M-19-21 Transition to Electronic Records -

Update

Presented by:
Ms. Andrica Dickerson
Army Records Officer
Chief, Records Management Division

20 September 2022
POC: Your Name @ 703-602-9300
9/26/2022 1
 Office of the Administrative Assistant to the Secretary of the Army www.army.mil/oaa

M-19-21 Transition to Electronic Records

 Options for Paper Records
 Ship to Federal Records Center
 ARIMS or Information Systems of Record
 Digitize

 Paper Records
 Permanent Records
 Records 6+ years
 Records 0-6 years

 Exception to Policy/Extensions
 Taskers
 For Your Information (FYI) Taskers

9/26/2022 2
 Office of the Administrative Assistant to the Secretary of the Army www.army.mil/oaa

Are there any questions?

Please contact us at:

usarmy.belvoir.hqda-rmda.mbx.rmda-certification@army.mil

9/26/2022 3
 Army Records Management
Electronic Recordkeeping Practices

Presented by:
Mr. Sammy Hill
Chief, Training and Assessment Branch

20 September 2022
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

Official Records Defined

 All recorded information, regardless of form or characteristics, made or
received by a Federal agency 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 United States Government or because of the
informational value of data in them.

 RECORDED INFORMATION DEFINED — For purposes of paragraph

(1), the term “recorded” information includes all traditional forms of records,
regardless of physical form or characteristics, including information
created, manipulated, communicated, or stored in digital or electronic form.

9/26/2022 5
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

Electronic Records Terms

 Electronic Records - Any information that is recorded in a form that only a
computer can process and that satisfies the definition of a Federal record
per the Federal Records Act. Federal electronic records are not necessarily
kept in a "recordkeeping system" but may reside in a generic electronic
information system or are produced by an application such as word
processing or electronic mail.

 Electronic Recordkeeping (ERK) is the development of automated

processes an agency uses to manage its electronic records. These
automated processes support not only the preservation of an electronic
record's content, but also its context and structure over time.

9/26/2022 6
 Office of the Administrative Assistant to the Secretary of the Army www.army.mil/oaa

Records Lifecycle
 The records life cycle consists of three stages:
 creation or receipt of the record
 maintenance and use of the record
 disposition of the record (either destruction or transfer to the permanent
holdings of the National Archives)

 Federal records span the period of time that they are in agency custody.

 The records life cycle concept ensures that agencies consider records
management requirements throughout the life of a record, and not just at
the point of disposition when the record is no longer needed by the
agency.

9/26/2022 7
 Office of the Administrative Assistant to the Secretary of the Army www.army.mil/oaa

Electronic Records Lifecycle

Note: Inactive Records: No longer used in the day-to-day course of business, but may be preserved and
occasionally used for legal, historical, or operational purposes.

9/26/2022 8
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

RM in Microsoft 365
New to 365, Ensure the following are identified for the effective management
of records in your environment:

 SharePoint POC
 Local Records Managers
 Last Records Inventory
 Current File Plan/Office Records Listing
 Number of Sites w/ URLS
 Communication Plan
 Site Operations
 Changing site content
 Contacts
 Permission

9/26/2022 9
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

Are there any questions?

Please contact us at:

usarmy.belvoir.hqda-rmda.mbx.rmda-certification@army.mil
Steven.A.Raho.civ@mail.mil

9/26/2022 10
 Army FOIA Program

Presented By
Ms. Alecia Bolling, Army FOIA Office
MAJ Takashi Kagawa, Office of the General Counsel

20 September 2022
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

FOIA Appeals
 A requester can appeal to OGC an IDA’s “adverse determination,” including:
 No records
 Fee determinations
 Redactions or withholdings

 Tips for Processing Appeals for OGC Review

 Follow AR 25-55, chapter 5
 Include redacted and un-redacted copies of responsive documents
 Show your work!
 Call OGC if you have any questions
 Common Mistakes
 Incomplete referral packets
 Standard form no-records declarations
 Not addressing Privacy Act applications/exemptions

9/20/2022 12
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

“Foreseeable Harm” Requirement

 Codified by FOIA Improvement Act (2016)

 5 U.S.C. §552(a)(8)(A)(i) states:

“An agency shall withhold information . . . only if (I) the agency reasonably
foresees that disclosure would harm an interest protected by an exemption
... ; or (II) disclosure is prohibited by laws . . . .”

