Office of the Chief Information Officer

United States Department of Agriculture

Electronic Records

Maintaining access to and integrity of Federal Information,legal considerations with electronic business processes, including electronic signature or Public Key Infrastructure (PKI) records; transferring electronic records to the National Archives and Records Administration; and planning, setting up, and operating electronic recordkeeping systems.


Maintaining Access to and Integrity of Federal Information

44 USC Chapter 41, Access to Federal Electronic Information
http://www4.law.cornell.edu/uscode/44/ch41.html

31 USC §1115, Government Performance and Results Act (GPRA)
http://frwebgate.access.gpo.gov/cgi-bin/getdoc.cgi?dbname=browse_usc&docid=Cite:+31USC1115

Pub. L. 105-277, Government Paperwork Elimination Act (GPEA)
http://www.archives.gov/records_management/policy_and_guidance/
electronic_signature_technology.html

Pub. L. No. 104-106, ' 5125, Information Technology (IT) Management Reform Act of 199 
http://www.cio.gov/Documents/it_management_reform_act_Feb_1996.html

OMB Circular A-130, Transmittal Memorandum #4, Management of Federal Information Resources, November 28, 2000
http://www.whitehouse.gov/omb/ circulars/a130/a130trans4.html

OMB Guidelines for the Implementation of Pub. L. No. 106-554, Section 515, Information Quality Law;
http://www.whitehouse.gov/omb/inforeg/infopoltech.html#dq

36 CFR 1234.10(d) requires the head of each Federal agency to establish: "... procedures for addressing records management requirements, including recordkeeping requirements and disposition, before approving new electronic information system or enhancements to existing systems."
http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?TITLE=36&PART=1234&SECTION=10&YEAR=1999&TYPE=TEXT

36 CFR 1234.20(a), concerning the creation and use of data files: "For electronic information systems that produce, use, or store data files, disposition instructions for the data shall be incorporated into the system's design."
http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?TITLE=36&PART=1234& SECTION=20&YEAR=1999&TYPE=TEXT

Departmental Policy, DR 3080-1 Electronic Records Management Program. Basic requirements related to the creation, maintenance, documentation, and disposition of electronic records, including all data files, data bases, and text information in an office automation system.


Legal Considerations with Electronic Business Processes

NARA, Guidance for Coordinating the Evaluation of Capital Planning and Investment Control (CPIC) Proposals for ERM Applications, June 23, 2003
http://www.archives.gov/records_management/policy_and_guidance/cpic_guidance.html

Department of Justice, Legal Considerations in Designing and Implementing Electronic Processes: A Guide for Federal Agencies, November 2000
http://www.usdoj.gov/criminal/cybercrime/eprocess.htm

Records Management Guidance for Agencies Implementing Electronic Signature Technologies
http://www.archives.gov/records_management/policy_
and_guidance/electronic_signature_technology.html


Transferring Electronic Records to the National Archives and Records Adminstration

36 CFR Part 1228, Expanding Transfer Options for Electronic Records
http://www.archives.gov/about_us/regulations/part_1228_l.html

Expanding Acceptable Transfer Requirements: Transfer Instructions for Permanent Electronic Records, March 31, 2003
http://www.archives.gov/records_management/initiatives /transfer_regulation.html

Expanding Acceptable Transfer Requirements: Transfer Instructions for Existing Permanent Electronic Records Scanned Images of Textual Records, December 23, 2002
http://www.archives.gov/records_management/initiatives/scanned_textual.html

Expanding Acceptable Transfer Requirements: Transfer Instructions for Existing Email Messages with Attachments, September 30, 2002
http://www.archives.gov/records_management/initiatives/email_attachments.html

Expanding Acceptable Transfer Requirements: Transfer Instructions for Permanent Electronic Records for Portable Document Format (PFD), April 1, 2004
http://www.archives.gov/records_management/initiatives/pdf_records.html

Expanding Acceptable Transfer Requirements: Transfer Instructions for Permanent Electronic Records for Digital Photographic Records, November 23, 2003
http://www.archives.gov/records_management/initiatives/digital_photo_records.html

Expanding Acceptable Transfer Requirements: Transfer Instructions for Permanent Electronic Records for Digital Geospatial Data Records, April 12, 2004
http://www.archives.gov/records_management/initiatives/digital_geospatial_data_records.html

Expanding Acceptable Transfer Requirements: Transfer Instructions for Permanent Electronic Records for Web Content Records, September 17, 2004
http://www.archives.gov/records_management/initiatives/web_content_records.html

Electronic Records Archives Program http://www.archives.gov/electronic_records_archives/index.html


Electronic Recordkeeping Systems

Recommended Practice: Evaluating Commercial Off-the-Shelf (COTS) Electronic Records Management (ERM) Applications as part of the E-Gov Electronic Records Management (ERM) Initiative.
http://www.archives.gov/records-mgmt/policy/cots-eval-guidance.html

Guidance for Building an Effective Enterprise-wide Electronic Records Management (ERM) Governance Structure. http://www.archives.gov/records-mgmt/policy/governance-guidance.html

Methodology for determining agency-unique requirements not contained in DOD 5015.2 STD, August 23, 2004
http://www.archives.gov/records_management/policy_and_guidance/ requirements_guidance.html

Endorsement of DoD Electronic Records Management Application (RMA) Design Criteria Standard, version 2, January 15, 2003
http://www.archives.gov/records_management/policy_and_guidance/bulletin_2003_03.html

Department of Defense, DoD 5015.2 Standard for Electronic Records Management Application (RMA) Certification Testing
http://jitc.fhu.disa.mil/recmgt/

What is Electronic Recordkeeping [ERK]?, March 27, 2000
http://www.archives.gov/records_management/policy_and_guidance/
what_is_electronic_recordkeeping.html

Typical Records Management [RM] Functions and Typical RM Program Activities, October 11, 2000
http://www.archives.gov/records_management/policy_and_guidance/
functions_and_activities.html

Examples of System Functions for Electronic Recordkeeping (ERK) and Electronic Records Management (ERM), October 11, 2000
http://www.archives.gov/records_management/policy_and_guidance/
examples_system_functions.html

Analysis of Costs and Benefits for ERM/ERK Projects, October 11, 2000
http://www.archives.gov/records_management/policy_and_guidance/
costs_and_benefits_erm_erk.html

Preliminary Planning for Electronic Recordkeeping: Checklist for IT Staff, November 30, 1999
http://www.archives.gov/records_management/policy_and_guidance/
electronic_recordkeeping_checklist.html

Preliminary Planning for Electronic Recordkeeping: Checklist for RM Staff, November 30, 1999
http://www.archives.gov/records_management/policy_and_guidance/
preliminary_planning_checklist.html

We welcome your comments and suggestions about these pages. For information related to the USDA Records Management Program, please contact Colleen Snyder.