Electronic Mail Records Management System

STATEMENT OF WORK

February 26, 2002

1. INTRODUCTION

1.1 Organization

The Information System and Technology Division (IS&T) is a subsidiary office of the Office of Administration (OA) in the Executive Office of the President (EOP), U.S. Federal Government, located in the New Executive Office Building (NEOB), Washington, DC. The role ofIS&T is to assist the EOP staff with using information technology to perform their daily activities efficiently. IS&T is responsible for the integration, coordination, and oversight of EOP information and data processing management systems. The Division also maintains a 24 hour-a-day operation, the EOP Data Center, for mainframe and mini-computer systems. A help desk provides the EOP support in resolving problems encountered in the operation of local area networks, personal computers, and mainframe applications

1.2 Background

The EOP currently uses the Automated Records Management System (ARMS) for electronic storage of e-mails, pagers, and WAVE requests. This system was developed in 1994 to meet and satisfy Federal Court demands. As such, the ARMS system was only expected to be used until a more sophisticated system could be developed and implemented. The White House during the appellate Court proceeding as part of the Armstrong case voiced the above perspective. The current ARMS application was designed to receive e-mail messages created by EOP users that are classified as Presidential or federal records. E-mail messages designated as records are automatically copied to ARMS for preservation and archiving. E-mails designated as non-records are sent to a separate bucket and monitored by Agency Monitors prior to disposition. At the close of each administration, the records in ARMS are transferred to the National Archives.

1.3 Current System

IS&T developed an interface program to allow for the transfer of e-mail messages from Lotus Notes to ARMS. This interface was developed in 1996 without the proper time to analyze and program for all of the intricate requirements. Unfortunately, since 1998 IS&T has experienced numerous anomalies (MaiI2, Letter D, and Multi-host) in the Lotus Notes to ARMS interface. These anomalies have resulted in numerous e-mails messages not being archived to ARMS and countless hours in legal discourse to resolve and understand the impact. These e-mails are currently being restored at an estimated cost to the taxpayer of 13.2 million. Since 1996 the interface has been "patched" to correct anomalies and/or meet changing requirements. The interface is in need of replacement to utilize current technology, meet additional requirements, and to ensure confidence with the Courts and Senior White House Management that no further anomalies will occur.

Some of the difficulties that the current Lotus Notes to ARMS interface has incurred are due to the

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lack of a well defined standard interface. With a standard defined interface programming changes and additional inputs would be easier and less likely to create errors for any application which needs to interface with the ARMS application. Failure to redesign and implement a standard interface will most likely increase the chance of future anomalies when products and record interfaces are added to the current Lotus Notes and ARMS interface. It is paramount that Notes Lotus ARMS interface be replaced as soon as possible. See attached diagram of interface role in relationship to the total enterprise, applications, and ARMS. (Tab B)

In December 2000, in an effort to ensure that IS&T could accommodate and process the thousands of e-mails to be stored in ARMS it invested in the purchase of new hardware to replace outdated computers. The new computer configuration should be more than adequate to support any replacement to ARMS.

Furthermore due to the number of subpoenas and FOIA requests, the ARMS system is drastically in need of a more sophisticated and robust search engine. The current search engine is basic in its capabilities and cumbersome to use. As a result countless hours of IT and legal personnel hours are consumed to satisfy the request which realistically should take far less time and effort.

1.4 Target System

Although ARMS provides a comprehensive suite of records management functionality, the system does not function without anomalies and does not completely meet the users' expectations. Some processes are slow, complicated, or difficult to command. For example, the current search engine is basic in its capabilities and cumbersome to use. As a result, countless hours of IT and legal personnel hours are consumed to satisfy the request, which realistically should take far less time and effort .. As a result, the Government has decided to task a contractor (the Contractor) to customize a COTS product to better meet IS&T users' requirements.

The customized system (the Target System) shall meet the following requirements:

• The Target System shall collect all inbound and outbound E-mail messages. The system must insure that if the same E-maillmessage is sent or received by more than one recipient, only one copy of that E-mail willbe stored per agency bucket. Duplicate records within the same agency bucket cannot be allowed.

• Stored data shall be physically separated into Presidential and Federal records and stored on separate types of media.

• The Target System shall allow system and software tool forward-compatibility and expandability.

The Contractor shall avoid any version dependent coding practices to ensure that the Target System can be upgraded with no or little modification.

• The Target System shall have the scalability and flexibility to allow easy functional enhancements and system maintenance.

• The Target System shall take advantages of functions and procedures that are built in the DBMS whenever possible, instead of reinventing the wheel, to accommodate system functions.

• The Target System shall be designed and developed to provide appropriate performance and response time. For example, a single record should be retrieved in less than a quarter of a second; any transactions of creating (saving), updating, and deleting records shall not exceed three seconds.

• The Target System shall allow growth and expansion of the system user community.

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• The Target System shall comply with DOD Directive 5015.2 ("Department of Defense Records Management Program") requirement.

Additional major requirements are listed in Appendix A of this document for informational purposes only. A complete set of requirements will be collected, analyzed and validated in the Requirements Analysis phase.

A hypothetical sequence of events for developing the Target System would be:

- interview the users to validate the requirements; review and validate the existing system documentation

review the current system (i.e., ARMS) to identify the data workflow, functional processes, and

deficiencies (i.e., functional areas that need to be improved) review the current database structures

analyze and consolidate the requirements and develop the Requirement Document identify hardware and network requirements

acquire, install and configure hardware

develop a prototype and demonstrate it to the users finalize the requirements and system design develop the system

conduct Government acceptance testing and install the system provide system documentation and user training

convert data from the existing system to the Target System administer and maintain the system (optional)

2. TECHNICAL SERVICES REQUIREMENTS

2.1 Functional requirements

2.1.1 Output format requirements

2.1.1.1 Background

The records management system utilized by the Executive Office of the President must be able to produce output data in a specific format and a specific medium. The medium used is 3480 cartridge tapes capable of holding approximately 200MB of data. In the near future, the technology may be changed to an LTO. These tapes are created periodically, usually at the end of a given month. This medium is then transferred to the National Archives and Records Administration (NARA) for preservation and archival purposes, usually at the end of an administration.

Because the data stored in the records management system, mayor may not be stored in a format directly convertible to the format used on the output tapes, it is envisioned that the module used to produce output tapes will be a separate utility invoked by the records management systems administrator from time to time. The specific format used on the output tapes is described in detail in Attachments Band C. Attachment B describes the operation of the utility that will be used periodically to produce output tapes in the prescribed format for a given Month/Agency combination. Depending on the data in the system, some aspects of the utility may not be required.

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2.1.2 Search, Result, and Reporting requirements

2.1.2.1 Search requirements

In order to provide for accurate and complete retrieval of records in the RMA, the target system must include a robust searching tool that allows the users maximum flexibility. Boolean operators are fundamental to any strong search engine. The "or", "and", and "not" functions allow users to combine search sets in different ways to make their searches more accurate. Another important search feature is the phrase search, which allows a user to specify an exact phrase rather than a string of keywords. Proximity searches enable a user to find two keywords within a certain distance of one another. It would be useful to be able to specify the number of words between two search terms. A strong search engine should also include the ability to use wild cards. Wild cards should allow for both single letter replacement (i.e. wom?n) and also word parts (i.e. mak*). In order to facilitate the expansion of a search, a thesaurus should be available. This thesaurus expands a search by including search terms that the user may not have thought.of (i.e. a search on "computer" can include the search terms "laptop", "pc", "server" etc.). Aside from the search features mentioned above, one should be able to specify which fields should be searched. Searching attachments should be an option that one can use if necessary. The following functions should be available when doing a search on date fields: earlier than, later than, and equal to a date.

2.1.2.2 Result requirements

Users should be able to sort search results as well as print them out. When a search is completed, one should be able to not only store the search results, but also the search criteria. Search criteria can be stored in a type of library so that they are readily available for re-use. After the results of a query are returned, a user should have the option of saving the results or exporting these results into a different format or onto a different media. Export formats shall include .html, .xml, and .pdf. Persons who receive the search results on CD or disk and who do not have access to the RMA should be able to view retrieved records. Attachments included with emails shall be viewable in their native format.

2.1.2.3 Reporting requirements

Once a search has been performed and the results have been received, the target system shall enable users to run standard as well as ad hoc reports. Users shall have the ability to select which fields are displayed and how they are displayed.

2.1.3 Monitoring requirements

2.1.3.1 Background

As part of the Armstrong legal settlement, the various EOP agencies have an obligation to inspect or monitor the records that are entering the ARMS system. Designated agency monitors perform this inspection. These monitors currently use a monitoring system that is written using ALL-IN-l scripting language and therefore requires that ALL-IN-l be running. The BOP has a requirement to

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re host the monitoring application using a WEB front end so that the records management monitoring obligation can be satisfied without ALL-IN-l.

2.1.3.2 Basic functionality

The following are some of the basic functions that the records management monitoring tool must be able to perform:

a. Allows the user to select the monitoring criteria i.e. the set of records to be viewed.

b. Allow the user to view a statistical sample of these selected set of records.

c. Allows the user to change the record/non-record designation.

d. Keeps a log of activity for reporting purposes.

e. Provides security access.

f. Allows the user the ability to create reports for a specific period of time.

g. Allows the systems administrator the ability to maintain the monitoring system.

2.1.3.3 Detailed functional requirements

2.1.3.3.1 Monitoring selection criteria.

The designated monitor must be able to decide which set of record sINon records he/she wishes to monitor. This involves presenting the agency monitor with a pick list for the following options:

1. The agency.

The pick list presented to the agency monitor should be the list of agencies that he/she has been authorized to monitor.

2. The record subset.

This pick list should contain the following options based on the categories of records

All Federal/Presidential records (Depending on the agency selected) All Non-Records

Any other category of records depending on classification categories within the new records management system

3. The monitored status

This pick list should allow the agency records management monitor the ability to specify the sub categories of records to be monitored based on their previously monitored status and should include options such as:

All not monitored previously All monitored previously All available

All monitored previously and modified

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All monitored previously and not modified.

2.1.3.3.2 Statistical sample

Based on the record designation selections outlined in 2.1.3.3.1 and subsequently selected by the designated agency monitor during a monitoring session, the system must be capable of presenting the monitor with a statistically random subset of records to be examined one by one. The agency monitor should have the ability to examine as many (or as few) as he or she wishes, thereby determining the size of the statistical sample viewed during anyone monitoring session.

2.1.3.3.3 Change record designations

During a given monitoring session, the designated agency monitor must have the ability to change the record type of a record being monitored. This allows the agency monitor to change, for example, the designation of a non-record to a record or vise versa. The system then needs to insure that this change gets permeated through to the records management system.

2.1.3.3.4 Logging activities

All activities of the agency monitors must be recorded for a given monitoring session so that they can be reported on in the future. See the section on Reporting (2.1.3.3.6)

2.1.3.3.5 Security access

The access to the records in the records management system must be protected from unauthorized access. Additionally, the system must allow for designated agency monitors to view the records of one or more agencies but not those of other agencies. The access levels of the monitors to the agency records will be determined by the agency records management staff and will be controlled by the system administrator via a set of utilities provided by the system. See the section on system administration (2.1.3.3.7)

The monitoring system must provide security access via password protection.

2.1.3.3.6 Reporting

From time to time, it will be necessary for the designated agency monitors to produce a report detailing what activities were performed with regard to the records management monitoring activity. These reports, at a minimum, must contain information regarding the following:

Time period for which the report covers Agency for which the report covers

The name of the designated agency monitor.

The total number of records monitored during the time period Total unchanged monitored Records:

Total Non-Records changed to Presidential:

Total Non-Records changed to Federal:

Total Presidential Records changed to Non-records:

Total Federal Records changed to Non-records:

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In order to produce this report, the agency monitor must be able to specify, at a minimum, the date span for the report and the agency.

2.1.3.3.7 System administration

The monitoring system must allow for administration of the system by a system administrator. The system administration must allow a designated system administrator to perform the following monitoring system administration functions, at a minimum.

The system administrator must be able to add names to a list of authorized agency monitors.

It must allow the system administrator the ability to add agencies to a list of agencies that a given monitor is allowed to access.

It must allow the system administrator the ability to add a new agency to the list of available agencies to be monitored.

The system must allow the system administrator the ability to reset passwords for designated agency monitors.

2.1.4 Disposition requirements

2.1.4.1 Background

The EOP has the requirement to designate records as permanent and non-record. The non-record category will be monitored and deleted at a specific time. The permanent record category will stored and the presidential records will be delivered to the National Archives at the end of the Administration. The federal records will be delivered to the National Archives.

2.1.4.2 Basic Functionality

The following are the basic functions that must be available in the dispositioning tool:

a. Non-record category willbe identified for deletion after monitoring

b. Permanent presidential record category will be stored and scheduled for delivery to National Archives at the end of the Administration

c. Permanent federal record category will be stored and scheduled for delivery to National Archives as required by the General Records Schedule

d. Deletion of non-record and temporary record categories will be automatic after monitoring, no user intervention

e. A log identifying records deleted will be kept, this log will contain information such as: type of record,date of monitoring, monitor's name, date of deletion

f. A log identifying records delivered to National Archives will be kept, this log will contain information such as: type of record, record category, date delivered to National Archives

The dispositioning tool must relate to the monitoring tool to ensure that records have been monitored before deletion.

2.1.5 Storage and classification/separation requirements

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2.1.5.1 Background

The EOP is comprised of 13 separate agencies that each has their own records management requirements. Each agency's records must be treated independently from each other and must be maintained separate from each other. This implies that agency records must be able to be searched, monitored and dispositioned independently from each other.

2.1.5.2 Designation of records

Each E-mail user has an E-mail account managed by the EOP. Each account is assigned an agency designator when the account is created. This agency designator is assigned based on the EOP agency for which the user works, and therefore what type of records the user creates.

Ifan account which has an agency designator of WHO (White House Office) sends or receives E-mail, a record of that E-mail must be sent to the records management system and must be tagged as a presidential record (Or Non-record). If an account which has an agency designator of OA (Office of Administration) sends or receives E-mail, a record of that E-mail must be sent to the records management system and must be tagged as a federal record (Or Non-record).

F or a list of all of the EOP agencies, abbreviations and their federal/presidential designation, see Attachment B.

It is important that the system administrator be able to add agencies to the system to facilitate the collection and management of additional EOP agencies.

2.1.5.3 Physical separation of presidential and federal material

As can be seen from the list ofEOP agencies, each EOP agency has a designator that determines whether its records are considered Federal record or Presidential record. The Federal Record Act (FRA) governs how federal records are managed while the Presidential Records Act (PRA) determines how presidential records are managed. Because these two record classifications are vastly different in the eyes of the law, both sets of records must be kept physically separated.

This implies that the physical hardware that the records reside on must be separable.

2.1.5.4 Bucket segregation

As mentioned in some of the preceding sections, each agency's records must be managed separately, each agency is considered to have an agency bucket into which its records are deposited. These agency buckets must be able to be treated separately and distinctly from each other.

2.1.5.5 Physical separation by administration

The Presidential administration changes with the inauguration of a new President and Vice President. At noon on Jan 20, inauguration day, the records from one administration must be segregated from those of the next administration and given to the National Archives and Records Administration, NARA. Both the Presidential and Federal records of the various administrations must be kept separate from each other.

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2.2 Operational Requirements

2.2.1 Platform and environment requirements

2.2.1.1 Background

The Automated Records Management System, (ARMS) was put into production at the EOP in 1994. It was originally designed to run on the Digital Equipment Corp. VAX/VMS platform. The ARMS application has since been ported to the Alpha processor. The Alpha is the follow on chip set to the VAX platform.

The current Automated Records Management System, (ARMS) application is hosted on a Compaq (Digital Equipment Corp.) Alpha system with approximately 6 TB of useable disk storage. The system has an integrated backup system that is capable of backing up the entire 6 TB in less than 24 hours. In addition to the integrated backup system, there are a bank of 10 3480 cartridge tape systems which are attached to the Alpha platform which provide the mechanism for producing the NARA formatted output tapes.

The specifications for the current Alpha platform are as follows:

• A 2 Node VMS cluster made up of a GS 160 61731 (2 CPU) and a GS 160 61731 (3 CPU)

• One node has 1.5GB of memory and the other has 3GB of memory

• 7.7 TB (216 X 36GB) of Raid 5 storage yielding 6TB of useable storage.

• TL891 DLT Tape backup system with 16 drives.

• lOT A90E 3480 tape drive systems.

2.2.1.2 Requirement

The system described above was sized to be able to deal with the increasing volume of electronic communications at the EOP that are required to be records managed. The system will handle 8 years of data at the current growth rate projections. Because the EOP has invested resources in the platform, it would be desirable that any new system be able to leverage the current investment in hardware. At a minimum, the 6TB of storage, and its attached backup system, should be able to be used by the proposed new system. Additionally, it would be desirable that the significant CPU horsepower of the Alpha processors would be used by the proposed new system.

2.2.2 Maintenance/support requirements

This requirement defines the maximum acceptable level of human involvement in operating, administering and maintaining the hardware and software comprising the system. It is important that the proposed new system be easy to maintain and administer from a hardware and software point of view and that the system software is intelligent enough to insure that the human involvement of the Records Management staff will be kept to a minimum.

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2.2.2.1 Hardware operation and maintenance

If the proposed new system does not utilize the Compaq Alpha hardware platform describe in previous sections, the new hardware should not require more than 1 Full Time Equivalent (FTE) to maintain, upgrade and keep operational on a daily basis.

2.2.2.2 Software operation and maintenance

The new system software should not require more than I FTE to maintain, upgrade and keep operational on a daily basis.

