Maintain an effective program for the management of electronic records; I want to know why I did not get an Outstanding on my annual performance appraisal. July 1, 2019. Minimizes the risk of unauthorized alteration or erasure of electronic records. Basic definitions pertaining to electronic records management are: Born Digital - records which have been generated entirely electronically, e.g. If you need additional guidance after confirming your records retention and disposition authority in the IRS Records Control Schedules, consult the IRS RIM Program office or your BU IRC for more detailed instructions and guidance on the transfer of permanent IRS records. Organizational mailboxes, with few exceptions, are maintained as temporary twenty (20) year accounts. Such repositories may or may not be equipped with out-of-the-box records management functionality. Consequently, such information should be converted to another medium to ensure its continued maintenance and readability. f. FIPS PUB 65 Guidelines for ADP Risk Analysis. The MER Conference is renowned as the nation's premier educational experience focusing on the life-cycle management of electronic records. Email records associated with official recordkeeping files: When business needs require email records to be retained with other records (such as part of an investigation, contract, project, or other case file), forward or copy these email records to the appropriate recordkeeping system (i.e., electronic recordkeeping system or paper file) and maintain according to the Document 12990, IRS Records Control Schedules or Document 12829, General Records Schedules. Each data element within a record should contain only one data value. These standards apply to all Federal agency offices using office automation or information systems and will be followed by the IRS. These repositories do not currently provide the functionality necessary to electronically manage record information. Refer to IRM 10.5.1, Privacy Policy, for details on emails with personal accounts. Electronic records derived from paper records must be separately scheduled. He has published over 100 articles in computer trade journals, yet his first book was his story about surviving Hurricane Katrina in New Orleans. This includes ensuring that ESI on separating employees’ laptop or other personal computer equipment is preserved, and not erased by Information Technology personnel. Each file requires a specific definition of its structure and content. .04 The record status of electronically stored drafts of policy documents should be re-evaluated as changes are made. Configure Records Management Controls. This includes the ability to appropriately apply NARA-approved records disposition authorities upon deployment of the system. Check out this beginner-friendly book on data analytics! Once the message is in the Conversation History folder, follow the guidance below: Employees are responsible for the backup of information saved to individual laptop/desktop hard drives to ensure data is not lost. All final recordkeeping copies must be moved to a compliant Document Management Systemic/Collaboration Environment. It builds upon basic methods of records management and information resource management. f. Apply appropriate disposition instruction for the files being created; This IRM sets forth policy, assigns responsibilities, and explains requirements for the management of electronic records in accordance with Code of Federal Regulations (CFR) Title 36, chapter XII subchapter B, chapter XII, and United States Code (USC) Title 44, Title 36, chapters 29, 31, 33, and 35. Laptop/Desktop Hard Drives. UC Electronic Records Day Webinar. Are you joining? Individual Employee Networking sites (I Drives, MySites, OneDrive, etc.). Managing Electronic Records is filled with current, critical information on e-records management methods, emerging best practices, and key technologies. The 13-digit and 10-digit formats both work. and "Why?" Yes, you should apply the standard described above to both incoming and outgoing email. (39) IRM 1.15.6.15 - Digitization Requirements - Changed the subsection title and added new content on digitization requirements for recordkeeping. If the diskettes are properly labeled, they may be largely self-indexing if there are only a few of them. If the collaboration is not located on the agency’s network, the Business Unit must discuss procedures for the capture of record material with the IRS Records Program office via *Records Management. Electronic Records Management must be a part of the Judiciary's comprehensive disaster management plan. The book is worth every penny and will probably pay you back ten-fold. Ensures that appropriate agency personnel are trained to safeguard sensitive or classified electronic records. Text messaging functionality is not available within the Bring Your Own Device (BYOD) program’s Good application enterprise environment. IRS offices must provide adequate technical documentation for each permanent electronic file identified for transfer to NARA to allow the records to be interpreted and understood in context. c. Tapes to be transferred to a FRC or NARA shall be on one-half inch 7 or 9 track tape reels (preferably 9 track), written in ASCII or EBCDIC, with all extraneous control characters removed from the data (except record length indicators for variable length records, or marks designating a datum, word, field, block or file), blocked no higher than 30,000 bytes per block, at 800, 1600 or 6250 bpi. Transferring permanent electronic records and related documentation and indexes to NARA at the time specified in the Records Control Schedules for permanent records. Temporary electronic records must be destroyed in accordance with the RCS or GRS. determined by the office/organization that the source records are not needed for other business purposes. Instant Messaging (IM) - Instant Messaging (IM) is an electronic messaging service