Electronic Records

Management (ERM)

Scheduling Information
Systems With the National
Archives

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 ERM Authorities
 NARA, 36 CFR 1234, Electronic Records Management

 NARA, 36 CFR 1228.270, Disposition of Federal Records

 GSA, Title 41 CFR, Part 102-193: Creation, Maintenance, and Use of
Records
 OMB Circular A-130, Management of Federal Information Resources,

 E-Government Act of 2002 (as amended)

 The Paperwork Reduction Act (1995)

 Government Paperwork Elimination Act

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 Overview
NARA requires that all Federal Agency’s throughout the
Federal Government Schedule their various Information
Systems. It is estimated that your offices may need a period
of approximately six months to complete the suggested
scheduling steps involved in scheduling systems and an
additional six months for NARA to approve the schedules.
As you can see, the earlier one gets started in the process
the better.

This guidance is meant to provide you with some

suggested procedures, form(s) (primarily NARA Form SF
115), and assistance for this important NARA requirement.

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 Basic Steps

(1) Conduct a system’s inventory of all

Information Systems throughout your
Agency. You may need input from system
implementation personnel your CIO Office
for their assistance. In some cases the CIO
Office may have a knowledge of the various
Systems and point of contacts (POC).

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 Purpose of the Inventory

The purpose of this information systems inventory is to

establish current status of electronic records (and
information systems) maintained in your computing
environment. It may very well be necessary to update and
implement a revised Electronic Records
Disposition Schedule (ERDS) which allows the Agency to
legally dispose of temporary records and effect timely
transfer of permanent records to NARA.

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 Basic Steps (Cont.)

(2) Meet with your office management/staff to discuss

and draft respective records disposition instructions.
If records that will be maintained in your information
systems have been previously scheduled, refer to
your Disposition Schedules and start with retention
periods stated there. Once your office
management/staff reaches consensus on the
disposition instructions, send recommendations
package to your Agency Records Division for review.
Once this is cleared by the Records Division the
recommendations should be sent General Counsel
(GC) Office or the Legal Office to ensure
recommended disposition takes into account
possible legal holds levied on your records of which
neither, your office or Records Office may not be
aware of. 6
 Basic Steps (Cont.)

(3) Once GC clears dispositions instructions,

revise if necessary and resubmit package to
the Records Office.

(4) The Records Staff should finalize the package

by completing an SF 115, Request for Records
Disposition Authority, and submit package to
NARA for approval

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What are the benefits of using records
schedules?
Using records schedules:

 Ensures that the important records are organized and maintained in such a way as
to be easily retrieved and identifiable as evidence of the program's activities,
especially in the event of an audit, a Freedom of Information Act (FOIA) request, or
a discovery in a lawsuit.

 Conserves office space and equipment by using filing cabinets to store only active
paper records and conserves server space by using tapes, disks, and other off-
line storage media for electronic records.

 Saves money by moving inactive files to off-site storage areas until they are ready
for final disposition.

 Helps preserve those records that are valuable for historical or other research
purposes.

 Controls the growth of records in offices through the systematic disposition of

unneeded records.

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What is an agency schedule?
 Agencies are required by law to develop records schedules for all of their records not
covered by the GRS (44 U.S.C. 3303). After reviewing their records, agencies submit
the schedules for NARA approval on an SF 115, Request for Records Disposition
Authority.

 The SF 115 contains descriptions of record series or systems and disposition

instructions for each. These instructions specify when the series is to be cut off, when
eligible records are to be moved to off-site storage, when eligible temporary records
must be destroyed or deleted, and when permanent records are to be transferred to
the National Archives.

 Schedules may not be implemented until NARA has approved them. Some schedules,
especially those containing records relating to financial management, claims, and other
related matters, must also be approved by the General Accounting Office (GAO) (
44 U.S.C. 3309) before NARA will approve them.

 Once approved by NARA, retention periods in the schedules are mandatory and
authorize the systematic removal of unneeded records from Federal offices.

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What is an Agency schedule
(Cont)

 Once the inventory is completed and submitted to the Electronic

Records (E-Records) manager, the process involves coordination
between the E-Records manager, system owners, and the National
Archives and Records Administration (NARA) to:

 Draft disposition instructions, and;

 Schedule site visits by the archivist to check systems, records, and resolve
any issues

 Afterwards, the scheduling of the disposition instructions goes through

an approval process by NARA (and GAO if financial system/records)
before they can be incorporated into the ERDS and made mandatory.

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 Schedules
 Does Your Agency have Disposition Schedu

 General Records Schedules (GRS)

 GRS 20, Electronic Records

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The End

Questions, Comments,
Assistance????
Contact Ken Matthews
E-Records Project Manager
chapkenmat@gmail.com
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