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NARA Records Management Training - MIST Instructional Design Project

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INSERT Agency Name Here on Master Slide
Records Management

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Objectives
At the end of this training, you will be able to…
• Describe your recor...

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INSERT Agency Name Here on Master Slide
1. Why Records Management Matters
Sections Overview
2. Laws and Policies
3. Federa...

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NARA Records Management Training - MIST Instructional Design Project

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This training was developed for NARA by a group of students in the Master's of Instructional Science and Technology (MIST) program at CSU Monterey Bay.

This training was developed for NARA by a group of students in the Master's of Instructional Science and Technology (MIST) program at CSU Monterey Bay.

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NARA Records Management Training - MIST Instructional Design Project

  1. 1. INSERT Agency Name Here on Master Slide Records Management
  2. 2. INSERT Agency Name Here on Master Slide Objectives At the end of this training, you will be able to… • Describe your records management responsibilities • Identify Federal records • Describe how to manage Federal records • Identify resources to help you with records management
  3. 3. INSERT Agency Name Here on Master Slide 1. Why Records Management Matters Sections Overview 2. Laws and Policies 3. Federal Records 4. The Records Management Life Cycle 5. Records Schedules and File Plans 6. Common Issues and Best Practices 7. Resources 8. Summary and Review
  4. 4. INSERT Agency Name Here on Master Slide Section 1: Why Records Management Matters
  5. 5. INSERT Agency Name Here on Master Slide Section 1 Objective At the end of this section you will be able to explain why good records management matters.
  6. 6. INSERT Agency Name Here on Master Slide Why Records Management Matters Our records help us to hold our government, and our government officials, responsible for their actions. They also enable us to accurately understand our past and who we are as a nation.
  7. 7. INSERT Agency Name Here on Master Slide • Improves performance, transparency, and accountability by documenting actions and decisions • Helps minimize costs and improves efficiency • Provides continuity in the event of a disaster • Protects records from inappropriate and unauthorized access • Helps an agency meet statutory and regulatory requirements Benefits of Good Records Management
  8. 8. INSERT Agency Name Here on Master Slide Our Agency & Records Management How records management supports the agency's mission and business practices.
  9. 9. INSERT Agency Name Here on Master Slide Section 1 Practice Group Discussion What are some of the benefits of good Federal records management?
  10. 10. INSERT Agency Name Here on Master Slide Section 2: Laws & Policies
  11. 11. INSERT Agency Name Here on Master Slide Section 2 Objective At the end of this section you will be able to summarize the legal requirements for managing Federal records.
  12. 12. INSERT Agency Name Here on Master Slide Laws & Policies Overview 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 of records management are the same for all forms of media that contain Federal record information.
  13. 13. INSERT Agency Name Here on Master Slide Records Management is Similar to… Finding books using an online library catalog Putting together records and information for filing your taxes Saving and locating files on a desktop computer
  14. 14. INSERT Agency Name Here on Master Slide Our Agency’s Policies & Requirements Agency specific content. Please add content.
  15. 15. INSERT Agency Name Here on Master Slide It’s the Law 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. Remember that if you are not taking care of your records properly, then you may be breaking the law!
  16. 16. INSERT Agency Name Here on Master Slide Section 2 Practice Partner activity: Pair up with a colleague to learning about the legal requirements for managing federal records.
  17. 17. INSERT Agency Name Here on Master Slide Group Activity: Records Management Gone Wrong Section 2 Practice
  18. 18. INSERT Agency Name Here on Master Slide Section 3: Records
  19. 19. INSERT Agency Name Here on Master Slide Section 3 Objectives At the end of this section you will be able to: • Distinguish between Federal Records, non-records, and personal materials • Describe how to manage Federal record and non-record materials in electronic media
  20. 20. INSERT Agency Name Here on Master Slide What is a Federal Record? Federal Records are any recorded information… • Regardless of form or characteristics • 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 their informational value.
  21. 21. INSERT Agency Name Here on Master Slide 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
  22. 22. INSERT Agency Name Here on Master Slide What are Non-Records? Non-records 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 are not included.” 44 U.S.C., 3301, Definition of a Federal Record
  23. 23. INSERT Agency Name Here on Master Slide What are Personal Materials? Personal papers or files are documentary materials accumulated by an official or staff member that are not used in the transaction of agency business but that may be maintained in a government office.
  24. 24. INSERT Agency Name Here on Master Slide 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?
  25. 25. INSERT Agency Name Here on Master Slide Section 3 Practice Group Activity: Are These Records?
  26. 26. INSERT Agency Name Here on Master Slide Section 4: The Records Management Lifecycle