that allows users to determine whether a certain party is connected to the messaging system at the same time. No. This is accomplished by thoroughly documenting the recordkeeping system’s operation and any associated controls imposed upon it to maintain system and record integrity. in managing electronic records in an effective, cost-efficient manner that also accommodates their public records responsibilities. See NARA’s basic recommendations for RIM contract language, https://www.archives.gov/records-mgmt/policy/records-mgmt-language. This comprehensive guide offers users both a strategic overview of current ERM issues and a practical road map for implementing specific ERM solutions. The Electronic Document and Records Management System (EDRMS) is a good example of how ICTs can be employed for the efficient management of electronic records (Mutimba 2014). Disposition Authority - the legal authorization for the retention and disposal of records. Managing Electronic Records Filing Records. identify and explain the TEN functional requirements in the Model Requirements for the Management of Electronic Records (MoReq2). FTP file structure may use the 64-character Joliet extension naming convention only when letters, numbers, dashes ( - ), and underscores ( _ ) are used in the file and/or directory names, with a slash ( / ) used to indicate directory structures. IRS Business Units should externally label the offline media with a brief description of the content, software application and versions used, date range of files, and date when then content was transferred to the medium. These requirements apply to all IRS electronic information systems and unstructured data repositories. If used in this manner, the message must be preserved in association with related records and in accordance with applicable records schedules. Electronic Recordkeeping System - a system whereby records are collected, organized, and categorized to facilitate their preservation, retrieval, use, and disposition. 2020 MER (Managing Electronic Records) Conference. Recorded electronic information becomes a federal record when it satisfies the statutory definition of a “record,” and is the same definition applied to information recorded on paper. .04 Electronic records not covered by an approved records control schedule may not be destroyed or transferred. Contract terms should ensure that contractor systems satisfy the legal requirements for creating and maintaining adequate and complete records of IRS transactions when those transactions are carried out by contractors. .03 The Federal Records Act of 1950 (44 U.S.C. Metadata Introduce yourself to metadata, its functions, and its importance in managing electronic records. This text does not mention AT ALL many topics relevant to managing electronic records today, such as: managing social media records, records management for cloud computing, SharePoint records management, or information governance. Historians are used to handling paper and parchment record in archives. These are actual pieces of correspondence which passed between historical actors. They are alsorelatively stable artefacts which can be preserved easily. In accordance with IRM 10.8.1, Information Technology (IT) Security, Policy and Guidance, Telecommunication Devices on the use of text messaging with government-furnished mobile devices or cellular phones to conduct official business is prohibited. RETRIEVING ELECTRONIC RECORDS. The requirements for the maintenance of electronic records storage media for permanent records are documented in 36 CFR 1236.28, What additional requirements apply to the selection and maintenance of electronic records storage media for permanent records. May I send an instant message to non IRS partners/stakeholders? The organizational mailbox record must preserve the incoming email and the outgoing email that provides documentation of the request, who is being tasked for response, and response due date. The media on which electronic records are recorded are fragile. iii. Am I allowed to use text messaging? Shared Drive A specialization of an operating system file system, comprising of a shared device (e.g., This includes deactivation of passwords or other forms of file level encryption that would impede access to record data. This page provides general guidance on how to manage the retention of electronic public records to help Washington local governments comply with records retention requirements and the Public Records Act (PRA), including some practice tips and do's and don'ts. Records and Information Management Program Office Responsibilities. .01 Office of Management and Organization. This requirement is important when an existing automated system is upgraded or replaced with a new one. Contact your Records Specialist found at https://portal.ds.irsnet.gov/sites/vl003/lists/recordsspecialists/landingview.aspx or the RIM Program office for instructions and assistance in completing the form and identification of other documents necessary for the transfer of permanent records. .03 The decision about whether an electronic document is a record needs to be made earlier than for paper because of the ease of erasing or changing the record. magnetic tape to CD-ROM), or through deterioration. Storage media should be assessed and tested regularly to check for degradation, and information should be transferred to new storage media before loss of quality or technological obsolescence occurs. .05 Office of Management and the Budget (OMB) Circular No. How can email be an official record if it is not signed? Submit the required documentation through your Records Specialist to the IRS RIM Program office for completion, approval, and submission to NARA. There has always been a requirement for employees to save and appropriately manage records they create. Therefore, these records must be protected early in their life-cycle. The Protecting Americans from Tax Hikes (PATH) Act of 2015, Section 402, IRS Employees Prohibited from Using Personal Email Accounts for Official Business, states that "No officer or employee of the Internal Revenue Service may use a personal email account to conduct any official business of the Government" . 