2.2.2.3 System operation and maintenance

The main stakeholders of the current ARMS system are the agency records management staff, the agency legal staff and system administration staff. The proposed new system will have advanced search, disposition and records maintenance tools that may require a shift in responsibilities or increased responsibilities from one are to another. We must insure that the new system does not overburden the current stakeholders or increase their functions as a result of increasing the functionality of the overall system. Any system functional improvements must be achieved through the use of advanced system software.

2.2.3 5015.2 requirements

The target system shall be DOD 5015.2 certified or offer equivalent functionality. On November 27, 2000, the National Archives (NARA) endorsed the Joint Interoperability Test Command's (JITC) software certification testing program for 5015.2-STD. This standard, while directed specifically at DOD organizations, provides a measuring stick for the rest of the government against which systems can be measured. The burden of showing that a non-certified system is equivalent to the JITC certification resides with the bidding organization.

2.2.4 Phase in/migration requirements

The records management system utilized by the Executive Office of the President should be planned, developed, implemented and supported in such a manner that it can be rolled out in parallel with all current systems. It should allow for a 3-to-6-month period of evaluation with no potential disruption to current production systems. In general, the roll-out methodology should be as follows:

• proof-of-concept in a separate lab environment

• pre-production testing in a separate lab environment

• rollout to production while current production systems are operational (3-to-6- month evaluation period)

• conversion of current production systems to new system

In addition, the phase-in and migration of the new system should include the following mandatory elements:

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• a comprehensive Electronic Records Management operations and administration plan, published on the EOP Intranet, so that it can be dynamically updated as conditions change.

2.2.4.1 Conversion of existing data

The records management system utilized by the Executive Office of the President should include a separate but integrated plan to convert existing ERM data to the new system. Specifications regarding this plan are naturally contingent upon the nature of the replacement plan, but any new ERM plan must be written so that "old" data can be seamlessly merged and converted to the new format. This conversion will take place after completion of the phase-in and migration plan above.

2.2.5 Security requirements

The EOP is comprised of 13 separate agencies, each with their own management, legal counsels and records management staff. The proposed new system must facilitate controlled access to the agency records. At a minimum the system must:

1. Allow system administrators read/write/delete access to all records.

2. Allow system administrators read/write/delete access to identified agency records.

3. Allow Legal Counsel personnel read access to their agency records.

4. Allow Legal Counsel personnel read access to other identified agency records.

5. Allow Agency Records management staff read/write access to their agency records.

6. Allow Agency Records management staff read/write access to other identified agency records.

7. Allow read only access to any authorized user to records created/received by him/her.

2.3 Performance requirements

2.3.1 Throughput

2.3.1.1 Receipt of records

The proposed records management system must be capable of receiving a minimum of 100,000 E-mail transactions per day. Once the records management system receives the E-mail transaction.jt must be processed into the records management system in accordance with the functional requirements outlined in this document.

The system must be capable of receiving E-mail transaction on a continuous basis and must have the

capacity to process the E-mail as they are received. .

2.3.1.2 Search throughput

The throughput of the proposed search mechanism must be sufficient to be able to accommodate a minimum of two simultaneous search requests. Search processing throughput must be such that any single query requesting information from one agency's data for one year should take no longer than one minute to execute. This includes the time taken to format the results in a presentable format (See separate search requirements)

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2.3.1.3 Output format requirements

It is envisioned that the creation of the output media containing the records from each administration will be created on a regular basis throughout the administration. This will probably be performed once per month. The creation of this output media, containing each agency's data for a particular month should take no longer than one hour per output media.

2.3.2 Systems Availability

The records creation systems (E-mail, pager, calendar, etc.) at the EOP, operate on a 24 X 7 basis. The records management system must be available to receive records on a 24 X 7 basis also. If the link between the two systems become unavailable, or the records management system itself becomes unavailable, the proposed system must be capable of capturing the E-mail traffic and storing it for later delivery of the data to the records management system when it comes back on line. Normal records management functionality, storage, retrieval, dispositioning, etc. should not cause the system to become unavailable, neither should normal system administration functions, backups, data reorganizations, etc. cause system unavailability.

2.3.3 Availability of Data

Given the functional requirements of the system i.e. monitoring, searching and dispositioning, it is important that the time between creation of the record (Send, receive etc.) and when the record is committed into the records management system is kept as small as possible. If it is deemed necessary for a holding area to be established for the purpose of facilitating the monitoring process, or in order to facilitate the completion of the record before committing to the records management system, then access to this holding are will haveto be given to system administrators and personnel performing

searches against the data. .

3. STATEMENT OF WORK

The Contractor shall provide project management, requirements analysis, systems development, installation and optional initial operation support and training. The Contractor shall perform typical system life cycle activities that are applicable to the development of the Target System. Whenever applicable, these activities shall include, but not be limited to, requirement analysis, system design, database design and modification, rapid prototyping, software development, data conversion, testing, and installation. The Government may request additional support for other offices that desire to become users of the Target System and for follow-up maintenance and technical support services. Such requests shall be considered optional under this scope of work.

Task 1. Requirements Analysis

The Contractor shall develop the System Requirements Document. That document is subject to the Government's review and approval. The Contractor shall recommend alternatives to the user's requirements that are either technically impossible to implement or functionally flawed. The Contractor shall derive the requirements through reviewing the previously developed requirement

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documents and current system documentation, interviewing the users, and identifying the deficiencies of the current system.

DELIVERABLE

DUE

I. Draft Requirement Document

Six weeks after the commencement of the contract

One week after receipt of Deliverable I comments

2. Final Requirements Document

Government acceptance of deliverable 1 shall be based on the completion of documents encompassing the Government approvals resulting from the Requirements Analysis. Acceptance of deliverable 2 shall be based on incorporation of all Government comments/revisions to deliverable 1.

Task 2. System Design

The Contractor shall develop a System Design Document.

The Contractor shall use industry standard system engineering methodologies. The Contractor shall take into account system performance and tuning in this task. The Contractor needs to propose what system engineering methodologies they will use to have success of this package and get it approved by the Government. The Contractor shall follow the general performance tuning guidelines recommended by the database server vendors such as Oracle. For example, the Contractor shall choose the appropriate data type and size for a data field and build appropriate indexes for a table.

DELIVERABLE

DUE

3. Draft System Design Document

4. Final System Design Document

Six weeks after Government's approval of Task 2 Two week after receipt of Deliverable 3 comments.

Government acceptance of deliverable 3 shall be based on the completion of documents encompassing the Government approvals resulting from the System Design. Acceptance of deliverable 4 shall be based on incorporation of all Government comments/revisions to deliverable 3.

Task 3. System Prototyping, Customization and/or Development

The Contractor shall customize the Target System as specified in the Requirements and System Design Documents. "The Contractor shall develop a system prototype to demonstrate to the users at the early stage of this task. Upon a mutual agreement, the Contractor shall include any changes requested by EOP/OA after the prototype demonstration into the System Requirement and/or Design Documents.

After the system customization, the Contractor shall provide the Government a complete set of application user documentation that includes the User Guide and System Administrator's Guide.

DELIVERABLE

DUE

5. Task 3 Completion

24 weeks after Government's approval of Task 2

Four weeks after Government's approval of Task 3

6. User's Guide and Administrator's Guide

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Task 4. System Acceptance Testing

The Contractor shall develop a System Acceptance Test Plan. The Test Plan shall enumerate and describe system tests to be conducted for system acceptance and the execution steps with reviewable results for Government approval. Failure to provide acceptable results, the task will not be continued. The Test Plan shall include test procedures and operational scenarios to prove that each function works as designed in the System Design Document. The Contractor shall submit the Test Plan for Government approval prior to the acceptance test. In assessing the plan, the Government reserves the right to utilize other technical resources including IV & V Contractors. The Contractor shall include Government comments and resubmit the final Test Plan for approval and implementation.

The Contractor shall develop a systems acceptance test report and submit it to the Government. The Contractor shall retest the system, as required by the Government, after fixing any deficiencies that are discovered in the initial system acceptance test. A final acceptance test report shall be generated at the successful conclusion of the system acceptance testing.

DELIVERABLE

7. Acceptance Test Plan

DUE

8. Completion of Task 4

Four weeks after Government's approval of Task 3

Three weeks after Government's approval of the Test Plan

Four weeks after Government's approval of the Test Plan

9. Acceptance Test Report

Government acceptance of deliverable 7 shall be based upon the fact that the Test Plan addresses all functional aspects of the Target System and includes comprehensive and easy-to-follow testing scenarios and expected results. Acceptance of deliverables 8 and 9 shall be based on the successful completion of the System Acceptance Test.

Task 5. Installation, Data Conversion and Initial Operational Support

The Contractor shall convert the data including images from ARMS to the Target System when requested by the Government.

The Contractor shall install and configure the Target System in the production environment. The Contractor shall install the system software on all user stations. The Contractor shall work with each office to troubleshoot problems that occur during the system installation and deployment. For each system software component, the Contractor shall prepare a user list that includes user names, office locations, and PC barcodes. Upon completion, the Contractor shall provide the Government an installation check list that summarizes the installation process, identifies issues, and recommends improvements and follow-up actions

DELIVERABLE 10. Task 5 Completion

II. Installation Check List

DUE

Two weeks after Government's approval of Task 4 Two weeks after Government's approval of Task 4

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Government acceptance of deliverables 10 and 11 shall be based on successful installation and operational checkout of the Government accepted system.

Task 6. User Training and Documentation

The Contractor shall provide the application training at the EOP facilities for the end users, system administrators, and managers. The Contractor shall provide a training handbook and other appropriate materials for the training.

DELIVERABLE

DUE

12. Task 6 completion

13. Training Handbook

Concurrent with the completion of Task 4 Concurrent with the completion of Task 4

Government acceptance of deliverable 12 shall be based the Contractor providing training to all users and developing a comprehensive training handbook.

Task 7. Optional Technical Support and Maintenance

At the option of the Government, the Contractor may be requested to provide on-call technical support and maintenance during two, one-year option periods. Support shall consist of, but is not limited to, tracking and troubleshooting problems, adding new offices to the system, maintaining operational documentation, training new employees, and developing enhancements to the system.

3.1 DELIVERABLES

All deliverables shall meet the standards, terms, and conditions set forth in this statement of work. The text materials and reports shall be in MS Word 97 format. Any spreadsheet work shall be delivered in MS Excel 97 compatible (*.XLS) files. Any presentation slides shall be delivered in PowerPoint 4.0. Project plans shall be delivered in MS Project 98. All documents shall be paginated and include a cover page and table of contents. All documents shall be written in American English, at the 12th grade reading level. The following is a summary of the deliverables with the schedule and number of copies required. Due dates are expressed in terms of work days elapsed after the contract award.

The Government shall have 15 workdays, or a mutually agreed upon time that shall be reflected in the project plan, to complete the review of each deliverable media and accept or reject the deliverable in writing. The Contractor shall have 10 workdays, or a period mutually agreed upon and that is incorporated in the project plan, to correct the rejected deliverable and return it to the Government. The Contractor's accepted deliverable schedule shall apply for all deliverables unless changed by the contracting officer.

3.1.1 DESCRIPTION OF DELIVERABLES

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3.1.1.1 Definition of Documents

All deliverables and acceptance criteria are defined in previous task statements. The exact structure and format of each deliverable should be proposed by the Contractor and approved by the Government.

Number of Copies: three printed copies and one electronic copy on either diskette or CD.

3.1.1.2 Contract Deliverables

The Contractor shall provide a cover letter to the Contracting Officer and Contracting Officer's Technical Representative with each deliverable requiring a Government response. The cover letter shall include the title of the deliverable, the delivery date, the due date for Government response (as provided in the contract) and the Contractor's point of contact for the deliverable.

4. GOVERNMENT FURNISHED RESOURCES

The Government shall provide the following resources.

4.1 Facilities, Supplies and Services

For work done at Government facilities, the Government shall provide all equipment, facilities and supplies, including office space, telephones, desk top computers, appropriate access to EOP facilities and services, and telecommunication lines to access outside resources (not incoming), such as corporate e-mail and administrative services.

4.2 Documentation and References

The Government will provide the following related documentation for reference purposes:

Lotus Notes to ARMS Interface DOD 5015.2

36 CFR - Part 1234

New System Requirements WAVES requirements Pager requirements

5. ADMINISTRATIVE CONSIDERATIONS

5.1 Duration of Contract

The Period of Performance of this contract shall commence after award of the contract, but not before completion of a post-award orientation meeting between Contractor and the Government. While the Contractor shall propose the period of performance, all work must be completed by the date set by the Government. At the option of the Government, this order may be extended for two (2) one-year option periods for system support and administration.

5.2· Authorities of Government Personnel

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5.2.1 Contracting Officer

(Insert Name)

Office of Administration

725 1 ih Street, NW, Room 5002

Washington,· DC 20503

202-395-7667

5.2.2 Contracting Officer's Technical Representative

Notwithstanding the Contractor's responsibility for total management during the performance, the administration of the delivery order will require maximum coordination between the EOP and the Contractor. The following individual will be the Contracting Officer's Technical Representative (COTR)

The COTR will monitor all technical aspects of the contract. The types of actions within the purview of the COTR's authority are to assure that the Contractor performs the technical requirements of the contract, and to notify both the Contractor and the Contracting Officer of any deficiencies observed. A letter of designation will be issued to both the COTR and the Contractor at the time of contract award setting forth the responsibilities and limitations of the COTR.

It is important to note that while the COTR will be responsible for administering performance of work under this contract, in no event will any understanding, agreement, modification, change order, or other matter deviating from the terms of this contract be effective or binding upon the Government unless proper, formal contractual documents are executed by the Contracting Officer prior to completion of the contract.

5.3 Invoice Requirements

5.3.1 Address for Submission of Invoices

The Contractor shall submit invoices no more than once monthly for work completed, to the following address:

Invoices shall be sent to the attention of:

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• • •• ••

Washington, DC 20503

5.3.2 Invoice Description

Invoices shall be submitted to the Government office designated in the contract to receive invoices. To constitute a proper invoice, the invoice must include the following information and/or documentation:

a. Name of business concern and invoice date.

b. Contract number or other authorization for delivery of property or services.

c. Description, price, and quantity of goods/services actually delivered or rendered for each item billed.

c. Shipping and payment terms.

d. Name (where practicable, title, phone number, and complete mailing address of responsible official to whom payment is to be sent). The "remit to" address must correspond to the remittance address in the contract.

e. Other substantiating documentation or information as required by the contract.

6. SPECIAL INSTRUCTIONS

6.1 Bi-Weekly Status Meetings

Upon the Government's request, the Contractor shall conduct informal bi-weekly status/progress meetings or conference calls with the Government staff, the COTR for this task, and with the Contractor that provides program management support. At this meeting the Contractor shall present and address any outstanding issues from the Contractor maintained issues database.

6.2 Briefings

Program review briefings shall be conducted by the Contractor for the Government on a periodic basis (to be mutually agreed upon by both the Government and the Contractor) to present a description and status of development activities.

6.3 Monthly Project Updates

Monthly written status reports shall be provided to the Government to present activities completed during that month, updates to the project plan, and any issues that arose.

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7. SPECIAL REQUIREMENTS

7.1 Potential Conflicts of Interest

The Contractor's employees assigned to work on this contract have an affirmative obligation to disclose to the Contracting Officer any personal or business relationship with Government personnel, or financial interests, which could present the appearance of an existing or potential conflict of interest. Failure to do so, if such becomes known by other means could result in a determination of non-responsibility prior to award or termination of contract after award.

7.2 Advertising of Award

The Contractor shall not refer to this award in commercial advertising, or similar promotions in such a manner as to state or to imply that the product or services provided is endorsed, preferred, or is considered superior to other products or services by the Executive Office of the President, the Office of Administration, or the White House. This includes advertising or similar promotions, in all forms or electronic, broadcast, and print media.

In addition, the Contractor is restricted from reproducing the image(s) of the EOP in any form of commercial advertising or similar promotion. This includes images of official seals and buildings. The reproduction of official seals and the images of buildings are matters controlled by regulation and Executive Order. Any proposed usage of such symbols must be brought to the attention of the Contracting Officer.

7.3 Security and Privacy

7.3.1 Security Clearances

It is the Contractor's responsibility to provide personnel who will meet EOP personnel security requirements prior to each employee's reporting for duty on the EOP complex. All Contractor and subcontractor personnel must submit to a background investigation as appropriate, and be found suitable by agency security officials.

The Contractor must cooperate with appropriate EOP, OA, and the U.S. Secret Service officials to obtain building access passes for all personnel assigned to the facilities with the EOP complex. In order to facilitate building access passes, the Contractor must make every effort to comply with the notification time limits specified.

The Contractor shall be responsible for developing check-out procedures to assure that all departing staff returns all security passes to OA security officials.

7.3.2 Privacy

The Privacy Act of 1974 applies to the information and data required for the performance of this task.

7.4 Substitution of Personnel

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The Contractor agrees to assign to the contract the key personnel whose resumes and qualifications were submitted with the Contractor's proposal and who are necessary to fulfill the requirements of the contract. No substitutions shall be made except in accordance with this clause. During the first 90 calendar days of the contract, the Contractor shall make no substitutions of key personnel unless illness, death, or termination of employment necessitates the substitution. Noncompliance with the provisions of this clause will be considered a material breach of the terms and conditions of the contract for which the Government may seek any and all appropriate remedies including termination.

Prior to removing, replacing, or diverting any of the specified individuals, the Contractor shall promptly notify the Contracting Officer (CO) and provide the information required below:

(a) All proposed substitutions shall be submitted to the CO for approval at least 15 calendar days in advance of the proposed effective date (unless substitution is necessitated by sudden illness, death, or termination of employment in which case notice shall be within five (5) calendar days of the effective date) and must provide the information in (b) and (c) below.

