#0
/raining .........................................................................................................................................#0
:ni>ue Records Sc5edules .............................................................................................................#1
#, RM Segment Development 4e5t Steps%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%)&
Appendi5 A 'lossar+%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%))
Appendi5 * Summar+ 'ap Anal+sis%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%)0
Appendi5 " *usiness 2unction Diagram %%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%-#
Appendi5 D *usiness Process Anal+sis%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%-&
Appendi5 E RM Organi6ational Structure%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%-.
Appendi5 2 HHS E7mail S+stems High7level Diagram%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%-/
Appendi5 ' Document and 8e! Management S+stems 9ist%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%-0
Appendi5 H Records Management S+stems 9ist%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%-3
Appendi5 $ HHS *usiness Area Diagram%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%.#
Appendi5 : $nclusion of functional anal+sis into Segment Development Methodologies%%%%%%%%.&
Appendi5 ; RM Product Registr+, DOD .,#.%,&7SD ,-<,0%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%.)
Appendi5 9 RM Segment Development Artifacts *ased on the 2SAM%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%.-
Appendi5 M Records 9ife "+cle Diagram%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%..
Appendi5 4 Records Management communication, hierarch+, reporting relationships
Diagram%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%./
9ist of a!les
a!le # Records Management Drivers%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%/
a!le & "ore RM 2unctions%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%##
a!le ) HHS e7mail s+stems%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%#-
a!le - Document Repositor+ and 8e! "ontent S+stems%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%#(
a!le . Records Management S+stems%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%#3
a!le / 4um!er of Ma=or and 4on7ma=or $ s+stems !+ OPD$>%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%&#
June 26, 2009
ii
# $ntroduction
/5e !e.artment o) 7ealt5 and 7uman Serices 877S9
1
Records Management &rogram 8RM&9
.roides 77S "it5 re>uirements and .rocedures to create and .resere ade>uate and .ro.er
documentation in all media o) all transactions o) t5e !e.artment. O))icial records created and
receied are t5e .ro.ert% o) t5e <ederal Goernment. /5e 77S RM& com.lies "it5 t5e <ederal
Records 4ct o) 1910 and ot5er a..licable la"s and regulations, and is de)ined as a .lanned,
coordinated set o) .olicies, .rocedures, and actiities needed b% t5e !e.artment to manage its
records.
/5e !e.artment o) 7ealt5 and 7uman Serices 877S9 5as 12 Records O))icers sericing 21
Records Grou.s. +ac5 Records Grou. identi)ies t5e uni>ue records created b% t5e a..ro(imatel%
30,000 77S nation*"ide em.lo%ees and contractors assigned to .er)orm t5e duties associated "it5
eac5 Records Grou.. /5e 11 O.erating !iisions 8O&!6VS9 and t5e 21 O))ice o) t5e Secretar%
Sta)) !iisions 8S/4<<!6Vs9 .er)orm t5e mission*critical )unctions o) t5e !e.artment. :nder t5e
direction o) t5e recentl% a..ointed !e.artment?s Records O))icer, t5e 12 Records O))icers manage
t5e records management .rograms o) t5e O&!6VS and S/4<<!6Vs.
6n an e))ort to ensure standardi@ation and com.liance, t5e !e.artment establis5ed t5e Records
Management 'ouncil 8RM'9 b% '5arter on 4ugust 21, 2003. /5e goal o) t5e RM' is to
continuall% seeA to im.roe t5e 77S Records Management &rogram t5roug5 sel) assessment and
.rogram im.roement action .lans. One o) t5e s.eci)ic actions re>uired b% #6 '<R Sub.art ,, is to
.re.are an annual RM .rogram ealuation re.orting t5e strengt5s and "eaAnesses. ,ased in .art on
t5e submissions )rom t5e 12 Records O))icers, t5e ealuation is .re.ared b% t5e '5air o) t5e RM',
"it5 reie", comment and concurrence b% t5e members. /5e re.ort is due on Januar% #1st o) eac5
%ear and re)lects t5e status o) t5e .rogram as o) !ecember #1st o) t5e .reious %ear.
/5is ga. anal%sis is a ste. in t5e 77S Records Management Segment 4rc5itecture deelo.ment
met5odolog%. /5e 77S Records Management Segment 4rc5itecture encom.asses records
management )unctions, .rocesses, )ormatsB and data and tec5nolog% ado.ted b% 77S O&!6Vs,
including t5e O))ice o) t5e Secretar% 8OS9, in t5eir current and )uture 8enisioned9 state.
/5e 77S Records Management Segment deelo.ment e))ort assists in broadening and solidi)%ing
t5e sco.e and related actiities o) t5e 77S RM& t5roug5 an iteratie c%cle o) assessment, isioning,
and .rocess im.roement. /5e )irst iteration o) t5e Records Management Segment )ocused on
ca.turing 77S? Cas*isD Record Management &rogram 8RM&9 and contrasting it to its desired Cto*
beD state. /5e Records Management 6ntegrated &roject /eam 86&/9 is no" )ocusing on identi)%ing
ga.s and E.ain .oints? and .utting )ort5 a roadma. to address t5em and to s%stematicall% document
and .rioriti@e t5e RM& needs. /5is "ill ensure t5at t5e o.timi@ed business .rocesses and t5e
su..orting s%stems and data "ill enable t5e 77S Records Management &rogram to meet t5e
re>uirements and goals set )ort5 in t5e 'ode o) <ederal Regulations, #6 '<R Sub.art ,
Regulations, in a most e))icient and e))ectie manner. /5e deelo.ment o) t5e ision, goals, and
objecties o) t5e 77S 6&/ and t5e Records Management segment are .roided in t5e ne(t section.
1
Throughout this document, the acronym HHS refers to all Operating Divisions (OPDIVs), Office of the Secretary Staff
Divisions (S/4<<!6Vs), and the Inspector eneral as a com!ined single entity"
# $in% to the &' (harter
June 26, 2009
1
<or more in)ormation about t5e sco.e o) t5e 6&/ and t5e segment see t5e CRecords Management
Segment CharterD document
2
.
>ision
/5e ision )or t5e Records Management Segment is to establis5 )or 77S as a best .ractice a
common de.artment*"ide records management .rocess and la% t5e ground"orA in establis5ing a
F4R4* endorsed electronic records management s%stem, t5ereb% securing and .roiding access to
77S 5istorical data and ensuring timel% retention o) records using t5e +nter.rise 4rc5itecture 8+49
segment deelo.ment met5odolog%.
77S "ill )acilitate t5e >ualit%, coordination, e))ectieness, and e))icienc% o) t5e o.erations o) a
!e.artment*"ide electronic records management s%stem. /5e 77S ision is to establis5 a Records
Management &rogram t5at "ill allo" it to moe )or"ard "it5 t5e researc5, testing, .ilot, and
eentual im.lementation o) an electronic records management s%stem.
Records Management Segment 'oals and O!=ectives
/5e Records Management Segment "ill .roide )or a com.re5ensie and s%stematic arc5itecture o)
t5e Records Management Strateg% at 77S, "it5 t5e goal o) building a Records Management
&rogram t5at sa)eguards ital in)ormation and .reseres institutional 5istor% and memor%, enables
res.onding e))icientl% to in)ormation re>uests, ensures regulator% com.liance, and establis5es a
!e.artment*"ide a"areness o) records management res.onsibilities )or eer% em.lo%ee, contractor,
intern, manager, e(ecutie and .olitical a..ointee.
/o t5is end, t5e 77S Records Management Segment .romotes t5e )ollo"ing s.eci)ic objectiesG
1. Use the Records Management Segment as the common Department-wide framework for
identifying HHSs records management requirements. ,% combining 77S? records
management .olicies and .rocedures "it5 t5e )oundation o) t5e OM, <+4 re)erence
models, t5e 77S Records Management Segment "ill .romote a standardi@ed means o)
im.lementing t5e Records Management &rogram in t5e !e.artment.
2. dentify records management issues and requirements and !ink them to their imp!ementing
techno!ogies and "usiness processes. /5e Records Management Segment "ill su..ort t5e
ealuation o) records management issues and re>uirements during t5e !e.artment?s
.lanning .rocesses, s.eci)icall% be)ore t5e im.lementation o) s%stems and su..orting
.rocesses.
#. #ui!d records management requirements into HHS $ go%ernance processes for capita!
p!anning& enterprise architecture& "usiness process design& continuity p!anning& and the
systems de%e!opment !ife cyc!e. /5e Records Management Segment "ill be a use)ul guide
)or building records management re>uirements into 6/ goernance .rocesses )or ca.ital
.lanning, enter.rise arc5itecture, business .rocess design, and t5e s%stems deelo.ment li)e
c%cle.
0. 'sta"!ish a concise and coherent "ody of records management resources at HHS that
p!aces this information in the proper conte(t within the )edera! 'nterprise *rchitecture.
/5e 77S Records Management Segment "ill .roide a concise Ano"ledge*base t5at "ill
in)orm and guide 77S decision*maAers.
2
&' Segment (harter
June 26, 2009
2
Document Overvie1
/5is document identi)ies ga.s and strategic im.roement o..ortunities anal%@ed at 77S. +ac5
section o) t5is document .resents t5e )ollo"ing to.icsG
) *aseline H +ac5 baseline sub*section .roides an oerie" o) t5e current RM state at
77S.
) 'ap H /5e ga. section describes arious RM mandates and re>uirements. 4 ga. is an
area "5ere 77S is not ade>uatel% meeting t5e re>uirements. Ga.s can also be inter.reted
as im.roement o..ortunities to moe t5e RM .rogram )or"ard.
) arget vie1 H /5e target ie" sub*section .roides a 5ig5 leel direction to address ga.s
and im.roement o..ortunities. /5is document does not .roide milestones and
solutions to t5e identi)ied ga.s. /5e ne(t >uarterl% delierable target a..roac5 "ill de)ine
t5e ste.s needed to remed% t5e ga.s. See section 10 )or t5e ne(t ste.s in t5e RM Segment
deelo.ment
/5e )indings and recommendations in t5is document re)lect t5e results o) t5e staAe5older?s anal%sis
undertaAen during t5e )irst .5ases o) t5e segment arc5itecture deelo.ment e))ort. /5roug5
interie"s, meetings, .olic% and document reie"s, and sure%s, E.ain .oints? and ga.s 5ae been
identi)ied. Resolution o) t5ese ga.s re.resents a 5ig5*.riorit% target )or t5e RM &rogram during t5e
current and subse>uent )iscal %ear.
/5e )indings and recommendations are intended to 5el. drie t5e target a..roac5 in terms o)
initiaties, .rogram direction, inestments, and .riorities related to t5e RM segment. Subse>uent
segment arc5itecture deelo.ment actiities "ill )urt5er de)ine t5e RM Segment target to address
ga.s and o..ortunities identi)ied in t5is document. /5e target a..roac5 "ill drie t5e
deelo.ment o) t5e )uture business case and assist in securing necessar% )unding to t5e
success)ul im.lementation o) t5e segment transition roadma.. 4 summar% table o) t5e baseline,
ga.s, and target ision is aailable in 4..endi( ,.
;e+ Records Management Drivers, Policies and Procedures
<ederal 4gencies are subject to seeral la"s and regulations goerning recordAee.ing
re>uirements )or <ederal records including t5e <reedom o) 6n)ormation 4ct, t5e <ederal &riac%
and !ata &rotection &olic% 4ct, t5e OM, 'ircular 4*1#0, and t5e +*Goernment 4ct o) 2002.
6n 200#, t5e 6nter*4genc% 'ommittee on Goernment 6n)ormation 86'G69 )ormed under section
203 o) t5e +*Goernment 4ct o) 2002 "it5 a mandate to recommend .olicies and .rocesses to
im.roe t5e management o) Goernment in)ormation and records to t5e !irector o) OM, and
t5e 4rc5iist o) t5e :nited States. /5e +lectronic Records Management 6nitiatie is one o) 20
initiaties under +*Goernment. /5e +lectronic Records Management 6nitiatie "ill .roide t5e
tools t5at agencies "ill need to manage t5eir records in electronic )orm, addressing s.eci)ic areas
o) electronic records management "5ere agencies are 5aing major di))iculties. /5is .roject "ill
.roide guidance on electronic records management a..licable goernment*"ide and "ill enable
agencies to trans)er electronic records to F4R4 in a ariet% o) data t%.es and )ormats so t5at
t5e% ma% be .resered )or )uture use b% t5e goernment and citi@ens. /5e 6'G6 5as establis5ed a
Records Management &ro)ile in t5e <ederal +nter.rise 4rc5itecture t5at .roides a )rame"orA
)or embedding common and consistent records management .rocesses and .rocedures into
June 26, 2009
#
4genc% business .rocesses. S.eci)icall%, t5e <ederal +nter.rise 4rc5itecture Records
Management &ro)ile .roides guidance t5atG
!e)ines records management re>uirements, standard o.erating models, and business rules
)or eac5 stage o) t5e records li)e c%cle and t5e s%stem deelo.ment li)e c%cle.
4..lies records management .olicies and .rocedures consistentl% across an enter.rise,
regardless o) t5e )ormat or media o) t5e records, .rocesses or .roject sco.e, tec5nolog%
or a..lications.
'urrentl%, t5e F4R4 Records Management &ro)ile, created in res.onse to t5e recommendations
o) t5e 6'G6 documents a 5ig5*leel )rame"orA )or records management. /5ere are no current
e))orts to deelo. a com.arable <+4 .ro)ile )or document managementB 5o"eer, agencies are
a..l%ing t5e &ro)ile to establis5 t5eir o"n enter.rise*"ide blue.rints )or records management
and to meet t5eir business needs.
/5e <ederal Records 4ct o) 1910, as amended, re>uires all <ederal agencies to maAe and .resere
records containing ade>uate and .ro.er documentation o) t5e organi@ation, )unction, .olicies,
decisions, .rocedures, and essential transactions. /5ese records are .ublic .ro.ert% and must be
managed according to a..licable la"s and regulations.
/5e <ederal Records 4ct also re>uires agencies to establis5 a Records Management .rogram.
/5is .rogram is de)ined as a .lanned, coordinated set o) .olicies, .rocedures, and actiities
needed to manage <ederal recorded in)ormation. +ssential elements include issuing u.*to*date
Records Management .olicies, .ro.erl% training t5ose res.onsible )or im.lementation, and
care)ull% ealuating t5e results to ensure ade>uac%, e))ectieness, and e))icienc%.
/5is document o)ten re)erences t5e regulations and guidelines listed in t5e )ollo"ing table.
Mandate 4ame Summar+
/5e <ederal Records
4ct
/5e <ederal Records 4ct 8<R49 o) 1910, as amended, establis5es t5e
)rame"orA )or records management .rograms in <ederal 4gencies. 6t re>uires
<ederal agencies to maAe and .resere records t5at document t5e actions o) t5e
<ederal Goernment. Generall%, records are t5ose documents, regardless o)
media, t5at record agenc% )unctions, .olicies, decisions, .rocedures and
essential transactions. /5e mandates o) t5e <R4 re>uire <ederal agencies to
5ae t5e ca.abilities to create and maintain trust"ort5% records. /rust"ort5%
records not onl% 5el. .resere t5e rig5ts o) t5e Goernment and its citi@ens but
also .romote >ualit% decision maAing and e))icient business .ractices.