  27. 27. INSERT Agency Name Here on Master Slide Section 4 Objectives At the end of this section you will be able to: • Recognize the stages of the records management lifecycle • Explain how legal holds and the discovery phase of litigation affect records handling, retention, and disposition
  28. 28. INSERT Agency Name Here on Master Slide The Records Management Life Cycle The National Archives are the legal authority on what gets saved and what gets destroyed. Your agency’s records officer is responsible for translating the requirements between the archives and your business unit Where to check for this information: • Records schedule and file plans. • These documents include Disposition information, the disposition tells us how long to keep records and what to do when we no longer need them. Create or Receive Maintenance and Use Disposition
  29. 29. INSERT Agency Name Here on Master Slide The Records Management Life Cycle Create or Receive Maintenance and Use Disposition
  30. 30. INSERT Agency Name Here on Master Slide Disposition Disposition information, found in Records Schedule and File Plans, specifies how long to keep records and what to do when they are no longer needed. Contact your agency’s records management office before destroying any records. The following slides will provide general guidance on the disposition of 3 types of records: 1. Temporary records 2. Permanent records 3. Records on legal hold
  31. 31. INSERT Agency Name Here on Master Slide Temporary Records Temporary records may be destroyed after a certain amount of time and may include: • Time and attendance files • Employee travel documents • Procurement files • Budget and general accounting files
  32. 32. INSERT Agency Name Here on Master Slide Permanent Records Permanent records are eventually transferred to the National Archives and permanently stored as part of our national history. Examples include: • Executive correspondence of high-level senior officials • Directives and policy documents • Official reports, decisions, press releases, and high-level committee files • Operating administration organizational charts and delegations of authority manuals
  33. 33. INSERT Agency Name Here on Master Slide 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. • Your agency records personnel will know if any records are under a legal hold
  34. 34. INSERT Agency Name Here on Master Slide Section 4 Practice Records Management Life Cycle Activity: Now that you have learned about the records management life cycle, please complete the practice activity.
  35. 35. INSERT Agency Name Here on Master Slide Section 5: Schedules & File Plans
  36. 36. INSERT Agency Name Here on Master Slide Section 5 Objectives At the end of this section you will be able to: • Describe how records are maintained and filed • Describe what Records Schedules and File Plans are • Describe how agency information technology systems are used for records management
  37. 37. INSERT Agency Name Here on Master Slide How Long Do I Keep Records? The National Archives is the legal authority for what gets saved and what gets destroyed. Your agency records officer is responsible for determining how National Records requirements apply to your agency and unit.
  38. 38. INSERT Agency Name Here on Master Slide Records Schedules and File Plans Record schedules and file plans provide disposition information that tells us how long to keep records and what to do when we no longer need them.
  39. 39. INSERT Agency Name Here on Master Slide Where to Store Agency Records Agency specific content. Please add content.
  40. 40. INSERT Agency Name Here on Master Slide Section 5 Practice Group Discussion: How are records maintained at your agency? What are records schedules and file plans? What technology systems are available in your units for records management?
  41. 41. INSERT Agency Name Here on Master Slide Section 6 Objectives At the end of this section you will be able to: • Describe what to do with record and non-record materials when an employee leaves the agency • Describe what to do when records are removed, lost, or destroyed without proper authorization
  42. 42. INSERT Agency Name Here on Master Slide Best Practices • Keep records organized and stored in a way that protects the record • Follow agency policies for storing, signing out, and using records • Limit unnecessary copies; especially electronic files • Separate records and non records whenever possible • Keep personal materials separate from records • Federal records created during telework must be stored in file system
  43. 43. INSERT Agency Name Here on Master Slide What to Do When an Employee Leaves • Transition records to a new responsible person • Ensure records are identified and organized • Ensure someone can access all electronic files that are records (including e-mails, and password protected or encrypted files) • Ensure employee does not remove, delete, or destroy records
  44. 44. INSERT Agency Name Here on Master Slide Removed, Lost, or Destroyed Records Records Management Publication – Disposition of Federal Records (Chapter 6) Unauthorized Disposition of Federal Records: NARA and agencies are responsible for preventing the unauthorized disposition of Federal records, including their unlawful or accidental destruction, defacement, alteration, or removal from Federal custody. Agencies should carefully monitor the implementation of approved records schedules to prevent such unauthorized disposition. They should also inform their employees that the unauthorized disposition of Federal records is against the law (44 U.S.C. 3106) and may lead to a $2,000 fine, a 3-year imprisonment, or both.
  45. 45. INSERT Agency Name Here on Master Slide 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 • An investigation is usually conducted to determine whether the incident needs to be reported to NARA Example Agency Policy: "An employee shall report any apparent instances of unauthorized disposition to his/her supervisor and the mission area, agency, or staff office records officer.” Removed, Lost, or Destroyed Records