(b) All requests for substitutions shall be in. writing unless otherwise agreed to by the CO and shall include a complete resume for the proposed substitute and any other information required by the CO to permit effective evaluation of the proposed substitution's qualifications.

(c) Requests for substitution of "key personnel" above must also provide a detailed explanation of the circumstances necessitating it and sufficient information for the CO to evaluate the impact of the substitution on contract performance.

7.5 On-Site Contractor Performance

During all operations on Government premises, the Contractor shall comply with the rules, regulations and procedures governing the conduct of personnel as expressed by the Executive Office of the President, Office of Administration's written or oral procedures. Within three (3) days after contract award, the Contractor shall provide the COTR the names, dates of birth, and social security numbers of all employees who may need regular and frequent access to the EOP complex.

7.6 Disclosure of Concurrent Work Efforts

If during the course of proposing on or performing this effort, the Contractor hires employees, consultants or subcontractors that are concurrently performing other work for the EOP, they shall notify the Contracting Officer of the contract, order or agreement and provide a listing of employees already performing on EOP efforts.

7.7 Limited Distribution or Use of Certain Data and Information

(a) Performance of this contract may require the Contractor to have access to and use of data and information which may be considered proprietary by other customers, or which may otherwise be of such a nature that its dissemination or use, other than in performance of this contract, would be adverse to the interests of the Government and others.

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(b) The Contractor agrees that Contractor personnel will not divulge or release data or information developed or obtained in connection with the performance of this contract until made public by the Government, except to authorized Government personnel, or upon written approval of the COTR.

(c) Except as may be otherwise agreed to with a data owner, the Contractor further agrees it will not use, disclose or reproduce proprietary data belonging to customers and which bears a restrictive legend, other than as required in the performance of this contract; provided, however, that nothing herein shall be construed as:

(1) precluding the use of any such data independently acquired by the Contractor without such limitation; or

(2) prohibiting an agreement at no cost to the Government between the Contractor and the data owner that provides for greater rights to the Contractor.

(d) The Contractor shall include the above clause (paragraphs a band c) in all subcontracts.

7.8 Restriction against Disclosure

The Contractor agrees in the performance of this contract to keep all information supplied by the Government and all information obtained in conducting the research in the strictest confidence, said information being the sole property of the Government. The Contractor agrees not to publish, reproduce, or otherwise divulge such information in whole or in part, in any manner or form, nor authorize others to do so, taking such reasonable measures as are necessary to restrict the information to those employees who must have the information to perform the work provided herein. Contractor employees shall sign a Restriction Against Disclosure Statement. The Contractor shall establish policies and procedures to implement the substance of this Clause at the individual employee level which will assure that affected employees are made aware of the contract provisions and the Contractor's implementing policies and procedures. Particular attention will be given to keeping employees advised of the statutes and regulations applicable to the handling of other Contractor confidential financial data.

7.9 Ownership of Data, Source Code, and Documentation

All data, source code, and documentation generated, created, or initiated by electronic or other means under this task are the properties of the Federal Government, including copyright, unless otherwise provided in writing and mutually agreed to by both parties. At the completion of the contract, the Contractor shall deliver one copy of all data (e.g., book, monograph, computer printout, source code, Government report, etc.) to the COTR.

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7.10 Privacy or Security Safeguards

(a) The details or any safeguards the Contractor may design or develop under this contract are the property of the Government and shall not be published or disclosed in any manner without the Contracting Officer's express written consent.

(b) The details of any safeguards that may be revealed to the Contractor by the Government in the course of performance under this contract shall not be published or disclosed in any manner without the Contracting Officer's express written consent.

(c) The Government shall be afforded full, free, and uninhibited access to all facilities, installations, technical capabilities, operations, documentation, records, and databases for the purpose of carrying out a program of inspection to ensure continued efficacy and efficiency of safeguards against threats and hazards to data security, integrity, and confidentiality.

(d) If new or unanticipated threats or hazards are discovered by either the Government or the

. Contractor, or if existing safeguards have ceased to function, the discoverer shall immediately bring the situation to the attention of the other party. Mutual agreement shall then be reached on changes or corrections to existing safeguards or institutions of new safeguards, with final determination of appropriateness being made by the Government. The Government's liability is limited to an equitable adjustment of cost for such changes or corrections, business, damage to reputation, or damages of any other kind arising from discovery of new or unanticipated threats or hazards, or any public or private disclosure thereof.

7.11 Contract Earned-Value Status Reportings

The Contractor will provide the following information, in the format prescribed below, as part of their contract/order status report. The contract/order status report provided on a monthly basis. The Contractor will provide, in graph formats:

For work hours (Graph #1):

The budgeted work hours to be performed allocated across the current contract schedule; and on the same graph The actual work hours performed allocated across the current contract schedule.

For cost (Graph #2):

The budgeted cost of work to be performed allocated across the current contract schedule; and on the same graph.

The actual cost of work performed allocated across the current contract schedule.

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In the event the actual cost or hours of work performed exceeds the budgeted cost or hours of work to be performed at any time, the Contractor will provide an estimate to complete for both the hours and dollars.

For information, the following is provided:

The budgeted work to be performed is the amount of hours and dollars awarded under the contract/order to accomplish the effort(s) required under contract/order. It would not include the dollars or hours associated with unexercised options or any anticipated but not awarded work.

The actual work performed is the amount of hours and dollars incurred by the Contractor to accomplish the required effort(s) under the contract/order.

The estimate to complete is the hours and dollars required to complete the remaining effort(s) required by the contract/order.

If the cost for the effort(s) is not based on contract hours, the Contractor will report only the dollars associated with the effort(s).

Unless otherwise provided, the information required above will be provided to the Contracting Officer, the Contracting Officer's Technical Representative and the Government Project Leader for the contract with an explanatory cover letter.

7.12 Warranty of Services

(a) Definitions

"Acceptance," as used in this clause, means the act of an authorized representative of the Government by which the Government assumes for itself, or as an agent of another, ownership of existing and identified supplies, or approves specific services, as partial or complete performance of the contract.

"Correction," as used in this clause, means the elimination of a defect.

(b) Notwithstanding inspection and acceptance by the Government or any provision concerning the conclusiveness thereof, the Contractor warrants that all services performed under this contract shall, at the time of acceptance, be free from defects in workmanship and conform to the requirements of this contract. The Contracting Officer (CO) shall give written notice of any defect or nonconformance to the Contractor within 60 days after acceptance by the Government. This notice shall state either (1) that the Contractor shall correct or re-perform any defective or nonconforming services, or (2) that the Government does not require correction or reperformance.

(c) If the Contractor is required to corrector reperform, it shall be at no cost to the Government, and any services corrected or reperformed by the Contractor shall be subject to this clause to the same extent as work initially performed. If the Contractor fails or refuses to correct or reperform, the

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Contracting Officer may, by contract or otherwise, correct or replace with similar services and charge to the Contractor the cost occasioned to the Government thereby, or make an equitable adjustment in the contract price.

(d) If the Government does not require correction or reperformance, the Contracting Officer shall make an equitable adjustment in the contract price.

7.13 (52.252-2) CLAUSES INCORPORATED BY REFERENCE (FEBRUARY 1998)

This delivery order incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at this/these address( es): www.arnet.gov/far

52.242-15 STOP WORK ORDER (AUGUST 1989)

52.224-1 PRIVACY ACT NOTIFICATION (APRIL 1984)

52.224-2 PRIVACY ACT (APRIL 1984)

52.227-01 AUTHORIZATION AND CONSENT (JULY 1995)

52.227 -02 NOTICE AND ASSISTANCE REGARDING PATENT AND COPYRIGHT INFRINGEMENT (AUGUST 1996)

52.227-14 RIGHTS IN DATA-·GENERAL (JUNE 1987)

8. PROPOSAL REQUIREMENTS

The proposal shall consist of two separate parts: Technical and Price.

8.1 Technical

8.1.1 Past Performance (submit three to five past performance projects)

This section shall consist of a description of demonstrated, relevant and recent past performance. Include points of contact, their title, organization, and phone numbers and a brief description of why the referenced project is considered relevant to this effort for each past performance description. Recent is defined as within the last three years. Relevant is defined as work similar in complexity and magnitude to include, but not be limited to: integration of multiple systems; software analysis and development of systems similar to the computer environment described in the statement of work. Past Performance descriptions are limited to two pages each.

8.1.2 Project Team Personnel (limited to three pages, excluding resumes)

This section will consist of a description of technical qualifications of project team personnel. Resumes and letters of commitment are required for all proposed staff. Resumes are limited to two pages each.

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8.1.3 Technical Approach (limited to 15 pages)

This section will provide your methodology and sequence of tasks to perform in responding to the requirements and deliverables in the statement of work. A Project Plan will be delivered as part of the technical approach.

8.2 Price Proposal:

Pricing shall identify all costs and/or the reduction in rebates offered.

8.3 Page Limitations

Proposal page limitations are applicable to this procurement. Page size shall be no greater than

8 W' x 11." The maximum number oflines per page is forty-five (45), excluding headers containing copyright limitations, proprietary restriction notices and Contractor identification. It is acceptable to split the page into two (2) columns with each column containing forty-five (45) halflines. The left and right margins shall be a minimum of one (1) inch each. Print type shall be no smaller than twelve (12) characters per inch (fifteen (15) characters per inch when part ofa graphical depiction) when using typeface or smaller than ten (10) point (eight (8) point as part of a graphical depiction) when using proportional width typeface. If pages are printed on both sides, each side will be counted as a separate page. Footnotes to text shall not be used. If the offeror includes its own annexes or attachments, those annexes or attachments will be included in the offeror's page limitations. Dividers

. used to separate proposal sections will not be counted against the page limitations. Page counts will be made by counting pages from left to right consecutively. Any proposal pages submitted which exceed the page or line limitation will be removed and returned to the offeror.

9. EVALUATION

Proposals will be reviewed and evaluated using a best value approach to determine the offeror whose proposal is determined by the source selection authority to be overall, the most advantageous to the Government, price and other factors considered. Past Performance is more important than Project Team and Technical Approach, which are equal in importance and more important than Price. When combined, Past Performance, Project Team and Technical Approach are considered significantly more important than Price.

9.1 Evaluation Factors

• Factor 1: Past Performance: will be evaluated based on demonstrated, recent and relevant past performance of similar complexity and magnitude to include integration of multiple systems; and software analysis and development of systems similar to the computer environment described in the statement of work, especially experience with database and imaging management support systems.

• Factor 2: Project Team Personnel: will be evaluated on the offeror's proposed project team and the associated risk of the project team in successfully completing the project.

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• Factor 3:Technical Approach: will be evaluated on the offeror's understanding of the requirement, proposed approach to meeting the requirements and the risk associated with the proposed technical approach.

• Factor 4: Price: will be evaluated for completeness and reasonableness. The maintenance option will be evaluated based on 200 hours per year against the proposed labor costs.

9.2 Discussions

Award may be made without discussions. If discussions are conducted, they will occur at the time and place designated by the ordering Contracting Officer. Following the completion of discussions, offeror's in the competitive range will be afforded the opportunity to submit a final proposal revision, as directed by the ordering Contracting Officer.

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Appendix A: Major Requirements for the Records Management System

Background

The EOP currently uses the Automated Records Management System (ARMS) for electronic storage ofe-mails, pagers, and Wave requests. An interface program was developed to allow for the transfer of messages from Lotus Notes to ARMS. This interface needs to be replaced to utilize current technology and meet additional requirements. The EOP has determined that the new system should be DOD 5015.2 and 36 CFR (Section 1234) compliant. This compliance will provide the EOP with confidence that electronic messages are being captured and stored properly. Listed below are the major requirements for the new system.

The Records Management System will have the following functions:

A. Collection

1. The system will collect all incoming and outbound electronic messages

2. The system will collect all attachments, in native format or ASCII, associated with the electronic messages

3. The system will collect all special forms used by the EOP, such as: Waves requests and Pager messages

4. The system will collect only one (1) copy of each message

5. The collection function will be non-intrusive to users. The system will collect electronic messages from Lotus Notes and/or Microsoft e-mail systems

6. The system will produce reports on the collection activity

B. Separation

1. The system will allow for the physical separation of Presidential and Federal Records stored on separate types of media

2. The system will allow for data to be separated by EOP Agency

C. Categorization

1. The system will allow for incoming and outbound electronic messages to be categorized by Permanent Record, Temporary Record, and Non-Record - suggestion that three (3) send buttons be created - send as Record, send as Non-Record, and send as Temporary Record. Inbound electronic messages can be categorized on the close function - close as Record, close as Non-Record, and close as Temporary Record

2. The system may allow for the categorization of permanent and/or temporary records by a file plan in accordance with the General Records. Schedules

3. The system will produce reports on the categorization activity

D. Monitoring

1. The system will allow specific users to monitor all electronic messages

2. The system will allow specific users to identify non-record and/or temporary records for deletion

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3. The system will allow specific users to change the categorization of non-record and temporary records. Example a non-record can be changed to a temporary record or a permanent record.

4. The system will produce reports detailing the monitoring activities

E. Searching

1. The system will have a sophisticated and robust search engine.

2. The search engine will have the following capabilities:

a. Ability to perform Boolean search

b. Ability to search attachments

c. Ability to search all type of documents and/or databases

d. Ability to perform phrase searches

e. Ability to perform proximity searches

f. Ability to export search results in XML, HTML, PDF ~r other formats

g. Ability to store search criteria in a library

3. The system will produce reports detailing the searching activities

F. Disposition

1. The system will have the ability to delete records identified by the monitoring function

2. The system will have the ability to archive records as identified

3. The system will produce reports detailing the dispositioning activities

G. Security

1. The system will have the ability to grant access to users as identified

2. The system will produce reports detailing the security activities

H. Export Data

1. The system will have the ability to export datain ASCII, with the option to export in a variety of formats, such as XML, PDF, HTML

2. The system will produce reports detailing the export functions

I Convert Existing ARMS data

1. The system will be capable of importing the existing ARMS data so that it can be managed using the new system

J Platform requirements

1. The system preferably should utilize the Alpha hardware platform that currently exists at the EOP. It is not mandatory. The components of this platform are as follows:

• A 2 Node VMS cluster made up of a GS 160 61731 (2 CPU) and a GS 160 6/731 (3CPU)

• One node has 1.5GB of memory and the other has 3GB of memory

• 7.7 TB (216 X 36GB) of Raid 5 storage yielding 6TB of useable storage. - 28-

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• TL891 DLT Tape backup system with 16 drives.

• lOT A90E 3480 tape drive systems.

K. 5015.2 and 36 CFR Compliant

1. The system shall be 5015.2-STD certified or offer equivalent functionality. (See Attachment D)

2. The system shall also conform to 36 CFR, which establishes the basic requirements related to the creation, maintenance, use, and disposition of electronic records. (See Attachment E)

L. Quality Assurance

1. The system will have the ability to allow for validation of all functions.

2. The system will produce reports detailing the quality assurance functions

M. Metadata

1. The system will maintain at a minimum the following data on all electronic records: See 5015.2 and 36 CFR

a. Unique Identifier

b. Full Name of Send eriC rea tori Aut horl Owner

c. Unique Name - e-mail address

d. Full Name of all addressees

1. Sent

2. Carbon Copy (CC)

3. Blind Carbon Copy (BCC)

4. Distribution Lists ~ must be expanded

e. Date and Time message sent

f. Date and Time message Received

g. Subject of message

h. Attachment

1. Attachment type

j. Disposition information

2. The system will produce reports on the metadata information

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Attachment B: Output Tape Functional Specifications

The output tape creation function must be able to be initiated by the system administrator at will and must be able to accept a number of direct and indirect parameters that govern what data gets committed to tape. The following is a list of these parameters.

Agency

The following is a list of valid agencies and their federal/presidential designation.

CEQ DEFAULT GSA

OA

OMB ONDCP OPM OSTP

SYS

Council on Environmental Quality (Federal)

Default agency (Federal)

General Services Administration (Federal)

Office of Administration (Federal)

Office of Management and Budget (Federal)

Office of National Drug Control Policy (Federal)

Office of Personnel Management -White House Fellowship (Federal)

Office of Science and Technology Policy (Federal)

System account bucket (Federal)

CEA NSC OPD OVP WHO

Council of Economic Advisors (Presidential)

National Security Council (Presidential)

Office of Policy Development (Presidential)

Office of the Vice President (Presidential)

White House Office (including Homeland Security) (Presidential)

Month

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This parameter will be a 2-digit value ranging from 01 through 12 representing one of the 12 months.

Year

This will be a 4-digit value representing the year for which the NARA tape is being gerierated.

,

As an example, the following DCL command would initiate the process:

Note: If this is done via a desktop application, the valid parameters should be passed via list boxes.

$Create _ NARA /mode=Updlagency=OMB/month=02/year= 1998 - ARMS _ 012 : [armstrong. omb.199802 ... ] * . txt

This would cause an existing tape or tapes for OMB February 1998 to have the files identified added to the data already on that tape/tapes. A new set would be created if necessary.

$Create _NARA /mode=NEW/agency=WHO/month=02/year= 1998 - OMB_DATA:[armstrong.WHO.199802 ... ]*.txt

This command would place all the files specified on a new tape set representing WHO for February 1998.

Additional indirect variables:

In addition to the direct command line parameters, there will be a number of indirect values used by the Tape Conversion Utility. These values may be passed to the Tape Conversion Utility in any manner that does not require recompilation of the code and reinstallation of the executable. Some of these values are as follows.

• Tape Drive names list

• Log file directory

• Working area directory

Specific conversion features:

The Tape Conversion Utility will perform the following functions to each ARMS record prior to creating the NARA disk file and prior to creating the NARA tape:

Convert HEX! ASCII attachments into Binary/native format.