June 26, 2009
0
OM, 'ircular 4*1#0
/5is .olic% "as establis5ed b% t5e O))ice o) Management and ,udget 8OM,9
t5roug5 a com.ilation o) suc5 la"s as t5e 'linger*'o5en 4ct 86n)ormation
/ec5nolog% Management Re)orm 4ct o) 19969, &a.er"orA Reduction 4ct,
&riac% 4ct, '5ie) <inancial O))icers 4ct, 'om.uter Securit% 4ct o) 19-3, and
ot5ers, and t5roug5 suc5 +(ecutie Orders 8+O9 as 1#011 8<ederal 6n)ormation
/ec5nolog%9 "5ic5 instructs t5e Goernment to im.roe t5e management o)
in)ormation s%stems. 4gencies are re>uired to manage t5eir in)ormation. 2it5
res.ect to Records Management, t5is 'ircular re>uires <ederal Records
Management .rograms to .roide ade>uate and .ro.er documentation o)
agenc% actiities, to .roide t5e abilit% to access records regardless o) )orm or
medium, and to ensure t5at retention sc5edules are deelo.ed and a..roed.
Goernment
&er)ormance and
Results 4ct 8G&R49
/5e .ur.ose o) t5is 4ct is to im.roe t5e con)idence o) t5e 4merican .eo.le in t5e
ca.abilit% o) t5e <ederal Goernment, im.roe .rogram e))ectieness, and
im.roe t5e internal management o) t5e <ederal Goernment.
4rmstrong .
+(ecutie O))ice o)
t5e &resident
/5is case resulted in t5e !istrict o) 'olumbia 8!'9 'ircuit 'ourt ruling t5at
electronic mail and "ord .rocessing )iles must be managed as Goernment
records, "5ic5 .rom.ted t5e Fational 4rc5ies to ado.t ne" regulations and
additions to t5e General Records Sc5edules 8GRS9 on t5e retention o) electronic
records.
&a.er Reduction 4ct
o) 1991
/5is 4ct is aimed at reducing t5e burden o) .a.er"orA resulting )rom t5e
collection o) in)ormation b% or )or t5e <ederal Goernment. /5is 4ct also seeAs to
ensure t5e greatest .ossible .ublic bene)it )rom Goernment in)ormation.
<reedom o)
6n)ormation 4ct
8<O649 and
+lectronic <reedom
o) 6n)ormation 4ct
8+*<O649
4mendments o) 1996
<O64 re>uires agencies to locate, retriee, screen, and res.ond "it5 documents
deemed to be legall% releasable at an% .oint in t5e documentIrecord li)e c%cle.
E72O$A re>uires agencies to .roide documents in electronic )ormat "5en
re>uested. :nder t5e .roisions o) t5e <O64, <ederal agencies are to maAe
t5eir records aailable to t5e greatest e(tent .ossible. /5is re>uires agencies to
become more trans.arent and res.onsie to re>uests )or in)ormation.
:nderstanding "5at in)ormation is 5eld, "5at is e(em.t )rom disclosure, and
"5at is releasable becomes a Ae% ca.abilit%.
Goernment
&a.er"orA
+limination 4ct
/5is 4ct re>uires t5at, "5en .racticable, <ederal agencies use electronic )orms,
electronic )iling, and electronic signatures to conduct o))icial business "it5 t5e
.ublic. 6t states t5at electronic records and t5eir related electronic signatures
are not to be denied legal e))ect, alidit%, or en)orceabilit% merel% because t5e%
are in electronic )orm, and encourages <ederal Goernment use o) a range o)
electronic signature alternaties.
&resident?s
Management 4genda
8&M49
/5e &resident?s +*Goernment Strateg% 5as identi)ied seeral 5ig5*return,
Goernment*"ide initiaties to integrate agenc% o.erations and in)ormation
tec5nolog% inestments. /5e goal o) t5ese initiaties is to eliminate redundant
s%stems and signi)icantl% im.roe t5e Goernment?s >ualit% o) serice.
June 26, 2009
1
+*Goernment 4ct o)
2002 800 :.S.'.
#6019
/5e goal o) t5e +*Goernment 4ct o) 2002 is to en5ance t5e management and
.romotion o) electronic Goernment serices and .rocesses. 6t establis5es a
broad )rame"orA o) measures t5at re>uire using 6nternet*based in)ormation
tec5nolog% to en5ance citi@en access to Goernment in)ormation and serices.
Section 2038e9 o) t5e +*Goernment 4ct o) 2002 re>uires agencies? current
electronic records to 5ae F4R4*a..roed records sc5edules )or all records in
e(isting electronic in)ormation s%stems b% Se.tember #0, 2009.
OM, <ederal
+nter.rise
4rc5itecture 8<+49
,usiness Re)erence
Models 8,RM9
/5e <+4 is a business*drien )rame"orA designed to )acilitate Goernment*
"ide im.roement. 6t .roides a )rame"orA to categori@e and classi)% 6/
inestments to su..ort t5e identi)ication and discoer% o) re*usable assets. /5e
)ie <+4 re)erence models 8,RM, S'RM, !RM, &RM, and /RM9 directl%
su..ort t5e deelo.ment o) a serice*oriented arc5itecture.
F2M 12.2009
Memorandum to
<ederal agenc%
Records O))icersG
Sc5eduling electronic
records
Memorandum to <ederal agenc% Records O))icers re>uesting s.eci)ic
in)ormation )rom agencies on t5eir .lans )or sc5eduling t5eir unsc5eduled
electronic records and s%stems
4.ril 09, 2009
=etter to '5ie)
6n)ormation O))icers
Reminder to all agencies '5ie) 6n)ormation O))icers o) t5e deadline )or
sc5eduling all 6/ s%stems. /5is memo also re>uests a res.onse )rom t5e '6Os
on 5o" eac5 agenc% is com.l%ing "it5 t5e statutor% re>uirements contained in
Section 2038e9 o) t5e +*Go 4ct o) 2002.
a!le # Records Management Drivers
"onte5t for media7neutral Records
/5e F4R4 a..roac5 to recordAee.ing is media*neutral. /5is means t5at records management
.ractices a..l% to records o) all t%.e and media. 6n recent reisions o) General Records
Sc5edule 8GRS9 20 and #6 '<R 122-.208b98#9 and 122-.#1, F4R4 re>uires all ne" sc5edules
submitted a)ter !ecember 13, 2003 are media neutral unless ot5er"ise s.eci)ied 8122-.209 and
allo"s sc5edules .reiousl% a..roed )or certain 5ard co.% records to be a..lied to electronic
ersions 8122-.#18b99.
1
/5is media*neutral a..roac5 su..orts t5e current multimedia mi(ed )ormat realit% and indicates
t5at records sc5edules and )ile .lans are a..licable )or an% records regardless o) t5e media t%.e.
"onte5t for Electronic Records
/o .ara.5rase F4R4 in its Conte(t for '!ectronic Records Management 8+RM9, Records
Management, as de)ined in t5e 'ode o) <ederal Regulations, is t5e Jumbrella termJ )or t5e
disci.line de)ined b% an agenc%Ks .olicies and .rocesses )or managing t5e records t5at document
its actiities. /5is is denoted in L)igure 1M as t5e to.*leel, oerarc5ing bo(.
1
http*++,,,"archives"gov+records)mgmt+pdf+!re,er)!ridg-#-./0"pdf
June 26, 2009
6
2igure # "onte5t for Records Management
Records Management actiities subsumed under t5at umbrella ma% be accom.lis5ed in eit5er a
manual or automated manner. /5is is denoted in t5e bi)urcation at t5e ne(t leel do"n in t5e
diagram. 25en Records Management actiities are manual, t5is is t5e traditional a..roac5 to
Records Management. 4utomated Records Management actiities are re)erred to as electronic
Records Management 8+RM9. 6t is im.ortant to note t5at t5e e!ectronic in +RM re)ers to
automation, not to t5e nature o) t5e record media. 6t is entirel% .ossible to 5ae manual
.rocesses and .rocedures to 5andle electronic records 8e.g., s5el) lists o) bo(es o) )lo..% disAs9.
+lectronic Records Management sim.l% im.lies automation o) Records Management .rocesses
and .rocedures.
June 26, 2009
3
& Records Management 'overnance Structure
/5e anal%sis in t5is section relates to t5e 77S goernance structure and communication needs
"it5in t5e 77S Records Management 8RM9 )unctions.
*aseline
6n t5e <ederal Records Management goernance structure, t5e Fational 4rc5ies and Records
4dministration 8F4R49 is t5e goernance bod% t5at .roides guidance and training )or all
<ederal RM )unctions. F4R4 reie"s agenc% records sc5edules t5roug5 its records a..raisal
)unction, and .roides t5e legal aut5orit% )or records dis.osition instructions. F4R4 diides its
records a..raisal o.erations bet"een F4R4 2as5ington, !.'. and regional o))ices, and assigns
an a..raisal arc5iist to eac5 o) t5e 77S O&!6Vs. F4R4 Senior 4..raisal 4rc5iist 4ndrea
=oiselle seres as t5e 4..raisal 4rc5iist )or all o) 77S e(ce.t )or t5e 'enters )or !isease
'ontrol and &reention 8'!'9 and t5e 'enters )or Medicare N Medicaid Serices 8'MS9. /5e
'!' 4..raisal 4rc5iist is /ed !uAes 84tlanta9, and t5e 'MS F4R4 4..raisal 4rc5iist is
!aid Miller 8&5iladel.5ia9.
2igure & Records Management communication, hierarch+, and
reporting relationships diagram
June 26, 2009
-
4s indicated in t5e 77S &olic% )or Records Management 8See <igure 1 aboe and 4..endi( F
)or a larger conte(t ie"9, t5e res.onsibilit% )or establis5ing a .rogram to ensure com.liance
"it5 a..licable <ederal la"s and guidelines 5as been delegated to t5e 4ssistant Secretar% )or
Resources and /ec5nolog%, !e.ut% 4ssistant Secretar% )or 6n)ormation /ec5nolog%, O))ice o)
t5e '5ie) 6n)ormation O))icer 8O'6O9, O))ice o) Resources Management 8ORM9. /5e CO))ice o)
Resources Management 8ORM9 "it5in t5e !e.ut% 4ssistant Secretar% )or 6n)ormation
/ec5nolog% 8!4S6/9 is res.onsible )or .roiding t5e leaders5i., .lanning, oerall .olic%,
guidance, and general oersig5t o) records management in 77S, and its incor.oration into t5e
broader in)ormation resources management )rame"orA.D
1
/5e Records Management
res.onsibilities )or t5e !e.artment?s and O&!6V Records O))icers , Secretaries, !irectors,
4dministrators, '5air o) t5e !e.artment?s 4..eals ,oard, Fational 'oordinator )or 7ealt5 and
6n)ormation /ec5nolog%, General 'ounsel, 6ns.ector General, O))ice !irectors, and all 77S
em.lo%ees are stated in t5e 77S &olic% )or Records Management.
6n an e))ort to im.roe t5e accountabilit% )or Records Management, t5e !e.ut% Secretar% "as
brie)ed regarding records management re>uirements and t5e 4ssistant Secretar% )or Resources
and /ec5nolog%?s 84SR/9 .lan )or &rogram im.roement. /5e !e.ut% Secretar% directed all
senior leaders to attend a Records Management brie)ing at 5is mont5l% leaders5i. meeting.
4dditionall%, RM .er)ormance measures "ere deelo.ed )or all Senior +(ecutie Serice 8S+S9
em.lo%ees. /5e measures "ere a..roed b% t5e O))ice o) &ersonnel Management 8O&M9 and
"ill be im.lemented as .art o) t5e 2009 calendar %ear a..raisal .eriod.
'aps
4s indicated in t5e 77S 200- Records Management 4ssessment, Ae% Records O))icer .ositions
"ere not .rom.tl% )illed or t5e duties "ere assigned as an additional or co*lateral dut%. /5ese
co*lateral dut% assignments man% times "ere made "it5out a determination o) >uali)ications
andIor "it5out .roiding a..ro.riate training.
arget >ision
+stablis5ment o) Senior +(ecutie Serice 8S+S9 Records Management .er)ormance measures is
intended to im.roe Records Management accountabilit% t5roug5out t5e !e.artment.
/5e ne(t goal is to e(tend t5e records management .er)ormance element to all em.lo%ees,
t5ereb% rein)orcing t5e Records Management goernance structure. 4 better integration o)
Records Management in t5e dail% organi@ational .rocesses, ongoing communication and training
"ill .roide t5e Ano"ledge necessar% to im.lement t5e targeted goernance.
1
http*++,,,"hhs"gov+ocio+policy+#//0)///1"//-"html
June 26, 2009
9
) *usiness Process "onsistenc+
,usiness .rocesses de)ine t5e se>uence o) actiities t5at a grou. .er)orms and create a re.eatable
set o) actions to ac5iee measurable results.
/5e business .rocess consistenc% is a )unctional ga. t5at anal%@es 5o" t5e Records Management
8RM9 )unctions o.erate and are im.lemented at 77S. ,ased on F4R4 and 77S .olicies, t5e
set o) .rocesses identi)ied as releant and a..licable to 77S RM is listed in table 2 8<or more
detail see 4..endi( ' )or t5e business )unction diagram9G
"ORE RM 2U4"$O4S ?PRO"ESSES@
Record $dentification
"reate Records
Su..ort ,usiness S.eci)ic .rocedures )or Records 'reation
Su..ort t5e 6/ S%stem o"ners in establis5ing re>uirements )or t5e long term I.ermanent retention o) records
Schedule Record 1ith 4ARA
Reie" 4genc% <unctions and RecordAee.ing Re>uirements
6nentor% Records
+aluate Records as /em.orar% or &ermanentB +aluate Records )or Vital Records Status
!ra)t !is.osition 6nstructions 8S< 1119
Organi@e !ra)t Records Sc5edule and 'lear 6nternall% 8S< 1119
Obtain 4..roal )rom F4R4 8and G4O i) necessar%9 8S< 1119
6m.lement t5e 4..roed Sc5edule
Maintain Records
!eelo. and maintain )ile .lans
Oersee t5e .ro.er storage o) Records
Disposition
!is.ose /em.orar% Records 8S< 1#1 is stored at F4R4 <R'9
4..l% F4R4 General Records Sc5edules 8GRS9 as a..ro.riate
/rans)er &ermanent Records 8S< 21-9
Maintain in)ormation Records dis.osition
RM PRO'RAM MA4A'EME4
Manage RM .rogram
'reate and Maintain Guidelines and Standards
+stablis5 and Maintain =itigation &rocedures
Re.ort Storage <acilit% to F4R4
Manage !eelo.ment o) 4nnual RM 4ssessment
June 26, 2009
10
&er)orm +&=' 'ritical &artner Reie"s
Program Evaluation
!eelo. +aluation &rocedures
!eelo. 4udits /rails
&er)orm 6ns.ections
'onduct 4nnual 4ssessment
Special Records Management ReAuirements
'ontinuit% o) O.erations &lan 8'OO&9
Vital Records
raining
!eelo. Records Management /raining
&roide /raining and Guidance to all RM Sta))
&roide /raining and Guidance to all +m.lo%ees
a!le & "ore RM 2unctions
*aseline
6n 2003, t5e 4ssistant Secretar% )or Resources and /ec5nolog% directed t5e 77S Records
Management &rogram to )ocus on identi)%ing and .ro.osing solutions to an% .otential .roblem
areas. /5e 200- assessment outlines t5e s.eci)ic ste.s taAen and t5e leel o) im.roement
ac5ieed in t5e nine areas identi)ied. /5is assessment demonstrates t5at t5e risA o) creating and
maintaining ina..ro.riate records "as reduced )rom a leel o) CcriticalD to t5e leel o)
Csigni)icantD. /5is is mostl% t5e result o) im.roed records management a"areness.