2071 establishes criminal penalties for the unlawful removal or destruction of Federal records. What type of messages should NOT be sent using instant messaging? Office of Privacy and Open Government Any records that have not yet met their required retention periods must be migrated into an approved recordkeeping system. Smallwood is a world traveler always seeking adventure. This course introduces students to the conceptual, legal, social, and cultural issues and practical problems of managing electronic records and record keeping systems. Short-term (transitory) messages are those business-related messages such as routine exchanges of information, inquiries about availability and other routine actions. Records management is an important part of the infrastructure that will make E-Government work, and we are working closely with our partners to ensure success. The extent, format, and content of the documentation varies for different types of electronic records. Do you want to learn how to make informed decisions and stop guessing? For example, a fundamental assumption in archives is that physical documents can be stored . An official website of the United States Government. Electronic records are official records as defined by the Federal Records Act of 1950 and are subject to the management program established by DAO 205-1, "Records and Other Documents Disposition Management Program." These routine notifications and reminders are short-term messages with no substantive business information. The CD-ROM may contain software files and temporary records, but permanent records must be in files that contain only permanent records. Contextual information explains how the electronic records fit into the IRS programs or mission. Laptop/Desktop Hard Drives should only be used to store personal material, reference material, or working papers that do not need to be accessed/collaborated on by others. In practice, records management usually includes a records manager. All employee responsibilities. In general, technical requirements for hardware, software, and media, and requirements for metadata and contextual information are needed. Please try again. When an agency is embarking on a project to digitize paper or other physical records, the agency may choose to begin by running the documents through a Can you send me another copy when you get the chance? This characteristic allows for economic creation of a variety of updated outputs tailored to specific needs. //-->. To get the free app, enter your mobile phone number. Digitized records must be validated in order to replace the original source records. The IRS must retain a copy of all permanent electronic records transferred to NARA until receiving official notification that NARA has accepted legal custody of the records. Personal and non-record emails should be maintained separate from official (record) emails. Electronic record files can be named and stored using an alphabetic, subject, geographic, or numeric arrangement. e. Perform periodic evaluations of electronic recordkeeping systems to ensure compliance with applicable laws, regulations, and Departmental and operating unit policies, standards, and procedures. . Particular concerns exist about digital preservation—the ability to retain and still be able to access and read electronic records over time as technologies change. Director, Identity and Records Protection (IRP) Messages must be transferred in one of the acceptable manners described in 2.b. b. Disk/Diskette Labels. For additional e-records information, training events, and updates, visit the E-Records Institute at www.electronic-records-management.com. ERM captures records as part of a digital business process. This will assist in retrieval of the disk/diskette copy in case the document must be revised. "The following are not excluded by the hearsay rule, even though the declarant is available as a witness: f. Develop or review all requests for the disposition of electronic records created and maintained by operating units that have given this responsibility to IMD and forward such requests to NARA for final approval. Examples of unsuitable use include, but are not limited to: Communications documenting IRM reviews and policy approvals, or decisions. (34) IRM 1.15.6.12 - Disposal of Temporary Electronic Records - Added new subsection on disposing of temporary electronic records. Structured Electronic Data - electronic data that resides in fixed fields within a record or file such as relational databases. Top subscription boxes – right to your door, Pass it on, trade it in, give it a second life, © 1996-2021, Amazon.com, Inc. or its affiliates, Network Storage & Retrieval Administration, Thoroughly introduces the fundamentals of electronic records management, Explains the use of ARMA's Generally Accepted Recordkeeping Principles (GARP®), Distills e-records best practices for email, social media, and cloud computing, Reveals the latest techniques for e-records inventorying and retention scheduling, Covers MS SharePoint governance planning for e-records including policy guidelines, Demonstrates how to optimally apply business process improvement techniques, Makes clear how to implement e-document security strategies and technologies, Fully presents and discusses long term digital preservation strategies and standards, Taxonomy development and metadata strategies, E-record considerations for email, IM, social media, and cloud computing, Long-term digital preservation of records, Business process management considerations, E-record storage and hardware considerations. iii. SECTION 15. The RIM Program office (Records office) may grant exceptions to this records storage policy