For additional information and guidance, contact the IRS RIM Program office via *Records Management. Unstructured Data Repository - a digital system or directory primarily used to store or collaborate on unstructured data such as SharePoint. SECTION 14. When information is to be copies onto magnetic media, the operator should check the media to ensure they do not contain errors or flaws that will affect the information to be copies; If I use electronic messaging for work, am I creating federal records? In accordance with 36 CFR 1236, Subpart D, Digitizing Temporary Federal Records, the following standards must be met: Capture all information contained in the original source records; Include all the pages or parts from the original source records; Ensure the digitized versions can be used for all the purposes the original source records serve, including the ability to attest to transactions and activities; Protect against unauthorized deletions, additions, or alterations to the digitized versions; and. Managing electronic records in systems and repositories that meet the requirements listed in IRM 1.15.6.1(3), ensures the IRS is compliant with the critical records management policies and regulations as established by the National Archives and Records Administration (NARA) and listed in the CFR. Disposition refers to the actions taken regarding IRS records after they are no longer needed in office space to conduct current agency business. If you create or receive a record using instant messaging, before exiting your conversation, you should save it by selecting Ctrl + S. The message will be placed in your Conversation History folder, you may move it to other folders within Outlook. The digitized recordkeeping copy must be maintained in accordance with approved retention requirements. Use the Amazon App to scan ISBNs and compare prices. Public Speaking Bundle: An Effective System to Improve Presentation and Impromptu S... Blockchain: How Bitcoin and Blockchain Are Reshaping the World of Finance. Document Management Systems/Collaboration Environments (such as Documentum, SharePoint, etc.). A shared mailbox has mail address, storage quota, and can only be accessed by members of an authorized group. If DLT tape IV cartridges are used, the data must be blocked at no more than 32,760 bytes per block and must conform to the standards cited in the table listed in 36 CFR 1235.46, What electronic media may be used for transferring records to the National Archives of the United States. Conducting a records inventory is the first step towards starting an electronic records management program. It is the employee’s obligation to ensure messages that are sent or received and determined to be substantive in nature are appropriately preserved (see 2.b. Employees are responsible for the backup of information saved to individual laptop/desktop hard drives to ensure data is not lost. All government-owned information is subject to discovery and FOIA. This comprehensive guide offers users both a strategic overview of current ERM issues and a practical road map for implementing specific ERM solutions. Email backup systems and media do not provide the appropriate recordkeeping functionalities and must not be used as the agency electronic recordkeeping system. Guidelines for Managing All Electronic Records A digital record is defined as electronic information in any form created or received and maintained by a District office, school, department or facility in transaction of District business and kept as evidence of such activity. Reviewed in the United States on August 4, 2015. Electronic file naming should support both retrieval and record life cycle management for electronic files that are retained on a shared drive. Removable media storage labels should include the Business Unit/employee name, the applicable Records Control Schedules on the media (particularly if used to store records, see Note below), the date range of the files, and the version of software application(s) used. DVDs may be used to transfer certain types of permanent files. .06 Title 18 U.S.C. This is the person responsible for records management within the organization, but that person often has a team of people working together to create and maintain systems. Removable Media. Overseeing the preservation of unstructured data record content for as long as needed to conduct agency business and meet NARA-approved dispositions according 36 CFR 1236.20(b)(6), Preserve records. j. FIPS PUB 82 Guideline for Inspection and Quality Control for Alphanumeric Computer-Output Microform. Collaboration may happen in multiple contexts, such as person to person, office to office, agency to agency, or public to agency (i.e., via interactive websites). A proper document management plan should include all aspects of handling documents, including storage, retrieval, backups, and security. Basic definitions pertaining to electronic records management are: Born Digital - records which have been generated entirely electronically, e.g. To meet these needs, organizations can enforce consistent, organization-wide records policies with an electronic records management system: Auto-file newly created records according to industry regulations and corporate policies. Exception: 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 databases on either personal computers or mainframe computers; and word processing documents not transmitted on an email system. Included are system specifications, file specifications, codebooks, record layouts, user guides, and output specifications. .03 The decision about whether an electronic document is a record needs to be made earlier than for paper because of the ease of erasing or changing the record. Instant Messaging ("IM" or "IMing" ) is the exchange of messages