Several of the records in the ARMS format will contain HEX coded ASCII streams of data as described below. All of these HEX coded streams must be converted back into their native Binary format data and incorporated into the record as a stream of data with delimiters as described in the NARA tape format (attached).

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In the case that records are stored in the records management system in their "native" format, then this utility need not perform the conversion, but the requisite entry and exit tags must be placed before and after the data stream.

HEX! ASCII Code description:

The HEX! ASCII conversion mechanism was a solution to the problem of placing binary information on and ASCII tape. The solution is to convert the binary information within a file into a stream of HEX characters i.e. 0 through 9 and A through F. Each nibble (4 binary bits) of information in the binary file is converted into an ASCII character based on the standard ASCII chart. This allows the binary information to be encoded on the tape and then decoded at a later time.

The HEX coded ASCII data stream is identifiable in the input files by the following:

TEXT:

Unable to convert OA$SHARB389:ZVJPF90Z0.FGN to ASCII, The following is a HEX DUMP:

OR:

ATTTEXT:

Unable to convert OA$SHARB389:ZVJPF90Z0.FGN to ASCII,

The following is a HEX DUMP:

Where the filename contained in the Italics will be any filename in the shown format.

This flag will then be followed by a blank line and then the stream of HEX ASCII characters (0 1 2 3 4 5 6 7 8 9 ABC 0 E F)

The stream of HEX ASCII data is laid out in either 80 characters per line or 78 characters per line depending on the timeframe from which the data originates.

The Tape Conversion Utility must be smart enough to realize the difference without manual intervention or the use of a hard date.

The stream of HEX ASCII characters continues until the following line is encountered:

================== END ATTACHMENT N ==================

Where "N" is any number.

It must be clear that any characters that exist between the stream of HEX ASCII characters (for example Line Feed or Form Feed characters) must be removed. This includes any and all characters that are not one of the 16: (0 123456789 ABC D E F)

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The converted stream on the output file should be delimited as follows:

ATT TEXT: <LF><LF> Unable to convert Filename The following is the Raw Data <LF>

The stream of binary data then follows:

And should be terminated by:

<CR><LF>================== END ATTACHMENT n ==================.

This format is also explained in the NARA format specification as attached with this document and its subsequent updates i.e. PCR 051 and PCR 079, which are also attached.

NOTE: THE ORIGINAL DATA WILL BE UNTOUCHED BY THIS UTILITY.

Order the records in the NARA output file/tape in chronological sequence.

The records placed on the tape must be in chronological order using the date and time identified in the "CREATION DATE/TIME:" tag line of the record.

When this utility is being used in the UPDATE mode, The chronological order must be maintained.

Deletion/skipping of records types:

When the Tape Conversion Utility is run against a Federal agency, there will be certain types of records, contained in the disk directory, which will NOT be placed on the corresponding tape. These records will be "skipped". The following are the criteria to be used to determine whether a record should be "skipped":

1. If the agency being processed is a FEDERAL agency

2. If the first line of the record is "RECORD TYPE: FEDERAL (PAGER)"

3. If the first line of the record is "RECORD TYPE: FEDERAL (CALENDAR)"

If 1 AND (2 OR 3) then the record is "skipped"

Create a label or Labels to be applied to the tape or tapes:

This utility must be capable of creating an external label or labels to be applied to the tape or tapes after the processing has been completed. The format and data contained on these labels is as described in the attachment to this document.

Multi volume tapes: .

In the event that not all the data for a given Agency/Month will fit on a single tape, the data must be written to a multi volume tape set. In addition, the appropriate header and trailer labels on the tapes

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must conform to the standards detailed in the ANSI standard labeling convention mentioned in the description of the NARA format.

Individual records should not be split across multiple tapes unless a given record will not fit on a single tape.

The special NSC condition:

The NSC data bucket may contain records that have been identified in the "RECORD TYPE:"line as FEDERAL. The output creation utility must change this line to indicate that these records are "PRESIDENTIAL". Prior to putting them on the NARA tape. This will also apply to the external label, which should identify the records as presidential. In the event that NSC records are identified as presidential then this conversion will not be necessary.

Therefore, this utility must change the first line in each NSC record:

From:

"RECORD TYPE: FEDERAL XXXXXXXXXXXXXXX"

To:

RECORD TYPE: PRESIDENTIAL XXXXXXXXXXXXXXX"

(Where the XXXXXXXXXXXXXXX represents the remaining data on the line.)

The Tape Conversion Utility should warn the user that this change would take place when the Tape Conversion Utility is run with the NSC agency as input.

Tape Database

This utility will interface with a tape database. This tape database will be used to store all the relevant data associated with the tapes. The database will contain, at a minimum, the following information: External Tape label, agency of the data on the tape, number of records contained on the tape, Date range of the data on the tape, record type (Federal/Presidential) etc.

There must be utilities developed to allow access to the database information. These utilities must allow for the following functions, at a minimum, Record Add, Record Delete, and Create Reports by period of time, agency etc.

Field delimiters:

For the purposes of this discussion:

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• OA is the same as <LF> which is the same as a line feed

• OD is the same as <CR> which is the same as a carriage return

All literal field lines in a record are terminated by a OA i.e. two <LF> (Line feeds) characters

EXCEPT the following:

The TO:

The CC:

The TEXT:

The ATT TEXT:

literal line that has only one OA character literal line that has only one OA character literal that has only OI~e OA character literal that has only one OA character ***

The IEOMI string which determines the "end of a message" is preceded by a <CR><LF> sequence.

*** In the event, that an attachment is unable to be converted then the following sequence of characters is present:

ATT TEXT: <LF><LF> Unable to convert Filename The following is the Raw Data <LF>

The actual binary data follows immediately and is terminated by the <CR><LF>================== END ATTACHMENT n ==================.

There are no characters between the <CR><LF>/EOMI which terminates one message and the !BOMlwhich starts the next message.

The lines within the "TEXT" of either a message or an attachment can be terminated by any sequence of characters i.e. there is no formatting performed on these fields.

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Attachment C: Output Tape Specification

Logical Tape Format

The output format for these tapes will include a 6-character ANSI-compliant internal label.

Created tapes will consist of data streamed in 32,000 byte blocks. Attempts will be made to fill all blocks. Unfilled blocks shall be padded with """ per ANSI standard.

Logical File Layout

Recovered data files shall be written to tape using logical file layout and including the following

designations described below: .

(a) /BOM/ Beginning Message designation.

(b) FILE Recovered file (i.e., Email and any attachments, calendar, or Pager)

(c) /EOM/ End of Message designation.

Recovered Record Markers

As requested by NARA, the literal string "/BOM/" ('Beginning Of Message') shall be used to indicate the beginning ofa file (i.e., an Email, calendar, and/or Pager record) that is written to tape. In addition, per NARA request, the literal string "/EOM/" ('End Of Message') shall be used to indicate the end of a recovered file (i.e., an Email, calendar andlor Pager record). Attachments are described below.

Logical End of Line (Recovered File)

Each logical end-of-line is physically delimited by a <CR> <LF> (ASCII 13 and ASCII 10). For example, the following line of text "this is a test", shall be written to tape in the following manner:

"this is a test <CR> <LF>"

(N.B.: Quotation marks (" ") are used to delimit the string for illustrative purposes only; quotation marks should not physically be represented on the tape medium.)

Output materials written tot tape will consist of variable length records in Format 1.

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Attachments

All Attachments to recovered Email messages shall be designated as described in Section 2.3.1.1.9. For example, the designation of an attachment shall be as follows:

================= ATTACHMENT n ====================

where In' corresponds to the number of the Attachment.

The end of the Attachment shall be designated accordingly:

================ END ATTACHMENT n =================

where In' corresponds to the number of the Attachment.

In case of * .FGN file types that cannot be converted to ASCII format (i.e., non-Word Perfect file attachments), the Attachment shall be written to tape in its native (i.e., binary) format as a binary data stream. There must not be line designation in this unformatted stream -- e.g., this stream must not contain <CR> <LF> end of line designations.

Additionally, binary streams may exceed the 32,OOO-byte block size. These streams must be written to tape as a continuous stream, blocked in 32,OOO-byte blocks. For example, a large Lotus 1-2-3 spreadsheet may have been attached to an All-In-l Email message. This file, which cannot be converted to ASCII format, must be written to tape as continuous binary stream, regardless of the block size. The beginning and end of this binary stream will be designated in the same manner as above-- i.e., by the "ATTACHMENT n" and "END ATTACHMENT n" designations described above.

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ATTACHMENT D: DOD 5015.2

ASSISTANT SECRETARY OF DEFENSE 6000 DEFENSE PENTAGON WASHINGTON, D.C. 20301-6000

November 24, 1997

FOREWORD

This Standard is issued under the authority of DoD Directive 5015.2, "Department of Defense Records Management Program," April 11, 1997, which provides implementing and procedural guidance on the management of records in the Department of Defense. This Standard sets forth mandatory baseline functional requirements for Records Management Application (RMA) software used by DoD Components in the implementation of their records management programs; defines required system interfaces and search criteria to be supported by the RMAs; and describes the minimum records management requirements that must be met, based on current National Archives and Records Administration (NARA) regulations.

This Standard applies to the Office of the Secretary of Defense (OSD), the Military Departments, the Chairman of the Joint Chiefs of Staff, the Combatant Commands, the Inspector General of the Department of Defense, the Defense Agencies, and the DoD Field Activities (hereafter referred to collectively as "the DoD Components").

This Standard is effective immediately and is mandatory for use by all DoD Components. Electronic record management information systems already in use must comply with this Standard within two years of the effective date of this document. The Heads of the DoD Components may issue supplementary instructions only when necessary to provide for unique requirements within their organizations provided that those instructions do not impact interoperability and compatibility with DoD Automated Information Systems (AISs).

Send recommended changes to:

Department of Defense OASD(C3I)ODASD(C3)/IT Room 3D239 Attn: 6000 Defense, Pentagon Washington, D.C. 20301-6000

Voice:

FAX:

DSN:

E-mail:

. pentagon. mil

This Standard is approved for public release; distribution is unlimited. DoD Components, other Federal Agencies, and the public may obtain copies of this Standard on the Internet from the OSD Directives and Records Branch (D&RB) home page. The D&RB home page Uniform Resource

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Locator (URL) is http://web7.whs.osd.mil/corres.htm.

Acting

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TABLE OF CONTENTS

FOREWORD

Table of Contents

References

Abbreviations and/or Acronyms

CHAPTER 1 GENERAL INFORMATION

C1.1. Purpose

C1.2. Limitations

CHAPTER 2 MANDATORY REQUIREMENTS

C2.1. General Requirements -

C2.2. Detailed Requirements

CHAPTER 3 NON-MANDATORY REQUIREMENTS

Page

2

3

4

6

7

7

8

8

C3.1. Requirements Defined by the Acquisition/Using

Activity 22

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C3.2. Other Useful RMA Features

23

TABLES

Table C2.Tl. Transmission/Receipt Data

APPENDIX

AP 1. Definitions

27

REFERENCES

(a) Section 2902 of title 44, United States Code, "Objectives of Records Management"

(b) Section 3103 of title 44, United States Code, "Transfer of Records to Records Centers"

(c) Title 41, Code of Federal Regulations, Part 201-9, "Creation, Maintenance, and Use of Records," current edition

(d) Title 36, Code of Federal Regulations Part, 1222.10, "Creation and Maintenance of Federal Records," current edition

(e) Federal Information Processing Standard Publication 4-1, "Representation for Calendar Date and Ordinal Date for Information Interchange," March 25, 1996

(f) DoD 8320.1-M, "Data Administration Procedures," March 1994, authorized by DoD Directive 8320.1, "DoD Data Administration," September 26, 1991

(g) Section 3303 of title 44, United States Code, "Lists and Schedules of Records"

(h) Title 36, Code of Federal Regulations, Part 1222.50 "Records Maintenance," current edition

(i) Title 36, Code of Federal Regulations, Part 1228.24 "Formulation of Agency Records Schedules," current edition

(j) Records Management Task Force, "Functional Baseline Requirements and Data Elements for Records Management Application Software," August 28, 1995

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(k) Title 36, Code of Federal Regulations, Part 1236.20, "Vital Records Program Objectives," current edition

(1) Section 2909 oftitle 44, United States Code, "Retention of Records"

(m) Title 36, Code of Federal Regulations, Part 1228.54, "Temporary Extension of Retention Periods," current edition

(n) Title 36, Code of Federal Regulations, Part 1234.22, "Creation and Use of Text Documents," current edition

(0) National Archives and Records Administration, "Draft: Records Management Requirements for Electronic Recordkeeping Systems," undated

(p) Title 36, Code of Federal Regulations, Part 1236.14, "Definitions," current edition

(q) Title 36, Code of Federal Regulations, Part 1234.32, "Retention and Disposition of Electronic Records," current edition

(r) Title 36, Code of Federal Regulations, Part 1222.32, "General Requirements," current edition

(s) Title 36, Code of Federal Regulations, Part 1234.24, "Standards for Managing Electronic Mail Messages," current edition

(t) Section 3105 of title 44, United States Code, "Safeguards"

(u) Federal Information Processing Standard Publication 127-2, "Database Language SQL, June 2, 1993

(v) Title 36, Code of Federal Regulations, Part 1234.28, "Security of Electronic Records," current edition

(w) National Archives and Records Administration, "Records Management Handbook - Disposition of Federal Records," 1996

(x) Title 36, Code of Federal Regulations, Part 1228.188, "Electronic Records," current edition

(y) Title 36, Code of Federal Regulations, Part 1228.58, "Destruction of Temporary Records," current edition

(z) Title 36, Code' of Federal Regulations, Part 1234.34, "Destruction of Electronic Records," current edition

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(aa) Title 36, Code of Federal Regulations, Part 1234.30, "Selection and Maintenance of Electronic Records Storage Media," current edition

(bb) Section 3301 of title 44, United States Code, "Definition of Records"

(cc) DoD 5200.28-STD, "DoD Trusted Computer System Evaluation Criteria," December 26, 1985, authorized by DoD Directive 5200.28, "Security Requirements for Automatic Data Processing (ADP) Systems," March 21, 1988

(dd) DoD 5200.1-R, "Information Security Program Regulation, "June 1986, authorized by DoD Directive 5200.1, "DoD Information Security Program", December 13,1996

(ee) DoD 5400.11-R, "DoD Privacy Program," August 1983, authorized by DoD Directive 5400.11,

"DoD Privacy Program," June 9, 1982 .

(ff) DoD 5400.7-R, "DoD Freedom oflnformation Act Program," May 1997, authorized by DoD Directive 5400.7, May 13, 1988

(gg) Title 36, Code of Federal Regulations, Part 1228:194, "Records Subject to the Privacy Act of 1974," current edition

(hh) Federal Information Processing Standard Publication 192, "Application Profile for the Government Information Locator Service," December 7, 1994

(ii) Title 36, Code of Federal Regulations, Part 1234.2, "Definitions," current edition

Uj) National Archives and Records Administration, "Managing Electronic Records Instructional Guide," "Appendix F, Glossary," 1990

(kk) Title 41, Code of Federal Regulations, Part 201-4, "Definitions," current edition

(ll) Title 36, Code of Federal Regulations, Part 1220.14, "General Definitions," current edition

(mm) Section 3511 of title 44, United States Code, "Establishment and Operation of Government Information Locator Service"

(nn) Section 2901 of title 44, United States Code, "Definitions" (00)

ABBREVIATIONS AND/OR ACRONYMS

AIS-Automated Information System

ASD- AssistantSecretary of Defense

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C3I-Command, Control, Communications, and Intelligence CFR-Code of Federal Regulations

CGM-Computer Graphics Metafile

COFF-Cut Off

COTS-Commercial off the Shelf

DBMS-Data Base Management System

DISA-Defense Information Systems Agency DMS-Defense Message System

DoD- Department of Defense

E-Mail-Electronic Mail

FIPS-Federal Information Processing Standard FOIA-Freedom ofInformation Act GAO-General Accounting Office GILS-Government Information Locator Service GRS-General Records Schedule

ISO- International Standardization Organization IT-Information Technology

JITC-Joint Interoperability Test Command JPEG-Joint Photographic Experts Group LAN-Local Area Network

NARA-National Archives and Records Administration NOS-Network Operating System

OCR-Optical Character Recognition

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OAP00047583

OMB-Office of Management and Budget

OSD-Office of the Assistant Secretary of Defense

RM-Records Management

RMA-Records Management Application

RMTF-Records Management Task Force

SMTP-SimpleMail Transfer Protocol

SQL-Structured Query Language

STD-Standard

TCP/IP- Transmission Control Protocol/Internet Protocol

U.S.C.-United States Code

W AN-Wide Area Network

C 1. CHAPTER 1

INTRODUCTION

C 1.1. GENERAL INFORMATION

C 1.1.1. Purpose This Standard sets forth mandatory and optional baseline functional requirements for Records Management Application (RMA) software. This Standard will be used by DoD Components in the implementation of their records management programs. TIns standard describes the minimum records management requirements that must be met in accordance with 44 U.S.C. 2902, reference (a) and guidance and implementing regulations promulgated by the National Archives and Records Administration (NARA). The Federal statute, regulation or other authoritative source that an RMA requirement is traced back to is referenced in bold. In this document, the word "shall" identifies mandatory system standards. The word "should" identifies design objectives that are desirable, but not mandatory.

