Records Management Fundamentals Training Overview

Records Management
Fundamentals
Instructions
These slides should be used as a starting point for building tailored 
A
gency specific training
for 
your Agency staff.   
Following this template will assist AROs in meeting the minimum recommendations of:
NARA Bulletin 2017-01 
Tailored agency specific training 36 CFR 1220.34(f )
Follow the instructions in brackets throughout the course, add your Agency template, and
customize it to meet the needs of your Agency records management program.
No approval is needed from NARA to customize and implement this training.
Welcome
Welcome to the Records Management Fundamentals Course.  
This course is designed to help you know your basic
responsibilities for managing federal records, including the laws,
policies and procedures that govern Federal records
management.
You will learn how to determine if the information that you work
with is considered a Federal record, how to manage Federal
records, and what resources you can consult to get more
information about records management.  
Goals of this training
Know your Records Management (RM) responsibilities
Determine how to identify a federal record
Understand fundamentals about how to manage records
Identify resources to help with RM
Why
 Records Management Matters
Lesson 1
The work you are doing today, captured in
your records, may be saved forever to
allow historians to understand how your
agency and your work contributed to the
nation.
Federal Government records tell the story
of the actions taken by the government
and provide us with the history of the
nation.
Records help citizens hold the government
and government officials accountable for
their actions. They enable us to accurately
understand our past and who we are as a
nation.
Telling the Nation's Story
Records Management at [INSERT YOUR AGENCY/DEPT/OFFICE
TITLE and ORG CODE HERE]
Contributes to the smooth operation of Agency programs by
making readily available the information needed for decision-
making and operational readiness
Facilitates the effective performance of program activities
Protects the rights of citizens, businesses, and the Agency
Provides continuity in the event of a disaster
Protects information from inappropriate and unauthorized
access
Helps the 
agency
 meet statutory and regulatory requirements
What is Records Management?
Lesson 2
Records Management is:
“The planning, controlling, directing, organizing, training,
promoting, and other managerial activities involved with respect
to records creation, records maintenance and use, and records
disposition
 
