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