C 1.1.2. Limitations This Standard addresses a minimum set of baseline functional requirements, that are applicable to all RMAs regardless of organizational and site-specific implementations. For the RMA to be certified by the Defense Information Systems Agency's (DISA) Joint Interoperability Test Command (JITC) for compliance with this Standard, these minimum requirements must be met. However, additional requirements such as the management and protection of records containing information classified in the interests of national security, the capability to label Privacy Act data and

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data exempt from release under the Freedom oflnformation Act (FOIA), and the features described as optional in Chapter 3 of this Standard, may be specified by using organizations to satisfy their sitespecific needs. These requirements will be addressed in a later version of this Standard. Additionally, future versions of this Standard will address interfacing with the Defense Message System (DMS) and the incorporation of standard data elements.

C2. CHAPTER2

MANDATORY REQUIREMENTS C2.1. GENERAL REQUIREMENTS

C2.1.1. Managing Records. RMAs shall manage records regardless of storage media or other characteristics. (44 U.S.C. 3103,41 CFR 201-9, and 36 CFR 1222.10, references (b), (c), and (d))

C2.1.2. Accommodating Year 2000 and Twenty-First Century Dates. RMAs shall correctly accommodate and process information containing the year 2000 and beyond as well as dates in the current and previous centuries. (FIPS 4-1, "Representation for Calendar Date and Ordinal Date for Information Interchange," reference (e)). The capability shall include, but not be limited to, date data century recognition, calculations, and logic that accommodate same century and multi-century formulas and date values, and date data interface values that reflect the century. In addition, leap year calculations shall be accommodated (i.e. 1900 is not a leap year, 2000 is a leap year).

C2.1.3. Implementing Standard Data. RMAs shall allow for the implementation of standardized data in accordance with DoD 8320.1-M, "DoD Data Administration Procedures," (reference (f)). When selecting commercial-off-the-shelf (COTS) products to support RMA requirements, selection criteria should include the feasibility and capability of the COTS to implement and maintain DoD data standards.

C2.2. DETAILED REQUIREMENTS

C2.2.1. Implementing File Plans

C2.2.1.1. RMAs shall provide the capability for only authorized individuals to create, add, edit, and delete record categories, files and their codes. Each file or category code shall be linked to its associated file or category and to its higher-level category code(s). (44 U.S.c. 3303,36 CFR 1222.50, and 36 CFR 1228.24, references (g), (h), and (i))

C2.2.1.2. RMAs shall provide the capability for only authorized individuals to create, add, edit, and delete disposition instructions and their associated codes. Each disposition code shall be linked to its associated disposition instruction. (44 U.S.C. 3303,41 CFR 201-9,36 CFR 1222.50, and 36 CFR 1228.24, references (g), (c), (h), and (i))

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C2.2.1.3. RMAs shall provide authorized individuals with the capability to assign the following data when generating the file plan:

C2.2.1.3.1. Record Category Name. (RMTF, reference U))

C2.2.1.3.2. Record Category Code. (RMTF, reference 0»)

C2.2.1.3.3. Record Category Description. (RMTF, reference 0»)

C2.2.1.3.4. Disposition Authority. (RMTF, reference U))

C2.2.1.3.S. Vital Record Indicator. (36 CFR 1236.20, reference (k))

C2.2.1.3.6. Disposition Instruction Name. (RMTF, reference (j))

C2.2.1.3.7. Disposition Instruction Code. (RMTF, reference 0))

C2.2.1.3.8. Disposition Instruction Type. (see subparagraph C2.2.2.S.2., below)

C2.2.1.3.9. User definable fields.

C2.2.1.4. RMAs shall provide the capability for only authorized individuals to assign a disposition instruction code to a file or record category. (RMTF, reference (j))

C2.2.1.S. RMAs shall allow for the reschedule of records already in the system when disposition instructions change from the original designations.

C2.2.1.6. RMAs shall provide the capability for only authorized individuals to extend or suspend (freeze) the retention period of individual files or record categories, which are required beyond their scheduled disposition because of special circumstances (such as a court order or an investigation) that altered the normal administrative, legal, or fiscal value of the records or categories. (44 U.S.c. 2909 and 36 CFR 1228.54, references (1) and (m))

C2.2.1. 7. RMAs shall provide the capability to output for viewing, saving, and printing record categories and files and their associated codes. (RMTF, reference 0»)

C2.2.1.8. RMAs shall provide the capability to output for viewing, saving, and printing the disposition instructions and disposition instruction codes. (RMTF, reference 0»)

C2.2.1.9. RMAs shall provide the capability to output for viewing, saving, and printing the record categories and files and their associated disposition. (RMTF, reference (j))

C2.2.2. Identifying and Filing Records

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C2.2.2.1. RMAs shall provide users with the capability to select and assign a file code to a record. (36 CFR 1222.50, reference (h))

C2.2.2.2. RMAs shall assign a unique computer-generated record identifier to each record they manage regardless of where the record is stored. (RMTF, reference (j))

C2.2.2.3. RMAs shall prevent subsequent changes to documents that have been designated as records. The content of the record, once filed, shall be preserved. Changed or revised records shall be designated as new records with different identification data. (36 CFR 1222.50 and RMTF, references (h) and U))

C2.2.2.4. RMAs shall not permit modification of the record identifier once assigned.

C2.2.2.5. RMAs shall (for all records) capture or provide the user with the capability to assign, as appropriate, the following minimum profile data (metadata) when the record is filed: (36 CFR 1234.22 and 36 CFR 1222.50, references (n) and (h))

C2.2.2.5.1. Subject. (36 CFR 1234.22, reference (n))

C2.2.2.5.2. Date Filed. (RMTF, reference (j))

C2.2.2.5.3. Addressee(s). (36 CFR 1234.22, reference (n))

C2.2.2.5.4. Media Type. (RMTF, reference (j))

C2.2.2.5.5. Format. (RMTF, reference (j))

C2.2.2.5.6. Location of Record. (RMTF, reference (j))

C2.2.2.5.7. Document Creation Date. (36 CFR 1234.22, reference (n))

C2.2.2.5.8. Author or Originator. (36 CFR 1234.22, reference (n))

C2.2.2.5.9. Originating Organization. (36 CFR 1234.22, reference (n))

C2.2.2.5.10. Vital Record Indicator (36 CFR 1236.20, reference (k))

C2.2.2.6. RMAs shall provide the user with the capability to edit the metadata listed above in subparagraph C2.2.2.5. prior to filing the record except for data captured electronically from e-mail or other automated systems.

C2.2.2.7. RMAs shall provide the capability for authorized individuals (only) to add user defined profile data fields, for site-specific information such as project number, security classification, Privacy Act, etc. (36 CFR 1234.22, reference (n))

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C2.2.2.S. RMAs shall provide the capability to output for viewing, saving, or printing the record profile information (meta data) identified in paragraph C2.2.2.5. above.

C2.2.2.9. RMAs shall provide the capability for only authorized individuals to limit the file codes available to a user or work group. The RMA shall ensure that only current and valid file codes are presented to the user for selection during filing.

C2.2.2.10. RMAs shall allow a record to be assigned to more than one file category when appropriate. (NARA - RM Requirements for Electronic Recordkeeping System, reference (0»

C2.2.2.11. RMAs shall provide the capability for only authorized individuals to change a file code assigned to a filed record.

C2.2.2.12 .. RMAs shall provide the capability to designate a record as a vital record. (36 CFR 1236.20, reference (k)

C2.2.2.13. RMAs shall provide the capability to update and cycle vital records. (36 CFR 1236.14, reference (p»

C2.2.2.14. RMAs shall provide only authorized individuals the capability to reverse the designation of a vital record once the designation has become obsolete.

C2.2.2.15. RMAs shall link supporting and related records and related information such as notes, marginalia, attachments, and electronic mail return receipts, as well as all profile data, to the record. (RMTF, reference U»

C2.2.2.16. RMAs shall provide the capability to link original superseded records to their successor records. If the disposition of the superseded record is to destroy when replaced, the RMA shall identify that the record is eligible for destruction.

C2.2.2.17. RMAs shall manage and preserve any record regardless of its format or structure, so that it can be reproduced and viewed in the same manner as the original.

C2.2.2.1S. RMAs shall automatically date a document when it is saved as a record, and preserve the date of receipt on records received. This date shall remain constant, without being changed when accessed, read, copied, or transferred. RMAs shall not permit this data to be edited.

C2.2.2.19. RMAs shall link the record metadata to the record so that it can be displayed when needed and transported with the record when a copy is made and transmitted to another location. (36 CFR 1234.32, reference (q»

C2.2.2.20. RMAs shall provide the capability for only authorized individuals to modify the metadata (values of the record profile attributes) of stored records that have not been specified as uneditable.

C2.2.3. Filing Electronic Mail Messages (E-Mail)

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C2.2.3.1. RMAs shall treat electronic mail messages (including attachments) that have been filed as records, as any other record, and they shall be subject to all requirements of this document. (36 CFR 1222.32 and 36 CFR 1234.24, references (r) and (s))

C2.2.3.2. RMAs shall capture and automatically store the transmission and receipt data identified in Table C2.Tl. below (if available from the e-mail system) as part of the record profile when an e-mail message is filed as a record. (36 CFR 1234.24, reference (s)) RMAs shall not allow editing of these metadata.

C2.2.3.3. RMAs shall store the attachments to an e-mail record and to associate and link the attachment with the e-mail record. (36 CFR 1234.24, reference (s))

C2.2.3.4. RMAs shall provide the capability to store distribution lists as required to ensure identification of the sender and recipients of messages that are records.

(36 CFR 1234.24, reference (s))

TABLE C2.Tl. Transmission/Receipt Data

Transmission/Receipt Data

Record Profile Mapping

The e-mail name and address of the sender.

RMAs shall automatically enter this data into the Author or Originator data field. (C2.2. 7.1.8., below)

The e-mail name and address of all addressees (or distribution lists).

RMAs shall automatically enter this data into the Addressee data field of the record profile. (C2.2.7.1.3., below)

The e-mail name and address of all other recipients (or distribution lists).

RMAs shall automatically enter this data into the Other Recipients data field. (C2.2.7.1.IO., below)

The date and time that the message was sent.

RMAs shall automatically enter this data into the Document Creation Date data field. (C2.2. 7 .1. 7., below)

The subject of the message.

RMAs shall automatically enter this data into the Subject data field of the record profile. (C2.2.7.1.1., below)

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For messages received, the date and time that the message was received.

RMAs shall automatically enter this data into the Document Creation Date data field. (C2.2.7.1.7., below)

C2.2.4. Storing Records

C2.2.4.1. RMAs shall provide or interface to a repository for storing electronic records and prevent unauthorized access to the repository. (44 U.S.C. 3105 and 36 CFR 1222.50, references (t) and (h)) If the repository is contained in an electronic database management system (DBMS), the query interface between the RMA and the DBMS shall comply with FIPS 127-2, "Database Language SQL," reference (u).

C2.2.4.2. RMAs shall not alter nor allow alteration of records they store. They shall preserve the format and content of the record as it was filed. (36 CFR 1222.50,36 CFR 1234.22, and RMTF, references (h), (n), and (j))

C2.2.4.3. RhlAs shall automatically date a document when it is saved as a record and preserve the date of receipt on records received. This date shall remain constant, without being changed when accessed, read, copied, or transferred. RMAs shall not permit this data to be edited.

C2.2.4.4. RMAs shall allow only authorized individuals to move/delete records from the repository. (36 CFR 1234.28 and 36 CFR 1222.50, references (v) and (h))

C2.2.5. Scheduling Records

C2.2.5.1. RMAs shall provide the capability to automatically track the disposition schedules of records, including those with retention periods of less than one year, as well as those with retention periods of one year or more. (RM Handbook, reference (w))

C2.2.5.2. RMAs shall, as a minimum, be capable of scheduling each of the following three types of disposition instructions: (RM Handbook, reference (w))

C2.2.5.2.1. Time Dispositions, where records are eligible for disposition immediately after completion of a fixed period of time.

C2.2.5.2.2. Event Dispositions, where records are eligible for disposition immediately after a specified event takes place.

C2.2.5.2.3. Time-Event Dispositions, where the retention periods of records are triggered after a specified event takes place.

C2.2.5.3. RMAs shall be capable of implementing cutoff instructions for scheduled and unscheduled records. (RM Handbook, reference (w))

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C2.2.6. Screening Records

C2.2.6.1. RMAs shall provide for viewing, saving, and printing list(s) of records (regardless of media) within record categories based on disposition instruction code; record category or file code; and/or disposition event to identify records due for disposition processing. (RMTF, reference U)) The information contained in the list(s) shall be user definable record profile attributes.

C2.2.6.2. RMAs shall provide the capability to identify records with event driven dispositions and provide authorized individuals with the capability to indicate when the specified event has occurred.

C2.2.6.3. RMAs shall provide the capability to identify records with time-event dispositions and provide authorized individuals with the capability to indicate when the specified event has occurred and when to activate applicable cutoff and retention instructions.

C2.2.6.4. RMAs shall identify files scheduled for cutoff, and present them only to the authorized individual for approval. RMAs shall not allow any additions or other alterations to files that have reached cutoff.

C2.2.6.5. RMAs shall identify records that have been frozen and provide authorized individuals with the capability to reactivate or change their assigned dispositions.

C2.2.6.6. RMAs shall provide for viewing, saving, and printing lists of records (regardless of media or location) that have no assigned disposition. (RMTF, reference U))

C2.2.7. Retrieving Records

C2.2. 7 .1. RMAs shall allow searches using any combination of the following record profile data elements. (RMTF, reference (j))

C2.2.7.I.-1. Subject (36 CFR 1234.22, reference (n))

C2.2.7.1.2. Date Filed (RMTF, reference (j))

C2.2.7.1.3. Addressee(s) (36 CFR 1234.22, reference (n))

C2.2.7.1.4. Media Type (RMTF, reference (j))

C2.2.7.1.S. Format (RMTF, reference (j))

C2.2.7.1.6. Location of Record (RMTF, reference (j))

C2.2.7.1.7. Document Creation Date (36 CFR 1234.22, reference (n))

C2.2.7.1.8. Author or Originator (36 CFR 1234.22, reference (n)) - 52-

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C2.2.7.1.9. Originating Organization (36 CFR 1234.22, reference (n))

C2.2.7.1.10. Other Recipients (E-mail) (36 CFR 1234.24, reference (s))

C2.2.7.1.11. File Code (36 CFR 1234.22, reference (n))

C2.2.7.1.12. Disposition Instruction Code (36 CFR 1234.22, reference (n))

C2.2.7.1.13. Disposition Cutoff Date (36 CFR 1234.22, reference (n))

C2.2. 7 .1.14. Disposition Action Date (36 CFR 1234.22, reference (n))

C2.2.7.1.1S. Disposition Action Code (Transfer, Destroy, or Freeze)

C2.2.7.1.16. Disposition Instruction Type (Time, Event, Time-Event)

C2.2.7.1.17. Vital Record Indicator (36 CFR 1236.20, reference (k))

C2.2.7.1.18. Record Identifier (RMTF, reference (j ))

C2.2.7.1.19. User Defined Fields (36 CFR 1234.22, reference (n))

C2.2. 7 .2. RMAs shall allow the user to specify whether or not an exact match of case is part of the search criteria.

C2.2.7.3. RMAs shall also allow for specifying partial matches for multiple word fields such as subject and date and shall allow designation of "wild card" fields or characters.

C2.2.7.4. RMAs shall allow searches using Boolean logic: and, or, greater than (», less than «), equal to (=), and not equal to (/=).

C2.2.7.S. RMAs shall present the user a list of records meeting retrieval criteria, or notify the user if there are no records meeting the retrieval criteria. The information contained in the list shall be user definable from the set of record profile attributes. (RMTF, reference (j))

C2.2.7.6. RMAs shall provide to the user's workspace (filename, location, or path name specified by the user), copies of electronic records, selected from the list of records meeting the retrieval criteria, in the format in which they were provided to the RMA for filing. (RMTF, reference (j))

C2.2.8. Transferring Records

C2.2.8.1. RMAs shall, using the disposition instruction for the record category, identify and present those records eligible for transfer. (44 U.S.C. 3103 and RMTF, references (b) and (j))

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C2.2.8.2. RMAs shall, for records approved for transfer that are stored in the RMA, copy the pertinent records and associated profiles to a user-specified filename, path, or device. (36 CFR 1228.188,36 CFR 1234.32, and RMTF, references (x), (q), and Cj))

C2.2.8.3. RMAs shall, for records approved for transfer and that are not stored in the RMA, copy the associated profiles to a user-specified filename, path, or device.

C2.2.804. RMAs shall, for records approved for transfer, provide the capability for only authorized individuals to suspend the deletion of records and related profile until successful transfer has been confirmed. (44 U.S.C. 3105 and 36 CFR 1228.54, references (t), and (m))

C2.2.9. Destroying Records

C2.2.9.1. RMAs shall, using the disposition instruction for the record category, identify and present records that are eligible for destruction. (36 CFR 1228.58,36 CFR 1234.32, and RMTF,references (y), (q), and Cj))

C2.2.9.2. RMAs shall, for records approved for destruction and for records that have been transferred, present a second confirmation, within a dialog box, requiring authorized individuals to confirm the delete command, before the destruction operation of the records and/or profiles are executed. (44 U.S.C. 3105 and RMTF, references (t), and (j))

C2.2.9.3. RMAs shall delete records and/or profiles that are stored in its repository and have been approved for destruction, in a manner such that the records cannot be physically reconstructed. (36 CFR 1234.34, reference (z))

C2.2.904. RMAs shall restrict execution of the records destruction commands to authorized individuals. (44 U.S.C. 3105 and 36 CFR 1222.50, references (t), and (h))

C2.2.10. Access Control

C2.2.10.1. RMAs shall provide the capability to define different groups of users and access criteria. RMAs shall control access to records based on groups as well as individuals meeting the access criterion/criteria. (36 CFR 1234.28 and RMTF, references (v), and (j))

C2.2.10.2. RMAs shall support multiple-user access.