in order to achieve adequate and proper
documentation of the policies and transactions of the Federal
government and effective and economical management of
Agency operations.” 
36 CFR 1220.14
What that really means is.....
We are required to create and manage information that
documents our work, safeguard information that needs to be
protected, and keep or dispose of records according to an
approved records schedule.
A records schedule is a document that tells you how long to keep
specific types of records and what should happen to those records
when you no longer need them.
Roles and Responsibilities
Lesson 3
Roles and Responsibilities
In the past, most Federal records were created in print. Now, however, most
government information is created and maintained electronically.
Regardless of format, the basic rules of records management are the same for all
forms of media that contain Federal information.
Those rules are codified in the law and Federal regulations. To supplement these
laws our Agency has created the following  [Insert proper term for your agency :
policy, directives, instructions, guidance etc]. 
[Insert hyperlink(s) to YOUR AGENCY's RM policy documents and/OR other
relevant documents]
It’s the Law – 44 U.S.C., Chapter 31
We are required to create and manage information that
documents our work, safeguard information that needs to be
protected, and keep or dispose of records according to an
approved records schedule.
Title 44 U.S.C., Chapter 31
The head of each Federal agency shall:
§ 3101 “Make and preserve records
containing adequate and proper
documentation of the organization,
functions, policies, decisions,
procedures, and essential
transactions of the agency and
designed to furnish the information
necessary to protect the legal and
financial rights of the Government
and of persons directly affected by
the agency’s activities.”
§ 3105 “Establish safeguards against the
removal or loss of records they determine
to be necessary and required by regulations
of the Archivist.  Safeguards shall include
making it known to the officials and
employees of the agency- 
(1) that records in the custody of the agency
are not to be alienated or destroyed except
in accordance with sections 3301-3314 of
this title, and
(2) the penalties provided by law for the
unlawful removal or destruction of records.
Records Management at [Insert Your Agency Name]
Employees and Contractors will:
Organize files in a manner that facilitates efficient and
effective retrieval of information
Coordinate with [Insert name and title as well as hyperlink to
contact information for your Agency RM staff and/or Agency
Records Officer] regarding all aspects of RM, including
schedules and dispositions
Employees and Contractors will NOT
Remove or destroy records from offices without authorization
and an approved schedule
Mix official records with contractor records, personal
information, or non-record materials
Share or distribute government records and information with
non-government entities without prior approval
Destroy unscheduled records
Unscheduled Records
Unscheduled records are records that are not covered by an
approved records schedule. Unscheduled records are treated as
PERMANENT records until a NARA approved retention schedule
has been implemented.
Office/Program Managers
Office/Program Managers must:
Perform reviews of RM activities and help ensure compliance
with legal and regulatory requirements
Identify the official office of record
Specify if the data being created is a record
Apply appropriate disposition instructions for files being
created
Roles Specific to Records Management
Records Custodians: Office staff who do Records Management at the
lowest level (program/project/office)  in your Agency
Records Liaisons: Staff who manage records at the division level
(intermediate program/project/ Division/Unit) in your Agency
Agency Records Officer (ARO): person who heads an Agency's Records
Management Program
Mission Specialist: Employees who have their own set of Records
Management roles and responsibilities outlined for them.
Role: [
Insert what your Agency calls these staff]
[Office staff who do Records Management at the lowest level (program/project/office)  in your Agency]
NARA calls these staff “Records
Custodians”
These staff manage records at the office
level. 
These are usually not the admin staff’s
regular duties.
[Add Agency specific info on the role and
responsibilities of Records Custodians at
your agency]
[Add links to any documents specific to
Records Custodians]
Records Custodians should be able to
:
1.
Apply a records/retention schedule
2.
Understand the agency RM staff
structure 
3.
Know and understand Agency RM
policy and guidance. 
4.
Coordinate with Records Liaisons
5.
Understand records storage
operations regardless of record
format.
For more information please contact your ARO.
Role: 
[Insert what your Agency calls these staff]
[Staff who manage records at the division level (intermediate program/project/ Division/Unit) in your
Agency]
NARA calls these staff “Records Liaisons”
These staff manage records at the Division
level. These are usually not admin staff’s
regular duties.
[Add Agency specific info on the role and
responsibilities of Records Liaisons at your
agency]
[Add links to any documents specific to
Records Liaisons]
Records Liaisons should 
be able to do
:
1.
Apply a records/retention schedule
2.
Know and understand Agency RM policy
and guidance/ evaluate implementation 
3.
Control of share drives (If assigned)
4.
C
omplete a records inventory (regardless of
format)
5.
C
reate file plans (regardless of format)
6.
Communicate/Coordinate with Agency
Records Officer
7.
Be familiar with NARA RM regs
8.
Conduct RM training for Agency staff
For more information please contact your
ARO.
Role: Agency Records Officer
Manages the records management program,
establishes polices and procedures, and coordinates
records management matters.
Role: [Insert 
Mission Specialist Job title]
Each set of employees who do a specific mission at your agency
should have their own set of Records Management roles and
responsibilities outlined for them.
These groups have records that specifically apply to them.
Examples: 
Senior level agency officials and political appointees
Records professionals at all levels within the organization
Managers and supervisors
Acquisition, contracting, and procurement personnel
Attorneys engaged in litigation or advising on records or
access to information issues
Personnel developing and managing IT systems and
applications
Continuity of Operations and Disaster Preparedness
personnel that manage mission essential records
These groups may ha
ve specific training needs.
For additional training on your specific RM responsibilities,
contact  [Insert your Agency's Records Officer’s contact