'urrentl%, 77S? ca.abilities "it5 regards to Records Management are non*uni)orm. 25ile some
O.erating !iisions 8O&!6Vs9 5ae establis5ed t5eir .rocesses, ot5ers are still in t5e .rocess o)
creating t5em. 4s indicated in t5e business .rocess anal%sis 8see 4..endi( !9 t5e O&!6Vs are
e(ecuting most o) t5e core )unctional .rocesses 8t5ose outlined in t5e reised table 29. /5e
di))erences among t5e "a% .rocesses 5ae been im.lemented at 77S can be summari@ed as
)ollo"sG
Operational implementation * O&!6Vs 5ae im.lemented most o) t5e RM core
.rocesses "it5 some o.erational di))erences. /5e core )unction o) t5e .rocess is retained
but t5e% di))er based on organi@ational needs and resources aailabilit%. 77S 5as to date
conducted t"o annual assessments t5at describe t5e 77S o.erational di))erences.
1
"ompliance * /5ere are di))erences in t5e "a% certain a..roal .rocesses are
im.lemented. <or e(am.le, some 77S com.onents inole t5e <reedom o) 6n)ormation
4ct 8<O649 o))icer in t5e a..roal o) t5e standard )orm 8S<9 111 to re>uest records
dis.osition aut5orit% some O&!6Vs do notB some inole t5e O))ice o) General 'ounsel
in dis.osition determinations, and some do not.
1
200- Records Management &rogram 4nnual +aluation
June 26, 2009
11
Organi6ation * Man% o) t5e di))erences among RM .rocesses are due to t5e di))erent
organi@ational structures and )unctions o) eac5 O&!6V. <or e(am.le, F67 consists o)
2-
1
6nstitutes and 'enters maAing it di))icult to creating uni)orm RM .rocesses
Resources H =acA o) resources and multi.licit% o) res.onsibilities )or 77S Records
O))icers re)lect on t5e leel o) .rocess im.lementation. =acA o) resources also limits t5e
actiities t5at Records O))icers can .er)orm.
9evel of documentation H <e" O&!6Vs 5ae documented t5eir .rocesses or are in t5e
.rocess o) documenting t5em 8e.g., modeled business .rocesses )or )uture s%stem
deelo.ment9.
/5e .rocesses anal%@ed and documented currentl% coer t5e creation and maintenance o) non*
electronic records. /5e anal%sis "as done at a 5ig5 leel based on in)ormation .roided b% t5e
Records O))icers "5en aailable. 6n order to )acilitate t5e interie" .rocess, t5e business
.rocesses documented b% 'MS "ere used as a baseline.
'aps
77S 5as issued t5e necessar% RM .olicies and guidance )or eac5 res.ectie organi@ation t5at
address t5e need to im.lement most RM .rocesses. /5e di))erences 5ig5lig5ted aboe can be
considered ga.s i) t5e outcome o) t5e .rocesses or t5e lacA o) a s.eci)ic .rocess iolates .olicies
or regulations. 77S 5as to date conducted t"o annual assessments t5at describe t5e 77S
o.erational di))erences.
2
arget >ision
/o )urt5er 5el. 77S and t5e O&!6Vs reac5 a 5ig5er leel o) .rocess automation, manage
electronic records, im.roe re.orting, and ac5iee better com.liance, t5e RM communit% s5ould
de)ine, "5en a..licable, a set o) target standard .rocesses. /5ese target .rocesses ma% be
su..orted b% an +lectronic Records Management s%stem or solution in t5e )uture.
/5e 77S RM communit% "ill s5are best .ractices to de)ine and im.lement reusable target
.rocesses. /5is set o) target .rocesses "ill com.l% "it5 t5e )ull F4R4 re>uirements "5ic5
include t5e electronic transmission o) records. /5e deelo.ment o) t5e target RM business
.rocesses "ill drie t5e )unctional and data re>uirements
#
)or t5e target electronic RM s%stem
solution at 77S.
1
See 2ppendi3 4 for a high level organi5ational vie,
2
200- Records Management &rogram 4nnual +aluation
#
See 2ppendi3 I for an initial list of re6uirements" 7e, re6uirements ,ill !e added as the analysis continues"
June 26, 2009
12
- Paper Records
/5e anal%sis in t5is section is related to .a.er records.
*aseline
Most o) t5e records Ae.t at 77S are .a.er records b% design and .olic%. +*mail, documents,
)orms, and ot5er electronic )iles are .rinted to .a.er to satis)% records retentions and to be stored.
Since most o) t5e records at 77S are Ae.t in .a.er, t5e .rocesses identi)ied in section 2 are
mainl% e(ecuted )or .a.er records.
4s re.orted in section 2, 77S 5as "orAing .rocesses )or .a.er records. O&!6Vs are using
custom built .a.er record tracAing s%stems. More details about t5ese s%stems "ill be .roided in
section 0.#.
'aps
&a.er .rocesses are not consistent across 77S. /5e di))erences are 5ig5lig5ted in section 2.2 and
can be considered ga.s onl% i) t5e outcome iolates t5e .olicies or regulations.
arget >ision
77S "ill leerage t5e current .a.er records .rocesses to anal%@e 5o" it can begin to migrate
to"ard electronic records retention. &a.er records "ill remain t5e 77S o))icial recordAee.ing
co.% until suc5 time t5at 77S establis5es t5e in)rastructure to su..ort an electronic records
management s%stem as s.eci)ied in !o! 1011.2 standards. 6n addition to .a.er records, records
created and maintained in electronic )ormat "ill be Ae.t in electronic )ormat )or t5e duration o)
t5eir dis.osition li)e and t5en arc5ied in electronic )ormat.
June 26, 2009
1#
. Electronic Records
/5e ga.s identi)ied in t5is section are electronic in nature.
/5e +lectronic Records ga. de)ines t5e delta bet"een t5e need to moe to"ard a RM electronic
solution and t5e current baseline at 77S.
,ecause o) t5e cross )unctional su..ort o) e*mails, document re.ositories, and "eb content
s%stems, t5is section addresses eac5 t%.e o) s%stem se.aratel%. /5e records contained in e*mails,
document re.ositories, and "eb content s%stems need to be .ro.erl% sc5eduled and dis.osed
)ollo"ing t5e General Records Sc5edule or O&!6V s.eci)ic sc5edules. ,ecause t5e records
contained in t5ese s%stems su..ort a large range o) )unctions, t5e% 5ae di))erent dis.ositions.
/5e anal%sis t5at )ollo"s treats e*mails, document re.ositories, and "eb content s%stems,
se.aratel% Ano"ing t5at a mec5anism s5ould be im.lemented to allo" )or multi.le dis.ositions
8sc5edule9 "it5in t5e same s%stem.
E7mail S+stems
/5is section .roides t5e baseline, ga.s, and target ision o) e*mail s%stems at 77S.
*aseline
6n 200- 77S released t5e C77S &olic% )or Records Management )or e*mailsD to address t5e
su))icient and .ro.er management o) e*mails as re>uired b% statutor% and regulator%
re>uirements. 4s stated in t5e .olic%, t5e current 77S e*mail s%stems do not .roide
recordAee.ing )unctionalities.
77S and all O&!6Vs are currentl% su..orted b% t5e )ollo"ing e*mail s%stemsG
E7mail S+stem
4ame
echnolog+
Supported
Organi6ations
9ocation PO" <O1ner
HHS Mail #
Microso)t
+(c5ange
OS
Reston, V4
Mic5ael Si5ra,
Susi 'onnor, !irector
o) 6/O
4'<
47RO
4o4
67S
'MS
S4M7S4
HHS Mail &
Microso)t
+(c5ange
'!' 4tlanta, G4 Susi 'onnor, 6/O
HHS Mail )
Microso)t
+(c5ange
<!4 &arAla"n, M!
O$' Mail
Microso)t
+(c5ange
O6G 2as5ington, !'
4$H
Microso)t
+(c5ange
F67
,et5esda, M! $ein 7o.e son, '6/
7RS4
a!le ) HHS e7mail s+stems
4..endi( < de.icts a 7ig5*leel diagram o) t5e 77S e*mail s%stems.
June 26, 2009
10
77S Mail 1 and 77S Mail 2 .roide 'ontinuit% o) O.erations 8'OO&9 )unctionalities )or eac5
ot5er. 4lt5oug5 t5e 77S e*mail s%stems are redundant and 5ae e(tra storage ca.acit%, t5e% are
not used )or Records Management .ur.oses. /oda% at 77S, e*mails are eit5er .rinted to .a.er
)or recordAee.ing or tem.oraril% stored electronicall% in a Microso)t OutlooA arc5ie )ile
8&ersonal Storage /able &S/9.
'aps
Fot all e*mails are records and e*mails t5at are records are not dis.osed o) according to t5e
F4R4 General Records Sc5edules. 4n 77S tem.orar% solution is to Aee. e*mails as records as
indicated in t5e HHS Records Management +rocedures Manua! and in t5e training )or Records
O))icers, liaisons, managers and em.lo%ees. 'om.letion o) t5e alidation o) )ile .lans is needed
so t5at a..roed records management instructions are im.lemented b% em.lo%ees )or t5e
arc5iing and dis.osition o) e*mails.
4s indicated in t5e 77S &olic% )or Records Management )or e*mails, ..st )iles are onl% a
tem.orar% electronic 5olding .lace and .rinting e*mails to .a.er remains t5e onl% acce.table
77S record )or most O&!6Vs. Feit5er t5e ..st )ile nor t5e .rinting to .a.er solution .roides
.ro.er long term storage or t5e discoer% )unctionalities needed b% t5e !e.artment. +*mail
messages stored locall% in Microso)t OutlooA arc5ie )iles are not easil% s5ared, searc5ed, or
bacAed u..
.&S/ )iles also re.resent a substantial increase in RM risA and can create a multitude o) tec5nical
and o.erational .roblems, suc5 asG
Violation o) cor.orate retention management .olicies, "5ic5 are critical in regulated
enironments.
6ncreased e*discoer% and litigation costsG ..st )iles are usuall% stored on users? local 5ard
dries, "it5 no centrali@ed ie" or managementB )inding, reie"ing and .roiding t5em
in res.onse to an e*discoer% re>uest can be a time*consuming and e(.ensie .rocess
Fegatie im.act on 6/ resources as su..ort sta)) struggle to )ind and restore lost or
damaged ..st )iles on local and net"orAed dries
'orru.tion o) ..st )iles "5en )iles a..roac5 2G, in si@e
OutlooA users inadertentl% delete t5eir data
2eaAening o) cor.orate securit%
+scalating storage and storage management costsG ..st )iles can account )or u. to 00P o)
all 5ig5*cost, online and o))line storage
Reduced em.lo%ee .roductiit%G time s.ent b% em.lo%ees in managing mailbo( >uotas
and creating ..st )iles accounts )or a..ro(imatel% 11 minutes, .er da%, .er em.lo%ee.
25en an OutlooA mailbo( e(ceeds its ca.acit%, t5ese ..st )iles could be at risA.
/5e 77S e*mail s%stems listed in table 2 do not .roide records arc5iing )unctionalities as
identi)ied in t5e F4R4 #6 'ode o) <ederal Regulations 8'<R9 &art 12#0 Sub.art '. F4R4
re>uires t5at C4gencies must not use an electronic mail s%stem to store t5e recordAee.ing co.%
June 26, 2009
11
o) electronic mail messages identi)ied as <ederal records unless t5at s%stem 5as all o) t5e
)eatures s.eci)ied in .aragra.5 8b9819 o) t5is section.D 6n t5e #6 '<R &art 12#0 Sub.art '
8.aragra.5 8b9 819, F4R4 states t5at CRecordAee.ing s%stems t5at include electronic mail
messages mustG
6. &roide )or t5e grou.ing o) related records into classi)ications according to t5e nature o)
t5e business .ur.oses t5e records sereB
66. &ermit eas% and timel% retrieal o) bot5 indiidual records and )iles or ot5er grou.ings o)
related recordsB
666. Retain t5e records in a usable )ormat )or t5eir re>uired retention .eriod as s.eci)ied b% a
F4R4*a..roed records sc5eduleB
6V. ,e accessible b% indiiduals "5o 5ae a business need )or in)ormation in t5e s%stemB
V. &resere t5e transmission and recei.t data s.eci)ied in agenc% instructionsB and
V6. &ermit trans)er o) .ermanent records to t5e Fational 4rc5ies and Records
4dministration.D
4dditionall%, 77S does not collect e8mail 8"5ic5 ma% include attac5ments, calendars, tasAs lists,
etc.9 in a central re.ositor%.
arget >ision
77S s5ould aim at integrating t5e 77S e*mail S%stems "it5 an +lectronic !ocument
Management S%stem to automate t5e retention and dis.osition o) o))icial records 8+*mails9
according to a alidated records sc5edule and )ile .lan.
/5is solution "ould allo" t5e tem.orar% ..st solution to be .5ased out to an +lectronic
!ocument Management S%stem )or t5e !e.artment. 6n doing so, 77S "ill eliminate ..st )iles,
migrating t5em to a secure, central arc5ie t5at o))ers .olic%*drien collection, retention and
dis.osition. 77S s5ould also aim to create a )ull*te(t inde(ing searc5 and retrieal o) ..st )ile
content. ,ecause o) t5e number o) em.lo%ees at 77S and t5e use o) multi.le e*mail s%stems
used, t5e !e.artment s5ould ealuate t5e most e))icient a..roac5 )or t5e organi@ation. 77S
s5ould also taAe into consideration all t5e .riac% and securit% restrictions o) t5e O&!6Vs.
77S s5ould incor.orate e*mail as .art o) an enter.rise Records Management strateg% )or
electronic records to secure t5e !e.artment?s intellectual .ro.ert%. /5e 77S solution s5ouldG
Reduce serer load on Microso)t +(c5ange
1
"it5out limiting t5e use o) e*mail and
restricting end*users? access
4utomaticall% collect and arc5ie inbound and outbound messages
Retriee and restore arc5ied e*mails t5at 5ae been arc5ied
&roide end users "it5 access to arc5ied messages ia an eas% to use, integrated, searc5
inter)ace
1
HHS is only running 'S 43change servers
June 26, 2009
16
!uring t5e ne(t .5ase o) t5e RM segment arc5itecture, 77S "ill set t5e re>uirements and
boundaries )or an electronic records solution )or e*mails.
Document Repositor+, 8e! "ontent, and "orrespondence Management S+stems
/5is section looAs at t5e current document re.ositories and "eb content s%stems at 77S. 2eb
content and document and management tools are stand alone s%stems or "eb sites t5at access
s5ared "orAs.aces and documents, as "ell as s.eciali@ed a..lications liAe "iAis and blogs )rom
a "eb bro"ser. !ocuments stored in t5ese 6/ s%stems are im.ortant )rom a Records
Management .oint o) ie" because t5e% store o))icialI)inal co.ies o) documents in multi.le
)ormats 87/M=, 2ord, +(cel, etc.9.
*aseline
/able 0 .resents a list o) "eb content and document re.ositor% s%stems. 4 detailed table "it5
s%stems descri.tions is .roided in 4..endi( G.
