retention under Capstone. This documentation will need to be retained and updated all through the creation, maintenance and use of the records and not only at the time of transfer. Initiating Event An electronic message has been created or received. ERM.010 - Electronic Message Capture Typical Flow of Events ERM Input(s) Output(s) / Outcome(s) ERM.010.L1.01. Determine whether the electronic message meets the criteria for a record 1 Determine the subject of the electronic message based on the content. (ERM.010.020 – Records Validation) Electronic message content Electronic message header Criteria for a record Subject of electronic message 2 Determine if the subject of the electronic message supports any of the business functions of the department or agency. (ERM.010.020 – Records Validation) Subject of electronic message List of business functions Subject of electronic message is validated 3 Ensure the electronic message metadata is complete (author, date created, date last edited). (ERM.010.020 – Records Validation) User computer Computer software Electronic message metadata Electronic message metadata is complete 4 Verify the electronic message as a record. (ERM.010.020 – Records Validation) Validated content of electronic message Electronic message verified as a record
ERM.010 - Electronic Message Capture Typical Flow of Events ERM Event Input(s) Output(s) / Outcome(s) ERM.010.L1.02. Determine if the electronic message can be placed under records management control 5 Determine if the format of the electronic message matches the approved formats in use at the agency. (ERM.010.020 – Records Validation) Format of electronic message Agency approved formats Agency records management controls Electronic message format matches the approved formats 6 Ensure the electronic message metadata is complete (author, date created, date last edited). (ERM.010.020 – Records Validation) User computer/device Computer software Electronic message metadata Electronic message metadata is complete 7 Verify records management controls can be applied to the electronic message (ERM.010.020 – Records Validation) Electronic message format is approved Electronic message metadata is complete Agency records management controls Electronic message can be placed under records management control ERM.010 - Electronic Message Capture Typical Flow of Events ERM Input(s) Output(s) / Outcome(s) ERM.010.L1.03. Verify the electronic message possesses the characteristics of a record: reliability, authenticity, integrity, and usability 8 Ensure records management controls are applied to the electronic message. (ERM.010.020 – Records Validation) Electronic message Electronic message author Agency system Records management controls applied to electronic message
9 Verify the electronic message represents a full and accurate account of the transaction or activity. (ERM.010.020 – Records Validation) Electronic message content Independent to verify full account of transaction/activity User computer/device Electronic message is considered reliable 10 Verify the transmission and receipt information of the electronic message is accurate and complete. (ERM.010.020 – Records Validation) Electronic message content Electronic message metadata User computer/device Electronic message is considered authentic 11 Verify the electronic message is complete and unaltered. (ERM.010.020 – Records Validation) Electronic message content Electronic message trail User computer/device Electronic message is considered to have integrity 12 Verify the electronic message can be located, retrieved, Agency system Computer software User computer/device Electronic message is considered usable
presented, and interpreted. (ERM.010.020 – Records Validation) 13 Validate the characteristics of the electronic message. (ERM.010.020 – Records Validation) Electronic message is reliable Electronic message is authentic Electronic message has integrity Electronic message is usable Electronic message possesses the characteristics of a record ERM.010 - Electronic Message Capture Typical Flow of Events ERM Input(s) Output(s) / Outcome(s) ERM.010.L1.04. Determine records schedule the electronic message belongs to once it is designated as a record 14 Examine the current list of groups of records for assignment. (ERM.010.030 - Records Retention) List of groups of records Appropriate of records is identified 15 Ensure the appropriate of records is tied to a records schedule. Identified group of records Records schedule Group of records is in records schedule
Electronic Message Maintenance & Use Typical Flow of Events ERM Event Input(s) Output(s) / Outcome(s) ERM.020.L1.02. Alter the access level of an electronic message 6 Search for electronic message record in agency systems. (ERM.020.030 – Records Maintenance) Agency systems Identified electronic message record 7 Retrieve access list of identified electronic message record. (ERM.020.030 – Records Maintenance) Agency systems Identified electronic message record Access list of electronic message record 8 Identify changes to be made to the access list. (ERM.020.030 – Records Maintenance) Agency systems Access list of electronic message record Identified changes to make to access list 9 Alter the access level for individuals on the access list. (ERM.020.030 – Records Maintenance) Agency systems Identified changes to make to access list Access list is altered 10 Save changes to the access list of the electronic message record. (ERM.020.030 – Records Maintenance) Agency systems Access list of electronic message record Changes to electronic message record are Electronic Message Maintenance & Use Typical Flow of Events ERM Event Input(s) Output(s) / Outcome(s) ERM.020.L1.03. Check audit log of an electronic message to see what changes have been made to the content, metadata, or access level of records and by whom 11 Search for electronic message records in agency systems. (ERM.020.030 – Records Maintenance) Agency systems Identified electronic message records 12 Retrieve audit log of identified electronic message records. (ERM.020.030 – Records Maintenance) Agency systems Identified electronic message records Audit log of electronic message records 13 Identify entries in audit log to investigate further. (ERM.020.030 – Records Maintenance) Agency systems log of electronic message records Entries in audit log