C2.2.10.3. RMAs shall control access to transfer and destroy functions based upon user account information. (36 CFR 1234.28 and RMTF, references (v), and (j))

C2.2.1004. RMAs shall control access to audit functions based upon user account information.

C2.2.11. System Audits

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C2.2.11.1. RMA audit utilities shall provide an account of records capture, retrieval, and preservation activities to assure the reliability and authenticity of a record. (RMTF, reference (j))

C2.2.11.2. RMA audit utilities shall provide a record of transfer and destruction activities to facilitate reconstruction, review, and examination of the events surrounding or leading to mishandling of records, possible compromise of sensitive information, or denial of service. (RMTF, reference (j))

C2.2.11.3. RMAs shall provide the capability to store audit data as a record. (RMTF, reference (j))

C2.2.11.4. The following audit information shall be reported on demand: (RMTF, reference (j))

C2.2.11.4.1. Total Number of Records.

C2.2.11.4.2. Number of Records by Record File Code.

C2.2.11.4.3. Number of Accesses by File Code.

C2.2.11.5. The following audit information shall be logged for each delete operation: (RMTF,

reference (j)) .

C2.2.11.5.1. Record Identifier.

C2.2.11.5.2. File Code.

C2.2.11.5.3. User Account Identifier.

C2.2.11.5.4. Date/Time.

C2.2.11.5.5. Authorizing Individual Identifier (if different from user Account Identifier).

C2.2.11.6. RMAs shall allow only authorized individuals to enable/disable the audit functions and to backup and remove audit files from the system.

C2.2.12. System Management Requirements. The following are functions typically provided by the operating system or a DBMS: (They are also considered requirements to ensure the integrity and protection of organizational records. They shall be implemented as part of the overall records management system even though they may be performed externally to an RMA.

C2.2.12.1. Backup of Stored Records. The RMA system shall provide the capability, as determined by the Agency, to automatically create backup or redundant copies of the records as well as their metadata. (36 CFR 1234.28 and RMTF, references (v), and (j))

C2.2.12.2. Storage of Backup Copies. The method used to backup RMA data base files shall provide copies of the data that can be stored off-line and at separate location(s) to safeguard against

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loss of records, record profiles, and other records management information due to system failure, operator error, disaster, or willful destruction. (36 CFR 1234.30, reference (aa))

C2.2.12.3. Recovery/Rollback Capability. Following any system failure, the backup and recovery procedures provided by the system shall provide the capability to complete updates (records, record profiles, and any other information required to access the records) to RMAs, ensure that these updates are reflected in RMA files, and ensure that any partial updates to RMA files are backed out. Also, any user whose updates are incompletely recovered, shall, upon next use of the application, be notified that a recovery has been executed. RMAs shall also provide the option to continue processing using all in-progress data not reflected in RMA files (36 CFR 1234.28 and RMTF, references (v), and 0))

C2.2.12.4. Rebuild Capability. The system shall provide the capability to rebuild forward from any backup copy, using the backup copy and all subsequent audit trails. This capability is typically used to recover from storage media contamination or failures. (RMTF, reference (j))

C2.2.12.5. Storage Availability and Monitoring. The system shall provide for the monitoring of available storage space. The storage statistics shall provide a detailed accounting of the amount of storage consumed by RMA processes, data, and records. The system shall notify only authorized individuals of the need for corrective action in the event of critically low storage space. (RMTF, reference (j))

C2.2.13. Additional Baseline Requirements The following are records management requirements that shall be implemented by the organization, but not necessarily by the RMAs:

C2.2.13.1. Electronic Calendars and Task Lists. Some electronic systems provide calendars and task lists for users. These may meet NARA's definition ofa record (44 U.S.C. 3301, reference (bb). Calendars and task lists that meet the definition of records are to be managed as any other record. If the RMA being acquired does not have the capability to extract them from the software application that generates them, the user organization shall implement processes or procedures to enable those records to be managed by the RMA.

C2.2.13.2. External E-mail. Some organizations use separate E-mail systems for Internet E-mail or other wide area network E-mail. These records shall be handled as any other E-mail records. If the RMA being acquired does not provide the capabilities specified in paragraph 2.2.3. above, the user organization shall implement processes or procedures to enable these records to be managed by the RMA. (36 CFR 1234.24, reference (s))

C2.2.13.3. Ability to Read and Process Records. Since RMAs are prohibited (paragraph C2.2.4.2., above) from altering the format of stored records, the organization shall ensure that it has the ability to view, copy, print, and if appropriate, process any record stored in RMAs for as long as that record must be retained.

The organization may meet this requirement by maintaining the hardware and/or software used to create or capture the record; by maintaining hardware and/or software capable of viewing the record

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in its native format; by ensuring downward compatibility when hardware and/or software is updated, or by migrating the record to a new format before the old format becomes obsolete.

Any migration shall be controlled to ensure continued reliability of the record. (36 CFR 1234.30, reference(aa))

C2.2.13.4. Classified and Other Sensitive Records. If required, the acquisition/using activity shall specify requirements and/or acquire additional capabilities for the management of records containing information classified in the interests of national security (see DoD 5200.28-STD and DoD 5200.1-R, references (cc) and (ddj); records that contain Privacy Act information(see DoD 5400.11-R, reference (eej); records exempt from release under the FOIA (see DoD 5400.7-R, reference (ff); or any other records that require special access control or handling. The using organization shall implement special procedures to comply with legal and regulatory requirements for those records.

(36 CFR 1228.194, reference (gg)

C3. CHAPTER 3

NON-MANDATORY REQUIREMENTS

C3.L REQUIREMENTS DEFINED BY THE ACQUISITION/USING ACTIVITY

In addition to the baseline requirements defined by this Standard, the acquisition and/or using activity should identify the following Agency site/installation unique requirements. These requirements are not mandatory for DoD certification.

C3.1.1. Data Base Management System (DBMS). The acquisition and/or using activity should determine if RMAs would interface with a user provided DBMS or a DBMS to be supplied by RMA vendors. If the DBMS is to be acquired separately, it should comply with FIPS 127-2, "Database

Language SQL," reference (u) . .

C3.L2. User Interface. The acquisition and/or using activity should define an industry standard graphical user interface for RMAs, such as Windows, Macintosh, X-Windows.

C3.1.3. Storage Availability. The acquisition and/or using activity should define the size of the storage space required for its organizational records with the related record profiles and associated audit files.

C3.1.4. Documentation. The acquisition and/or using activity should determine the type and format of desired documentation, such as user guide, technical manual, and installation procedures, to be provided by the vendor.

C3.1.S. System Performance. The acquisition and/or using activity should specify what is acceptable RMA system availability, reliability, response times, and downtimes that will satisfy the user's business requirements.

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C3.1.6. Hardware Environment. The acquisition and/or using activity should define the hardware environment (for example: mainframe, client-server, or personal computer) and identify the platforms (servers and workstations) on which the RMA is to be executed.

C3.1.7. Operating System Environment. The acquisition and/or using activity should define the operating system environment (forexample: UNIX, MS DOS, Windows 3.x, Windows 95, Windows NT, IBM OS/2, VMS, Macintosh) on which the RMA is to be executed.

C3.1.8. Network Environment. The acquisition and/or using activity should define the LAN, WAN or other network topology (e.g., Ethernet bus, star, or token-ring) and the Network Operating System (NOS) (e.g., Novell, Banyan Vines, Windows NT Server) on which the RMA is to be executed.

C3.1.9. Protocols. The acquisition and/or using activity should identify the protocols, such as Transmission Control Protocol/Internet Protocol (TCP/IP), Simple Mail Transfer Protocol (SMTP), and XAOO, that the RMA is to support.

C3.1.10. Electronic Mail Interface. The acquisition and/or using activity should specify the e-mail application(s) that the RMA is to interface with.

C3.I.II. Internet Interface. The acquisition and/or using activity should determine if and in what manner the RMA is to interface with the Internet.

C3.1.12. File Code Selection/Search Capability. The acquisition and/or using activity should specify the desired methods for assisting the user in the selection of the file code to be assigned to a record such as priority ordered lists or directed searches.

C3.1.13. End-User Orientation and Training. The acquisition and/or using activity should specify record manager and end-user training requirements.

C3.1.14. Government Information Locator Service. An organization may determine that RMAs should have the capability to implement the requirements of the Government Information Locator Service (GILS). (FIPS 192, reference (hh)) GILS was established to identify public information resources throughout the Federal Government, describe the information available in those resources, and provide assistance in obtaining the information. GILS may also serve as a tool to improve Agency electronic records management practices.

C3.2. OTHER USEFUL RMA FEATURES.

Many RMA products provide the following time and labor saving functions either as standard or optional features to enhance the utility of the system: (The acquisition/using activity should determine local requirements for any of the following RMA features.)

C3.2.1. Making Global Changes. RMAs should provide the capability for authorized individuals to make global changes to the record categories, record category codes, disposition instructions, and disposition instruction codes. In addition, RMAs should provide the capability to detach part of the

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file schema, re-attach to any specified file; move files from one location to another within the schema; and delete a file and all of its sub-files.

C3.2.2. Bulk Loading Capability. RMAs should provide the capability for authorized individuals to bulk load, as a minimum:

C3.2.2.1. An Agency's pre-existing file plan.

C3.2.2.2. Disposition instructions and codes.

C3.2.2.3. Electronic records.

C3.2.2.4. Record profiles.

C3.2.3. Record Version. RMAs should provide the capability to store version(s) ofa record in a RMA repository. These should be associated and linked.

C3.2.4. Retrieval of Latest Version. When the user selects a record for retrieval, RMAs should check for the latest version of the record and prompt the user that it is a later version, but allow the user the flexibility to retrieve any version.

C3.2.5. Interfaces to Other Software Applications. RMAs should interface to various office automation packages such as electronic mail, word processors, spreadsheets, databases, desktop publishers, and electronic data interchange systems as specified by the using activity.

C3.2.6. Report Writer Capability. RMAs should provide the capability to generate reports on the information held within the RMAs repository based upon user-developed report templates or user query.

C3.2.7. On-Line Help. RMAs should have an on-line help capability for easy access to user operational information.

C3.2.8. Document Imaging Tools. RMAs should be capable of interfacing with document imaging and workflow software/hardware in order to be consistent with the DoD Automatic Document Conversion Master Plan.

C3.2.9. Fax Integration Tools. An organization may determine that there is a requirement for RMAs to interface with desktop or server-based fax products to capture fax records in their electronic format.

C3 .2.1 O. Bar Code Systems. An organization may determine that there is a requirement to use a bar code system with RMAs. Bar code technology can be used to support the following records management tasks:

C3 .2.1 0.1. File and correspondence tracking to positions, sections, or staff members.

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C3.2.10.2. Creating, printing, and reading of labels for non-electronic records.

C3 .2.1 0.3. Boxing of records for transfer.

C3.2.10.4. Box tracking for records holding facility operations.

C3.2.10.S. Workflow tracking.

C3.2.10.6. Posting changes in disposition.

C3.2.10.7. Record audit and census functions.

C3.2.11. Thesaurus. Many RMAs provide vocabulary control to group related records together through the use of an organizational thesaurus.

C3.2.12. Retrieval Assistance. RMAs should have additional search and retrieval features, such as full text search or other methodes) to assist the user in locating records.

C3.2.13. Workflow Features. An organization may determine that RMAs should have the capability to manage working and draft versions of documents and other potential record material as they are being developed.

C3.2.14. Records Management Forms. An organization may determine that RMAs should have the capability to generate completed standard records management forms such as:

C3.2.14.1. Standard Form 115 and lIS-A, "Request for Records Disposition Authority."

C3.2.14.2. Standard Form 135 and 13SA, "Records Transmittal and Receipt."

C3.2.14.3. Standard Form 258, "Request to Transfer, Approval, and Receipt of Records to the National Archives of the United States."

C3.2.14.4. National Archives Form 14012, "Database Record Layout."

C3.2.14.S. National Archives Form 14097, "Technical Description for Transfer of Electronic Records to the National Archives."

C3.2.1S. Printed Labels. RMAs should provide the capability to produce hard copy codes or identifiers in the form of labels or other products as required.

C3.2.16. Logic Checks. RMAs should conduct logic checks to ensure consistency and assist with error checking for all required metadata elements.

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C3 .2.17. Viewer. RMAs should provide the capability to view each file in its stored format or its equivalent.

C3 .2.18. Access Log. RMAs shall log the following audit information for each access:

C3.2.18.1. Record identifier.

C3.2.18.2. File code.

C3.2.1S.3. User account identifier.

API. APPENDIX 1

DEFINITIONS

AP 1.1.1. Access. The ability or opportunity to gain knowledge of stored information.

AP 1.1.2. Addressee. The name of the organization or individual to whom a record is addressed.

API. 1.3. Attachment. A document is associated with another document as an attachment when it is attached to the other document and filed in the RMA or transmitted between two persons. Both documents are required to form the record in the RMA.

AP 1.1.4. Audit Trail. An electronic p1eans of auditing the interactions with records within an electronic system so that any access to the system can be documented as it occurs for identifying unauthorized actions in relation to the records, e.g., modification, deletion, or addition.

APL1.5. Authenticity. A condition that proves that a record is authentic and/or genuine based on its mode (i.e., method by which a record is communicated over space or time), form (i.e., format and/or media that a record has when it is received), state of transmission (i.e., the primitiveness, completeness, and effectiveness of a record when it is initially set aside after being made or received), and manner of preservation and custody.

AP 1.1.6. Authorized Individual. A Records Manager and/or other persons specifically designated by the Records Manager as responsible for managing various aspects of an organization's records.

AP 1.1.7. Author or Originator. The author of a document is the physical person or the office and/or position responsible for the creation or issuance of the document. The author is usually indicated by the letterhead and/or signature. For RMA purposes, the author and/or originator may be a personal name, official title, office symbol, or code.

AP 1.1.8. Copy. In electronic records, the action or result of reading data from a source (RMAs repository), leaving the source data unchanged, and writing the same data elsewhere on a medium that may differ from the source (user workspace or other device. (RM Handbook, reference (w))

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AP 1.1. 9. Cutoff To cutoff records in a file means to break, or end, them at regular intervals to permit their disposal or transfer in complete blocks and, for correspondence files, to permit the establishment of new files. Cutoffs are needed before disposition instructions can be applied because retention periods usually begin with the cutoff, not with the creation or receipt, of the records. In other words, the retention period normally does not start until the records have been cutoff. Cutoffs involve ending the old files and starting new ones at regular intervals. (RM Handbook, reference (w))

AP 1.1.9.1. For records with retention periods of less than 1 year: Cutoff at an interval equal to the retention period. For example, if a record series has a l-month retention period, cut the file off at the end of each month and then apply the retention period (that is, hold the file 1 more month before destroying. )

AP 1.1.92. For records with retention periods of 1 year or more: Cutoff at the end of each fiscal (or calendar) year. For example, if the disposition for a correspondence file is "destroy when 3 years old," then destroy it 3 years after the annual cutoff.

APl.1.9.3. For records with retention periods based on an event or action: Cutoff on the date the event occurs or the action is completed and then apply the retention period. For example, if the disposition for case working papers is "destroy when related case file is closed," then cutoff and destroy the working papers when closing the related file.

APl.l.9.4. For records with retention periods based on a specified time period after an event or action: Place in an inactive file on the date the event occurs or the action is completed and cutoff the inactive file at the end of each fiscal (or calendar) year; then apply the retention period. For example, ifthe disposition for a case file is "destroy 6 years after case is closed," then destroy 6 years after the annual cutoff along with other case files closed during that year.

Cutoff is sometimes abbreviated as COFF and is also called file cutoff or file break

AP 1.1.1 O. Cycle. The periodic removal of obsolete copies of vital records and their replacement with copies of current vital records. This may occur daily, weekly, quarterly, annually, or at other designated intervals. (36 CFR 1236.14, reference (p))

AP 1.1.11. Database. In electronic records, a set of data, consisting of at least one file or of a group of integrated files, usually stored in one location and made available to several users at the same time for various applications. (36 CFR 1234.2, reference (ii))

AP1.1.12. Data Base Management System (DBMS). A software system used to access and retrieve data stored in a database. (36 CFR 1234.2, reference (ii))

AP1. 1. 13. Data Element. A combination of characters or bytes referring to one separate item of information, such as name, address, or age. (Instructional Guide, reference (jj))

AP 1.1.14. Document Creation Date. The date and time that the author and/or originator completed the development of and/or signed the document. For electronic documents, this date and time should

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be established by the author or from the time attribute assigned to the document by the application used to create the document. This is not necessarily the date and/or time that the document was filed in the RMAand thus became a record.

AP1.1.15. Date Filed. The date and time that an electronic document was filed in the RMA, and thus, became a record. This date and time will normally be assigned by the computer at the time the record is filed in the RMA.

AP 1.1.16. Defense Message System (DMS). The DMS is a secure and accountable writer to reader messaging service that is accessible from world-wide DoD locations, tactically deployed users, and other designated Federal users, with interfaces to Allied users and Defense contractors.

AP 1.1.17. Delete. The process of permanently removing, erasing, or obliterating recorded information from a medium, especially a magnetic disk or tape, which then may be reused. (Instructional Guide, reference (jj))

AP 1.1.18. Destruction. In records management, the major type of disposal action. Methods of destroying records include selling or salvaging the record medium and burning, pulping, shredding, macerating, or discarding with other waste materials. (RM Handbook, reference (w))

AP 1.1.19. Disposition. Disposition means those actions taken regarding Federal records after they are no longer in office space to conduct current Agency business. These actions include: (41 CFR 201-4 and RM Handbook, references (kk) and (w))

AP 1.1.19.1. Transfer to records to Agency storage facilities or Federal Record Center (FRCs).