 Implication: Even if information falls within the scope of a discretionary

exemption, it cannot be withheld unless the agency shows that disclosure
will harm the protected interest.

9/20/2022 13
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

“Foreseeable Harm” Requirement

 Case Laws on Codified “Foreseeable Harm”

 Rosenberg v. United States DOD, 342 F.Supp. 3d 62 (D.D.C.,

September 27, 2018)
 Reporters Comm. for Freedom of the Press v. FBI, 3 F.4th 350 (D.C. Cir,
July 2, 2021)
 Amadis v. United States DOS, 971 F.3d 364 (D.C. Cir., August 21, 2020)

9/20/2022 14
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

“Foreseeable Harm” Requirement

 U.S. Attorney General’s FOIA Guidance (March 15, 2022)
 The Presumption of Openness
 “In case of doubt [of foreseeable harm], openness should prevail.”
 Take reasonable steps necessary to segregate and release nonexempt
information
 Confirm “foreseeable harm” analysis in response

 DOJ’s decision to defend nondisclosure depends on agency’s proper

application of this guidance.

9/20/2022 15
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

Are there any questions?

Please contact us at: usarmy.belvoir.hqda-oaa-ahs.mbx.rmda-foia@army.mil

9/20/2022 16
Privacy and Civil Liberties Branch
Updates

Presented by:
Ms. Susan Mitchell
Mr. Ngwarima Mutunhu
Privacy and Civil Liberties Branch

22 September 2022
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

Privacy and Civil Liberties Branch Updates

 DoD Instruction 5400.11 (DoD Privacy and Civil Liberties Programs) published
8 December 2020

 AR 25-22 (The Army Privacy and Civil Liberties Program) has been updated
and is currently pending authentication.

 Transition from Privacy Act Tracking System (PATS) to Defense Privacy

Information Management System (DPIMS)

 DoD Manual 5400.11, Volume 2, (DoD Privacy and Civil Liberties Programs:
Breach Preparedness and Response Plan)

9/26/2022 18
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

Are there any questions?

Please contact us at:

usarmy.belvoir.hqda-oaa-ahs.mbx.rmda-foia-privacy-alert@army.mil

9/20/2022 19
 Information Collections Branch

DoD Internal and Public Information

Collections

Presented by:
Mr. James Satterwhite
Information Collections/OURR Division

20 September 2022
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

Mission - Information Collections Branch

The Department of the Army, Records Management Directorate, Information

Collections and Office for Unit Records Response Division, Information
Collections Branch, oversees the management, control, approval processing, and
tracking of all Army related Internal, DoD Internal (Multi-Service) and Public
Information Collections that require a SCN, RCS or OMB control number. Our
goals are to assist the DoD, Office of Information in preventing DoD resources
from being expended on redundant or obsolete information collections and to
reduce the paperwork burden DoD imposes on the public.

Information Management Control Officer (IMCO): As the Department of the

Army IMCO’s we serve as the technical advisor’s to the Army program managers,
action officers and administrators on matters concerning all information collection
requests.

08/29/2022 21
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

What is an Information Collection?

Applies to both DoD Internal and Public Collections:

An Information Collection is the “collection of information” designed for a

specific purpose, regardless of form, instrument or format. The results of an
information collection are owned by the requester, information is solicited from
respondents, and has an associated frequency.
 Is more than minimal information:
 Name, address, phone number, and email

08/29/22 22
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

Public Interest Items – Current Administration’s Priorities

 Covid-19 Response
 Ukraine
 Sexual Harassment/Sexual Assault
 Climate Change
 Racial Equity
 Gender Relations
 Suicide/Suicide Prevention
 The respondent population is NOT a consideration for collections of public
interest; however, other factors will be considered such as authority, if the
results will be published, and if data will be used to make significant
programmatic decisions. We will forward the request to the WHS, DoD, Office of
Information Management (OIM) for their review and determination on any
required processing actions.