in real-time through a software application. He is a frequent keynote speaker and has developed an outstanding international reputation in the information governance (IG) and e-records management industry segments. Messages that are not substantive in nature do not require saving. Such repositories may or may not be equipped with out-of-the-box records management functionality. Employees should not use electronic messaging systems to engage in discussions regarding policy matters, business decisions, or documentation of other mission-critical functions. The scope of the documentation consists of technical specifications, information about file content and structure, and context. IRS must ensure the proper management of record material produced using collaboration tools (e.g. If information is to be migrated to another system, you must: Discuss the importance of conducting a records survey in Electronic Records Management System. Privacy, Governmental Liaison and Disclosure (PGLD). See IRM 1.15.6.1.4 for a definition of records, non-records, and personal materials. Page Last Reviewed or Updated: 18-Mar-2021, Request for Taxpayer Identification Number (TIN) and Certification, Employers engaged in a trade or business who pay compensation, Electronic Federal Tax Payment System (EFTPS), Basic Electronic Records Management Definitions, Creation, Use, and Maintenance of Structured Electronic Data, Creation, Use, and Maintenance of Unstructured Electronic Data, Email Sent or Received Using Organizational Mailboxes, Federal Advisory Committee Act (FACA) Email Records, Email Sent or Received Using Government-issued Communications Tools, Email Created Using Personal or Non-IRS Communications Tools (Bring Your Own Device (BYOD) Program), Email Created Using Personal or Non-IRS Communications Tools (not part of the BYOD Program), Transfer Documentation for Permanent Records, Compact Disk, Read Only Memory (CD-ROM) and Digital Video Disk (DVD), Electronic Storage Media Maintenance Requirements for Permanent Records, Use of Agency-approved Electronic Messaging Systems, Common Questions about Electronic Messaging, https://www.govinfo.gov/content/pkg/CFR-2011-title36-vol3/pdf/CFR-2011-title36-vol3-chapXII-subchapB.pdf, https://www.archives.gov/files/records-mgmt/policy/m-19-21-transition-to-federal-records.pdf, IRS Employees Prohibited from Using Personal Email Accounts for Official Business, https://www.govinfo.gov/content/pkg/USCODE-2012-title5/pdf/USCODE-2012-title5-app-federalad.pdf, https://records-express.blogs.archives.gov/2016/08/02/update-to-omb-circular-a-130/, https://www.archives.gov/about/laws/disposal-of-records.html, NARA Universal Electronic Records Management (ERM) requirements, https://www.archives.gov/records-mgmt/policy/records-mgmt-language, https://www.archives.gov/records-mgmt/policy/transfer-guidance-tables.html, http://www.archives.gov/records-mgmt/policy/transfer-guidance.html, Treasury Inspector General for Tax Administration, General Records Schedules, Document 12829, National Archives and Records Administration, Records Control Schedules, Document 12990, Federal Information Security Management Act, Federal Risk and Authorization Management Program, Standards for using email in the most effective and productive manner, Standardizes the approach for managing, governing, and supporting projects following the enterprise life cycle throughout the IRS, The foundation to implement and manage security for information systems security within the IRS, including cybersecurity, Government Furnished and Personally Owned Mobile Device Security Policy, The minimum security controls required to safeguard government furnished and non-government furnished/personally owned mobile devices, IRS Electronic Signature (e-Signature) Program, IRS policy on implementation and usage of e-Signatures, The disclosure program and the legal authority for the program, General information regarding suits that may be filed by or against the United States. See NARA’s basic recommendations for RIM contract language, https://www.archives.gov/records-mgmt/policy/records-mgmt-language. See also IRM 10.5.1, Privacy and Information Protection, Privacy Policy, Email. Electronic records derived from paper records must be separately scheduled. How the index operates should be an easily accessible part of the system documentation. 3501) calls for the coordination and integration of automatic data processing, telecommunications, and records management policies and procedures. It goes further to include international standards and metadata considerations and then on to proven project planning, system procurement, and implementation methodologies. c. Determine in what form the official record will be maintained for its life-cycle; i.e., paper, microform, tape, disk, or diskette; As such, messages like these do not contain information that needs to be preserved beyond the instant messaging session. Electronic mail, scanned images of textual records, portable document format (PDF) records, digital photographic records, web content records, and digital spatial data files must be transferred to NARA in accordance with requirements available at http://www.archives.gov/records-mgmt/policy/transfer-guidance.html. Also consider what indexes will be required by persons to whom the records may be transferred. Disposal of temporary records no longer needed to conduct agency business, usually by destruction or occasionally by donation. Ensure compliance with the provisions of this DAO and all other records management policies; k. Electronic records, EIS, and IT services must be interoperable at the DoD Component and This IRM provides guidance that will help ensure that IRS records are appropriately managed, retained, and archived, and support the M-19-21 mandates.