as needed, based on suitable justification and a thorough assessment of evident and potential risks. The handbook emphasizes the crucial role of records maintenance and disposition in managing electronic records and is designed to be used in conjunction with the Department of State's 1. The following chart includes some examples of unsuitable use of instant messaging systems: This guidance provides specific instructions for preserving instant messages and text messaging. Disposition - those actions taken regarding records no longer needed for regular current agency business and documented in Records Control Schedules (RCS). The topics covered in this encyclopedia encompass internationally recognized bodies of knowledge, including those of The IT BOK, the Chartered Information Technology Professionals Program, the International IT Professional Practice Program ... It is the employee’s obligation to ensure messages that are sent or received and determined to be substantive in nature are appropriately preserved (see 2.b. (16) IRM 1.15.6.7.5 - Email Created Using Personal or Non-IRS Communications Tools (not part of the BYOD Program) - Removed and relocated content to IRM 1.15.6.7.3. Tape cartridges should be 18-track 3480-class cartridges recorded at 37,871 bpi and blocked at no more than 32,760 bytes per block. He then wrote a theatrical play that was performed as a staged reading in New Orleans, revised, and then published, followed by a novel, and a biz/tech book. (In other words, just because you CAN keep records indefinitely, doesn't mean you SHOULD.) Paper records are traditionally filed in folders in a filing cabinet based on the informational content such as subject or date. )), (63 BPMM (11600 BPI)), Phase Encoded. When migrating records, all metadata must be preserved and accompanied with the transfer. Document and Records Management systems share many similarities. A-130 implements the Paperwork Reduction Act of 1980 and provides guidance for the integration of record management with other information resources disciplines. All permanent records must be transferred in files that contain only permanent records. The role and even the meaning of business records have vastly changed in the past decade. June 8 - 10, 2022, 1 st Run: Lagos & Port Harcourt November 16 - 18, 2022, 2 nd Run: Lagos & Abuja For Tutor -Led Class: 9am - 4:30pm Workshop fee: N120, 000 per Participant For online: Delivery via Zoom Time: 9am - 4:00pm everyday (35) IRM 1.15.6.13 - Use of Social Media - Changed the subsection title and relocated content from IRM 1.15.6.14. NARA staff and the operating unit records management officer should be involved in the decision on the conversion process and on the record sequence which would be in the best interest of the Government. Both the sender and the recipient have to determine whether a particular email message is a necessary part of that documentation or if it fills in gaps in other records series. address, title, link to function or activity, agency, program or section). .01 Information stored on disks/diskettes has a relatively short life expectancy estimated from one to five years. A record should not contain nested repeating groups of data items. Unstructured Electronic Data - electronic data that does not reside in fixed fields, but is free-form text available in common office productivity tools such as word processors, spreadsheets, multimedia editors, presentations, diagrams, etc. The fastest turnaround for a standard essay is 3 hours. Get in touch for help with any of your RIM needs. ); Records will not be compressed unless NARA has approved the transfer in the compressed form in advance. NARA has identified preferred and acceptable formats for each category in tables found at https://www.archives.gov/records-mgmt/policy/transfer-guidance-tables.html. Many electronic mail messages will not contain enough substance to be considered official records. GUIDELINES FOR MANAGING ALL ELECTRONIC RECORDS. Who do I contact if I need help saving my instant message or have questions about records management training or other support options? In accordance with 36 CFR 1236, Subpart D, Digitizing Temporary Federal Records, the following standards must be met: Capture all information contained in the original source records; Include all the pages or parts from the original source records; Ensure the digitized versions can be used for all the purposes the original source records serve, including the ability to attest to transactions and activities; Protect against unauthorized deletions, additions, or alterations to the digitized versions; and. This potential for cost avoidance can only be realized by efficient records control scheduling authorizing the disposal of the current information on the media. Also added content on OMB/NARA M-19-21, Transition to Electronic Records. Collaboration may happen in multiple contexts, such as person to person, office to office, agency to agency, or public to agency (i.e., via interactive websites). Duplicate emails may be deleted. This guidance does not cover voicemail/Viewmail or the exchange and sharing of real time information through Live Meeting, group training sessions or similar functions of a collaboration system. Each tape, disk, or diskette should include sufficient information for the records to be retrieved or disposed of not only by the user, but also by a colleague, a successor, or, if appropriate, NARA. Managing electronic records Electronic records should be arranged consistently and logically so that they can easily be found and used. Also removed reference to obsolete Form 12240. When the documentation is in electronic format, identify and transfer the documentation data as separate files along with the files containing the electronic records. Event Details Speakers Sponsors and Partners. (Microforms should meet the standards in 36 CFR Part 1230). i. .03 In addition to the electronic index to the records, indexes