20 Create description for records group which includes record type, purpose, function, and retention period. (ERM.020.020 – Records Retention) Record type Purpose Business function Retention period Records description 21 Add description of records to the agency records control schedule. (ERM.020.020 – Records Retention) Records description Agency records control schedule 22 Submit agency records control schedule to NARA for approval. (ERM.020.020 – Records Retention) Agency records control schedule Agency records control schedule submitted to NARA for approval 23 Receive approval from NARA to assign retention period for group of records. (ERM.020.020 – Records Retention) Communication from NARA Records retention period is approved Electronic Message Maintenance & Use Typical Flow of Events ERM Event Input(s) Output(s) / Outcome(s) ERM.020.L1.06. hold on electronic message records 24 Validate search terms and parameters for identifying electronic message records to place on hold. (ERM.020.030 – Litigation Hold) Litigation hold scope (dates, custodians, and subject/keywords) Identified search terms and parameters 25 Search for electronic message records in agency systems responsive to the litigation hold. (ERM.020.030 – Litigation Hold) Search terms and parameters Agency systems List of electronic records from executed search 26 Identify electronic message records that meet scope of litigation hold. (ERM.020.030 – Litigation Hold) Search and parameters Agency systems Electronic message records are identified to put on hold 27 Place identified electronic message records on hold in agency systems. (ERM.020.030 – Litigation Hold) Identified electronic message records Agency systems Identified electronic message records are placed on hold
Record objects selected for export 34 Identify export location of electronic message records. (ERM.020.040 - Information Request) Legacy system Possible export locations Export location identified 35 Export executed. (ERM.020.040 - Information Request) Legacy system Selected export format Identified export location Record objects export complete Electronic Message Maintenance & Use Typical Flow of Events ERM Event Input(s) Output(s) / Outcome(s) ERM.020.L2.01. Migrate records into acceptable formats to protect from technological obsolescence 1 Assess the formats of electronic message records for risks of technological obsolescence. (ERM.020.040 - Information Request) Legacy system; approved records retention schedule Identified records needed for continued business 2 Migrate electronic records into acceptable formats until their authorized disposition date. (ERM.020.040 - Information Request) Identified updates needed to hardware or software Record objects migrated or converted to acceptable NARA format 3 Perform technical analysis to ensure all information, including associated metadata, was migrated or converted correctly. (ERM.020.040 - Information Request) Migrated or converted records and the associated metadata Audit report of technical analysis 4 Ensure that migration strategies address electronic message records that are stored off-line. (ERM.020.040 - Information Request) Legacy system; non-active electronic records Identified process for ensuring off-line electronic records are usable throughout retention period ERM.030. – Use Case for Electronic Message Disposal Enabling Function: Records Disposal Business Scenario(s) Covered ERM.030.L1.01. Notify business owners of eligible records for disposal ERM.030.L1.02. Dispose of approved records from agency systems
(ERM.040.010 – Records Transfer Eligibility) ERM.040 - Electronic Message Transfer Typical Flow of Events ERM Event Input(s) Output(s) / Outcome(s) ERM.040.L1.02. Prepare records for transfer to NARA 6 Identify approved permanent electronic message records to be transferred to NARA. (ERM.040.020 – Records Transfer Action) Agency systems Identified permanent records 7 Ensure permanent electronic message records are in approved formats for transfer to NARA. (ERM.040.020 – Records NARA transfer guidance Permanent electronic message records are in approved formats
Transfer Action) 8 Export permanent electronic message records from agency systems with associated metadata. (ERM.040.020 – Records Transfer Action) Agency systems Permanent electronic message records Permanent electronic message records are exported from agency systems 9 Create transfer documentation, including associated metadata, to accompany permanent electronic message records to NARA. (ERM.040.020 – Records Transfer Action) NARA transfer guidance Transfer ERM.040 - Electronic Message Transfer Typical Flow of Events ERM Event Output(s) / Outcome(s)
ERM.040.L1.03. Transfer custody of records from agency to NARA 10 Transfer permanent electronic message records and accompanying documentation to NARA. (ERM.040.020 – Records Transfer Action) Exported permanent electronic message records Transfer documentation Permanent electronic message records are transferred to NARA 11 Receive notification from NARA that permanent electronic message records have been received and legal custody has been transferred to NARA. (ERM.040.030 – Records Transfer Completion) Notification from NARA Legal custody of permanent electronic message records is transferred to NARA 12 Identify and locate all copies of permanent electronic message Agency systems All copies of permanent electronic message
records that were transferred to NARA. (ERM.040.030 – Records Transfer Completion) records are located 13 Obtain approval from designated approving officials for disposal of agency copy of records based on current business needs and priorities. (ERM.040.030 – Records Transfer Completion) Notification from designated approving officials Concurrence from designated approving officials 14 Dispose of copies of permanent electronic message records that were transferred to NARA. (ERM.040.030 – Records Transfer Completion) Agency systems All copies of permanent electronic message records are disposed