Additional Baseline Requirements

DOE-STD-4001-2000

C2.2.12.3. Recovery/Rollback Capability. Following any system failure, the backup

and recovery procedures provided by the system shall provide the capability to complete updates

(records, record profiles, and any other information required to access the records) to RMAs,

ensure that these updates are reflected in RMA files, and ensure that any partial updates to RMA

files are backed out. Also, any user whose updates are incompletely recovered, shall, upon next

use of the application, be notified that a recovery has been executed. RMAs shall also provide the

option to continue processing using all in-progress data not reflected in RMA files (36 CFR

1234.28, reference 2.m)

C2.2.12.4. Rebuild Capability. The system shall provide the capability to rebuild

forward from any backup copy, using the backup copy and all subsequent audit trails. This

capability is typically used to recover from storage media contamination or failures.

C2.2.12.5. Storage Availability and Monitoring. The system shall provide for the

monitoring of available storage space. The storage statistics shall provide a detailed accounting

of the amount of storage consumed by RMA processes, data, and records. The system shall notify

only authorized individuals of the need for corrective action in the event of critically low storage

space.

C2.2.13. Additional Baseline Requirements

The following are records management requirements that shall be implemented by the

organization, but not necessarily by the RMAs:

Some electronic systems provide

C2.2.13.1. Electronic Calendars and Task Lists.

calendars and task lists for users. These may meet NARA's definition of a record (44 U.S.C. 3301,

reference 1.f). Calendars and task lists that meet the definition of records are to be managed as

any other record. If the RMA being acquired does not have the capability to extract them from the

software application that generates them, the user organization shall implement processes or

procedures to enable those records to be managed by the RMA.

C2.2.13.2. External E-mail. Some organizations use separate E-mail systems for

Internet E-mail or other wide area network E-mail. These records shall be handled as any other

E-mail records. If the RMA being acquired does not provide the capabilities specified in paragraph

C2.2.3. above, the user organization shall implement processes or procedures to enable these

records to be managed by the RMA. (36 CFR 1234.24, reference 2.l)

C2.2.13.3. Ability to Read and Process Records. Since RMAs are prohibited

(paragraph C2.2.4.2., above) from altering the format of stored records, the organization shall

ensure that it has the ability to view, copy, print, and if appropriate, process any record stored in

RMAs for as long as that record must be retained. The organization may meet this requirement

by maintaining the hardware and/or software used to create or capture the record; by maintaining

hardware and/or software capable of viewing the record in its native format; by ensuring downward

compatibility when hardware and/or software is updated, or by migrating the record to a new format

before the old format becomes obsolete. Any migration shall be controlled to ensure continued

reliability of the record. (36 CFR 1234.30, reference 2.n)