information]
These mission specialists should be able to:
Be aware of their RM responsibilities and how
it applies to them
Apply the records/retention schedule that
covers their particular function
Apply the office’s files plans and any
classification issues surrounding their
records
Know the a
ppropriate RM staff contact info
for additional guidance
Know what goes into a “Records Series”/
Agency specific information
For more information please contact your
ARO.
What Are Records, Non Record
Materials, and Personal
Papers?
Lesson 4
What is a Federal Record?
Federal Records are any recorded
information, regardless of form or
characteristics that are…..
Made or received by a Federal
agency under Federal law
Made or received by a Federal
agency in connection with the
transaction of public business
Preserved or appropriate for
preservation by a Federal agency or
its legitimate successor as evidence
of the activities of the U.S.
government or because of the
informational value
Examples Include:
[Insert examples of your agency's federal
records]
What is Recorded Information?
Recorded information is defined as:
“...all traditional forms of records, regardless of physical form or
characteristics, including information created, manipulated,
communicated, or stored in digital or electronic form.”
44 U.S.C., 3301, Definition of a Federal Record
Is It a Record? Ask Yourself…
1.
Was it made or received for official
business?
2.  Does it provide evidentiary support for
any of my agency’s:
policies
functions
decisions
procedures
missions
programs
projects or activities
Examples Include:
[Insert examples of Federal
records created at your agency;
specific to a role]
What are Non-Record Materials?
Non-record materials are defined as:
“...Library and museum material made or
acquired and preserved solely for reference
or exhibition purposes, extra copies of
documents preserved only for convenience
of reference, and stocks of publications
and of processed documents.”
44 U.S.C., 3301, Definition of a Federal
Record
Examples Include:
[Insert examples of non-records
created/used at your agency]
Non-Record Materials
Keep in mind that non-record
materials are still owned by
the agency. Therefore, the
materials may have
evidentiary value and still
need to be turned over for
Freedom of Information Act
(FOIA) requests.
Examples include:
Duplicates of documents maintained in
the official files and extra copies of
correspondence
Documents used only for reference or
exhibition purpose
Catalogs, trade journals and other
reference materials
Stocks of publications
[Insert your agency specific examples
here]
What are Personal Papers?
Personal papers or files are documentary
materials owned by an official or staff
member that are not used in the transaction
of agency business but that may be in a
government office. Personal papers are:
Related solely to an individual's private
affairs
Not used for agency business
Kept separate from agency record and
non-record materials
Labeled as personal files
Examples include:
[Insert your agency specific
examples here] 
Employee copies of their
performance appraisal and
personnel actions
Non-work related email to a
friend
Magazine article you brought
to the office
Records Lifecycle
Lesson 5
Records Lifecycle Phases
Records managers often use a
model called the Records
Lifecycle to describe how a
record is handled throughout
its lifespan. The records life
cycle has three main phases.
1.
Create and Receive
2.
Maintenance and Use
3.
Disposition
Step 1: Create and Receive
This includes the capture of records in order to provide adequate
and proper documentation of government activities. This
includes:
Capturing information about the record
Connecting related records
Identifying the correct records schedule for the record
Step 2: Maintenance and Use
This includes:
Storing and retrieving records
Using records for daily business
Securing records and backing up electronic files
Choosing good on-site and off-site storage
Protecting the accuracy and authenticity of the information
Ensuring electronic records are migrated to readable formats
when a system of software becomes outdated
Step 3: 
Disposition
This includes:
Following the disposition instructions on the records
schedule 
Transferring inactive records to off-site storage
Destruction of temporary records
Transfer and accessioning of permanent records into the
National Archives
Disposition of Records
Lesson 6
Disposition
What happens to a record at the end of the lifecycle is determined
by how valuable the record is to preserving history or the rights
and interests of citizens. 
Most records are considered temporary. Those records are
destroyed after they are no longer needed for agency business. A
very small percentage of records are considered permanent and
are transferred to the National Archives to be kept forever.
Four Types of Records
The following sections will provide general guidance on the
disposition of 4 types of records:
Temporary records
Permanent records
Unscheduled records
Records on legal hold
Temporary Records
The records:
Are destroyed/deleted
after a NARA-approved
retention period
Often require off-site
storage when inactive
May be kept past the
destruction date because
of a legal hold or other
valid business need
Examples include: 
Time and attendance files
Employee travel
documents
Procurement files
Budget and general
accounting files
Grant files
[Insert your agency
specific examples here]
Permanent records
The records:
Have historical value or
other value that warrants
permanent preservation
Require special care and
handling
Are eventually transferred
to the National Archives 
Are stored as part of our
national history
Examples include: 
Executive correspondence of
high-level senior officials
Directives and policy
documents
Official USDA reports,
decisions, press releases
High-level committee files
Operating Administration
organizational charts
Insert your agency specific
examples here]
Unscheduled
The records:
Are not covered by an approved records schedule
Do not have an approved disposition
Must be treated as 
permanent
 records until a disposition is
approved by NARA
Legal Holds
Legal holds can affect how long a record must be retained.
A legal hold is a communication issued as a result of current or anticipated
litigation, audit, Federal government investigation, Congressional inquiry,
FOIA request, Privacy Act request, or similar action 
Legal holds require agencies to keep records until the legal issue is resolved
May also be called a hold order, freeze notice, preservation order, or
suspension order
Agency records personnel will know if any records are under a legal hold
Records Schedules and Storage
Lesson 7
Legal Authority
The National Archives and Records Administration is the legal