OPD$> S+stem 4ame echnolog+ Alias
4S&4, OS OS 4S&4 77S +nter.rise &ortal
Oracle
8<ormer &lum/ree9
77S 2eb
&ortal
4S&4, OS OS 4S&4 2eb 'ontent Management S%stem
R5%t5m%( +'MS
8&ercussion 6nc.9
2'MS
O'6O, OS OS 4SR/ 77S O'6O 'ollaboration &ortal
S5are&oint
8Microso)t9
O'6O
'ollaboration
&ortal
4S&R, OS OS 4S&R Management /ools
!ocumentum
8+M'9
,M/
OS
OS 6OS Strategic 2orA 6n)ormation and <older
/rans)er
S26</
'!' !ocument Re.ositor%
!ocumentum
8+M'9
*
'!' +nter.rise 'ommunications /ec5nolog% &lat)orm
SiteSca.e
8Foell9
*
'MS &roject and &ort)olio Management
'larit%
8'49
*
'MS cms.55s.go I medicare.go
Stellent
8Oracle9
*
'MS 'MS $no"ledge 2are5ouse
$no"ledge"are
8Sterling So)t"are9
*
'VM, <!4 'VM 'ommunication !atabase Oracle
'VM 'om
!,
'VM, <!4
<!4 'VM 'or.orate !ocument Management
S%stem
!ocumentum
8+M'9
'!MS
'VM, <!4 <!4 'VM 'ontent Management S%stem Microso)t Serices 'MS
June 26, 2009
13
<!4 &ublication and &resentation !atabase
'itri( &resentation
Serer
&ubs
<!4 +lectronic !ocument Storage and Reie" +!SR
<!4 46MS 'ore * !ocumentum Re.ositories
!ocumentum
8+M'9
!ocs
7RS4 7RS4 $no"ledge Gate"a% * 7$G
67S S5are&oint !ocument Re.ositor%
S5are&oint
8Microso)t9
*
F67 F67 O!IOR< +!MS * *
F67 F67 O!IORS R+=46S * *
F67 F67 F6F!S S5are&oint !ocument =ibrar%
S5are&oint
8Microso)t9
*
F67
F67 O! +(ecutie Secretarial S%stem )or
+nter.rise Records and 'orres.ondence 7andling
8S+R'79
* S+R'7
a!le - Document Repositor+ and 8e! "ontent S+stems
6n addition to t5e s%stems listed in table 0, t5e Strategic 8orB $nformation and 2older
ransfer ?S8$2@ and S+stem for Enterprise Records and "orrespondence Handling
?SER"H@ are corres.ondence management s%stems. S8$2 is t5e O))ice o) t5e Secretar%Ks
S%stem t5at collects, routes, and manages corres.ondence )or t5e Secretar%. S+R'7 is a "eb*
based s%stem deelo.ed )or to electronicall% route controlled corres.ondence, and )or t5e
managers to digitall% sign res.onse documents and return t5em electronicall%.
1
S+R'7 and
S26</ .roide digital signature )or e*mails, "orA)lo"s, and electronic transmission o)
documents. Feit5er S26</ nor S+R'7 5ae an electronic recordAee.ing module to manage
records.
77S also uses net"orAed s5ared dries to store documents )or t5ose o))ices t5at don?t use a
document re.ositor%.
'aps
77S does not 5ae a single !e.artment or multi.le O&!6V +lectronic Records Management
8+RM9 s%stem to store and manage electronic records. /5e lacA o) a dedicated +RM s%stem
means t5at t5e s%stems listed aboe maintain t5e Crecord co.iesD o) in)ormation. /5ere)ore, eac5
s%stem listed in table 0 s5ould be considered an +lectronic Records Management 8+RM9
s%stem
2
. 4s +RM s%stems, all document re.ositories, "eb content s%stems, and s5ared dries
s5ould meet a set o) minimum re>uirements in accordance "it5 00 :.S.'. 2902, re)erence 8a9
and guidance and im.lementing regulations .romulgated b% t5e Fational 4rc5ies and Records
4dministration 8F4R49.
arget >ision
77S s5ould address all document collaborationIre.ositor%Imanagement and "eb content
s%stems so t5at t5e sc5eduling o) t5e arti)acts created in t5ese s%stems is consistent "it5 t5e
1
http*++e3ecsec"od"nih"gov+nihstaff+edocs+fa6s"html
2
2lso called records management application (&'2)
June 26, 2009
1-
)unctions related to t5e documents rat5er t5an t5e s%stem 5osting t5em. Most o) t5e listed
collaboration s%stems 5ae t5e abilit% to add metadata and "orA)lo"s to t5e stored documents.
=eeraging t5ese )unctionalities "ill 5el. automate t5e retention o) documents based on t5eir
sc5edule.
&ossible a..roac5es, solutions, and re>uirements "ill be addressed in t5e ne(t RM segment
deelo.ment .5ase.
Records Management S+stems
/5is section addresses t5e s.eci)ic 77S s%stems used to manage records in)ormation. 4 Records
Management s%stem s5ould su..ort all major RM .rocesses .roiding a structured "a% to
manage and tracA records o) all t%.es. 77S re>uires t5e ca.abilit% to centrall%, e))icientl%, and
e))ectiel% manage mission*critical in)ormation including storage, ersioning, and o"ners5i.
ca.abilities.
*aseline
/able 1 lists 6/ s%stems identi)ied as Records Management s%stems b% t5e O&!6Vs. Some o)
t5ese s%stems are in t5e .lanning .5ase as indicated in t5e table. 8See 4..endi( 7 )or additional
details9
OPD$> $ S+stem 4ame echnolog+ Alias Phase
'!' Records Management S%stem SO= database *
O.erations N
Maintenance
'MS Records Management S%stem
4d*5oc S%stem
Microso)t Visual
,asic
*
O.erations N
Maintenance
'MS 'MS !ocument Management /,! FM &lanning
<!4
46MS 'ore * RecordI'ase Management
4..lication Module
!ocumentum
2ebto. 1.# s.2
8+M'9
R'
<!4
+lectronic !ocument Storage and
Reie"
/,! +!SR &lanning
<!4
<!4 4ccelerated Submission /racAing
and Reie"
Oracle !atabase <4S/4R &lanning
F67
F67 F''4M Records Management
!atabase
1
* * *
F67 F67 F6F!S <in+(
1
* * *
F67
F67 F6GMS !ocument
ManagementI2orA)lo" S%stem
1
* *
Mi(ed =i)e
'%cle
a!le . Records Management S+stems
4s noted in t5e table, some o) t5e s%stems are o.erational and some are .lanned. 'MS uses t5e
Records Management S%stem 8RMS9
2
s%stem to tracA .a.er records stored in t5e Me@@anine
1
7IH 9e! (ontent 'anagement Systems (9('S) Standards
2
&'S is a custom !uild IT system
June 26, 2009
19
leel o) t5eir onsite "are5ouse. Ot5er document management s%stems listed in table 0 5ae RM
)unctionalities or add*on RM modules t5at can be added but 5ae not %et been im.lemented.
'aps
F4R4 endorsed t5e !o! 1011.2*S/! as one o) t5e standard baseline set o) re>uirements )or
automated recordAee.ing s%stems.
1
F4R4 also encourages using t5e !o! 1011.2*S/! certi)ied
.roducts as a baseline "5en selecting Records Management s%stems to manage t5e agenc%Ks
electronic records. 4..endi( = lists t5e !o! 1011.2*S/! Records Management register.
arget >ision
77S needs to e))icientl% and e))ectiel% manage mission*critical in)ormation including storage,
ersioning, and o"ners5i. ca.abilities in a uni)ied manner.
6n some cases, 77S retains in)ormation t5at 5as no legal retention obligation or ongoing
business alue "5ile in)ormation t5at ma% 5ae a legal retention obligation due to t5e <ederal
Records 4ct and +*!iscoer% runs t5e risA o) being destro%ed .rematurel%.
77S needs to address common Records Management business needs re>uested b% all O&!6Vs.
25et5er 77S decides to moe to"ard one or multi.le RM s%stems, t5e organi@ation s5ould
strie to reac5 a uni)orm a..roac5 to document and Records Management. /5e solution "ill
en5ance auditing, tracAing, and discoer% o) records im.roing .er)ormance across t5e agenc%
"it5 more automated .rocesses.
All Other $ S+stems
/5is section addresses all ot5er 6/ s%stems not coered in t5e .reious sections. 6t is im.ortant
to .oint out t5at t5e number o) s%stems and t5eir com.le(it% "ill im.act t5e target a..roac5 )or
t5e RM segment arc5itecture. /5e im.ortance and role )or eac5 6/ s%stem in regards to RM
aries "idel%.
*aseline
/able 6 .roides a tall% o) 77S 6/ s%stems o"ned b% eac5 O&!6V. /5e table also s5o"s 5o"
man% o) t5e s%stems are Major
#
ersus Fon Major and General Su..orting s%stems.
Most o) t5e listed 6/ s%stems are t5e source o) record )or t5e in)ormation t5e% contain. Ot5er
s%stems are more transactional or re.orting in nature.
OPD$>
C of S+stems
Ma=or
&
4on Ma=or<'eneral
Support S+stem
#
otal
4'< 10 10 20
47RO 3 9 16
4o4 0 2 2
'!' 2# #01 #60
'MS 21 #11 #00
<!4 1- 0#0 0--
7RS4 22 - #0
1
72&2 :ulletin #//;)/0 and O': ')/;)-<
2
See 2ppendi3 2 for definitions
June 26, 2009
20
67S 0 0 0
F67 3# #62 0#1
O6G 0 0 0
OS 10 120 1#0
S4M7S4 6 2 -
/otal Q o) 6/ s%stems at 77S 1-01
1,2
a!le / 4um!er of Ma=or and 4on7ma=or $ s+stems !+ OPD$>
'aps
<or t5e 6/ s%stems t5at contain records, 77S s5ould maAe sure t5at t5eir recordAee.ing
)unctionalities meet t5e guidelines )rom F4R4.
Major 6/ s%stems re>uire s.ecial attention because o) t5eir im.ortance to t5e mission o) 77S?
and t5e O&!6V. Major 6/ s%stems 5ae a signi)icant role in t5e administration o) t5e agenc%
.rograms, )inances, .ro.ert%, and ot5er signi)icant resources. /5e Records Management
ca.abilities o) t5ese s%stems need to be assessed.
arget >ision
77S s5ould consider assessing i) t5e records stored in t5e 77S 6/ s%stems are .ro.erl% retained
as sc5eduled and strengt5ening current .rocedures.
77S needs to com.l% "it5 OM, 'ircular 4*1#0 Section -.a.1 8$9 re>uiring t5at Records
Management and arc5ial )unctions are considered into t5e design, deelo.ment, and
im.lementation o) in)ormation s%stems. 4n arc5itectural la%er s5ould become standard )or all
initiatie deelo.ment. /5is ga. "ill be addressed in section 3.
Multi.le solutions and a..roac5es s5ould be considered )or t5e target RM segment. 4 .5ased
a..roac5 to )irst target Major 6/ s%stems, document re.ositories, and e*mail s%stems "ill 5el. to
s.read t5e cost im.act on t5e organi@ation. 4 .5ased a..roac5 could also be considered in
moing to"ard t5e deelo.ment o) records sc5edules and t5e trans)er o) .ermanent records to
F4R4 electronicall%.
1
The total num!er of IT systems at HHS depends on the visi!ility provided !y each OPDIV
2
This num!er also includes many IT systems that do not contain any records !ut are infrastructure systems" 2ccording
to 72&2 :ulletin #//;)/= section ="!, >IT infrastructure systems, are not su!?ect to the scheduling re6uirement@
June 26, 2009
21
/ Scheduling of $ S+stems
/5is section describes t5e ga. related to t5e sc5eduling o) all 77S 6/ s%stems. 77S needs to
com.l% "it5 t5e +*Goernment 4ct o) 2002 800 :.S.'. #6019 and t5e F4R4 #6 'ode o)
<ederal Regulations 8'<R9 &art 12#0 Sub.art '
1
Cto maintain ade>uate and u.*to*date tec5nical
documentation )or eac5 electronic in)ormation s%stem t5at .roduces, uses, or stores data )iles.D
6n 2006, F4R4 re*em.5asi@ed t5is re>uirement "it5 t5e release o) t5e F4R4 ,ulletin 2006*02
2
"it5 t"o recent memos to all Records O))icers and '5ie) 6n)ormation O))icers. /5e +*
Goernment 4ct Section 2038e9 directs t5e 4rc5iist o) t5e :nited States to issue electronic
in)ormation .olicies. /5ere)ore, b% Se.tember 2009 8Goernment*"ide deadline9, all agencies
must 5ae a com.lete list o) 6/ s%stems and must submit to F4R4 records dis.osition sc5edules
)or t5e records contained in electronic s%stems.
4ccording to F4R4, 6/ s%stems to be sc5eduled Care t5ose t5at are in stead%*state o.eration or
mi(ed li)e*c%cle stage as o) !ecember 13, 2001, and electronic records in legac% s%stems t5at
"ere not sc5eduled be)ore decommissioning o) t5e s%stem. OM, 'ircular 4*11 de)ines bot5
stead% state 8o.erational9 and mi(ed li)e*c%cle stage.D
#
4dditionall%, 6/ s%stems storing ital records s5ould be sc5eduled accordingl%.
*aseline
&rior to t5e F4R4 re>uirement, t5ere "as no standard agenc%*"ide 77S com.liance "it5
F4R4 regarding sc5eduling o) 6/ s%stems. 77S is in t5e .rocess o) sc5eduling all 6/ s%stems
across 77S to meet t5e Se.tember 2009 deadline. Some o) t5e O&!6Vs 5ae alread% made
good .rogress on t5e sc5eduling .rocess. 6/ s%stems are sc5eduled using a tem.late created b%
77S and leeraging t5e recent 6/ s%stem inentor% 5osted in t5e 77S +4 Re.ositor%. 4t a
minimum, F4R4 re>uires t5e )ollo"ing in)ormation to be submitted on t5e S< 111
0
G
Fame o) t5e s%stem
4genc% .rogram su..orted b% t5e s%stem
&ur.ose o) t5e s%stem
!ata in.ut and sources
Major out.uts
6n)ormation content 8Master data )ile9
!ocumentation
&ro.osed dis.osition )or t5e in.uts, out.uts, master data )ile8s9, and documentation
'aps
6/ s%stems 5ae not been consistentl% sc5eduled and t5e Januar% 200- 77S RM &rogram s5ould
be strengt5ened to en)orce t5e records sc5eduling .rocesses.
+*s%stems sc5edules submitted to F4R4 "ill at a minimum include in)ormation listed in 6.6.1
77S needs to create t5e .rocesses and tools to collect and maintain t5e in)ormation. /5e list o)
1
http*++,,,"archives"gov+a!out+regulations+part)-#=1"html
2
http*++,,,"archives"gov+records)mgmt+!ulletins+#//A+#//A)/#"html
#
72&2 :ulletin #//A)/#"<"!
1
June 26, 2009
22
s%stems and t5e GRS "ill be 5osted in t5e 77S +4 re.ositor% until a RM4 solution is ado.ted
at 77S.
/o im.roe t5e re.orting o) 6/ s%stems )rom t5e 77S +4 Re.ositor%, 77S s5ould categori@e 6/
s%stems t5at do contain records. 4ll ot5er non*recordAee.ing s%stems s5ould not be re.orted )or
RM .ur.oses. 4s an e(am.le, t5e +4 re.ositor% lists 6/ in)rastructure as s%stem. 4s indicated
b% F4R4 ,ulletin 200-*0# section #.b, C6/ in)rastructure s%stems, are not subject to t5e
sc5eduling re>uirementD.
arget >ision
77S s5ould add s.eci)ic language in t5e Records Management .olic% related to t5e sc5eduling
o) electronic s%stems "5ic5 states t5e necessar% re>uirements, de)ines t5e .rocess to sc5edule an
6/ s%stem, and assures t5at t5e res.onsibilit% o) maintaining t5e records )or t5e a..ro.riate
dis.osition sc5edule is understood and agreed u.on b% t5e s%stem o"ner.
