Agenda 6-7-07Agenda 6-7-07 General Records Management General Records Management
OverviewOverview
Records InventoryRecords Inventory
InstructionsInstructions Administrative File Plan Approval ProcessAdministrative File Plan Approval Process Shredding Documents containing “Privacy Shredding Documents containing “Privacy
Act” information.Act” information. Misc. Lotus TopicsMisc. Lotus Topics
U. S. Department of the InteriorU. S. Geological Survey
What is a RecordWhat is a Record
“…“…allall books, papers, maps, photographs, books, papers, maps, photographs, machine-related materials, or other machine-related materials, or other
documentary materials, regardless of their documentary materials, regardless of their physical form or characteristics, physical form or characteristics, made or made or
received by an agency of the U.S. received by an agency of the U.S. GovernmentGovernment under Federal law or in under Federal law or in
connection with the transaction of public connection with the transaction of public business and business and preserved or appropriate for preserved or appropriate for
preservationpreservation by that agency or its legitimate by that agency or its legitimate successor as evidence of the organization, successor as evidence of the organization, functions, policies, decisions, procedures, functions, policies, decisions, procedures,
operations, or other activities of the operations, or other activities of the Government because of the informational Government because of the informational
value of the data in them.” (44 U.S.C. 3301. value of the data in them.” (44 U.S.C. 3301. Definition of Records) Definition of Records)
What is Records What is Records ManagementManagement
Records Management – is the planning, Records Management – is the planning, controlling, directing, organizing, training, controlling, directing, organizing, training, promoting, and other managerial activities promoting, and other managerial activities related to the creation, maintenance and use, related to the creation, maintenance and use, and disposition of records.and disposition of records.
The primary purpose of records management The primary purpose of records management is to allow people to is to allow people to find and retrieve find and retrieve information quicklyinformation quickly.. To do so, records must To do so, records must be preserved for as long as they are needed.be preserved for as long as they are needed.
Why do we Manage RecordsWhy 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 missionThey contain information vital to our mission
Valuable resource.Valuable resource. A A systematic approachsystematic approach is essential to the is essential to the
management of records. management of records. It’s the Law.It’s the Law. 36 CFR and 44 U.S.C both 36 CFR and 44 U.S.C both
mandate records management by Federal mandate records management by Federal agencies.agencies.
Lifecycle of a RecordLifecycle of a Record
The records lifecycle is the period of The records lifecycle is the period of time that records are in existence.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 useMaintenance and use DispositionDisposition
Categories of Federal Categories of Federal RecordsRecords
Program RecordsProgram Records Directly support the Directly support the
mission of the agency.mission of the agency. Examples:Examples:
LRS, GAM or NGPOLRS, GAM or NGPO Science RecordsScience Records Budget RecordsBudget Records
Administrative RecordsAdministrative Records Support the agency’s Support the agency’s
mission activities, but do mission activities, but do not directly document not directly document the performance of the performance of mission functions.mission functions.
Common to most Common to most organizations.organizations.
ExamplesExamples Purchase ordersPurchase orders Personnel FoldersPersonnel Folders Travel VouchersTravel Vouchers
Categories of Federal Records Categories of Federal Records (Cont.)(Cont.)
Permanent records Permanent records (3-(3-5%)5%) Records determined as Records determined as
having sufficient having sufficient historical or other historical or other value to warrant value to warrant continued continued preservation.preservation.
ExamplesExamples Organizational chartsOrganizational charts Formal minutes of Formal minutes of
meetingsmeetings Formal directivesFormal directives Research studiesResearch studies Landsat MSS recordsLandsat MSS records
TemporaryTemporary Records approved Records approved
for destruction, for destruction, either immediately either immediately or after a specified or after a specified retention period.retention period.
This can be from This can be from months to more than months to more than 100 years.100 years.
Is Everything a Record?Is Everything a Record?
Other types of materials created and Other types of materials created and maintained by Federal agencies are:maintained by Federal agencies are:
Non-record materialsNon-record materials Personal papersPersonal papers
Nonrecord MaterialsNonrecord Materials U.S. U.S. Government-ownedGovernment-owned documentary documentary
materials excluded from the legal materials excluded from the legal definition of a record.definition of a record.
ExamplesExamples Information Information copiescopies preserved for convenience preserved for convenience Routing slips and transmittal sheetsRouting slips and transmittal sheets Duplicate Duplicate copiescopies of documents of documents Catalogs or trade journalsCatalogs or trade journals Reference materialsReference materials
Who was the creator of the document?Who was the creator of the document?
Personal PapersPersonal Papers
Any documentary materials of a Any documentary materials of a private or private or non-publicnon-public nature that do not relate to, or nature that do not relate to, or have an effect on, the conduct of agency have an effect on, the conduct of agency business.business.