authority for what gets saved and what gets destroyed.
Our NARA approved records schedules describe our records, how
long to keep the records and what to do when we no longer need
them.
In this lesson, you'll learn a little about records schedules and the
file plans that we use at 
 [
Insert your Agency/Unit/Office name]
to guide how we organize and maintain our records.
Records Schedules
In the Federal government there are two types of records schedules that govern
how long an agency keeps its records.
General Records Schedules (GRS) cover administrative files that are common
to most agencies.
Agency specific records schedules cover records that are unique to the agency
mission.
[Insert link to Agency Records Schedules and file plans]
[What is a records schedule? provide link to module on the NARA website]
Agency File Plans
A file plan provides similar information as the record schedules
and is designed to provide instructions for how to handle the
records in an office or agency. 
At [Insert Agency], the information about how long to keep
records is in the file plans for each office.  The file plans contain a
description of the records, the retention period, the records
schedule authority for the records, and whether the records are
temporary or permanent. 
Contact your Agency Records Officer to get a copy of the file plan.
Records Storage
[Insert agency specific storage information here] Our records
are initially stored at Agency offices for one year after the
fiscal year is over. After that, we store the temporary records
at a NARA Federal Records Center or NARA approved storage
facility for the duration of the retention period. 
At the end of the retention period, permanent records are
transferred to NARA for preservation in the National Archives.
Temporary records are destroyed or deleted.
Capstone Approach to the
Management of Email Records
Lesson 8
Capstone
Capstone is a simplified approach to managing email records. It
is based on the position or role of the email account owner and
applies to all official email accounts of those positions. 
[Insert Agency] uses the Capstone approach to manage email for
the agency. The Capstone approach includes high level officials,
who's email is a permanent record, as well as all other email
accounts, which are scheduled by the role of the person according
to GRS 6.1. Capstone applies to anyone who creates, receives, and
handles federal records, including contractors and sub-
contractors.
Common Issues and Best
Practices
Lesson 8
Electronic Messages
The Federal Records Act was amended in November 2014 and added a new definition for
electronic messages at 44 U.S.C. 2911. 
The law states, “The term ‘electronic messages’ means electronic mail and other electronic
messaging systems that are used for purposes of communicating between individuals.”
Personal accounts should not be used. However, if an electronic message that meets the
definition of a Federal record is created or received in a personal account, the message must
be forwarded to an official electronic messaging account within 20 days. 
The statutory definition of electronic messages includes email, text messages, and social
media posts that are official business.
Disposition of electronic records follows the same rules as paper records. Check with your
Agency records officer for more information 
[
Insert link to ARO contact information]
Best Practices
Keep records organized and stored in a way that protects the
records
Follow agency policies for storing, signing out, and using
records
Limit unnecessary copies, especially electronic files
Separate records and non-record materials whenever possible
Keep personal files separate from records
Federal Records created during telework must be stored in an
official file system
Employee Departures
Transition records to a new responsible person
Ensure the records are identified and organized
Ensure someone can access all electronic files that are records (e-
mails, password protected or encrypted files)
Ensure the employee does not remove, delete, or destroy any records
Complete Documentary Materials Removal/Non-Removal
Certification and Non-Disclosure Agreement [Form #] in accordance
with [Policy Number] [Insert agency form name and number, and
policy number]
Lost or Destroyed Records
If an individual believes that records have been removed, lost, or destroyed without
authorization, they must follow agency procedures for reporting to the appropriate authority
Notify your immediate supervisor and/or RM staff
An investigation is usually conducted to determine whether the incident needs to be
reported to NARA
Agencies must report to NARA the:
Complete description of records, with volume and dates, if known
Office of origin
Explanation of exact circumstances surrounding the unauthorized action
Details, when appropriate, of actions taken to salvage, retrieve, or reconstruct the
records
Safeguards established to prevent further losses
Where to get help
Lesson 9
Senior Agency Official for Records Management (SAORM)
The Senior Agency Official for Records Management (SAORM) acts on
behalf of the agency head to ensure the agency efficiently and
appropriately complies with all applicable records management
statutes, regulations, NARA policies, and OMB policies. 
The SAORM bridges the gap between the agency head and the Agency
Records Officers in order to provide strategic direction for the agency’s
records management program. 
At [
Insert your Agency's name
], the [
Insert SAORM positional title at
your Agency
] is the SAORM.
Agency Records Officers
The Agency Records Officers are responsible for 
managing the records management program
establishing records management policies and procedures
coordinating records management matters with various
[Insert your agency’s name] offices and NARA
The list of you Agency Records Officers is available 
[
Insert link to
NARA list of AROs]
Records Custodians
Records custodians have the day-to-day responsibility for managing the records
in a particular office. They ensure that
Records are organized and filed based on the records schedule and file plan
Records are transferred or disposed of on time
Office personnel understand how to follow records management procedures
Each program office at 
[
Insert your Agency's Name] 
should have a designated
records custodian.
Please contact your ARO 
[
Insert contact information for your Agency Records
Officer here]
For More Assistance
For Agency Specific Records
management Question:
[Insert link to your Agency's RM
policy/regulations/guidance]
To learn about Federal Records
Management:
Visit the 
NARA Website
To review the Federal
Regulations:
Title 36 (parts 1200 through
1289)
To read the law:
Federal Records Act of 1950, as
amended, codified at 44 U.S.C
chapters 29, 31, and 33
Summary and Review
 
