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USDA-ARS Records Management. NACOP Conference August 18 & 19, 2010. Baete Family. LYMAN KADEN PIPER. University of Nebraska, Lincoln Bachelor of Science in Business Administration Lincoln, NE

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USDA-ARS

Records Management

NACOP Conference

August 18 & 19, 2010

slide2

Baete Family

LYMAN KADEN PIPER

slide3
University of Nebraska, Lincoln

Bachelor of Science in Business Administration

Lincoln, NE

Student Trainee (SCEP), Secretary, Program Support Asst.

Fort Collins, CO (Area Office)

Admin. Support Asst., Purchasing Agent,

Property Management Technician, Realty Specialist

slide4
Realty Specialist

Member of the Area’s Administrative Management Team with responsibility for both real and personal property.

Supports eight states with land in excess of 115,000 acres and more than 677 owned or leased structures with replacement values of at least $920 million.

Personal Property includes 14,000 items valued in excess of $60 million.

Northern Plains Area:

Colorado

Kansas

Montana

Nebraska

North Dakota

South Dakota

Utah

Wyoming

slide5

Committees

Fort Collins Environmental Management System Committee

2009 NPA Leadership Conference Committee

NPA Travel Committee

NPA File Management Committee

    • Records Management History
  • NARA Records Schedule Implementation Knowledge Area 4 (KA4)
  • NARA Records Transfer & Reference Workshop
  • NARA Basic Records Operations Training
  • NARA IT Professionals Briefing
  • Two successful CARE Reviews in Lincoln, NE & Fort Collins, CO
  • ARS NPA Files Management Improvement Team
  • ARS NPA Records Officer
slide6
If you were absent, can we find the document we need?

Photo Source: NARA, 2010

  • USDA-ARS-NPA, 2010
slide7
Records Management

Planning, controlling, directing, organizing, training, promoting, and other managerial activities related to the creation, maintenance and use, and disposition of records.

Control the Creation & Growth of Records

Reduce Operating Cost

Improve Efficiency & Productivity

Ensure Regulatory Compliance

Minimize Litigation Risks

Safeguard Vital Records

Preserve Agency Memory

Source: NARA, 2010

  • USDA-ARS-NPA, 2010
slide8
Permanent records

Records determined by NARA to have sufficient historical or other value to warrant continued preservation by the Federal Government.

Declaration of Independence

Temporary records

Records approved by NARA for destruction, either immediately or after specified retention period.

Foreign Trip Reports

Most of Federal records are “Temporary Records”.

Permanent

Temporary

Source: NARA, 2010

  • USDA-ARS-NPA, 2010
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Record

Any book, paper, map, photograph, machine-readable, or other documentary material, regardless of physical form or characteristics made or received by an agency of the U.S. Government.

Source: NARA, 2010

  • USDA-ARS-NPA, 2010
slide10
Temporary Records

Revocable Permits (Non-ARS Visitors) ARMP Packages

Procurement Micro Purchases Status of Funds

Vacancy Announcements Directories

Annual 421 Reports Individual Development Plans (IDP)

OSHA Logs & Reports Publications – ARS-115s

Government Vehicle Accident Packages Monthly Vehicle Logs & Receipts

Passport Registers/Logs Travel CC Applications

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Non-Records

Extra copies of documents preserved

only for convenience or reference

Drafts, worksheets, and notes that do not represent

significant steps in the preparation of record

documents

Transcribed shorthand notes

Routing slips and transmittal sheets

Tickler, follow-up, or suspense copies of

correspondence

Catalogs, trade journals, and other publications

Physical exhibits, artifacts, and other material objects

Personal papers

Source: NARA, 2010

  • USDA-ARS-NPA, 2010
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Records Management Tips

If the document you have is not the original, there should be a “copy” stamped on the

document

Duplicates should be destroyed when the official is destroyed

If you have a paper file, you should correspond any computer files

Ten documents is the rule of thumb for creating its own file

File folders should contain no more than 75 sheets

Files should not be sitting out if anyone unauthorized has access to your room (i.e. – university

custodial staff)

Source: NARA, 2003

  • USDA-ARS-NPA, 2010
slide14

A

E

-

L

E-mail messages—both incoming and outgoing—are judged to be records by the same criteria as paper correspondence: An e-mail message is a record if it documents the agency mission or provides evidence of an agency business transaction, and if you or anyone else would need to retrieve the message to find out what had been done or to use it in other official actions.

Who is the originator, you or someone else?

M

I

Source: NARA, 2010

  • USDA-ARS-NPA, 2010
slide15
Can I keep emails classified as a record in the email system?