F4R4 re>uires t5at 4gencies s5ould 8#6 '<R 12#0.109G
8a9 <or electronic in)ormation s%stems t5at .roduce, use, or store data )iles, dis.osition
instructions )or t5e data s5all be incor.orated into t5e s%stemKs design.
8b9 +stablis5ing .rocedures )or addressing Records Management re>uirements, including
recordAee.ing re>uirements and dis.osition, be)ore a..roing ne" electronic in)ormation
s%stems or en5ancements to e(isting s%stems.
77S s5ould also establis5 .rocedures )or addressing Records Management re>uirements,
including recordAee.ing re>uirements and dis.osition, be)ore a..roing ne" electronic
in)ormation s%stems or en5ancements to e(isting s%stems.
4s stated in Section 3 o) t5is document, t5e O))ice o) Management and ,udget 8OM,9 also
re>uires records management to be included in t5e design, deelo.ment, and im.lementation o)
in)ormation s%stems. ,% doing so, 77S can maAe sure t5at 6/ s%stems are .ro.erl% designed to
retain andIor transmit records and t5at a dis.osition aut5orit% is )ollo"ed. 6n .artners5i. "it5 t5e
!e.artments o) t5e 6nterior and t5e /reasur%, F4R4 deelo.ed S%stem !eelo.ment =i)e '%cle
8S!='9 and 'a.ital &lanning and 6nestment 'ontrol 8'&6'9 c5ecAlists designed to assist "it5
embedding records management and electronic recordAee.ing re>uirements into <ederal
business .rocesses.
F4R4 also suggests t5e creation o) an 6/ s%stem sc5eduling reie" .rocess 8#6 '<R 12#0.109G
8m9 Reie"ing electronic in)ormation s%stems .eriodicall% )or con)ormance to establis5ed
agenc% .rocedures, standards, and .olicies as .art o) t5e .eriodic reie"s re>uired b% 00
:.S.'. #106. /5e reie" s5ould determine i) t5e records 5ae been .ro.erl% identi)ied
and described, and "5et5er t5e sc5edule descri.tions and retention .eriods re)lect t5e
current in)ormational content and use. 6) not, or i) substantie c5anges 5ae been made
in t5e structure, design, codes, .ur.oses, or uses o) t5e s%stem, submit an S< 111,
Re>uest )or Records !is.osition 4ut5orit%, to F4R4.
/5e 77S RM .olic% s5ould also include t5e re>uired .eriodic reie" .rocess mentioned aboe.
/5e ne(t RM Segment .5ase "ill address s.eci)ic milestones )or t5e im.lementation o) .olicies
and related .rocesses.
June 26, 2009
2#
0 RM $ntegration 1ith other Enterprise Processes
Records Management 8RM9 is a ital .art o) t5e organi@ation. 4s suc5, RM s5ould be integrated
in t5e 7uman Resources, +nter.rise 4rc5itecture, 'a.ital &lanning, 6n)ormation Securit%,
'ontinuit% o) O.erations 8'OO&9, <reedom o) 6n)ormation and &riac% 4cts !iision 8<O649,
+*!iscoer% and ot5er internal .rocesses. /5is section addresses t5e integration o) RM "it5
t5ese enter.rise serices.
Human Resources ?HR@
a@ *aseline
77S and Records O))icers are actiel% "orAing to .roide a better integration o) RM into t5e
7uman Resources 87R9 .rocesses. /5ere are multi.le "a%s t5at t5e O&!6Vs are incor.orating
RM re>uirements and c5ecA lists into t5e em.lo%ee on*boarding and e(iting .rocesses.
!@ 'aps
Records Management is not %et )ull% integrated into t5e 7R .rocesses and is a..lied di))erentl%
bet"een and among O&!6Vs.
c@ arget >ision
77S "ill de)ine a set o) target .rocesses t5at can be used b% all t5e O&!6Vs to incor.orate RM
re>uirements "it5in t5e 7R .rocesses. /5e intent o) t5e ne" re>uirements and .rocesses "ill be
to assist em.lo%ee com.liance "it5 RM )unctions.
6t is recommended em.lo%ees sign annual agreements summari@ing t5e nature o) t5eir "orA, t5e
t%.es o) records t5e% are liAel% to create in t5e course o) 77S business and acAno"ledge t5eir
a"areness o) t5e GRS or t5eir 77S*s.eci)ic records sc5edule 8e.g., an acAno"ledgement o)
records a"areness9.
Once a RM 7R .rocess 5as been identi)ied, t5e !e.artment Records O))icer in collaboration
"it5 all t5e O&!6Vs RO "ill ensure t5at t5e ne" .rocess is incor.orated and e(ecuted in all 7R
o))ices at 77S.
Sam.le .osition descri.tion deelo.ed b% F4R4 )or <ederal 4genc% Records O))icersG
5tt.GII""".arc5ies.goIrecords*mgmtI.olic%Isenior*records*manager.5tml
"apital Planning
OM, re>uires RM to be included in t5e design, deelo.ment, and im.lementation o)
in)ormation s%stems
1
. ,% doing so, 77S can ensure t5at 6/ s%stems are .ro.erl% designed to
maintain, access, and legall% dis.ose o) records in accordance "it5 a records li)e c%cle, and to
address t5e li)e c%cle costs associated "it5 im.lementing electronic recordAee.ing s%stems.
d@ *aseline
77S is im.lementing t5e +nter.rise &er)ormance =i)e '%cle 8+&='9 )rame"orA to .roide a
consistent and re.eatable .rocess )or .lanning, managing, and oerseeing 6/ .rojects oer t5eir
entire li)e c%cle. 4lt5oug5 not %et )ormall% recogni@ed as a 'ritical &artner "it5in t5e +&='
)rame"orA, some O&!6Vs 5ae alread% begun to include RM in t5eir 6/ .roject management
.rocesses.
1
2)-=/"; ) Information 'anagement Policy
June 26, 2009
20
e@ 'aps
'urrentl%, records management is rarel% considered in t5e design, deelo.ment, and
im.lementation o) in)ormation s%stems. Records Management 5as been identi)ied in t5e C77S
O'6O &olic% )or 6n)ormation /ec5nolog% 86/9 +nter.rise &er)ormance =i)e '%cle 8+&='9D in
t5e a..licable .olicies and guidelines section but not as critical .artner. /5e +&=' )rame"orA
does include RM as a com.onent o) t5e re>uired &roject Management &lan and is, t5ere)ore, one
o) t5e Generic +(it 'riteria t5at s5ould be reie"ed at t5e end o) eac5 subse>uent .5ase. RM is
also discussed in t5e !is.osition &5ase "5ic5 is at t5e end o) a li)ec%cle o) an 6/ s%stem.
f@ arget >ision
F4R4 designed C'a.ital &lanning and 6nestment 'ontrol '5ecAlists
1
D to assist agencies in
embedding Records Management and electronic recordAee.ing re>uirements. 4ll 6/ s%stems
being deelo.ed s5ould )ollo" t5e c5ecAlists to ensure all 6/ contracts and &rogram
ManagersI'ontract O))icer /ec5nical Re.resentaties are incor.orating Records Management in
t5e initial deelo.ment and design, and t5at t5e s%stems are sc5eduled "it5 F4R4 u.on s%stem
im.lementation. 4dditionall%, an% decommissioning o) 6/ s%stems s5ould )ollo" t5e F4R4
.rocedures )or t5e trans)er o) .ermanent records and t5e deletion o) sc5eduled tem.orar%
records.
FoteG <!4 5as a dra)t list o) RM related >uestions t5at s5ould be asAed during eac5 .5ase o) t5e
+&='. !uring t5e ne(t RM Segment .5ase "e can reuse t5is list and "orA "it5 all ot5er
O&!6Vs to consolidate consolidated a..roac5. /5e S%stems !eelo.ment =i)e '%cle 8S!='9
2
c5ecAlist )rom OM, "ill also be used )or t5is tasA. /5is "as identi)ied as a .otential interim
milestone.
Enterprise Architecture
/5e inclusion o) Records Management standards into ac>uisition, .rogram e(ecution, 6/ s%stem
deelo.ment and im.lementation s5ould be su..orted b% "orA conducted b% +nter.rise
4rc5itects, '5ie) 6n)ormation Securit% O))icers and Senior +(ecutie Serice em.lo%ees "5o
manage and run .rograms t5at are su..orted b% 6/ s%stems.
g@ *aseline and 'aps
Records Management language 5as not been included as .art o) segment deelo.ment ste.s. 6t is
also not included in t5e business .rocess engineering re>uirements.
h@ arget >ision
4s .ointed out during t5e release o) t5e Segment +nter.rise 4rc5itecture Met5odolog% 8<S4M9,
RM is alread% being considered in t5e deelo.ment o) ot5er !e.artment?s segments 84..endi(
$ s5o"s a list o) )unctional areas addressed b% segment arc5itecture deelo.ments in ot5er
4gencies9. 77S s5ould ensure t5at RM is considered in one o) t5e <S4M ste.s
#
and "5en a
business .rocess is anal%@ed. F4R4 designed C,usiness &rocess !esign 4s*6s and /o*,e
'5ecAlists
0
D to assist agencies in embedding Records Management and electronic recordAee.ing
re>uirements into t5eir business .rocesses and t5e <ederal +nter.rise 4rc5itecture .rogram. RM
s5ould be a re>uired la%er o) t5e arc5itecture or eac5 ne" inestmentIinitiatie deelo.ment.
1
http*++,,,"archives"gov+records)mgmt+initiatives+cpic)chec%list"pdf
2
http*++,,,"archives"gov+records)mgmt+initiatives+sdlc)chec%list"pdf
#
See 2ppendi3 $
0
http*++,,,"archives"gov+records)mgmt+initiatives+!pd)chec%list"pdf
June 26, 2009
21
$nformation Securit+
6n)ormation Securit% is an im.ortant as.ect t5at needs to be considered "it5 res.ect to records,
Records Management .rocesses, and 6/ s%stems containing records.
i@ *aseline and 'aps
6n)ormation Securit% .olicies establis5ed )or 77S do not s.eci)icall% address Records
Management but t5e% do .roide re>uirements t5at address t5e securit%, aailabilit% and
reliabilit% o) records contained in 77S 6/ S%stems.
77S 6/ S%stems and in)rastructures are certi)ied and accredited. /5e 'erti)ication and
4ccreditation 8'N49 is a com.re5ensie assessment o) t5e management, o.erational, and
tec5nical securit% controls in an in)ormation s%stem, made in su..ort o) securit% accreditation, to
determine t5e e(tent to "5ic5 t5e controls are im.lemented correctl%, o.erating as intended, and
.roducing t5e desired outcome "it5 res.ect to meeting t5e securit% re>uirements )or t5e s%stem.
6) an 6/ s%stem .asses t5e 'N4 .rocess, t5e s%stem receies an 4ut5ori@ation to O.erate 84/O9.
=@ arget >ision
77S can add a standard RM c5ecA list )or 'erti)ication and 4ccreditation 8'N49 reie"ers
res.onsible )or aut5ori@ing t5e 6/ s%stems to o.erate. 4ut5ori@ation to o.erate 84/O9 is released
b% eac5 O&!6V indicating t5at t5e s%stem 5as met t5e re>uired securit% .olicies. RM could use a
similar .rocess or leerage t5e e(isting 'N4 .rocess to maAe sure t5at all s%stems are sc5eduled
"it5 F4R4 be)ore t5e aut5ori@ation to o.erate is released.
"ontinuit+ of Operations ?"OOP@
B@ *aseline
6n order to ensure t5e success)ul im.lementation o) !e.artment*"ide .rograms, 77S must
maintain a continuit% o) o.erations 8'OO&9 .rogram in accordance "it5 7omeland Securit%
&residential !irectie 87S&!9*20 and +(ecutie Orders 12616 and 12032. &ursuant to section
2-11 8c98#9 o) t5e &ublic 7ealt5 Serice 4ct, t5e Secretar% o) 77S 5as delegated to t5e o))ice o)
t5e 4ssistant Secretar% )or &re.aredness and Res.onse 84S&R9 t5e aut5orit%G
a9 to deelo. and .re.are national emergenc% .re.aredness .lans and .rograms coering
)unctions and res.onsibilities "5ic5 must necessaril% be centrali@ed )or t5e !e.artmentB
b9 to taAe necessar% actions to assure t5at 77S O&!6VS and S/4<<!6Vs "ill be able to
.er)orm t5eir essential )unctions and continue as a iable .art o) t5e !e.artment during
an% national emergenc%, and "ill be able to res.ond to all major disasters or incidentsB
and
c9 in collaboration "it5 t5e O))ice o) t5e 4ssistant Secretar% )or Resources and /ec5nolog%
84SR/9, coordinate and manage all )unds a..ro.riated to t5e Secretar% to .er)orm
essential )unctions during an emergenc%. /5e 77S 'OO& .lan 5as been dra)ted and is
currentl% going t5roug5 reie" and a..roal.
l@ 'aps
/5e dra)t 'OO& .lan identi)ies t5e establis5ment o) a Vital Records &rogram 8VR&9 and t5e
a..ointment o) a Vital Records O))icer 8VRO9. /5e ga. in t5e 'OO& .lan is t5e lacA o)
delineation o) t5e roles and res.onsibilities o) t5e VRO and t5e !e.artment?s Records O))icer.
June 26, 2009
26
m@ arget >ision
/5e target ision is to establis5 .olicies and .rocedures )or incor.orating ital records
identi)ication and management into t5e 4genc% records management .rogram, s.eci)icall%
"it5in O&!6Vs and S/4<<!6Vs records inentories, )ile .lans, and records alidation
.rocesses. 6n addition, "5ile clear roles and res.onsibilities )or t5e VRO and t5e !e.artment?s
Records O))icer need to be establis5ed, a collaboratie relations5i. needs to be establis5ed as
"ell.
2reedom of $nformation ?2O$A@
/5e <reedom o) 6n)ormation 4ct and &riac% 4ct 8<O64I&49 and its inclusion into Records
Management is ie"ed as an im.ortant as.ect in .roiding t5e general .ublic "it5 an% 77S
records, "5ic5 are created, receied, or ma% be in t5e .ossession o) 77S and its O&!V6Vs or
S/4<<!6Vs. /5ese records, "5ic5 are aailable in .a.er andIor electronic )ormat are co.ies o)
t5e original and are .roided to t5e 77S <O64I&4 !iision b% t5e a..ro.riate 77S O&!6Vs
andIor S/4<<!6Vs )or res.onse to all <O64I&4 re>uests and a..eals.
n@ *aseline
2it5in t5e 77S <O64I&4 !iision Records Management is )ull% im.lemented into t5e
<O64I&4 .rocess, in "5ic5 <O64I&4 re>uests and a..eals )iles t5at 5ae been com.leted, and
contain .a.er andIor electronic records, are reie"ed )or retention on an annual basis. /5e
records are maintained in t5e )ile )older and a determination to retain or destro% t5e records is
made in accordance "it5 t5e guidelines set )ort5 under t5e General Records Sc5edule 8GRS9 10
H 6n)ormation Serices Records, as directed b% t5e Fational Records and 4rc5ie 4dministration
8F4R49.
o@ 'aps
4lt5oug5 t5e 77S <O64I&4 !iision .er)orms Records Management reie"s on an annual
basis, situations ma% arise as to "5et5er co.ies o) t5e original records, "5ic5 are receied )rom
t5e a..ro.riate 77S O&!6Vs andIor S/4<<!6Vs in res.onse to a <O64I&4 re>uest or a..eal,
s5ould be destro%ed in accordance "it5 a..roed 77S O&!6Vs andIor S/4<<!6Vs records
dis.osition sc5edules, or b% )ollo"ing t5e General Records Sc5edule 8GRS9 10. /5e risA to
77S ma% be t5e creation and maintenance o) a second set o) records "it5in <O64I&4 )iles
p@ arget >ision
Since t5e 77S <O64I&4 !iision is beginning to store )ile )olders containing records in
electronic )ormat on 77S net"orA dries or )ile serers, "5ic5 ma% be integrated into 'O/S
<O64I&4 /racAing S%stem, 77S <O64I&4 !iision and 77S 6/ com.onents must discuss and
determine "5o, "5en, and 5o" t5e destruction o) t5ose electronic )iles )olders s5ould be
accom.lis5ed once it is time to retain or destro% t5e records based on t5e guidelines set )ort5
under t5e General Records Sc5edule 8GRS9 10 H 6n)ormation Serices Records.