ExamplesExamples Personal correspondencePersonal correspondence Insurance or medical papersInsurance or medical papers Diaries or journalsDiaries or journals Personal copies of personnel-related documentsPersonal copies of personnel-related documents
Grocery ListGrocery List Activity Schedules (Kids)Activity Schedules (Kids)
ReviewReview
Admin RecordsAdmin Records Program Program
RecordsRecords
Permanent Permanent TemporaryTemporary
Non-Record Non-Record Personal PapersPersonal Papers
Instruction No. I046Instruction No. I046“Annual File Plan Approval Process”“Annual File Plan Approval Process”
Records Inventory – The First StepRecords Inventory – The First Step
1. Separate records, non-record 1. Separate records, non-record materials and personal papers. materials and personal papers. (“What is a (“What is a record Handout”)record Handout”)
2. Assigning a Record Series (GRDS)2. Assigning a Record Series (GRDS) Record Series – A group of related files Record Series – A group of related files
kept together as a unit. kept together as a unit. Travel documentsTravel documents Procurement requisitionsProcurement requisitions Property InventoryProperty Inventory
General Records Disposition ScheduleGeneral Records Disposition Schedulehttp://www.usgs.gov/usgs-manual/schedule/432-1-s1/index.htmlhttp://www.usgs.gov/usgs-manual/schedule/432-1-s1/index.htmlll
ChaptersChapters 100 - Planning and Administrative Management 100 - Planning and Administrative Management 200 - Information Resources Management200 - Information Resources Management 300 - Administrative Support Records300 - Administrative Support Records 400 - Personnel Management400 - Personnel Management 500 - Information Services Records500 - Information Services Records 600 - Legal and Congressional600 - Legal and Congressional 700 - Budget Preparation700 - Budget Preparation 800 - Acquisition, Supply and Grants800 - Acquisition, Supply and Grants 900 - Emergency Planning, Safety, Security, etc.900 - Emergency Planning, Safety, Security, etc. 1000 - Property Management1000 - Property Management 1100 - Audiovisual Records1100 - Audiovisual Records 1200 - Geospatial Data, Cartographic, RS, individual 1200 - Geospatial Data, Cartographic, RS, individual
DisciplineDiscipline specific Scientific Records Schedules, etc.specific Scientific Records Schedules, etc.
1300 - Publishing Records1300 - Publishing Records
File Plan File Plan A listing of each records series in an A listing of each records series in an
office.office.
Files Plan should include (minimum)Files Plan should include (minimum) Name of the office Name of the office Name of the individual maintaining the recordsName of the individual maintaining the records Location of the RecordsLocation of the Records Series numeric assignment and titleSeries numeric assignment and title Description of contentDescription of content Page number series found in GRDSPage number series found in GRDS Disposition InstructionsDisposition Instructions
EROS File Plan TemplateEROS File Plan Template
EROS Administrative File Plan Template
Sample File Plan
Creating a File Plan – Why should Creating a File Plan – Why should I?I?
From the From the USGS Survey Manual chapter 431.1 - Records Management Program
http://www.usgs.gov/usgs-manual/handbook/hb/432-1-h.html#chapter1_C_1
For assistance/tips in developing your file plan;
http://www.usgs.gov/usgs-manual/schedule/432-1-s1/howtouse.html
Sample LabelsSample Labels
Instruction No. I046Instruction No. I046“Annual File Plan Approval Process“Annual File Plan Approval Process””
ResponsibilitiesResponsibilities
Administrative Support StaffAdministrative Support Staff Administrative File Plan Template. Administrative File Plan Template. (Order of files)(Order of files)
Submit to RLO/RLC annually for Submit to RLO/RLC annually for review/approval.review/approval.
RLO – John FaundeenRLO – John Faundeen RLC – Julie PayneRLC – Julie Payne
RLO/RLCRLO/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 TimelineThis Year’s Timeline
Complete Inventory Complete Inventory September 1, 2007September 1, 2007
Submit File Plan Template for ApprovalSubmit File Plan Template for Approval November 1, 2007November 1, 2007
Ready to create FY08 File folder LabelsReady to create FY08 File folder Labels
January 20January 20thth of each subsequent year. of each subsequent year.
Instruction No. I047Instruction No. I047“Shredding of Documents Containing “Shredding of Documents Containing
Privacy Act Information”Privacy Act Information” Administrative Support StaffAdministrative Support Staff
Identify DocumentsIdentify Documents Initiate ProcessInitiate Process
Transfer to RLO/RLC for reviewTransfer to RLO/RLC for review
RLO/RLCRLO/RLC Review and coordinate shreddingReview and coordinate shredding
Questions?Questions?
Misc. Lotus TopicsMisc. Lotus Topics