What is a record?
Information in any format or medium created or received while
fulfilling the duties of your position or conducting official
business that evidences agency functions, organization, and
activities.
Why is RM important?
It contributes to the smooth operation of agency programs
It protects the rights of citizens and the agency
There are legal consequences for non-compliance
Who is responsible?
All employees and contractors are responsible for the records
they create and use.
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This overview provides insights into a training course on Records Management Fundamentals, designed to educate Agency staff on their responsibilities in managing Federal records. It covers the importance of records management, identification of federal records, fundamental management principles, and available resources. By following the provided guidelines, agencies can tailor the training to meet their specific needs without requiring approval from NARA. The course aims to enhance knowledge and compliance with records management regulations.


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  1. Records Management Fundamentals

  2. Instructions These slides should be used as a starting point for building tailored Agency specific training for your Agency staff. Following this template will assist AROs in meeting the minimum recommendations of: NARA Bulletin 2017-01 Tailored agency specific training 36 CFR 1220.34(f ) Follow the instructions in brackets throughout the course, add your Agency template, and customize it to meet the needs of your Agency records management program. No approval is needed from NARA to customize and implement this training.

  3. Welcome Welcome to the Records Management Fundamentals Course. This course is designed to help you know your basic responsibilities for managing federal records, including the laws, policies and procedures that govern Federal records management. You will learn how to determine if the information that you work with is considered a Federal record, how to manage Federal records, and what resources you can consult to get more information about records management.

  4. Goals of this training Know your Records Management (RM) responsibilities Determine how to identify a federal record Understand fundamentals about how to manage records Identify resources to help with RM

  5. Why Records Management Matters Lesson 1

  6. Telling the Nation's Story The work you are doing today, captured in your records, may be saved forever to allow historians to understand how your agency and your work contributed to the nation. Federal Government records tell the story of the actions taken by the government and provide us with the history of the nation. Records help citizens hold the government and government officials accountable for their actions. They enable us to accurately understand our past and who we are as a nation.