AP1.1.19.2. Transfer of records from one Federal Agency to another.

AP1.1.19.3. Transfer of permanent records to the National Archives.

AP 1.1.19.4. Disposal of temporary records no longer needed to conduct agency business, usually by destruction or occasionally by donation.

AP 1.1.20. Disposition Action Code. Code that indicates the action to be taken when a disposition date occurs (e.g., freeze, transfer, or destroy).

AP 1.1.21. Disposition Action Date. The fixed date on which the records in a file become due for final disposition.

AP 1.1.22. Disposition Authority. Legal approval empowering an Agency to transfer permanent records to the National Archives or carry out the disposal of temporary records. Must be obtained from NARA and also, for certain records proposed as temporary, from the General Accounting Office (GAO). (RM Handbook, reference (w))

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AP 1.1.23. Disposition Instruction. Directions for cutting off records and carrying out their disposition (transfer, retirement, or destruction) in compliance with NARA's regulations and General Records Schedule (GRS). The instructions include retention-related fields such as authority, transfer location, active/dormant chronological retention periods, and conditional retention periods. (RM Handbook, reference (w))

AP 1.1.24. Disposition Instruction Code. An Agency's alphanumeric or numeric code indicating a unique disposition instruction that can be assigned to one or more files.

AP 1.1.25. Disposition Instruction Type. One of three ways of scheduling a disposition instruction. The schedule may be based upon a time, an event, or a combination of both time and event. See API. 1.30, API. 1.54, and API. 1.55, below. (RM Handbook, reference (w))

AP 1.1.26. Document. Recorded information regardless of physical form or characteristics. A document may meet the definition of a record, or it may not and therefore be a non-record.

AP 1.1.27. Electronic Mail Message. A document created or received on an electronic mail system including brief notes, more formal or substantive narrative documents, and any attachments, such as word processing and other electronic documents, which may be transmitted with the message. (36 CFR 1234.2, reference (ii))

AP 1.1.28. Electronic Mail System. A computer application used to create, receive, and transmit messages and other documents. Excluded from this definition are file transfer utilities (software that transmit files between users but does not retain any transmission data), data systems used to collect and process data that have been organized into data files or data bases on either personal computers or mainframe computers, and word processing documents not transmitted on an e-mail system. (36 CFR 1234.2, reference (ii))

AP 1.1.29. Electronic Record. Electronic record means any information that is recorded in a form that requires a computer or other machine to process it and that satisfies the legal definition of a record in 44 U.S.c. 3301, reference (bb)). (36 CFR 1234.2, reference (ii))

AP 1.1.30. Event Disposition. A disposition instruction, in which a record is eligible for the specified disposition (transfer or destroy) upon or immediately after the specified event occurs. No retention is applied and there is no fixed waiting period as with the "timed" or combination "timedevent" dispositions. Example: "Destroy when no longer needed for current operations". (RM Handbook, reference (w))

AP 1.1.31. File

AP 1.1.31.1. An arrangement of records. The term is used to denote papers, photographs, photographic copies, maps, machine-readable information, or other recorded information regardless of physical form or characteristics, accumulated or maintained in filing equipment, boxes, or

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machine-readable media, or on shelves, and occupying office or storage space. (Noun) (41 CFR 201-4 and 36 CFR 1220.14, references (kk)) and (11))

AP 1.1.31.2. The act of assigning and storing records in their appropriate file categories. (Verb) (RM Handbook, reference (w))

API. 1.32. File Code. Numbers or symbols used to represent lengthy file titles. It identifies information for filing, reference, and disposition. (RM Handbook, reference (w))

APl.1.33. File Plan. A document containing the identifying number, title, description, and disposition authority of files held in an office. (RM Handbook, reference (w))

API. 1.34. Format. For electronic records, the format refers to the computer file format described by a formal or vender standard or specification, such as ISO/ISEC 8632-1 (Information Technology - Computer Graphics - Metafile for the Storage and Transfer of Picture Description Information (CGM)); ISO/ISEC 10918 (Joint Photographic Experts Group (JPEG));WordPerfect 6.1 for Windows; and Microsoft Word 7.0 for Windows. For non-electronic records, the format refers to its physical form: e.g., paper, microfilm, video, etc.

APl.1.35. Freeze. The suspension or extension of the disposition of temporary records that cannot be destroyed on schedule because of special circumstances, such as a court order or an investigation, that requires a temporary extension of the approved retention period. (RM Handbook, reference (w))

API. 1.36. Government Information Locator Service (GILS). GILS is a Federal Government service to help the general public locate and access information throughout the Federal Government (44 U.S.C. 3511, reference (mm)). It describes the information available in those resources, and provides assistance in obtaining the information. GILS uses network technology and international standards for information search and retrieval. These standards are described in the Federal Information Processing Standard (FIPS) Publication 192, "Application Profile for the Government Information Locator Service." (FIPS 192, reference (hh))

AP 1.1.3 7. Location of Record. A pointer to the location of a record. Examples: an operating system path and filename, the location of a file cabinet, or the location of a magnetic tape rack.

APl.1.38. Media Type. The material and/or environment on which information is inscribed (e.g., microform, electronic, paper).

AP 1.1.39. Metadata. Data describing stored data: that is, data describing the structure, data elements, interrelationships, and other characteristics of electronic records. Record profile data.

AP 1.1.40. Office Applications. Software packages that perform a variety of office support functions, such as word processing, desktop publishing, spreadsheet calculations, electronic mail, facsimile transmission and receipt, document imaging, optical character recognition (OCR), work flow, and data management. These-applications are generally those used to generate, convert, transmit, or receive business documents.

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AP 1.1.41. Originating Organization. Official name or code that reflects the office responsible for the creation of a document.

AP 1.1.42. Permanent Record. Records appraised by NARA as having sufficient historical or other value to warrant continued preservation by the Federal Government beyond the time they are needed for a particular Agency's administrative, legal, or fiscal purposes. (RM Handbook, reference (w))

AP1.1.43. Receipt Data. Information in electronic mail systems regarding dates and time of receipt of a message, and/or acknowledgment of receipt or access by addressee(s). It is not the date and time of delivery to the agency. If this data is provided by the computer system, it is required for documents that are received through electronic mail. (36 CFR 1234.2, reference (ii))

AP 1.1.44. Record. A record consists of information, regardless of medium, detailing the transaction of business. Records include all books, papers, maps, photographs, machine-readable materials, and other documentary materials, regardless of physical form or characteristics, made or received by an Agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that Agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the Government or because of the value of data in the record. (44 U.S.C. 3301, reference (bb))

AP1.1.45. Record Category. A description of a particular set of records (file or groups of files) within a file plan. Each category has retention and disposition data associated with it, applied to all records within the category.

AP 1.1.46. Record Category Code. An Agency's alphanumeric or numeric code indicating a unique record category which can be assigned to one or more files.

AP 1.1.47. Record Identifier. A data element whose value is system-generated and that uniquely identifies a particular record.

AP 1.1.48. Records Management. The planning, controlling, directing, organizing, training, promoting, and other managerial activities involving the life cycle of information, including creation, maintenance (use, storage, retrieval), and disposal, regardless of media. Record management procedures are used to achieve adequate and proper documentation of Federal policies and transactions and effective and economical management of Agency/organizational operations. (44 U.S.C. 2901, reference (nn))

API. 1.49. Records Management Application (RMA). Software used by an organization to manage its records. Its primary management functions are categorizing and locating records and identifying records that are due for disposition. RMA software also stores, retrieves, and disposes of the electronic records that are stored in its repository.

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API. 1.50. Record Profile. Information (meta data) about a record that is used by the RMA to file and retrieve the record. It includes information fields such as To, From, Date, Subject, Document Type, Format, Location, Record Number, Version Number, File Category, and Originating Organization. The data fields may also be used by the RMA as search criteria.

API. 1.5 1. Repository for Electronic Records. A direct access device on which the electronic records and profiles are stored.

AP 1.1.52. Retention Period; The length of time that a record must be kept before it is destroyed. Records not authorized for destruction have a retention period of permanent. Retention periods for temporary records may be expressed in two ways (RM Handbook), reference (w))

AP1.1.52.1. A fixed period after records in the series or system is created. Normally a fixed period after their regular cutoff. For example, the phrase "destroy when 2 years old" provides continuing authority to destroy records in a given series 2 years after their creation (normally 2 years after their regular cutoff).

AP1.1.52.2. A fixed period after a predictable event. Normally a fixed period after the systematic cutoff following that event. The wording in this case depends on the kind of action involved. Note the following examples:

AP1.1.52.2.1. "After completion" (as ofa study, project, audit).

API. 1.52.2.2. "After sale or transfer" (as of personal or real property).

AP1.1.52.2.3. "After publication" (as of monthly reports).

AP1.1.52.2.4. "After superseded" (as of an administrative directive).

AP1.1.52.2.5. "After revision or cancellation" (as of a form).

API.l.52.2.6. "After acceptance or rejection" (as of an application).

AP1.1.53. Subject. A principal topic addressed in a record.

AP 1.1.54. Time Disposition. A disposition instruction that specifies when a record shall be cutoff and when the fixed retention period is applied. The retention period does not begin until after the records have been cutoff Example: "Destroy after two years- cutoff at the end of the calendar (or fiscal) year; hold for two years; then destroy". (RM Handbook, reference (w))

AP 1.1.55. Time-Event Disposition. A disposition instruction that specifies that a record shall be disposed of a fixed period of time after a predictable or specified event. Once the specified event has occurred, then the retention period is applied. Example: "Destroy three years after close of case" . The record remains unscheduled until after the case is closed - at that time the record is cutoff and the retention period (destroy after three years) is applied. (RM Handbook, reference (w))

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AP 1.1.56. Transfer. The act or process of moving records from one location to another, especially from office space to Agency storage facilities or Federal Record Centers, from one Federal Agency to another, or from office or storage space to the National Archives for permanent preservation. (RM Handbook, reference (w))

AP 1.1.57. Transmission Data. Information in electronic mail systems regarding the date and time messages were sent or forwarded by the author. If this data is provided by the electronic mail system, it is required for documents that are transmitted and received via electronic mail. (36 CFR 1234.2, reference (ii))

AP1.1.58. Version. One ofa sequence of documents having the same general form and specific subject and purpose. The sequence often reflects successive changes to a document.

AP1.1.59. Vital Records. Essential Agency records that are needed to meet operational responsibilities under national security emergencies or other emergency or disaster conditions (emergency operating records) or to protect the legal and financial rights of the

Government and those affected by Government activities (legal and financial rights records). Emergency operating records are the type of vital records essential to the continued functioning or reconstitution of an organization during and after an emergency. Included are emergency plans and directive(s), orders of succession, delegations of authority, staffing assignments, selected program records needed to continue the most critical Agency operations, as well as related policy or procedural records that assist Agency staff in conducting operations under emergency conditions and for resuming normal operations after an emergency. Legal and financial rights records are the type of vital records essential to protect the legal and financial rights of the Government and of the individuals directly affected by it s activities. Examples include accounts receivable records, social security records, payroll records, retirement records, and insurance records. These records were formerly defined as "rights-and-interests" records. (36 CFR 1236.14, reference (p))

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ATTACHMENT E: CFR 36 - PART 1234

Code of Federal Regulations] [Title 36, Volume 3] [Revised as of July 1,2001]

From the U.S. Government Printing Office via GPO Access [CITE: 36CFRI234.1]

[Page 698-699]

TITLE 36--PARKS, FORESTS, AND PUBLIC PROPERTY

CHAPTER XII--NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

PART 1234--ELECTRONIC RECORDS MANAGEMENT--Table of Contents

Subpart A--General

Sec. 1234.1 Scope of part.

This part establishes the basic requirements related to the creation, maintenance, use, and disposition of electronic records. Electronicrecords include numeric, graphic, and text information, which may be recorded on any medium capable of being read by a computer and which satisfies the definition of a record. This includes, but is not limited to, magnetic media, such as tapes and disks, and optical disks. Unless otherwise noted, these requirements apply to all electronic information systems, whether on microcomputers, minicomputers, or main- frame computers, regardless of storage media, in network or stand-alone configurations. This part also covers creation, maintenance and use, and disposition of Federal records created by [[Page 699]] individuals using electronic mail applications. [60 FR 44640, Aug. 28, 1995]

[Code of Federal Regulations] [Title 36, Volume 3]

[Revised as of July 1, 2001]

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[Page 699]

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CHAPTER XII--NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

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Subpart A--General

Sec. 1234.2 Definitions.

Basic records management terms are defined in 36 CFR 1220.14. As used in part 1234--

Data base means a set of data,· consisting of at least one data file, that is sufficient for a given purpose.

Data base management system means a software system used to access and retrieve data stored in a data base.

Data file means related numeric, textual, or graphic information that is organized in a strictly prescribed form and format.

Electronic information system. A system that contains and provides access to computerized Federal records and other information.

Electronic mail message. A document created or received on an electronic mail system including brief notes, more formal or substantive narrative documents, and any attachments, such as word processing and other electronic documents, which may be transmitted with the message.

Electronic mail system. A computer application used to create, receive, and transmit messages and other documents. Excluded from this definition are file transfer utilities (software that transmits files between users but does not retain any transmission data), data systems used to collect and process data that have been organized into data files or data bases on either personal computers or mainframe computers, and word processing documents not transmitted on an e-mail system.

Electronic record means any information that is recorded in a form that only a computer can process and that satisfies the definition of a Federal record in 44 U.S.C. 3301.

Electronic recordkeeping system. An electronic system in which records are collected, organized, and categorized to facilitate their preservation, retrieval, use, and disposition.

Text documents means narrative or tabular documents, such as letters, memorandums, and reports, in loosely prescribed form and format.

Transmission and receipt data.

(1) Transmission data. Information in electronic mail systems regarding the identities of sender and addressee(s), and the date and time messages were sent.

(2) Receipt data. Information in electronic mail systems regarding date and time of receipt of a message, and/or acknowledgment of receipt or access by addressee(s).

[55 FR 19218, May 8, 1990, as amended at 60 FR 44641, Aug. 28, 1995]

[Code of Federal Regulations] [Title 36, Volume 3]

[Revised as of July 1, 2001]

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[Page 699-700]

TITLE 36--PARKS, FORESTS, AND PUBLIC PROPERTY

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CHAPTER XII--NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

PART 1234--ELECTRONIC RECORDS MANAGEMENT--Table of Contents

Subpart B--Program Requirements

Sec. 1234.10 Agency responsibilities.

The head of each Federal agency shall ensure that the management of electronic records incorporates the following elements:

(a) Assigning responsibility to develop and implement an agencywide program for the management of all records created, received, maintained, used, or stored on electronic media; and notifying the National Archives and Records Administration, Modern Records Programs (NWM) , 8601 Adelphi Rd., College Park, MD 20740-6001 and the General Services Administration, Office of Government Policy (MKB) , Washington, DC 20405, of the name and title of the person assigned the responsibility.

(b) Integrating the management of electronic records with other records and information resources management programs of the agency. (c) Incorporating electronic records management objectives, responsibilities; and authorities in pertinent agency directives and disseminating them throughout the agency as appropriate.

(d) Establishing procedures for addressing records management requirements, including recordkeeping requirements and disposition, before approving new electronic information system or enhancements to existing systems.

(e) Ensuring that adequate training is provided for users of electronic mail systems on recordkeeping requirements, the distinction between Federal reco~ds and nonrecord materials, procedures for designating Federal records, and moving or copying records

[[Page 7001]

for inclusion in an agency recordkeeping system;

(f) Ensuring that adequate training is provided for users of electronic information system in the operation, care, and handling of the equipment, software, and media used in the system.

(g) Developing and maintaining up-to-date documentation about all electronic information system that is adequate to: Specify all technical characteristics necessary for reading or processing the records; identify all defined inputs and outputs of the system; define the contents of the files and records; determine restrictions on access and use; understand the purpose(s) and function(s) of the system; describe update cycles or conditions and rules for adding information to the system; changing information in it, or deleting information; and ensure the timely, authorized disposition of the records.

(h) Specifying the location, manner, and media in which electronic records will be maintained to meet operational and archival requirements, and maintaining i~ventories of electronic information system to facilitate disposition.

(i) Developing and securing NARA approval of records disposition schedules, and ensuring implementation of their provisions.

(j) Specifying the methods of implementing controls over national

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security-classified, sensitive, proprietary, and Privacy Act records stored and used electronically.

(k) Establishing procedures to ensure that the requirements of this part are applied to those electronic records that are created or maintained by contractors.

(1) Ensuring compliance with applicable Governmentwide policies, procedures, and standards such as those issued by the Office of Management and Budget, the General Accounting Office, the General Services Administration, the National Archives and Records Administration, and the National Institute of Standards and Technology.

(m) Reviewing electronic information system periodically for conformance to established agency procedures, standards, and policies as part of the periodic reviews required by 44 U.S.C. 3506. The review should determine if the records have been properly identified and described, and whether the schedule descriptions and retention periods reflect the current informational content and use. If not, or if substantive changes have been made in the structure, design, codes, purposes, or uses.of the system, submit an SF 115, Request for Records Disposition Authority, to NARA.

[55 FR 19218, May 8, 1990, as amended at 60 FR 44641, Aug. 28, 1995; 63 FR 35830, July 1, 1998; 66 FR 27028, May 16, 2001]

[Code of Federal Regulations] [Title 36, Volume 3]

[Revised as of July 1, 2001]

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[Page 700]

TITLE 36--PARKS, FORESTS, AND PUBLIC PROPERTY

CHAPTER XII--NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

PART 1234--ELECTRONIC RECORDS MANAGEMENT--Table of Contents

Subpart C--Standards for the Creation, Use, Preservation, and Disposition of Electronic Records

Sec. 1234.20 Creation and use of data files.