  46. 46. INSERT Agency Name Here on Master Slide What Must be Reported to NARA? • Complete description of record, 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 • Statements of safeguards established to prevent further losses
  47. 47. INSERT Agency Name Here on Master Slide NARA’s Actions Upon receipt of any credible information that records are at risk, NARA will contact the agency as follows: • If the threat has not yet resulted in damage, removal or destruction, NARA will contact the agency by phone promptly and follow-up in writing with 5 days. • If records have allegedly been damaged, removed, or destroyed, NARA will notify the agency in writing promptly with a request for a response within 30 days.
  48. 48. INSERT Agency Name Here on Master Slide Section 6 Practice Group Discussion/Activity: Match the file or document with the record type. File/Document Record Type Employee Travel Documents Permanent Directives and Policy Documents Temporary Official Reports / Press Releases Legal Hold Pending Audit or Investigation Procurement Files
  49. 49. INSERT Agency Name Here on Master Slide Section 7: Resources
  50. 50. INSERT Agency Name Here on Master Slide Section 7 Objective At the end of this section you will be able to identify where to get more information about records management and agency contacts for records management questions
  51. 51. INSERT Agency Name Here on Master Slide Records Management Resources Question / Review Resource To handle your records properly Your Components Records Officer To understand Agency Records Management policy Agency Records Management Program directives and documents To learn about Federal Records Management NARA Website http://www.archives.gov/records-mgmt/ To review the law Title 36 (parts 1200 through 1289) http://www.archives.gov/records-mgmt/laws/ To read the law Federal Records Act of 1950, as amended, codified at 44 U.S.C chapters 29, 31, and 33 http://www.archives.gov/records-mgmt/laws/
  52. 52. INSERT Agency Name Here on Master Slide Agency Records Management Resources Agency Contacts for Records Management (Insert contact information) Field or Headquarters Points of Contact (Insert contact information)
  53. 53. INSERT Agency Name Here on Master Slide Section 8: Summary and Review
  54. 54. INSERT Agency Name Here on Master Slide Summary 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
  55. 55. INSERT Agency Name Here on Master Slide Summary Why is records management 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
  56. 56. INSERT Agency Name Here on Master Slide Summary Who is responsible? All employees and contractors are responsible for the records they create and use
  57. 57. INSERT Agency Name Here on Master Slide Review Question 1 You receive an email asking you to read a standard operating procedures that is stored electronically on a shared drive. The e-mail is considered the routing slip for staffing actions related to the SOP. Is this email a Federal record that you need to save? a. No, it is a personal email rather than official business b. No, it does not have evidentiary support for the policy c. Yes, it was received for official business d. Yes, all emails should be considered a record
  58. 58. INSERT Agency Name Here on Master Slide Review Question 2 You access the shared drive and enter comments into the standard operating procedure. Your comments are instructing the staff to make changes to the standard operating procedures and to update the organizational chart because the office has recently added a new team. Does the office need to keep a copy of the file with your comments as an official record? a. No, the comments do not document how we do agency business b. No, the comments are not considered important enough to keep c. Yes, the comments are evidence of how we determined our policies d. Yes, all my comments are important and are Federal records
  59. 59. INSERT Agency Name Here on Master Slide Review Question 3 You just received an email from a coworker letting you know that some of your friends are going to get together after work and go out for dinner. What should you do with this email? a. Keep it because any email you get may be a Federal record b. Keep it because your agency monitors all your e-mail and you don’t need to worry about it c. Delete it along with all the messages you received today because your inbox is full d. Delete it because the email is personal material, not related to government business, decisions, activities or the like
  60. 60. INSERT Agency Name Here on Master Slide Review Question 4 Which of the following actions represent your responsibilities for managing Federal records? a. Organizing and filing all paper and electronic records b. Destroying materials that make the agency look bad c. Keeping personal papers separated from records d. Storing emails that contain record information e. Coordinating with the Agency Records officer f. Ensuring employees do not destroy records g. Copying any information that I want when I leave the agency
  61. 61. INSERT Agency Name Here on Master Slide Review Question 5 Review each of the following statements. True or False? a. Federal law requires that all records be scheduled for disposition b. Agency electronic information systems must be reviewed by records management professionals for records scheduling c. Contractors can decide their own retention for how to manage Federal records d. Managers and supervisors are exempted from complying with Federal Records management e. Federal records that you create or receive are yours to destroy and/or to remove from your Agency as you decide f. Applying NARA-approved records dispositions improve Agency business operations, reduce costs and space needs, and ensures Federal compliance g. Social media sites may contain records TRUE TRUE FALSE FALSE FALSE TRUE TRUE
  62. 62. INSERT Agency Name Here on Master Slide Thank You!

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