  7. Records Management at [INSERT YOUR AGENCY/DEPT/OFFICE TITLE and ORG CODE HERE] Contributes to the smooth operation of Agency programs by making readily available the information needed for decision- making and operational readiness Facilitates the effective performance of program activities Protects the rights of citizens, businesses, and the Agency Provides continuity in the event of a disaster Protects information from inappropriate and unauthorized access Helps the agency meet statutory and regulatory requirements

  8. What is Records Management? Lesson 2

  9. Records Management is: The planning, controlling, directing, organizing, training, promoting, and other managerial activities involved with respect to records creation, records maintenance and use, and records disposition in order to achieve adequate and proper documentation of the policies and transactions of the Federal government and effective and economical management of Agency operations. 36 CFR 1220.14

  10. What that really means is..... We are required to create and manage information that documents our work, safeguard information that needs to be protected, and keep or dispose of records according to an approved records schedule. A records schedule is a document that tells you how long to keep specific types of records and what should happen to those records when you no longer need them.

  11. Roles and Responsibilities Lesson 3

  12. Roles and Responsibilities In the past, most Federal records were created in print. Now, however, most government information is created and maintained electronically. Regardless of format, the basic rules of records management are the same for all forms of media that contain Federal information. Those rules are codified in the law and Federal regulations. To supplement these laws our Agency has created the following [Insert proper term for your agency : policy, directives, instructions, guidance etc]. [Insert hyperlink(s) to YOUR AGENCY's RM policy documents and/OR other relevant documents]

  13. Its the Law 44 U.S.C., Chapter 31 We are required to create and manage information that documents our work, safeguard information that needs to be protected, and keep or dispose of records according to an approved records schedule.

  14. Title 44 U.S.C., Chapter 31 The head of each Federal agency shall: 3105 Establish safeguards against the removal or loss of records they determine to be necessary and required by regulations of the Archivist. Safeguards shall include making it known to the officials and employees of the agency- 3101 Make and preserve records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency and designed to furnish the information necessary to protect the legal and financial rights of the Government and of persons directly affected by the agency s activities. (1) that records in the custody of the agency are not to be alienated or destroyed except in accordance with sections 3301-3314 of this title, and (2) the penalties provided by law for the unlawful removal or destruction of records.

  15. Records Management at [Insert Your Agency Name] Employees and Contractors will: Organize files in a manner that facilitates efficient and effective retrieval of information Coordinate with [Insert name and title as well as hyperlink to contact information for your Agency RM staff and/or Agency Records Officer] regarding all aspects of RM, including schedules and dispositions

  16. Employees and Contractors will NOT Remove or destroy records from offices without authorization and an approved schedule Mix official records with contractor records, personal information, or non-record materials Share or distribute government records and information with non-government entities without prior approval Destroy unscheduled records

  17. Unscheduled Records Unscheduled records are records that are not covered by an approved records schedule. Unscheduled records are treated as PERMANENT records until a NARA approved retention schedule has been implemented.

  18. Office/Program Managers Office/Program Managers must: Perform reviews of RM activities and help ensure compliance with legal and regulatory requirements Identify the official office of record Specify if the data being created is a record Apply appropriate disposition instructions for files being created

  19. Roles Specific to Records Management Records Custodians: Office staff who do Records Management at the lowest level (program/project/office) in your Agency Records Liaisons: Staff who manage records at the division level (intermediate program/project/ Division/Unit) in your Agency Agency Records Officer (ARO): person who heads an Agency's Records Management Program Mission Specialist: Employees who have their own set of Records Management roles and responsibilities outlined for them.

  20. Role: [Insert what your Agency calls these staff] [Office staff who do Records Management at the lowest level (program/project/office) in your Agency] NARA calls these staff Records Custodians Records Custodians should be able to: Apply a records/retention schedule Understand the agency RM staff structure Know and understand Agency RM policy and guidance. Coordinate with Records Liaisons Understand records storage operations regardless of record format. 1. 2. These staff manage records at the office level. 3. These are usually not the admin staff s regular duties. 4. 5. [Add Agency specific info on the role and responsibilities of Records Custodians at your agency] [Add links to any documents specific to Records Custodians] For more information please contact your ARO.