(a) For electronic information systems that produce, use, or store data files, disposition instructions for the data shall be incorporated into the system's design.

(b) Agencies shall maintain adequate and up-to-date technical documentation for each electronic information system that produces, uses, or stores data files. Minimum documentation required is a narrative description of the system; physical and technical characteristics of the records, including a record layout that describes each field including its name, size, starting or .relative position, and a description of the form of the data (such as alphabetic, zoned

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decimal, packed decimal, or numeric), or a data dictionary or the equivalent information associated with a data base management system including a desc~iption of the relationship between data elements in data bases; and any other technical information needed to read or process the records.

[55 FR 19218, May 8, 1990, as amended at 60 FR 44641, Aug. 28, 1995]

[Code of Federal Regulations] [Title 36, Volume 3]

[Revised as of July 1, 2001]

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[Page 700-701]

TITLE 36--PARKS, FORESTS, AND PUBLIC PROPERTY

CHAPTER XII--NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

PART 1234--ELECTRONIC RECORDS MANAGEMENT--Table of Contents

Subpart C--Standards for the Creation, Use, Preservation, and Disposition of Electronic Records

Sec. ~234.22 Creation and use of text documents.

(a) Electronic recordkeeping systems that maintain the official file copy of text documents on elecronic media shall meet the following minimum requirements:

[[Page 701]]

(1) Provide a method for all authorized users of the system to retrieve desired documents, such as an indexing or text search system; (2) Provide an appropriate level of security to ensure integrity of the documents;

(3) Provide a standard interchange format when necessary to permit the exchange of documents on electronic media between agency computers using different software/operating systems and the conversion or migration of documents on electronic media from one system to another; and

(4) Provide.for the disposition of the documents including, when necessary, the requirements for transferring permanent records to NARA (see Sec. 1228.270 of this chapter) .

. (b) Before a document is created electronically on electronic recordkeeping systems that will maintain the official file copy on electronic media, each document shall be identified sufficiently to enable authorized personnel to retrieve, protect, and carry out the disposition of documents in the system. Appropriate identifying information for each document maintained on the electronic media may include: office of origin, file code, key words for 'retrieval, addressee (if any), signator, author, date, authorized disposition (coded or

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otherwise), and security classification (if applicable). Agencies shall ensure that records maintained in such systems can be correlated with related records on paper, microform, or other media.

[55.FR 19218, May 8, 1990, as amended at 60 FR 44641, Aug. 28, 1995; 66 FR 27028, May 16, 2001]

[Code of Federal Regulations] [Title 36, Volume 3]

[Revised as of July 1, 2001]

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[Page 701-702]

TITLE 36--PARKS, FORESTS, AND PUBLIC PROPERTY

CHAPTER XII--NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

PART 1234--ELECTRONIC RECORDS MANAGEMENT--Table of Contents

Subpart C--Standards for the Creation, Use, Preservation, and Disposition of Electronic Records

Sec. 1234.24 Standards for managing electronic mail records.

Agencies shall manage records created or received on electronic mail systems in accordance with the provisions of this chapter pertaining to adequacy of documentation, recordkeeping requirements, agency records management responsibilities, and records disposition (36 CFR parts 1220, 1222, and 1228).

(a) Agency instructions on identifying and preserving electronic mail messages will address the following unique aspects of electronic mail:

(1) Some transmission data (names of sender and addressee(s) and date the message was sent) must be preserved for each electronic mail record in order for the context of the message to be understood. Agencies shall determine if any other transmission data is needed for purposes of context.

(2) Agencies that use an electronic mail system that identifies users by codes or nicknames or identifies addressees only by the name of a distribution list shall instruct staff on how to retain names on directories or distributions lists to ensure identification of the sender and addressee(s) of messages that are records.

(3) Agencies that use an electronic mail system that allows users to request acknowledgments or receipts showing that a message reached the mailbox or inbox of each addressee, or that an addressee opened the message, shall issue instructions to e-mail users specifying when to request such receipts or acknowledgments for recordkeeping purposes and how to preserve them.

(4) Agencies with access to external electronic mail systems shall ensure that Federal records sent or received on these systems are preserved in the appropriate recordkeeping system and that reasonable

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steps are taken to capture available transmission and receipt data needed by the agency for recordkeeping purposes.

(5) Some e-mail systems provide calendars and task lists for users.

These may meet the definition of Federal record. Calendars that meet the definition of Federal records are to be managed in accordance with the provisions of General Records Schedule 23, Item 5.

(6) Draft documents that are circulated on electronic mail systems may be records if they meet the criteria specified in 36 CFR 1222.34.

(b) Agencies shall consider the following criteria when developing procedures for the maintenance of electronic mail records in appropriate recordkeeping systems, regardless of format.

(1) Recordkeeping systems that include electronic mail messages must:

(i) Provide for the grouping of related records into classifications according to the nature of the business purposes the records serve;

[[Page 702]]

(ii) Permit easy and timely retrieval of both individual records and files or other groupings of related records;

(iii) Retain the records in a usable format for their required retention period as specified by a NARA-approved records schedule; (iv) Be accessible by individuals who have a business need for information in the system;

(v) Preserve the transmission and receipt data specified in agency instructions; and

(vi) Permit transfer of permanent records to the National Archives and Records Administration (see 36 CFR 1228.270 and 36 CFR 1234.32(a)).

(2) Agencies shall not store the recordkeeping copy of electronic mail messages that are Federal records only on the electronic mail system, unless the system has all of the features specified in paragraph (b) (1) of this section. If the electronic mail system is not designed to be a recordkeeping system, agencies shall instruct staff on how to copy

Federal records from the electronic mail system to a recordkeeping system.

(c) Agencies that maintain their electronic mail records electronically shall move or copy them to a separate electronic recordkeeping system unless their system has the features specified in paragraph (b) (1) of this section. Because they do not have the features specified in paragraph (b) (1) of this section, backup tapes should not be used for recordkeeping purposes. Agencies may retain records from electronic mail systems in an off-line electronic storage format (such as optical disk or magnetic tape) that meets the requirements described at 36 CFR 1234.30(a). Agencies that retain permanent electronic mail records scheduled for transfer to the National Archives shall either store them in a format and on a medium that conforms to the requirements concerning transfer at 36 CFR 1228.188 or shall maintain the ability to convert the records to the required format and medium at the time transfer is scheduled.

(d) Agencies that maintain paper files as their recordkeeping systems shall print their electronic mail records and the related transmission and receipt data specified by the agency.

[60 FR 44641, Aug. 28, 1995, as amended at 66 FR 27028, May 16, 2001]

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[Code of Federal Regulations] [Title 36, Volume 3J

[Revised as of July 1, 2001]

From the U.S. Government Printing Office via GPO Access [CITE: 36CFR1234.26]

[Page 702]

TITLE 36--PARKS, FORESTS, AND PUBLIC PROPERTY

CHAPTER XII--NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

PART 1234--ELECTRONIC RECORDS MANAGEMENT--Table of Contents

Subpart C--Standards for the Creation, Use, Preservation, and Disposition of Electronic Records

Sec. 1234.26 Judicial use of electronic records.

Electronic records may be admitted in evidence to Federal courts for use in court proceedings (Federal Rules of Evidence 803(8» if trustworthiness is established by thoroughly documenting the recordkeeping system's operation and the controls imposed upon it. Agencies should implement the following procedures to enhance the legal admissibility of electronic records.

(a) Document that similar kinds of records generated and stored electronically are created by the same processes each time and have a standardized retrieval approach.

(b) Substantiate that security procedures prevent unauthorized addition, modification or deletion of a record and ensure system protection against such problems as power interruptions.

(c) Identify the electronic media on which records are stored throughout their life cycle, the maximum time span that records remain on each storage medium, and the NARA-approved disposition of all records.

(d) Coordinate all of the above with legal counsel and senior IRM and records management staff.

[55 FR 19218, May 8, 1990. Redesignated at 60 FR 44641, Aug. 28, 1995]

[Code of Federal Regulations] [Title 36, Volume 3]

[Revised as of July 1, 2001]

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[Page 702-703]

TITLE 36--PARKS, FORESTS, AND PUBLIC PROPERTY

CHAPTER XII--NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

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PART 1234--ELECTRONIC RECORDS MANAGEMENT--Tab1e of Contents

Subpart C--Standards for the Creation, Use, Preservation, and Disposition of Electronic Records

Sec. 1234.28 Security of electronic records.

Agencies shall implement and maintain an effective records security program that incorporates the following:

(a) Ensures that only authorized personnel have access to electronic records.

(b) Provides for backup and recovery of records to protect against information loss.

(c) Ensures that appropriate agency personnel are trained to safeguard sensitive or classified electronic records.

(d) Minimizes the risk of unauthorized alteration or erasure of electronic records.

(e) Ensures that electronic records security is included in computer systems security plans prepared pursuant

[[Page 703]]

to the Computer Security Act of 1987 (40 U.S.C. 759 note) .

[55 FR 19218, May 8, 1990. Redesignated at 60 FR 44641, Aug. 28, 1995]

[Code of Federal Regulations] [Title 36, Volume 3]

[Revised as of July 1, 2001]

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CHAPTER XII--NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

PART 1234--ELECTRONIC RECORDS MANAGEMENT--Table of Contents

Subpart C--Standards for the Creation, Use, Preservation, and Disposition of Electronic Records

Sec. 1234.30 Selection and maintenance of electronic records storage media.

(a) Agencies shall select appropriate media and systems for storing agency records throughout their life, which meet the following requirements:

(1) Per~it easy retrieval in a timely fashion;

(2) Facilitate distinction between record and nonrecord material; (3) Retain the records in a usable format until their authorized

disposition date; and

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(4) If the media contains permanent records and does not meet the requirements for transferring permanent records to NARA as outlined in Sec. 1228.270 of this chapter, permit the migration of the permanent records at the time of transfer to a medium whiGh does meet the requirements.

(b) The following factors shall be considered before selecting a storage medium or converting from one medium to another:

(1) The authorized life of the records, as determined during the

scheduling process;

(2) The maintenance necessary to retain the records; (3) The cost of storing and retrieving the records; (4) The records density;

(5) The access time to retrieve stored records;

(6) The portability of the medium (that is, selecting a medium that will run on equipment offered by multiple manufacturers) and the ability to transfer the information from one medium to another (such as from optical disk to magnetic tape); and

(7) Whether the medium meets current applicable Federal Information Processing Standards.

(c) Agencies should avoid the use of floppy disks for the exclusive long-term storage of permanent or unscheduled electronic records.

(d) Agencies shall ensure that all authorized users can identify and retrieve information stored on diskettes, removable disks, or tapes by establishing or adopting procedures for external labeling.

(e) Agencies shall ensure that information is not lost because of changing technology or deterioration by converting storage media to provide compatibility with the agency's current hardware and software. Before conversion to a different medium, agencies must determine that the authorized disposition of the electronic records can be implemented after conversion.

(f) Agencies shall back up electronic records on a regular basis to safeguard against the loss of information due to equipment malfunctions or human error. Duplicate copies of permanent or unscheduled records shall be maintained in storage areas separate from the location of the records that have been copied.

(g) Maintenance of magnetic computer tape. (1) Agencies shall test magnetic computer tapes no more than 6 months prior to using them to store electronic records that are unscheduled or scheduled for permanent retention. This test should verify that the tape is free of permanent errors and in compliance with National Institute of Standards and Technology or industry standards.

(2) Agencies shall maintain the storage and test areas for computer magnetic tapes containing permanent and unscheduled records at the following temperatures and relative humidities:

Constant temperature--62 to 68 deg.F. Constant relative humidity--35% to 45%

(3) Agencies shall annually read a statistical sample of all reels of magnetic computer tape containing permanent and unscheduled records to identify any loss of data and to discover and correct the causes of data loss. In tape libraries with 1800 or fewer reels, a 20% sample or a sample size of 50 reels, whichever is larger, should be read. In tape libraries with more than 1800 reels, a sample of 384 reels should be read. Tapes with 10 or more errors should be replaced and, when

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possible, lost data shall be restored. All other tapes which might have been affected by the same cause (i.e., poor quality tape, high usage, poor environment, improper handling) shall be read and corrected as appropriate.

[[Page 704]]

(4) Agencies shall copy permanent or unscheduled data on magnetic tapes before the tapes are 10 years old onto tested and verified new tapes.

(5) External labels (or the equivalent automated tape management system) for magnetic tapes used to store permanent or unscheduled electronic records shall provide unique identification for each reel, including the name of the organizational unit responsible for the data, system title, and security classification, if applicable. Additionally, the following information shall be maintained for (but not necessarily attached to) each reel used to store permanent or unscheduled electronic records: file title(s) ; dates of creation; dates of coverage; the recording density; type of internal labels; volume serial number, if applicable; number of tracks; character code/software dependency; information about block size; and reel sequence number, if the file is part of a multi-reel set. For numeric data files, include record format and logical record length, if applicable; data set name(s) and sequence, if applicable; and ,number of records for each data set.

(6) Agencies shall prohibit smoking and eating in magnetic computer tape storage libraries and test or evaluation areas that contain permanent or unscheduled records.

(h) Maintenance of direct access storage media. (1) Agencies shall issue written procedures for the care and handling of direct access storage media which draw upon the recommendations of the manufacturers.

(2) External labels for diskettes or removable disks used when processing or temporarily storing permanent or unscheduled records shall include the following information: name of the organizational unit responsible for the records, descriptive title of the contents, dates of creation, security classification, if applicable, and identification of the software and hardware used.

[55 FR 19218, May 8, 1990. Redesignated at 60 FR 44641, Aug. 28, 1995; 62 FR 54585, Oct. 21, 1997; 65 FR 24132, Apr. 25, 2000; 66 FR 27028, May 16, 2001]

[Code of Federal Regulations] [Title 36, Volume 3]

[Revised as of July 1, 2001]

From the U.S. Government Printing Office via GPO Access [CITE: 36CFR1234.32]

[Page 704-705]

TITLE 36--PARKS, FORESTS, AND PUBLIC PROPERTY

CHAPTER XII--NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

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PART 1234--ELECTRONIC RECORDS MANAGEMENT--Table of Contents

Subpart C--Standards for the Creation, Use, Preservation, and Disposition of Electronic Records

Sec. 1234.32 Retention and disposition of electronic records.

Agencies shall establish policies and procedures to ensure that electronic records and their documentation are retained as long as needed by the Government. These retention procedures shall include provisions for:

(a) Scheduling the disposition of all electronic records, as well as related documentation and indexes, by applying General Records Schedules (particularlyGRS 20 or GRS 23) as appropriate or submitting an SF 115, Request for Records Disposition Authority, to NARA (see part 1228 of this chapter). The information in electronic information systems, including those operated for the Government by a contractor, shall be scheduled as soon as possible but no later than one year after implementation of the system.

(b) Transferring a copy of the electronic records and any related documentation and indexes to the National Archives at the time specified in the records disposition schedule in accordance with instructions found in Sec. 1228.270 of this chapter. Transfer may take place at an earlier date if convenient for both the agency and the National Archives and Records Administration.

(c) Establishing procedures for regular recopying, reformatting, and other necessary maintenance to ensure the retention and usability of electronic records throughout their authorized life cycle (see

Sec. 1234.28).

(d) Electronic mail records may not be deleted or otherwise disposed of without prior disposition authority from NARA (44 U.S.C. 3303a). This applies to the original version of the record that is sent or received on the electronic mail system and any copies that have been transferred to a recordkeeping system. See 36 CFR part 1228 for records disposition requirements.

(1) Disposition of records on the electronic mail system. When an agency has taken the necessary steps to retain the record in a recordkeeping system, the identical version that remains on the user's screen or in the user's mailbox has no continuing value. Therefore, NARA has authorized deletion of the version of the record on the electronic

[ [P age 705]]

mail system under General Records Schedule 20, Item 14, after the record has been preserved in a recordkeeping system along with all appropriate transmission data.

(2) Records in recordkeeping systems. The disposition of electronic mail records that have been transferred to an appropriate recordkeeping system is governed by the records schedule or schedules that control the records in that system. If the records in the system are not scheduled, the agency shall follow the procedures at 36 CFR part 1228.

[55 FR 19218, May 8, 1990. Redesignated and amended at 60 FR 44641, 44642, Aug. 28, 1995; 66 FR 27028, May 16, 2001]

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[Code of Federal Regulations] [Title 36, Volume 3]

[Revised as of July 1, 2001]

From the u.s. Government Printing Office via GPO Access [CITE: 36CFR1234.34]

[Page 705]

TITLE 36--PARKS, FORESTS, AND PUBLIC PROPERTY

CHAPTER XII--NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

PART 1234--ELECTRONIC RECORDS MANAGEMENT--Table of Contents

Subpart C--Standards for the Creation, Use, Preservation, and Disposition of Electronic Records

Sec. 1234.34 Destruction of electronic records.

Electronic records may be destroyed only in accordance with a records disposition schedule approved by the Archivist of the United States, including General Records Schedules. At a minimum each agency shall ensure that:

(a) Electronic records scheduled for destruction are disposed of in a manner that ensures protection of any sensitive, proprietary, or national security information.

(b) Magnetic recording media previously used for electronic records containing sensitive, proprietary, or national security information are not reused if the previously recorded information can be compromised by reuse in any way.

(c) Agencies shall establish and implement procedures that specifically address the destruction of electronic records generated by individuals employing electronic mail.

[55 FR 19218, May 8, 1990. Redesignated and amended at 60 FR 44641, 44642, Aug. 28, 1995]

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