08/29/22 23
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

DoD Internal (Multi-Service) Information Collection

Information collected from two or more OSD or DoD Components (Active Duty
Military and Government/Federal Employees) that require review and approval by
the WHS, DoD Information Clearance Officer.

DoD licensing (Report Control Symbol (RCS)) eliminates duplication, ensures

compliance with more than 300 laws, regulations and issuances concerning:
Privacy and personally identifiable information, Records Management and
Disposition, Information Assurance, Data Security, Human Research Protections
(HRPP) and Survey Construction best practices

 Office of People's Analytics (OPA) mandatory review of Surveys

 GO Sponsorship required from outside DoD and for academic requests
 RCS approval: 5 years and 3 years in conjunction w/PRA
 17 various items not considered a DoD Internal Information Collection- DoDM
8910.01, Vol 1, Enclosure 3
 Program Authority: DoDI 8910.01, DoDM 8910.01, Vol 1, DoDI 1100.13 (Surveys),
and AR 25-98

08/29/22 24
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

What is the Paperwork Reduction Act (PRA)?

 Is a U.S. law that requires federal agencies to obtain approval prior to collecting
information from 10 or more members of the public within a 12-month period
 Members of the public include:
 Veterans, former/retired Federal employees, government contractors, family
members, state, tribal or local government, members of industry, partnerships,
associations and corporations, Not-for profit organizations, foreign nationals
just to name a few
 Information collections can come in various formats: Online systems, Surveys,
Forms, IT systems, Evaluations, Reports, Data Entry, Interview and Focus
Group Protocols, and websites
 Program Authority: Chapter 35 of Title 44 U.S.C. and 5 CFR 1320
 DoD Manual 8910.01, Volume 2, DoDI 1100.13 (Surveys)
 AR 25-98
 4 potential Exemptions & 13 other various Items not considered public collections for
purposes of the PRA, DoDM 8910.01, Vol 2, Enclosure 3

08/29/22 25
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

PRA relationship with Privacy and the SORN

 The Paperwork Reduction Act grants the Department the approval to COLLECT the
information. The Privacy Act SAFEGUARDS the information.

Privacy plays a major Step 1: Step 2: Step 3:

role in the PRA process.
SORN process begins Component Privacy IMCO reviews
Communication between
with Component Privacy Officer coordinates with Category of Individuals
the IMCO & Privacy
Office Review and the Component IMCO to Categories of Records
Officials is critical for
working with the determine if PRA Purpose of SORN
compliance with Public
Department program requirements are Possible Exemptions
Law.
POC. applicable. Duplication

 IMCO determines there are no PRA requirements, the SORN can be submitted by the APO
to Office of the Assistant to Secretary of Defense, for Privacy, Civil Liberties and
Transparency (OATSD-PCLT) for review and publication.

 IMCO determines that PRA requirements does exist, the IMCO will work with and assist the
program AO/POC in completing the PRA package for submission to DoD-OIM for review and
submission to OMB for approval. (6 to 9 month process)

 Once the PRA package has been submitted to OMB, the IMCO notifies the APO so the
SORN can be released to OATSD-PCLT for publication.

08/29/22 26
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

Other Information related to the PRA

 Exemption Review - Approval authority is the WHS, DoD Clearance Officer
 Emergency Requests -180 days
 Required HRPP/IRB review and approval for Research (Survey’s)
 OPA required review for all Public Surveys / GO Sponsorship for outside DoD
 Promotes transparency and accountability in the collection and use of information
by the Federal Government
 Approval of the PRA by OMB is for 36 months
 Penalties for non-compliance of the PRA:
 Violations may be reported to Congress
 Ordered to stop the collection of Information
 Potential Litigation and negative outcome to the Department
 Cease and desist and ordered to destroy all information collected