  21. Role: [Insert what your Agency calls these staff] [Staff who manage records at the division level (intermediate program/project/ Division/Unit) in your Agency] NARA calls these staff Records Liaisons Records Liaisons should be able to do: 1. 2. Apply a records/retention schedule Know and understand Agency RM policy and guidance/ evaluate implementation Control of share drives (If assigned) Complete a records inventory (regardless of format) Create file plans (regardless of format) Communicate/Coordinate with Agency Records Officer Be familiar with NARA RM regs Conduct RM training for Agency staff These staff manage records at the Division level. These are usually not admin staff s regular duties. 3. 4. [Add Agency specific info on the role and responsibilities of Records Liaisons at your agency] 5. 6. 7. 8. [Add links to any documents specific to Records Liaisons] For more information please contact your ARO.

  22. Role: Agency Records Officer Manages the records management program, establishes polices and procedures, and coordinates records management matters.

  23. Role: [Insert Mission Specialist Job title] Each set of employees who do a specific mission at your agency should have their own set of Records Management roles and responsibilities outlined for them. These mission specialists should be able to: Be aware of their RM responsibilities and how it applies to them Apply the records/retention schedule that covers their particular function Apply the office s files plans and any classification issues surrounding their records Know the appropriate RM staff contact info for additional guidance Know what goes into a Records Series / Agency specific information These groups have records that specifically apply to them. Examples: Senior level agency officials and political appointees Records professionals at all levels within the organization Managers and supervisors Acquisition, contracting, and procurement personnel Attorneys engaged in litigation or advising on records or access to information issues Personnel developing and managing IT systems and applications Continuity of Operations and Disaster Preparedness personnel that manage mission essential records These groups may have specific training needs. For more information please contact your ARO. For additional training on your specific RM responsibilities, contact [Insert your Agency's Records Officer s contact information]

  24. What Are Records, Non Record Materials, and Personal Papers? Lesson 4

  25. What is a Federal Record? Federal Records are any recorded information, regardless of form or characteristics that are .. Examples Include: [Insert examples of your agency's federal records] Made or received by a Federal agency under Federal law Made or received by a Federal agency in connection with the transaction of public business Preserved or appropriate for preservation by a Federal agency or its legitimate successor as evidence of the activities of the U.S. government or because of the informational value

  26. What is Recorded Information? Recorded information is defined as: ...all traditional forms of records, regardless of physical form or characteristics, including information created, manipulated, communicated, or stored in digital or electronic form. 44 U.S.C., 3301, Definition of a Federal Record

  27. Is It a Record? Ask Yourself Examples Include: Was it made or received for official business? 1. [Insert examples of Federal records created at your agency; specific to a role] 2. Does it provide evidentiary support for any of my agency s: policies functions decisions procedures missions programs projects or activities

  28. What are Non-Record Materials? Examples Include: Non-record materials are defined as: [Insert examples of non-records created/used at your agency] ...Library and museum material made or acquired and preserved solely for reference or exhibition purposes, extra copies of documents preserved only for convenience of reference, and stocks of publications and of processed documents. 44 U.S.C., 3301, Definition of a Federal Record

  29. Non-Record Materials Keep in mind that non-record materials are still owned by the agency. Therefore, the materials may have evidentiary value and still need to be turned over for Freedom of Information Act (FOIA) requests. Examples include: Duplicates of documents maintained in the official files and extra copies of correspondence Documents used only for reference or exhibition purpose Catalogs, trade journals and other reference materials Stocks of publications [Insert your agency specific examples here]

  30. What are Personal Papers? Personal papers or files are documentary materials owned by an official or staff member that are not used in the transaction of agency business but that may be in a government office. Personal papers are: Examples include: [Insert your agency specific examples here] Employee copies of their performance appraisal and personnel actions Non-work related email to a friend Magazine article you brought to the office Related solely to an individual's private affairs Not used for agency business Kept separate from agency record and non-record materials Labeled as personal files

  31. Records Lifecycle Lesson 5

  32. Records Lifecycle Phases Records managers often use a model called the Records Lifecycle to describe how a record is handled throughout its lifespan. The records life cycle has three main phases. 1. Create and Receive 2. Maintenance and Use 3. Disposition

  33. Step 1: Create and Receive This includes the capture of records in order to provide adequate and proper documentation of government activities. This includes: Capturing information about the record Connecting related records Identifying the correct records schedule for the record

