Agenda 6707

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Agenda 6-7-07

• General Records Management Overview
• Records Inventory
• Instructions
• Administrative File Plan Approval Process
• Shredding Documents containing Privacy Act
  information.
• Misc. Lotus Topics

U. S. Department of the Interior U. S. Geological
Survey
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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. 3301. Definition of Records)

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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.
• 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.

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Why do we Manage Records

• Makes sense!
• To support our agencys work
• Fulfill our mission.
• They contain information vital to our mission
• Valuable resource.
• A systematic approach is essential to the
  management of records.
• Its the Law. 36 CFR and 44 U.S.C both mandate
  records management by Federal agencies.

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Lifecycle of a Record

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

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Categories of Federal Records

• Program Records
• Directly support the mission of the agency.
• Examples
• LRS, GAM or NGPO
• Science Records
• Budget Records

• Administrative Records
• Support the agencys mission activities, but do
  not directly document the performance of mission
  functions.
• Common to most organizations.
• Examples
• Purchase orders
• Personnel Folders
• Travel Vouchers

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Categories of Federal Records (Cont.)

• Temporary
• Records approved for destruction, either
  immediately or after a specified retention
  period.
• This can be from months to more than 100 years.

• Permanent records (3-5)
• Records determined as having sufficient
  historical or other value to warrant continued
  preservation.
• Examples
• Organizational charts
• Formal minutes of meetings
• Formal directives
• Research studies
• Landsat MSS records

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Is Everything a Record?

• Other types of materials created and maintained
  by Federal agencies are
• Non-record materials
• Personal papers

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Nonrecord Materials

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

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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.
• Examples
• Personal correspondence
• Insurance or medical papers
• Diaries or journals
• Personal copies of personnel-related documents
• Grocery List
• Activity Schedules (Kids)

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Review

• Admin Records
• Program Records

• Permanent
• Temporary

• Non-Record
• Personal Papers

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(No Transcript)
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Instruction No. I046Annual File Plan Approval
Process Records Inventory The First Step

• 1. Separate records, non-record materials and
  personal papers. (What is a record Handout)
• 2. Assigning a Record Series (GRDS)
• Record Series A group of related files kept
  together as a unit.
• Travel documents
• Procurement requisitions
• Property Inventory

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General Records Disposition Schedulehttp//www.us
gs.gov/usgs-manual/schedule/432-1-s1/index.htmll

• Chapters
• 100 - Planning and Administrative Management
• 200 - Information Resources Management
• 300 - Administrative Support Records
• 400 - Personnel Management
• 500 - Information Services Records
• 600 - Legal and Congressional
• 700 - Budget Preparation
• 800 - Acquisition, Supply and Grants
• 900 - Emergency Planning, Safety, Security, etc.
• 1000 - Property Management
• 1100 - Audiovisual Records
• 1200 - Geospatial Data, Cartographic, RS,
  individual Discipline
• specific Scientific Records Schedules, etc.
• 1300 - Publishing Records

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File Plan A listing of each records series in
an office.

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

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EROS File Plan Template
EROS Administrative File Plan Template Sample
File Plan
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Creating a File Plan Why should I?

• From the USGS Survey Manual chapter 431.1 -
  Records Management Program
• http//www.usgs.gov/usgs-manual/handbook/hb/432-1-
  h.htmlchapter1_C_1
• For assistance/tips in developing your file plan
• http//www.usgs.gov/usgs-manual/schedule/432-1-s1/
  howtouse.html

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Sample Labels
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Instruction No. I046Annual File Plan Approval
ProcessResponsibilities

• Administrative Support Staff
• Administrative File Plan Template. (Order of
  files)
• Submit to RLO/RLC annually for review/approval.
• RLO John Faundeen RLC Julie Payne
• RLO/RLC
• Review and approve Administrative File Plans.
• Assist in Inventories as needed.
• Perform Semi-Annual Reviews.

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This Years Timeline

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

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Instruction No. I047Shredding of Documents
Containing Privacy Act Information

• Administrative Support Staff
• Identify Documents
• Initiate Process
• Transfer to RLO/RLC for review
• RLO/RLC
• Review and coordinate shredding

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Questions?

• Misc. Lotus Topics