9itigation and Records Holds
6n accordance "it5 77S 6nterim Guidance )rom Marc5 19, 2003, titled C7olds )or O.erational
Records and Ot5er Related !ocumentar% Materials,D 77S 5as instructions to sta)) on re>uesting,
issuing, im.lementing, and remoing C5oldsD on 77S o.erational records and ot5er related
documentar% materials.
June 26, 2009
23
A@ *aseline
6n accordance "it5 t5e aut5orities listed belo", <ederal agencies must establis5 .rocesses and
.rocedures )or managing <ederal records )or "5en litigation is imminent and "5en litigation
o))iciall% occurs.
a. 00 :.S.'. 2909
b. 00 :.S.'. '5a.ter ##
c. #6 '<R 122-.10
d. <ederal Rules o) 'iil &rocedure
819 '5a.ter 666, &leadings and Motions, Rule 16, &re*/rial 'on)erencesB Sc5edulingB
Management
829 '5a.ter V, !e.ositions and !iscoer%, Rule 268a9, General &roisions Goerning
!iscoer%B !ut% o) !isclosureG Re>uired !isclosuresB Met5ods to !iscoer 4dditional
Matter
e. 6ns.ector General 4ct 4mendments o) 19-- 81 :.S.'., 4..endi(B see R -G, JRe>uirements
)or <ederal entities and designated <ederal entitiesJ9
/5e 77S interim guidance re)ers collectiel% to C77S Sta)) or O.erations !iisionsD "5o
includeG
a. 4ll em.lo%eesB and
b. 'ontractors "5ere contracts s.eci)% "5ic5 documentar% delierables belong to t5e
Goernment.
r@ 'aps
/5e 77S 6nterim Guidance on legal 5olds is not uni)orml% a..lied "it5in t5e O&!6Vs and
S/4<<!6Vs. /5e role o) t5e O))ice o) General 'ounsel 8OG'9 is unclear.
s@ arget >ision
/5e 77S Records Management &rogram needs to establis5 a collaboratie relations5i. "it5 OG',
including t5e establis5ment o) an 77S +*!iscoer% 2orAgrou., t5e deelo.ment o) a =itigation
7old &olic% and related .rocedures, and t5e deelo.ment and use o) a =itigation 7old /racAing
s%stem.
June 26, 2009
2-
( 2ederal Record "enters Audits
/5is section addresses t5e need )or 77S to com.l% "it5 F4R4 ,ulletin 200-*06 and t5e letter sent
to t5e 77S RO in late 200-. /5is bulletin re>uires agencies? Crecords centers, agenc% records
staging or 5olding areas, and commercial records storage )acilities used to store t5eir agenc% records
to meet F4R4Ks records storage )acilit% standards in #6 '<R .art 122-, sub.art $.D
1
/5e letter
stated t5e agencies need to submit an inentor% o) all o))*site records storage )acilities. /5e
regulations di))erentiate bet"een records stagingI5olding areas o) less t5an 21,000 cubic )eet
ca.acit% "it5in agenc% buildings and agenc%*run records centers maintained o))*site. F4R4 5as a
records storage )acilit% standards toolAit at 5tt.GIIarc5ies.goIrecords*mgmtIstorage*standards*
toolAitI.
*aseline
O&!6Vs are in t5e .rocess o) com.iling t5is list. 77S 5as not identi)ied a s.eci)ic )ormat and
5as not deelo.ed a uni)orm tool )or t5e ROs to use to tracA )acilities and t5eir com.liance to t5e
F4R4 ,ulletin 200-*06.
arget >ision
77S s5ould include t5e )acilit% inentor% and com.liance needs in t5e )unctional re>uirements
)or a RM4 solution. 4 uni)orm .rocess s5ould be de)ined )or recurring inentories o) )acilities
and t5e com.liance .rocess.
1
72&2 :ulletin #//;)/A http*++,,,"archives"gov+records)mgmt+!ulletins+#//;+#//;)/A"html
June 26, 2009
29
3 Other 'aps and Opportunities
Resources
/5is section describes t5e baseline, ga.s, and target ision related to t5e Records Management
resources and res.onsibilities. 4n oerie" o) t5e Records Management Goernance Structure is
.roided in Section 2 o) t5is document.
a@ *aseline and 'aps
Resource Management )or records management "it5in t5e de.artment needs to be measured and
addressed. 'urrent ROs are oer"5elmed "it5 t5e amount o) "orA in su..ort o) t5e RM
.rogram and o)ten do not 5ae t5e e(ecutie leel su..ort in ensuring records are being
maintained "it5in eac5 .rogram o))ice. Some O&!6V ROs and liaisons are not able to )ocus
t5eir )ull attention to t5e tasA o) RM and 5ae to )ind balance bet"een aailable resources and
"orA related re>uirements.
!@ arget >ision
4ll em.lo%ees, contractors, interns, isitors "5o .er)orm "orA at 77S and createB receie or act
u.on records as t5e% su..ort t5e 77S mission are accountable )or recording t5eir "orA and
.ublic serice .er t5e 77S Records Manual and t5e F4R4 General Records Sc5edules 8GRS9.
4ll em.lo%ees, contractors, interns, isitors, etc. "5o end t5eir .ublic serice are res.onsible )or
t5e legal dis.osition o) t5eir records. /raining, e(ecutie leel su..ort, resources assigned to
build and e(ecute a records management .rogram at 77S is t5e target )or t5is e))ort. Validation
o) t5e O&!6V inentories o) )ile .lans "ill .roide t5e business case and re>uirements document
to lead to an ultimate tec5nical solution )or t5e im.lementation o) an electronic
RecordAee.ingIManagement s%stem. 4utomation o) t5e business .rocess )or records retention
"ill streamline current .a.erIelectronic .rocesses ensuring t5e .reseration o) t5e 5istorical
record, su..ort +*discoer%, and )acilitate trans.arenc% o) 77S businesses, and allo" )or
Ano"ledge management and trans)er )or )uture em.lo%ees and administrations.
raining
c@ *aseline and 'aps
77S 5as begun training )or ne" em.lo%ees, Records O))icers, liaisons, and Senior +(ecutie
Serice. S+S s.eci)icall% 5ae a .er)ormance element in t5e 2009 &er)ormance Management
4..raisal &lan 8&M4&9. 77S and t5e O&!6Vs 5ae been leeraging t5e training aailable )rom
F4R4 to im.roe t5e Ano"ledge o) RM in t5e organi@ation. 77S is using broc5ures, 5andouts,
and 2ebsites to train users and maAe t5e in)ormation readil% aailable. /raining re>uirements
s5ould be included in t5e 7R RM re>uirements.
d@ arget >ision
77S s5ould continue to .roide training and im.roe RM outreac5 out "5en .ossible. ,%
.roiding sta)) "it5 t5e Ano"ledge about "5at to retain and "5at to legall% dis.ose o) t5e
number and >ualit% o) records retained "ill im.roe. /5e deelo.ment o) a better e*mail
recordAee.ing solution "it5 automated )eatures "ill 5el. mitigate recordAee.ing errors.
4dditional ROs, managers, liaisons, and em.lo%ees training "ill be needed i) a ne" s%stem is
im.lemented. 6n addition, 77S s5ould im.lement a role*based training .rogram "5ereb% S+S,
managers, contractors, .roject managers, interns, guests, etc. are adised o) "5at res.onsibilities
t5e% 5ae. 6t is .articularl% im.ortant )or managers to understand t5eir res.onsibilities i)
em.lo%ees leae "it5out .roiding a..ro.riate records and )ollo"ing targeted RM .rocedures.
June 26, 2009
#0
UniAue Records Schedules
e@ *aseline and 'aps
/5e 77S record sc5edules inentor% is being deelo.ed b% all O&!6Vs and S/4<<!6Vs )or
submission to F4R4 b% Se.tember 2009. ,e)ore an% electronic solution is ealuated and
im.lemented, 77S needs to 5ae a clear ie" o) t5e O&!6Vs record sc5edules and )iles .lans.
<or all O&!6Vs, t5e .rocess o) maintaining a records sc5edule is a manual .rocess. 77S and t5e
O&!6Vs need a structured and standardi@ed .rocess to maintain t5eir sc5edules in an electronic
)ormat t5at can be used to su..ort all RM .rocesses.
f@ arget >ision
,e)ore t5e )unctional re>uirements .rocess begins, 77S s5ould 5ae t5e com.lete list o)
sc5edules. 77S s5ould consider t5e Cbig bucAetsD a..roac5 as suggested in F4R4?s ,ulletin
200-*00 a..l%ing sc5edules in accordance "it5 )unctional lines o) business. /5e big bucAet
a..roac5 is not recommended )or records sc5edules deelo.ed )or organi@ation*s.eci)ic lines.
/5e OM, ,usiness Re)erence Model 8,RM9 .roides a good starting .oint. 4t 77S, t5e ,RM
5as been used to align t5e agenc% into ,usiness 4reas and segments 8See 4..endi( J )or a list o)
t5e 77S ,usiness 4reas9. Since a segment is described as a set o) related business )unctions,
.rocesses, andIor serices, eac5 segment can re.resent a big bucAet and 5ae a set o) dis.osition
aut5orities assigned to it. ,usiness areas can be core mission, enter.rise serices, or business
serices. ,usiness serices and enter.rise serices segments re.resent cross cutting )unctions
t5at all O&!6Vs .er)orm. /5e big bucAet a..roac5 s5ould be taAen into consideration .rior to
de)ining t5e target arc5itecture as it "ill im.act t5e )unctional re>uirements )or an RM4.
June 26, 2009
#1
#, RM Segment Development 4e5t Steps
2it5 t5e conclusion o) t5e ga. anal%sis, t5e RM segment team "ill begin to anal%@e t5e target
a..roac5 to address t5e ga.s identi)ied.
77S s5ould .rioriti@e t5e ga.s and de)ine a strategic a..roac5 to moe )or"ard. 2it5 a )irm
understanding o) .rioriti@ed strategic im.roement o..ortunities, t5e core 6&/ "ill deelo. a
target state ision )or t5e segment. /5e target state ision "ill .roide a 5ig5 8leel descri.tion
o) t5e .ro.osed o.erating enironment;including .lanned c5anges to staAe5older interactions,
business .rocesses, in)ormation s5aring, a..lications, and tec5nolog%;to address strategic
im.roement o..ortunities. /5is target state ision is meant onl% to illustrate t5e target state and
"ill be en5anced b% additional anal%sis in subse>uent ste.s.
/5e ga. .rioriti@ation and t5e target state ision "ill in)orm "5ic5 )unctional re>uirements
s5ould be gat5ered )irst. 4dditional anal%sis "ill be conducted to create t5e )ollo"ing arti)actsG
) /arget $e% ,usiness &rocess Model 8<or .rioriti@ed targets9
) /arget 6n)ormation <lo" !iagram
) /arget ,usiness !ata Ma..ed to $e% ,usiness &rocesses 8'R:!9
) /arget !ata Ste"ard 4ssignments
) /arget 'once.tual !ata Model
/5e deelo.ment o) t5e arti)acts listed "ill )acilitate t5e re>uirements gat5ering .rocess. 4s
indicated in t5e <ederal Segment !eelo.ment Met5odolog% 8<S4M9 diagram in a..endi( M,
t5e /arget 'once.tual Solution 4rc5itecture "ill be de)ined during t5e ne(t .5ase.
!uring t5e last RM segment deelo.ment .5ase, t5e RM segment /ransition &lan
1
"ill be
com.iled using arti)acts created t5roug5out t5e segment deelo.ment.
1
2lso called 'oderni5ation :lueprint
June 26, 2009
#2
APPE4D$D A '9OSSARE
C,ig ,ucAetD
Sc5edule
4 Cbig bucAetD or large aggregation sc5edule is a t%.e o) )le(ible sc5edule 8see
belo"9. <le(ible sc5eduling using big bucAets or large aggregations is an
a..lication o) dis.osition instructions against a bod% o) records grou.ed at a
leel o) aggregation greater t5an t5e traditional )ile series or electronic s%stem
t5at can be along a s.eci)ic .rogram area, )unctional line, or business .rocess.
/5e goal o) t5is t%.e o) )le(ible sc5eduling is to .roide )or t5e dis.osition o)
records at a leel o) aggregation t5at best su..orts t5e business needs o)
agencies, "5ile ensuring t5e documentation necessar% to .rotect legal rig5ts
and ensure Goernment accountabilit%. ,ig ,ucAet sc5eduling can also aid in
electronic recordAee.ing b% .resenting users "it5 )e"er retention categories
c5oices )or )iling documents and e8mail messages.
,usiness Re)erence
Model 8,RM9
/5e ,usiness Re)erence Model is a )unction*drien )rame"orA )or describing
t5e business o.erations o) t5e <ederal Goernment inde.endent o) t5e agencies
t5at .er)orm t5em.D /5e ,usiness Re)erence Model .roides an organi@ed,
5ierarc5ical construct )or describing t5e da%*to*da% business o.erations o) t5e
<ederal Goernment. 25ile man% models e(ist )or describing organi@ations *
org c5arts, location ma.s, etc. * t5is model .resents t5e business using a
)unctionall% drien a..roac5.
'ontent Management
/ec5ni>ues to set .olicies and su.erise t5e creation, organi@ation, access, and
use o) large >uantities o) in)ormation, es.eciall% in di))erent )ormats and
a..lications t5roug5out an organi@ation. 'ontent management is o)ten used to
describe t5e management o) "ebsites, but in ot5er instances re)ers to t5e
management o) all in)ormation across t5e "5ole o) an enter.rise.
!o! 1011.02*S/!
!esign 'riteria Standards )or +lectronic Records Management So)t"are
4..licationsG /5is Standard sets )ort5 mandator% and o.tional baseline
)unctional re>uirements )or Records Management 4..lication 8RM49
so)t"are. /5is standard describes t5e minimum Records Management
re>uirements t5at must be met in accordance "it5 00 :.S.'. 2902, re)erence
8a9 and guidance and im.lementing regulations .romulgated b% t5e Fational
4rc5ies and Records 4dministration 8F4R49.
+lectronic !ocument
Management S%stem
8+!MS9
So)t"are t5at manages t5e creation, storage, and control o) semi8structured
documents. 6t consists o) seeral tec5nologies including, but not limited to
document management, 'O=! 8'om.uter Out.ut to =aser !isA9, imaging,
and "orA)lo".
