Agenda General Records Management Overview General Records Management Overview Records Inventory Records Inventory Instructions Instructions Administrative File Plan Approval Process Administrative File Plan Approval Process Shredding Documents containing “Privacy Act” information. Shredding Documents containing “Privacy Act” information. Misc. Lotus Topics Misc. Lotus Topics U. S. Department of the Interior U. S. Geological Survey

What is a Record “…all books, papers, maps, photographs, machine- related materials, or other documentary materials, regardless of their physical form or characteristics, made or received by an agency of the U.S. Government 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 Government because of the informational value of the data in them.” (44 U.S.C Definition of Records)

What is Records Management Records Management – is the planning, controlling, directing, organizing, training, promoting, and other managerial activities related to the creation, maintenance and use, and disposition of records. Records Management – is the planning, controlling, directing, organizing, training, promoting, and other managerial activities related to the creation, maintenance and use, and disposition of records. The primary purpose of records management is to allow people to find and retrieve information quickly. To do so, records must be preserved for as long as they are needed. The primary purpose of records management is to allow people to find and retrieve information quickly. To do so, records must be preserved for as long as they are needed.

Why do we Manage Records Makes sense! Makes sense! To support our agency’s work To support our agency’s work Fulfill our mission. Fulfill our mission. They contain information vital to our mission They contain information vital to our mission Valuable resource. Valuable resource. A systematic approach is essential to the management of records. A systematic approach is essential to the management of records. It’s the Law. 36 CFR and 44 U.S.C both mandate records management by Federal agencies. It’s the Law. 36 CFR and 44 U.S.C both mandate records management by Federal agencies.

Lifecycle of a Record The records lifecycle is the period of time that records are in existence. The records lifecycle is the period of time that records are in existence. Three phases of a records lifecycle. Three phases of a records lifecycle. Creation (or receipt) Creation (or receipt) Maintenance and use Maintenance and use Disposition Disposition

Categories of Federal Records Program Records Program Records Directly support the mission of the agency. Directly support the mission of the agency. Examples: Examples: LRS, GAM or NGPO LRS, GAM or NGPO Science Records Science Records Budget Records Budget Records Administrative Records Administrative Records Support the agency’s mission activities, but do not directly document the performance of mission functions. Common to most organizations. Examples Purchase orders Personnel Folders Travel Vouchers

Categories of Federal Records (Cont.) Permanent records (3-5%) Permanent records (3-5%) Records determined as having sufficient historical or other value to warrant continued preservation. Records determined as having sufficient historical or other value to warrant continued preservation. Examples Examples Organizational charts Organizational charts Formal minutes of meetings Formal minutes of meetings Formal directives Formal directives Research studies Research studies Landsat MSS records Landsat MSS records Temporary Temporary Records approved for destruction, either immediately or after a specified retention period. This can be from months to more than 100 years.

Is Everything a Record? Other types of materials created and maintained by Federal agencies are: Other types of materials created and maintained by Federal agencies are: Non-record materials Non-record materials Personal papers Personal papers

Nonrecord Materials U.S. Government-owned documentary materials excluded from the legal definition of a record. U.S. Government-owned documentary materials excluded from the legal definition of a record. Examples Examples Information copies preserved for convenience Information copies preserved for convenience Routing slips and transmittal sheets Routing slips and transmittal sheets Duplicate copies of documents Duplicate copies of documents Catalogs or trade journals Catalogs or trade journals Reference materials Reference materials Who was the creator of the document? Who was the creator of the document?

Personal Papers Any documentary materials of a private or non- public nature that do not relate to, or have an effect on, the conduct of agency business. Any documentary materials of a private or non- public nature that do not relate to, or have an effect on, the conduct of agency business. Examples Examples Personal correspondence Personal correspondence Insurance or medical papers Insurance or medical papers Diaries or journals Diaries or journals Personal copies of personnel-related documents Personal copies of personnel-related documents Grocery List Grocery List Activity Schedules (Kids) Activity Schedules (Kids)

Review Admin Records Admin Records Program Records Program Records Permanent Permanent Temporary Temporary Non-Record Non-Record Personal Papers Personal Papers

Instruction No. I046 “Annual File Plan Approval Process” Records Inventory – The First Step 1. Separate records, non-record materials and personal papers. (“What is a record Handout”) 1. Separate records, non-record materials and personal papers. (“What is a record Handout”) 2. Assigning a Record Series (GRDS) 2. Assigning a Record Series (GRDS) Record Series – A group of related files kept together as a unit. Record Series – A group of related files kept together as a unit. Travel documents Travel documents Procurement requisitions Procurement requisitions Property Inventory Property Inventory

General Records Disposition Schedule l l l Chapters Chapters Planning and Administrative Management Planning and Administrative Management Information Resources Management Information Resources Management Administrative Support Records Administrative Support Records Personnel Management Personnel Management Information Services Records Information Services Records Legal and Congressional Legal and Congressional Budget Preparation Budget Preparation Acquisition, Supply and Grants Acquisition, Supply and Grants Emergency Planning, Safety, Security, etc Emergency Planning, Safety, Security, etc Property Management Property Management Audiovisual Records Audiovisual Records Geospatial Data, Cartographic, RS, individual Discipline Geospatial Data, Cartographic, RS, individual Discipline specific Scientific Records Schedules, etc. specific Scientific Records Schedules, etc Publishing Records Publishing Records

File Plan A listing of each records series in an office. Files Plan should include (minimum) Name of the office Name of the office Name of the individual maintaining the records Name of the individual maintaining the records Location of the Records Location of the Records Series numeric assignment and title Series numeric assignment and title Description of content Description of content Page number series found in GRDS Page number series found in GRDS Disposition Instructions Disposition Instructions

EROS File Plan Template EROS Administrative File Plan Template Sample File Plan

Creating a File Plan – Why should I? From the From the USGS Survey Manual chapter Records Management Program   For assistance/tips in developing your file plan;

Sample Labels

Instruction No. I046 “Annual File Plan Approval Process ” Responsibilities Administrative Support Staff Administrative Support Staff Administrative File Plan Template. (Order of files) Administrative File Plan Template. (Order of files) Submit to RLO/RLC annually for review/approval. Submit to RLO/RLC annually for review/approval. RLO – John FaundeenRLC – Julie Payne RLO – John FaundeenRLC – Julie Payne RLO/RLC RLO/RLC Review and approve “Administrative File Plans”. Review and approve “Administrative File Plans”. Assist in Inventories as needed. Assist in Inventories as needed. Perform Semi-Annual Reviews. Perform Semi-Annual Reviews.

This Year’s Timeline Complete Inventory Complete Inventory September 1, 2007 September 1, 2007 Submit File Plan Template for Approval Submit File Plan Template for Approval November 1, 2007 November 1, 2007 Ready to create FY08 File folder Labels Ready to create FY08 File folder Labels January 20 th of each subsequent year. January 20 th of each subsequent year.

Instruction No. I047 “Shredding of Documents Containing Privacy Act Information” Administrative Support Staff Administrative Support Staff Identify Documents Identify Documents Initiate Process Initiate Process Transfer to RLO/RLC for review Transfer to RLO/RLC for review RLO/RLC RLO/RLC Review and coordinate shredding Review and coordinate shredding

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