to diskettes may be required. Yes, instant messaging systems are acceptable and convenient methods of automatic encrypted file transmission, but do not supersede policy or work processes for certain programs and offices. NARA Bulletin 2015-04, Metadata Guidance for the Transfer of Permanent Electronic Records, defines the minimum set of metadata elements that must accompany transfers of permanent electronic records to the National Archives. all books, papers, maps, photographs, cards, tapes, recordings, or other documentary materials regardless of physical form or characteristics, prepared, owned, used, in the possession of or retained by a public body. j. Unstructured electronic records, other than electronic messages, must be managed in a records management solution that is compliant with Reference (i) or Reference (j), as applicable. Copies of these standards may be obtained from the National Technical Information Service (NTIS), U.S. Department of Commerce, 5285 Port Royal Road, Springfield, Virginia 22161. PURPOSE..01 This Order contains instructions, standards and guidelines for managing records and information in electronic form in conformance with policies established by the General Services Administration (GSA) and the National Archives and Records Administration (NARA). (25) IRM 1.15.6.11.2.1 - Sources of Documentation - Relocated content from IRM 1.15.6.12.1 and expanded the source of documentation that could accompany the transfer of permanent records. Early involvement of the records management officer is especially critical in the case of major systems that may contain permanent records. CD-ROMs may be used as transfer media for fielded data files or text files if they conform to the International Standards Organization (ISO) 9660 Standard and to the American Code for Information Interchange (ASCII); are not compressed unless NARA has approved the transfer of the compressed form in advance; and are individually addressable. To meet this requirement, repository administrators must establish appropriate user rights to access, search, and retrieve records, and prevent unauthorized access, modification, or destruction of records. electronic records, segregable. Even paper records are now tracked electronically. i. You are preserving the original digital records, not paper copies that pile up in . Always remember to Think Data Protection. Where most available titles are biased toward dealing with inactive records, this book gives a balanced treatment for all phases of the record's life cycle, from creation or receipt through to ultimate disposition. If an email record is sent to several recipients, which copy is the official record? They may or may not have paper backup. Discussions about examinations and/or case processing and resolution. m. FIPS PUB 93* Parallel Recorded Magnetic Tape Cartridge for Information Interchange, 4-Track, 6.30 (1/4 in.) METHODS, BEST PRACTICES, AND TECHNOLOGIES. This role-based approach does not replace existing business practices that require email messages and other related records to be retained together in established recordkeeping systems and maintained per approved records retentions. iii. Late last week, the Office of Management and Budget (OMB) and NARA jointly issued a new memorandum with guidance on managing Federal records. Text Messages (Mobile Communication Devices) Backup systems must adhere to prescribed management requirements as defined in Document 12829, General Records Schedules, GRS 3.2 items 040, System backups and tape library records and 050, Backups of master files and databases. (1) This transmits revised IRM 1.15.6, Records and Information Management, Managing Electronic Records. No matter what media or file formats are selected for creation and storage of digital documents, a system is needed that can organize and reliably retrieve all electronic information. Some of the documentation for electronic records may only exist in paper form and may need to be digitized in order to transfer the documentation to NARA. RIM Program office, system administrators, and content owners must coordinate to establish/identify appropriate dispositions for the content stored within these records storage locations. Instant Messaging ("IM" or "IMing" ) is the exchange of messages in real-time through a software application. .01 Personnel should be able to easily retrieve electronically stored records until their authorized disposition. SECTION 13. As well, the following two resources have been produced: Additional Resources a bibliography of key resources related to the management of electronic records. Organizational email accounts must only be used for sending or receiving email related to the specific organization’s business purpose. It is a practical book intended for professional records managers, archivists . Offices/Organizations must contact *Records Management to start the validation process. Electronic filing is that aspect of electronic recordkeeping that concerns the transmittal and entry into an electronic system of records or information received from the public or other sources outside the Department, e.g., the electronic filing of patent and trademark applications and related information. Ensure the digitized versions can be located, retrieved, accessed and used for the record’s entire retention period. Unlike physical records, management of electronic (i.e., digital) records requires a computer, server, or other digital storage equipment. Before the media are ten (10) years old, IRS Business Units must copy permanent or unscheduled data on magnetic records storage onto tested and verified new electronic media. Electronic records management (ERM) is the management of electronic files and documents as records. (15) IRM 1.15.6.7.4 - Email Created Using Personal or Non-IRS Communications Tools (Bring Your Own Device (BYOD) Program) - Added IRM reference content.
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