08/29/22 27
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

Conclusion

 A designated IMCO will assist and guide the AO/PM through the entire
collection process for approval.
 DoD Multi-Service (Internal) Collection
 Total processing timeline for DoD, OIM final approval ranges from 90 to 120
days due to preparation of documents, coordination requirements and also
includes IMCO and DoD package reviews
 Paperwork Reduction Act (PRA) - Public Information Collection
 Total processing timeline for OMB final approval ranges from 6 to 9 months
due to the preparations of documents, coordination requirements,
established mandated open comment periods and also includes IMCO and
DoD package reviews.
 If you have questions regarding any Information Collections, to include
sensitive subject matters please contact us at usarmy.belvoir.hqda-
rmd.mbx.information-collections-certificatio@army.mil for assistance.

08/29/22 28
SJWCU1

Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

Are there any questions?

Please contact us at:

usarmy.belvoir.hqda-rmd.mbx.information-collections-certificatio@army.mil

08/29/22 29
Slide 29

SJWCU1 Satterwhite, James W. CIV USA, 5/18/2020

 Office for Unit Records Response Branch

Current Mission
and Research Transition to Veterans Affairs (VA)

Presented by:
Duane Bizet
Information Collections/OURR Division

20 September 22
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

OURR Mission

 Supports the Veterans Administration (VA) by providing Army unit

records related to U.S. Army Veterans’ claims to the VA
 38 CFR 3.159
 VA has a duty to assist claimants in obtaining evidence necessary to
substantiate a claim
 VA to obtain relevant records “held or maintained” by a Governmental
entity
 Provide relevant records and research
 NARA terms are physical vs legal custody, and accessioned records

9/20/2022 31
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

OURR Mission Timeline

14 Jul 2015
TSG recommended AASA request transfer of EA
responsibility for the Persian Gulf War Exposure
Registry be transferred from TSG to DHA.
JSRRC concurred because no longer needed
Persian Gulf War data base for mission

30 Jan 2006
G.O. 1 CURR transferred
from TAG (HRC) to OAA and
AASA renamed Joint
Services Records Research
Center (JSRRC)
1 Oct 2020
JSRRC’s Mission is
Transferred to the VA.
OURR’s new mission
is to provide Army unit
records where the
Army holds and
24 Mar 2017 Maintains those
OAA MFR co-signed with DOD Records.
does not recognize EA
designation for Army to support
29 Dec 2003 Veterans and the Department
ASA (M&RA) agreed to seek viable long of Veterans Affairs in claims
term resource solution during POM research since 2005
process. If necessary, would request
funding support from Navy and AF for
civilian pay for workload support

9/20/2022 32
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

OURR Functions

 Receive unit record requests from the VA

 Manage/track record requests to and from the VA

 These processes are being developed and refined

 Key Resources Include: ARIMS, Army Safety Center, the Center for
Military History - AHRO-C, and ARCENT record holdings

 OURR Group Mailbox is used to receive requests and for OURR

responses (copies of records) to VA

9/20/2022 33
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

Mission Transition to VA - Status

 VA has established a Military Records Research Center (MRRC) to

assume the research mission from Army

 All claims sent to OURR, prior to the mission transfer, have been
returned to VA – 9,000+

 OURR has submitted all completed claims to the MRRC

 The transition is complete

9/20/2022 34
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

OURR Organizational Structure

Mr. Mark Averill

AASA Administrative Assistant to the Secretary of the Army

Ms. Julie Blanks

Deputy Administrative Assistant, to the Secretary of the Army
DAASA

Mr. Perry Clark

Acting Executive Director, Army Headquarters Services
AHS

Ms. Joyce Luton

Director, ARMD

Mr. Miguel Martinez

Chief, Information Collections

Mr. Duane Bizet

Chief, OURR

9/20/2022 35
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

Are there any questions?

Please contact us at: usarmy.belvoir.hqda.mbx.rmda-ourr-va@army.mil

9/20/2022 36
 Office of the Administrative Assistant to the Secretary of the Army www.oaa.army.mil

End of Day 1
Closing Remarks

Please contact us at:

usarmy.belvoir.hqda-rmda.mbx.records-management-symposium@army.mil

9/20/2022 37