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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. What is a Record.

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agenda 6 7 07
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

what is a record

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)

what is records management
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.
why do we manage records
Why do we Manage Records
  • Makes sense!
  • To support our agency’s work
    • Fulfill our mission.
  • They contain information vital to our mission
    • Valuable resource.
  • 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.
lifecycle of a record
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
categories of federal records
Program Records

Directly support the mission of the agency.



Science Records

Budget Records

Administrative Records

Support the agency’s mission activities, but do not directly document the performance of mission functions.

Common to most organizations.


Purchase orders

Personnel Folders

Travel Vouchers

Categories of Federal Records
categories of federal records cont
Permanent records (3-5%)

Records determined as having sufficient historical or other value to warrant continued preservation.


Organizational charts

Formal minutes of meetings

Formal directives

Research studies

Landsat MSS records


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

This can be from months to more than 100 years.

Categories of Federal Records (Cont.)
is everything a record
Is Everything a Record?
  • Other types of materials created and maintained by Federal agencies are:
    • Non-record materials
    • Personal papers
nonrecord materials
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?
personal papers
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)
  • Admin Records
  • Program Records
  • Permanent
  • Temporary
  • Non-Record
  • Personal Papers
instruction no i046 annual file plan approval process records inventory the first step
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”)
  • 2. Assigning a Record Series (GRDS)
    • Record Series – A group of related files kept together as a unit.
      • Travel documents
      • Procurement requisitions
      • Property Inventory
general records disposition schedule http www usgs gov usgs manual schedule 432 1 s1 index html l
General Records Disposition Schedule
  • 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
file plan a listing of each records series in an office
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
eros file plan template
EROS File Plan Template

EROS Administrative File Plan Template

Sample File Plan

creating a file plan why should i
Creating a File Plan – Why should I?
  • From the USGS Survey Manual chapter 431.1 - Records Management Program

  • For assistance/tips in developing your file plan;

instruction no i046 annual file plan approval process responsibilities
Instruction No. I046“Annual File Plan Approval Process”Responsibilities
  • Administrative Support Staff
    • Administrative File Plan Template. (Order of files)
    • Submit to RLO/RLC annually for review/approval.
      • RLO – John Faundeen RLC – Julie Payne
    • Review and approve “Administrative File Plans”.
    • Assist in Inventories as needed.
    • Perform Semi-Annual Reviews.
this year s timeline
This Year’s 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.
instruction no i047 shredding of documents containing privacy act information
Instruction No. I047“Shredding of Documents Containing Privacy Act Information”
  • Administrative Support Staff
    • Identify Documents
    • Initiate Process
      • Transfer to RLO/RLC for review
    • Review and coordinate shredding

Misc. Lotus Topics