+lectronic mail 8+*
mail9 Records
+lectronic mail records are documents created or receied on an electronic
mail s%stem including brie) notes, more )ormal or substantie narratie
documents, and an% attac5ments, suc5 as "ord .rocessing and ot5er electronic
documents, "5ic5 ma% be transmitted b% message.
+lectronic record
4n% in)ormation t5at is recorded in a )orm t5at onl% a com.uter can .rocess
and t5at satis)ies t5e de)inition o) a record. 8#6 '<R 12#0.19.
June 26, 2009
##
+lectronic Records
Management 8+RM9
:sing automated tec5ni>ues to manage records regardless o) )ormat.
+lectronic Records Management is t5e broadest term t5at re)ers to
electronicall% managing records on aried )ormats, be t5e% electronic, .a.er,
micro)orm, etc.
+lectronic discoer%
Electronic discover+ 8or e-disco%ery9 re)ers to discoer% in ciil litigation
"5ic5 deals "it5 in)ormation in e!ectronic format also re)erred to as
+lectronicall% Stored 6n)ormation 8+S69. +lectronic in)ormation is di))erent
)rom .a.er in)ormation because o) its intangible )orm, olume, transience and
.ersistence. 4lso, electronic in)ormation is usuall% accom.anied b% metadata,
"5ic5 is not .resent in .a.er documents. 7o"eer, .a.er documents can be
scanned into electronic )ormat and t5en manuall% coded "it5 metadata. /5e
.reseration o) metadata )rom electronic documents creates s.ecial c5allenges
to .reent s.oliation. +lectronic discoer% "as t5e subject o) amendments to
t5e <ederal Rules o) 'iil &rocedure, e))ectie !ecember 1, 2006. +(am.les
o) t5e t%.es o) data included in e*discoer% are e*mail, instant messaging
c5ats, documents 8suc5 as MS O))ice or O.enO))ice )iles9, accounting
databases, '4!I'4M )iles, "eb sites, and an% ot5er electronicall%*stored
in)ormation "5ic5 could be releant eidence in a la" suit. 4lso included in e*
discoer% is Jra" dataJ "5ic5 <orensic 6nestigators can reie" )or 5idden
eidence. /5e original )ile )ormat is Ano"n as t5e JnatieJ )ormat. =itigators
ma% reie" material )rom e*discoer% in one o) seeral )ormatsG .rinted .a.er,
Jnatie )ile,J or as /6<< images.
+*mail 4rc5iing
So)t"are 8+4S9
+8mail 4rc5iing So)t"are 8+4S9 generall% re)ers to a..lications t5at remoe
e8mail )rom t5e mail serer and administer it in a central location also Ano"n
as an arc5ie 86/ term, not a .ermanent storage medium in accordance "it5
!o! 1011.2 standards and F4R4 regulations9. Once messages are stored and
access rig5ts are granted, aut5ori@ed users are able to searc5 t5e re.ositor%.
+lectronic
recordAee.ing s%stem
4n electronic s%stem in "5ic5 records are collected, organi@ed, and
categori@ed to )acilitate t5eir .reseration, retrieal, use, and dis.osition, in
accordance "it5 standards s.eci)ied in !o! 1011.2 and endorsed b% F4R4.
General Su..ort
S%stem
4n interconnected set o) in)ormation resources under t5e same direct
management control "5ic5 s5ares common )unctionalit%. 4 General Su..ort
S%stem ma% be, )or e(am.le, a local area net"orA 8=4F9, including smart
terminals, t5at su..orts a branc5 o))ice, or an agenc%*"ide bacAbone, or a
communications net"orA, or a !e.artment?s data .rocessing center including
its o.erating s%stem and utilities, or a tactical radio net"orA, or a s5ared
in)ormation .rocessing serice organi@ation 86&SO9. Formall%, t5e .ur.ose o)
a general su..ort s%stem is to .roide .rocessing or communication su..ort.
8<6S'4M9
6n)ormation
/ec5nolog% 86/9
S%stem
4 .roject is a tem.orar% .lanned endeaor )unded b% an a..roed in)ormation
tec5nolog% inestmentB t5us ac5ieing a s.eci)ic goal and creating a uni>ue
.roduct, serice, or result. 4 .roject 5as a de)ined start and end .oint "it5
s.eci)ic objecties t5at, "5en attained signi)% com.letion. F4R4?s !e)initionG
+lectronic in)ormation s%stem means a s%stem t5at contains and .roides
access to com.uteri@ed <ederal records and ot5er in)ormation 8#6 '<R
12#0.29.
June 26, 2009
#0
Major 6/ S%stem
4n 6/ s%stem t5at re>uires s.ecial management attention because o) its
im.ortance to t5e mission o) 77S and its O&!6VB or its signi)icant role in t5e
administration o) agenc% .rograms, )inances, .ro.ert%, or ot5er signi)icant
resources. 4n aderse im.act on a major s%stem "ould constitute serious,
seere, or catastro.5ic 5arm due to t5e loss o) con)identialit%, integrit%, or
aailabilit%, as determined t5roug5 conducting a s%stem risA assessment.
Major s%stems "ould be classi)ied as eit5er moderate or 5ig5 im.act as
de)ined in <6&S 199.
Metadata
!escribes or s.eci)ies c5aracteristics t5at need to be Ano"n about data in order
to build in)ormation resources suc5 as electronic recordAee.ing s%stems and
su..ort records creators and users.
Fon*Major 6/ S%stem
4 s%stem t5at re>uires a..ro.riate attention to securit% "5en a com.romise o)
t5e in)ormation or a..lication "ould cause limited aderse 5arm 8lo" or
medium im.act as de)ined in <6&S 1999 on t5e 77S mission, business
)unctionalit%, .ublic 5ealt5 )unction andIor em.lo%ee and citi@en "el)are, due
to t5e loss o) con)identialit%, integrit%, or aailabilit% o) t5e in)ormation in t5e
a..lication. 4 s%stem not de)ined as eit5er Major or GSS is b% de)ault a Fon*
Major s%stem.
Record
4 unit o) recorded in)ormation created, receied, and maintained as eidence
or in)ormation b% an organi@ation or .erson, in .ursuance o) legal obligations
or in t5e transaction o) business. 6ncludes all booAs, .a.ers, ma.s,
.5otogra.5s, mac5ine readable materials, or ot5er documentar% materials,
regardless o) .5%sical )orm or c5aracteristics.
Records Management
/5e s%stematic and administratie control o) records t5roug5out t5eir li)e c%cle
to ensure e))icienc% and econom% in t5eir creation, use, 5andling, control,
maintenance, and dis.osition.
Records Management
4..lication 8RM49
Records Management 4..lication. /5e so)t"are used b% an organi@ation to
manage its records. 4n RM4?s .rimar% management )unctions are
categori@ing and locating records and identi)%ing records t5at are due )or
dis.osition. RM4 so)t"are also stores, retriees, and dis.oses o) t5e electronic
records t5at are stored in its re.ositor%. 8!o! 1011.29
Records Sc5edule
4 t%.e o) dis.osition agreement deelo.ed b% a <ederal agenc% and a..roed
b% F4R4 t5at describes <ederal records, establis5es a .eriod )or t5eir
retention b% t5e agenc%, and .roides mandator% instructions )or "5at to do
"it5 t5em "5en t5e% are no longer needed )or current Goernment business.
/5e term re)ers toG 819 an S< 111, Re>uest )or Records !is.osition 4ut5orit%,
t5at 5as been a..roed b% F4R4 to aut5ori@e t5e dis.osition o) <ederal
recordsB and 829 a General Records Sc5edule 8GRS9 issued b% F4R4.
June 26, 2009
#1
S%stem o) Records
8SOR9
/5is is a term restricted )or records 8.a.er or electronic9 t5at contain .riac%
in)ormation. 2e are re>uired to maAe t5ese s%stems Ano"n to t5e .ublic.
+er% s%stem o) records, regardless o) )ormat, containing &ersonall%
identi)iable 6n)ormation 8&669 must 5ae a &riac% 6m.act 4ssessment 8&649.
4 &64 is re>uired to include records retention in)ormation. /5ere)ore,
dis.osition aut5orit% must be receied )rom F4R4. 77S must alidate 77S
&riac% 4ct .rocedures and ensure t5e im.lementation o)
recordAee.ingIin)ormation management re>uirements as mandated in
numerous OM, Memoranda )or t5e .ro.er management o) in)ormation in
accordance "it5 t5e &riac% 4ct.
June 26, 2009
#6
APPE4D$D * SUMMARE 'AP A4A9ES$S
'ap 4ame *aseline and 'ap arget >ision Driver and 'uidance
,usiness
&rocess
'onsistenc%
'urrentl%, 77S? ca.abilities "it5 regards to
Records Management are non*uni)orm. /5e
di))erences among t5e "a% .rocesses 5ae
been im.lemented at 77S can be
summari@ed as O.erational im.lementation,
'om.liance, Organi@ational, Resources,
=eel o) documentation
77S 5as issued t5e necessar% RM .olicies and guidance )or
eac5 res.ectie organi@ation t5at address t5e need to
im.lement most RM .rocesses. /o )urt5er 5el. 77S and t5e
O&!6Vs reac5 a 5ig5er leel o) .rocess automation,
electronic records, im.roed re.orting, and ac5iee better
com.liance, t5e RM communit% s5ould de)ine, "5en
a..licable, a set o) target standard .rocesses.
<ederal 4gencies are re>uired b% 00
:.S.' c5. #1 and #1, O))ice o)
Management and ,udget 8OM,9
'ircular 4*1#0 and F4R4
regulations in #6 '<R c5. S66,
subc5a.ter , to 5ae e))ectie and
com.re5ensie Records Management
.rogram )or all o) t5eir records.
&a.er
Records
Most o) t5e records Ae.t at 77S are .a.er
records. +*mail, documents, )orms, and
ot5er electronic )iles are .rinted to be
stored. Since most o) t5e records at 77S
are Ae.t in .a.er, t5e .rocesses identi)ied in
section 2 are mainl% e(ecuted )or .a.er
records.
&a.er .rocesses are not consistent across 77S. /5e
di))erences are 5ig5lig5ted in section 2.2 and can be
considered ga.s onl% i) t5e outcome iolates t5e .olicies or
regulations.
/5e <ederal Records 4ct
+lectronic
Records
E7mail S+stemsF /oda% at 77S, e*mails
are eit5er .rinted out )or recordAee.ing or
stored electronicall% in an outlooA arc5ie
)ile 8&ersonal Storage /able ..st9. /5e 77S
e*mail s%stems listed on table #.2 do not
.roide records arc5iing )unctionalities as
identi)ied in t5e F4R4 #6 'ode o) <ederal
Regulations 8'<R9 &art 12#0 Sub.art '.
77S s5ould aim to manage and eliminate ..st )iles, migrating
t5em to a secure, central arc5ie t5at o))ers .olic%*drien
collection, retention and dis.osition. 77S s5ould also aim to a
)ull*te(t inde(ing searc5 and retrieal o) ..st )ile content.
,ecause o) t5e number o) em.lo%ees at 77S and multi.le e*
mail s%stems used, t5e !e.artment s5ould ealuate t5e most
e))icient a..roac5 )or t5e organi@ation. 77S s5ould also taAe
into consideration all t5e .riac% and securit% restrictions o) t5e
O&!6Vs.
+*mail s%stems )unctional
re>uirementsG F4R4 #6 'ode o)
<ederal Regulations 8'<R9 &art 12#0
Sub.art ' .aragra.5 8b9819
/rans)er 6nstructions )or +(isting e*
mail Messages "it5 4ttac5ments
:S !e.artment o) 7ealt5 and 7uman Serices June 26, 2009
#3
Document Repositor+, 8e! "ontent
Management, and "orrespondence
S+stemsF 77S 5as im.lemented multi.le
document re.ositor%, 2eb 'ontent, and
corres.ondence s%stems. /5ese tools 5ae
not been e(.anded to include RM
)unctionalities.
77S s5ould address all document re.ositories, "eb content
management, and corres.ondence s%stems so t5at t5e
sc5eduling o) t5e arti)acts created in t5ese s%stems is
consistent "it5 t5e )unctions related to t5e documents rat5er
t5an t5e s%stem 5osting t5em. Most o) t5e listed
collaboration s%stems 5ae t5e abilit% to add metadata and
"orA)lo"s to t5e stored documents. =eeraging t5ese
)unctionalities "ill 5el. automate t5e retention o) documents
based on t5eir sc5edule.
F4R4 +ndorses t5e <ederal*"ide
ado.tion o) t5e !o! 1011.2*S/!
!o! 1011.2*S/!
<ederal +nter.rise 4rc5itecture
8<+49 Records Management &ro)ile
F4R4 +lectronic Records
Management 8+RM9 Guidance on t5e
2eb
Records Management S%stemsG /5ere are a
)e" RM4 s%stems at 77S to tracA .a.er
records. /5ere is no electronic
recordAee.ing s%stem s.eci)icall%
dedicated to RM. Fone o) t5e s%stems
5ae reie"ed )or com.liance "it5 F4R4
minimum re>uirements.
77S needs to be able to e))icientl% and e))ectiel% manage
mission*critical in)ormation including storage, ersioning,
and o"ners5i. ca.abilities in a uni)ied manner. 25et5er
77S decides to moe to"ard one or multi.le RM s%stems,
t5e organi@ation s5ould strie to reac5 uni)orm a..roac5 to
document and Records Management. /5e solution "ill
en5ance auditing, tracAing, and discoer% o) records
im.roing .er)ormance across t5e agenc% "it5 more
automated .rocesses.
All Other $ S+stemsG /5ere are more t5e
2000 6/ s%stems at 77S. 201 o) t5ose are
Major 6/ S%stems. /5e Records
Management ca.abilities o) t5ese s%stems
need to be assessed. 77S needs to maAe
sure t5at records contained in all o) t5e 6/
s%stems can be discoered and accessed
timel%.
7S s5ould assess i) t5e records stored in t5e 77S 6/ s%stems
are .ro.erl% retained as sc5eduled. 77S s5ould also maAe
sure t5at t5e records contained in t5ese s%stems can be easil%
discoered. 77S s5ould also ealuate a cross s%stem searc5
solution taAing in consideration t5e risAs related to not being
able to .roduce records "5en needed.
Sc5eduling
o) 6/
S%stems
&rior to t5e F4R4 re>uirement, t5ere "as no
77S com.liance "it5 F4R4 regarding
sc5eduling o) 6/ s%stems. 77S is in t5e
.rocess o) sc5eduling all 6/ s%stems across
77S to meet t5e Se.tember dead line. Some
o) t5e O&!6Vs 5ae alread% made good
.rogress on t5e sc5eduling .rocess.
77S s5ould im.lement a s.eci)ic .olic% related to t5e
sc5eduling o) electronic s%stems "5ic5 states t5e necessar%
re>uirements, de)ines t5e .rocess to sc5edule an 6/ s%stem,
and assures t5at t5e res.onsibilit% o) maintaining t5e records
)or t5e a..ro.riate dis.osition sc5edule is understood and
agreed u.on b% t5e s%stem o"ner.
F4R4 #6 'ode o) <ederal
Regulations 8'<R9 &art 12#0
F4R4 ,ulletin 2006*02
#-
RM
6ntegration
"it5 ot5er
+nter.rise
&rocesses
Human Resources ?HR@F 77S and Records
O))icers are actiel% "orAing to .roide a
better integration o) RM into t5e 7R
.rocesses. /5ere are multi.le "a%s t5at t5e
O&!6Vs are incor.orating RM re>uirements
and c5ecA lists in t5e em.lo%ee entering and
e(iting .rocesses.