  34. Step 2: Maintenance and Use This includes: Storing and retrieving records Using records for daily business Securing records and backing up electronic files Choosing good on-site and off-site storage Protecting the accuracy and authenticity of the information Ensuring electronic records are migrated to readable formats when a system of software becomes outdated

  35. Step 3: Disposition This includes: Following the disposition instructions on the records schedule Transferring inactive records to off-site storage Destruction of temporary records Transfer and accessioning of permanent records into the National Archives

  36. Disposition of Records Lesson 6

  37. Disposition What happens to a record at the end of the lifecycle is determined by how valuable the record is to preserving history or the rights and interests of citizens. Most records are considered temporary. Those records are destroyed after they are no longer needed for agency business. A very small percentage of records are considered permanent and are transferred to the National Archives to be kept forever.

  38. Four Types of Records The following sections will provide general guidance on the disposition of 4 types of records: Temporary records Permanent records Unscheduled records Records on legal hold

  39. Temporary Records The records: Examples include: Are destroyed/deleted after a NARA-approved retention period Often require off-site storage when inactive May be kept past the destruction date because of a legal hold or other valid business need Time and attendance files Employee travel documents Procurement files Budget and general accounting files Grant files [Insert your agency specific examples here]

  40. Permanent records Examples include: The records: Executive correspondence of high-level senior officials Directives and policy documents Official USDA reports, decisions, press releases High-level committee files Operating Administration organizational charts Insert your agency specific examples here] Have historical value or other value that warrants permanent preservation Require special care and handling Are eventually transferred to the National Archives Are stored as part of our national history

  41. Unscheduled The records: Are not covered by an approved records schedule Do not have an approved disposition Must be treated as permanent records until a disposition is approved by NARA

  42. Legal Holds Legal holds can affect how long a record must be retained. A legal hold is a communication issued as a result of current or anticipated litigation, audit, Federal government investigation, Congressional inquiry, FOIA request, Privacy Act request, or similar action Legal holds require agencies to keep records until the legal issue is resolved May also be called a hold order, freeze notice, preservation order, or suspension order Agency records personnel will know if any records are under a legal hold

  43. Records Schedules and Storage Lesson 7

  44. Legal Authority The National Archives and Records Administration is the legal authority for what gets saved and what gets destroyed. Our NARA approved records schedules describe our records, how long to keep the records and what to do when we no longer need them. In this lesson, you'll learn a little about records schedules and the file plans that we use at [Insert your Agency/Unit/Office name] to guide how we organize and maintain our records.

  45. Records Schedules In the Federal government there are two types of records schedules that govern how long an agency keeps its records. General Records Schedules (GRS) cover administrative files that are common to most agencies. Agency specific records schedules cover records that are unique to the agency mission. [Insert link to Agency Records Schedules and file plans] [What is a records schedule? provide link to module on the NARA website]

  46. Agency File Plans A file plan provides similar information as the record schedules and is designed to provide instructions for how to handle the records in an office or agency. At [Insert Agency], the information about how long to keep records is in the file plans for each office. The file plans contain a description of the records, the retention period, the records schedule authority for the records, and whether the records are temporary or permanent. Contact your Agency Records Officer to get a copy of the file plan.

  47. Records Storage [Insert agency specific storage information here] Our records are initially stored at Agency offices for one year after the fiscal year is over. After that, we store the temporary records at a NARA Federal Records Center or NARA approved storage facility for the duration of the retention period. At the end of the retention period, permanent records are transferred to NARA for preservation in the National Archives. Temporary records are destroyed or deleted.

  48. Capstone Approach to the Management of Email Records Lesson 8

  49. Capstone Capstone is a simplified approach to managing email records. It is based on the position or role of the email account owner and applies to all official email accounts of those positions. [Insert Agency] uses the Capstone approach to manage email for the agency. The Capstone approach includes high level officials, who's email is a permanent record, as well as all other email accounts, which are scheduled by the role of the person according to GRS 6.1. Capstone applies to anyone who creates, receives, and handles federal records, including contractors and sub- contractors.

  50. Common Issues and Best Practices Lesson 8

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