NO. Once you determine that an email is an official record, you should ensure that it is kept in an approved file system (hardcopy or electronic drive).

Example) Procurement invoice from

vendor sent via email

Source: NARA, 2003

  • USDA-ARS-NPA, 2010
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E-mail records should be separated from personal e-mails and stored in an approved recordkeeping system that must do the following:
  • Logically relate or group records in accordance with your office’s file plan
  • Ensure that the records are accessible to authorized persons throughout the life of the records
  • Support retention of the records for as long as required
  • Facilitate destruction of records on schedule
  • Enable transfer to the National Archives of those records that will not be destroyed

E-mail servers and e-mail clients (such as GroupWise and Outlook) ARE NOT recordkeeping systems.

Source: NARA, 2010

  • USDA-ARS-NPA, 2010
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What if an e-mail record is sent to several recipients?

Which copy is the official record?

It depends. Different copies of the same message may be records:

  • If you take any official action related to a message, and if the message is needed for adequate and complete documentation of the action, the message would be a record in your office, regardless of whether copies are retained elsewhere.
  • If you receive a message only for information and do not take action related to it, your copy would not be a record.

Source: NARA, 2010

  • USDA-ARS-NPA, 2010
slide18
Email Tips

Treat each e-mail as if it were a memo or letter

representing your agency

  • Correspondence Manual 261.2M

Send the e-mail only to the people who need it

  • Ask yourself: Would I send this to 30 people by mail?

Supervisors should not send “sensitive”

information to students who are not using official

work e-mail accounts

Do not keep passwords on or by your desk

Source: NARA, 2003

  • USDA-ARS-NPA, 2010
slide19

Northern Plains Area

Files Management Improvement Team

Lisa Baete

Fort Collins, CO

Kim Swanson

Fargo, ND

Linda Parnell

Clay Center, NE

Elaine Liddell

Manhattan, KS

Connie Wooten

Fargo, ND

  • USDA-ARS-NPA, 2010
slide20

NPA Files Management Improvement Team

Vision: A files management plan that meets today’s filing needs within the NPA.

Mission: To develop a standardized files management plan for the NPA that enhances efficiency in file handling, control, maintenance, and disposition.

Objective: To achieve consistency in filing throughout NPA at all levels (Area Office, Center Director, Administrative Officer, Research Leader, and Scientist)

  • USDA-ARS-NPA, 2010
slide21
Files Management Sources

ARS Records Schedule, 1980 (online)

ARS Files Management Guidebook, 1985 (online)

National Archives & Records Administration (NARA)

  • General Records Schedule (GRS)

Records Management P&P 251.8

ARS Records Management Manual 251.8M

Care Review Manual

ARIS Records Disposition Schedule, 3/19/08

OSHA Standard

NPA ARIS Online Guidance

Property Management Quick Guide

Safety, Health, & Environmental Management Program Manual 230

Northern Plains Area Council of Office Professionals (Quick Reference Guide)

File Codes

Federal Acquisition Regulations (FAR)

Goal: Find the most current source for the specific item

  • USDA-ARS-NPA, 2010
slide22

File Guide Categories:

Asset Management

Budget & Finance

Contracting/Acquisition

Communication

Information Technology

Personnel

Personal Property

Research Project Documentation

Safety

Outreach/Diversity/Equal Opportunity

Technology Transfer

Travel

  • USDA-ARS-NPA, 2010
slide25
NARA Files Specifically Approved for ARS

NC1-310-XX-XX

http://www.archives.gov/records-mgmt/

slide28

NPA File Management Label Requirements

Category

Sub-category

Name/Unit/Project #

Current Year Disposition

Information

Examples

Personnel

Volunteer Timesheets

Smith, Jane

NRMRU

  • CY-2010 Shred 1/1/2016

Contracting/Acquisition

APC Quarterly Audit Rpt

Smith, John A.

Quarter 2

FY-2010 Shred FY 2013

Property - Personal

Property Passes

Grain, Forage & Bioenergy

Research Unit

CY-2010 Destroy 3 years

after expiration

Budget & Finance

Period-End Estimates

Agricultural Systems Research Unit

FY-2010 Destroy 1/1/2016

(6 yrs, 3 months)

  • USDA-ARS-NPA, 2010
slide29
Example of File Folder with three labels

*Folder utilizes category color coding (Personal Property-Pink)

slide30

File Destruction Date Calculator

http://www.nwcg.gov/policies/records/destructdate/destruct.htm

(National Wildfire Coordinating Group)

Source: NARA, 2010

slide31
Questions
  • USDA-ARS-NPA, 2010
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