77S "ill de)ine a set o) target .rocesses t5at can be used b% all
t5e O&!6Vs to .us5 t5e RM re>uirements t5roug5 t5e 7R
.rocesses. +m.lo%ees s5ould sign annual agreements s5o"ing
t5e nature o) t5eir "orA, t5e t%.es o) records t5e% liAel%
.roduce and acAno"ledgement o) t5e GRS or S<111 t5at
a..lies to t5eir records t%.es
"apital PlanningF 77S is actiel%
"orAing to include RM in t5e design,
deelo.ment, and im.lementation o)
in)ormation s%stems. O&!6Vs are
including RM as a critical .artner to t5is
.rocess.
6ncor.orate Records Management and arc5ial )unctions into
t5e design, deelo.ment, and im.lementation o) in)ormation
s%stems. 4t 77S. RM "ill be incor.orated into t5e
+nter.rise &er)ormance =i)e '%cle 8+&='9.
F4R4 #6 '<R 12#0.10
OM, 'ircular 4*1#08198A9
'a.ital &lanning and 6nestment
'ontrol '5ecAlists
S%stems !eelo.ment =i)e '%cle
8S!='9 c5ecAlist
Enterprise ArchitectureF Records
Management is not included as .art o)
segment deelo.ment ste.s. 6t is also not
included in t5e business .rocess
engineering re>uirements.
77S s5ould ensure t5at RM is considered in one o) t5e <S4M
ste.s and "5en a business .rocess is anal%@ed. RM s5ould be a
re>uired la%er o) t5e arc5itecture or eac5 ne" segment
deelo.ment.
,usiness &rocess !esign 4s*6s and /o*
,e '5ecAlists
$nformation Securit+F /5ere are
6n)ormation Securit% .olicies establis5ed
)or 77S. /5e .olicies do not s.eci)icall%
address Records Management but t5e% do
.roide re>uirements t5at address t5e
securit% o) records contained in 77S 6/
S%stems.
77S can add a standard RM c5ecA list )or 'erti)ication and
4ccreditation 8'N49 reie"ers res.onsible o) aut5ori@ing
t5e 6/ s%stems to o.erate. 4ut5ori@ation to o.erate 84/O9 is
released b% eac5 O&!6V indicating t5at t5e s%stem 5as met
t5e re>uired securit% .olicies. RM could use a similar .rocess
or leerage t5e e(isting 'N4 .rocess to maAe sure t5at all
s%stems are sc5eduled.
<ederal
Record
'enters
4udits
O&!6Vs are in t5e .rocess o) com.iling
t5is list. Fo s.eci)ic )ormat 5as been
identi)ied and t5ere are no tools aailable to
t5e ROs to tracA )acilities and t5eir
com.liance to t5e F4R4 ,ulletin 200-*06.
77S s5ould include t5e )acilit% inentor% and com.liance
needs in t5e )unctional re>uirements )or a RM4 solution. 4
target .rocess s5ould be de)ined )or recurring inentories o)
)acilities and t5e com.liance .rocess. 'om.liance deadline
)or t5e storage )acilities to meet t5e F4R4 standard is
4ugust #1, 2011.
#6 '<R .art 122-, sub.art $
#9
Resources
ROs are oer"5elmed "it5 t5e amount o)
"orA in su..ort o) t5e RM .rogram. Some
O&!6V ROs and liaisons are not able to
)ocus t5eir )ull attention to t5e tasA o) RM
and 5ae to )ind balance bet"een aailable
resources and "orA related re>uirements.
4 better integration o) RM into to t5e organi@ation?s
.rocesses and t5e im.lementation o) an electronic Records
Management s%stem "ill 5el. automate manual and time*
consuming tasAs, )reeing agenc% .ersonnel time. Streamlined
.rocesses and a Records Management s%stem "ill allo"
Records O))icers to s.end more time su..orting core
.rocesses and less on re.orting and res.onding to data calls.
/raining
77S 5as been .roiding training )or
Records O))icers, managers, liaisons, and
em.lo%ees. /raining re>uirements s5ould
be included in t5e 7R RM re>uirements.
/raining is directl% related to t5e amount o) records created
and retained. 77S s5ould continue to .roide training and
im.roe RM reac5 out "5en .ossible. /5e deelo.ment o) a
better e*mail recordAee.ing solution "it5 automated )eatures
"ill 5el. em.lo%ees to better )ollo" RM guidance.
#6 '<R .art 122-, sub.art $
:ni>ue
Records
Sc5edules
/5e 77S record sc5edules inentor% is on
t5e "a%. ,e)ore an% electronic solution is
ealuated and im.lemented, 77S needs to
5ae a clear ie" o) t5e O&!6Vs record
sc5edules and )ile .lans. <or all O&!6Vs,
t5e .rocess o) maintain a record sc5edule is
a manual .rocess.
,e)ore t5e )unctional re>uirements .rocess begins, 77S
s5ould 5ae t5e com.lete list o) sc5edules. 77S s5ould also
5ae considered t5e Cbig bucAetsD a..roac5 as suggested in
F4R4?s ,ulletin 200-*00.
00
APPE4D$D " *US$4ESS 2U4"$O4 D$A'RAM
01
APPE4D$D D *US$4ESS PRO"ESS A4A9ES$S
02
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Dispose 3emporary Records
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Progra& 'valuation
Develop Evaluation Procedures
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$oordinate %inal "mplementation
MaintainRecor!s
Maintain $entrali0ed Records1eepin! System
Maintain Decentrali0ed Records1eepin!System
Develop Disposition Sc2edules
Develop %ile plan #
Dis%osition
Dispose 3emporary Records
3ranser Permanent Records
Place materialsinto Reerence 4ibrary
Progra& 'valuation
Develop Evaluation Procedures
Develop Auditstrails
Perorm "nspections
$onduct Annual Assessment
S%ecial Recor!sManage&ent Re(uire&ents
+ital Records )
*raining
Provide 3rainin!and 'uidance to all RM sta /5 A /5 A /5 A /5 A /5 A /5 A /5 A /5 A /5 A /5 A /5 A
Develop RecordsMana!ement 3rainin!
Provide 3rainin!and 'uidance to all employees
BBB
Mana!e RM pro!ram
Maintain 'uidelinesand Standards
Develop5 Maintain RM position descriptions
Develop5 Maintain RM position descriptionsPerormance Measures
Mana!e development o Annual RM Assessment
Maintain RM Policies
Develop RM perormance measures
Perorm EP4$$ritical Partner Revie6s# 3ar!et 3ar!et 3ar!et 3ar!et 3ar!et 3ar!et 3ar!et 3ar!et 3ar!et 3ar!et 3ar!et 3ar!et
&versee System Disposition
Web Records7 W. # /ot standari0ed 6it2in 88S. 32is6ill be part o t2e tar!et
Electronic Records7 ER. ## Reerece is&PD"+2asdevelop itso6n policy
Micro!rap2ics7 M. ### RM 3rainin!module isbein!planned.
Email7 E.
Bio7 B.
Paper7 P.
Applicable to all7 All
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APPE4D$D ' DO"UME4 A4D 8E* MA4A'EME4 SESEMS 9$S
OPD$> Document Management S+stem 4ame Alias Description
4S&4, OS OS 4S&4 77S +nter.rise &ortal
77S 2eb
&ortal
/5e .ortal allo"s cross*agenc%, cross*Goernment and e(ternal collaboration "it5
<ederal em.lo%ees and contractors aliAe )or "orA on related .rojects and goals.
4S&4, OS
OS 4S&4 2eb 'ontent Management
S%stem
2'MS
2'MS distributes content onto t5e 77S "ebsites. 6t manages t5e li)e o) a .iece o)
content b% .roiding tools )or its creation, management, distribution, and .ublication.
6t also manages t5e arc5ial o) content t5at 5as e(.ired and no longer needs to be on
t5e "ebsite.
4S&R, OS OS 4S&R Management /ools ,M/ OS 4S&R ,4R!4Ks initiatie )or &roject Management and !ocument Management
'!'
+nter.rise 'ommunications /ec5nolog%
&lat)orm 811209
/5e +nter.rise 'ommunication /ec5nolog% &lat)orm 8+'/&9 .roides
communication and collaboration ca.abilities t5at allo" all '!' .rograms to
intero.erate in a controlled, secure )as5ion "it5 e(ternal .artners. 6t .roides 819
secure 5ig5*aailabilit% alerting ca.abilit% ia .5one, e*mail, "eb .age, and te(t
messagingB 829 secure "eb*based collaboration including )ile s5aring, "orA)lo"
e(ecution, discussion )orums, and team tasA managementB 8#9 a com.re5ensie
electronic director% o) state .ublic 5ealt5, '!', 5os.ital, and lab .ersonnel and
organi@ations, "it5 in)ormation maintained b% multi.le '!' .rograms, aut5ori@ed
contacts in state 5ealt5 !e.artments, and aut5oritatie data )eedsB 809 electronic
interc5ange o) alert and director% in)ormation bet"een '!' and state 5ealt5
!e.artment s%stems. 6t su..orts bot5 emergencies and routine o.erations and b%
design .roides bot5 turnAe% and s%stem*to*s%stem serices to man% dierse '!'
.rograms.
'MS !ocument /racAing S%stem !/S !ocument and /ele.5onic /racAing s%stem
'MS &olic% 6nde( <iling S%stem
&olic% 6nde(
<iling S%stem
/racAs .olic% letter or documents
'MS &roantage
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G+
&eer Reie" Organi@ation 8&RO9 inter)ace to local >ualit% im.roement and case
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'VM,
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'VM 'ommunication !atabase
'VM 'om
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&roide a centrali@ed re.ositor% )or 'VM s.eec5es and .resentation
03
OPD$> Document Management S+stem 4ame Alias Description
'VM,
<!4
<!4 'VM 'or.orate !ocument
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'!MS
'!MS uses !ocumentum 8a 'O/S document management s%stem9. 6t seres as a
secure centrali@ed re.ositor% )or Ae% documents. 6t allo"s )or "orA)lo", ersioning
and storage o) electronic records. 6t is tied to 'VMKs tracAing and anal%sis
a..lications ia a "eb serice allo"ing t5e ca.abilities o) '!MS to be aailable to
our users ia t5e 'or.orate !ocument &ortal. /5e s%stem .roides a single access
.oint to searc5, retriee and annotate .olic% and regulation documents, labels and
'VM generated reie" documents and letters related to t5e s.onsor submissions.
<!4 &ublication and &resentation !atabase &ubs Searc5able database o) .ublications and .resentations b% <!4 aut5ors
<!4 +lectronic !ocument Storage and Reie" +!SR
+lectronic !ocument Storage N Reie" .roides an electronic content N Records
Management ca.abilit% to centrali@e N secure access to all agenc% electronic records.
+!R s%stems across <!4 are being reie"ed )or .otential migration to +!SR in
<T10.
7RS4 7RS4 $no"ledge Gate"a%
/5e s%stem 5ouses .ublic and .riate resources related to 5ealt5care im.roement,
data re.orted b% 5ealt5care organi@ations on >ualit% im.roement measures.
!ocuments are u.loaded b% members "it5 s.eci)ic rig5ts to .articular grou.s
"it5out restriction. !ocuments are u.loaded to t5e .ublic area a)ter t5oroug5 reie".
F67 F67 O!IOR< +!MS +lectronic document management
F67 F67 O!IORS R+=46S =ibrar% "orA)lo" s%stems * inter*librar% loans and deliering documents
F67
F67 F6F!S S5are&oint !ocument
=ibrar%
O'6O, OS
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&ortal
O'6O
'ollaboration
&ortal
/5e O'6O 'ollaboration &ortal is an integrated "eb .ortal a..lication serer t5at
.roides content management, collaboration, and enter.rise searc5, accelerating
s5ared business .rocesses, and )acilitating in)ormation s5aring across boundaries. 6t is
used to collect and .ublis5 77S +4, '&6', Securit%, and O'6O leel documents to
internal staAe5olders.
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'!' Records Management S%stem
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SO= s%stem )or submitting re>uests )or records storageB .roides access to
inactie '!' records "5ic5 are stored in arc5ie.
'MS Records Management S%stem RMS
/5e Records Management S%stem is a client serer a..lication "ritten in
Visual ,asic )or t5e 4genc% Records O))icer to manage t5e storage, retrieal,
and dis.osal o) 4genc% )iles stored in t5e Me@@anine leel in t5e onsite
"are5ouse. ,o(es o) )iles are assigned uni>ue accession numbers and storage
locations. Various re.orts are .roducedG !estro%edIRe>uested Records, =ist
o) 4ccessions, ,o(es Out on =oan, Moe Re>uests, :sedI:nused =ocations,
'ustomerI'om.onent =ists, etc. 'MS 6n)ormation Securit% Suite 8'6SS9 Q
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'MS Regulations Records Management RRM
Maintains Records Management in)ormation )or t5e Regulations. /5is
includes "5en t5e bo(es are in 'MS, t5e 'MS "are5ouse or t5e <ederal
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'MS 'MS !ocument Management FM
/5is .roject "ill .roide guidance on electronic Records Management and
"ill enable 'MS to trans)er electronic records to t5e Fational 4rc5ies and
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<!4 :niersal Records Management :RM
Records Management a..lication
<!4 46MS 'ore * RecordI'ase
Management 4..lication Module
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4 tracAing a..lication t5at integrates "it5 !ocumentum and 46MS core to
manage t5e business .rocess o) receiing, res.onding and managing
incoming and outgoing o))ice corres.ondence and .rojects.
<!4 <!4 'ommon +!R +!R
/5e 'ommon +lectronic !ocument Room .roides electronic content and
Records Management ca.abilit% to centrali@e and secure access to all agenc%
electronic records, en5ancing aailabilit% to all <!4 documents across center
lines.
&lanning
<!4 <!4 4ccelerated Submission
/racAing and Reie"
<4S/4R
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migration to <4S/4R in <T10.
&lanning
09
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F67 F67 F''4M Records
Management !atabase
F67 F67 F6F!S <in+(
Fational 6nstitute o) Feurological !isorder and StroAe 8F6F!S9
F67 F67 F6GMS !ocument
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F6GMS
6ntegration and customi@ation o) electronic document management and
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O'6O
'ollaboration
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t5at .roides content management, collaboration, and enter.rise searc5,
accelerating s5ared business .rocesses, and )acilitating in)ormation s5aring
across boundaries. 6t is used to collect and .ublis5 77S +4, '&6', Securit%,
and O'6O leel documents to internal staAe5olders.
O'6O,
OS
OS 6OS Strategic 2orA 6n)ormation
and <older /rans)er
S26</
/5e Strategic 2orA 6n)ormation and <older /rans)er 8S26</9 is t5e 6mmediate
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corres.ondence )or t5e Secretar%.
O.erations and
Maintenance
10
APPE4D$D $ HHS *US$4ESS AREA D$A'RAM
HHS *usiness Areas
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7ealt5 care !elier% Serices
7ealt5 'are Researc5 N &ractitioner +ducation
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6n)ormation Resources Management 86RM9
Management o) Goernment Resources
&lanning N 4ccountabilit%
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26, 2009
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16

Hhs RM Segment Gap Analysis and Strategic Improvement

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Hhs RM Segment Gap Analysis and Strategic Improvement

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