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 Student Trainee (SCEP), Secretary, Program Support Asst. Fort Collins, CO (Area Office) Admin. Support Asst., Purchasing Agent, Property Management Technician, Realty Specialist Realty Specialist Member of the Areas Administrative Management Team with responsibility for both real and personal property. Northern Plains Area: Colorado Kansas

Montana Nebraska North Dakota South Dakota Utah Wyoming 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.

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

If you were absent, can we find the document we need? USDA-ARS-NPA, 2010 Photo Source: NARA, 2010 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 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 USDA-ARS-NPA, 2010 Source: NARA, 2010 Record Any book, paper, map, photograph, machinereadable, or other documentary material, regardless of physical form or characteristics made or received by an agency of the U.S.

Government. USDA-ARS-NPA, 2010 Source: NARA, 2010 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 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 USDA-ARS-NPA, 2010 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)

USDA-ARS-NPA, 2010 Source: NARA, 2003 E-M A I L E-mail messagesboth incoming and outgoingare 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? USDA-ARS-NPA, 2010

Source: NARA, 2010 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

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 offices 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. USDA-ARS-NPA, 2010 Source: NARA, 2010 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.

USDA-ARS-NPA, 2010 Source: NARA, 2010 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 USDA-ARS-NPA, 2010 Source: NARA, 2003 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 USDA-ARS-NPA, 2010 Connie Wooten Fargo, ND NPA Files Management Improvement Team Vision: A files management plan that meets todays 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 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

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

USDA-ARS-NPA, 2010 Asset Management Retention Schedule Building & Equipment Service: requests for routine building & Locations: destroy 3 months after work is equipment, maintenance services, performed or requisition is cancelled excluding fiscal copies Source GRS 11 Item 5

Capital Project and Repair Plan (CPRP): validated and approved facility projects at location Area Office: Proposed Projects: destroy when 5 years old; Completed Projects: destroy when no longer needed for administrative purposes (e.g., renovations and repairs) NC1-310-80-2, Item 146 Energy Audit

Area Office: destroy after 4 FY old. Cut off at the end of the FY when audit is superseded. NPA (GRS 11, Item 1) Facilities: engineer inspection & maintenance reports Area Office: destroy after 3 years Locations: destroy after 5 years NC1-310-80-2, Item 152

Quarters Rental Case Files including: revocable permits, rates, REE-17, agreements, appraisals, copies of leases, renewals, termination notices, & related documents Area Office: destroy 3 fiscal years following close of fiscal year in which (a) lease termination, lapse, or cancellation occurs or (b) litigation is concluded, whichever is later. GRS 15 Item 4 Locations: destroy 1 year after termination of permit or when no longer needed for admin

purposes, whichever is later. NARA Files Specifically Approved for ARS NC1-310-XX-XX http://www.archives.gov/records-mgmt/ Rainbow Folders NPA File Management Label Requirements Category Sub-category Name/Unit/Project #

Current Year Disposition Information Examples Personnel Volunteer Timesheets Smith, Jane NRMRU CY-2010 1/1/2016 Contracting/Acquisition

APC Quarterly Audit Rpt Smith, John A. Quarter 2 FY-2010 Grain, Forage & Bioenergy Research Unit CY-2010 years Property - Personal

Property Passes Shred Shred FY 2013 Destroy 3 after expiration Budget & Finance Period-End Estimates USDA-ARS-NPA, 2010 Agricultural Systems Research Unit

FY-2010 Destroy 1/1/2016 (6 yrs, 3 months) Example of File Folder with three labels *Folder utilizes category color coding (Personal Property-Pink) File Destruction Date Calculator http://www.nwcg.gov/policies/records/destructdate/destruct.htm (National Wildfire Coordinating Group) Source: NARA, 2010

Questions USDA-ARS-NPA, 2010

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