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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Records Management

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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

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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

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Section 1: Why Records
Management Matters

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Section 1 Objective
At the end of this section you will be able to explain why good
records management matters.

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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.

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• 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

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Our Agency & Records Management
How records management supports the agency's mission and
business practices.

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Section 1 Practice
Group Discussion
What are some of the benefits of good Federal records
management?

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Section 2:
Laws & Policies

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Section 2 Objective
At the end of this section you will be able to summarize
the legal requirements for managing Federal records.

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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.

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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

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Our Agency’s Policies
& Requirements
Agency specific content. Please add content.

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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!

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Section 2 Practice
Partner activity:
Pair up with a colleague to learning about the legal
requirements for managing federal records.

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Group Activity:
Records Management Gone Wrong
Section 2 Practice

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Section 3:
Records

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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

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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.

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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

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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

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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.

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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?

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Section 3 Practice
Group Activity: Are These Records?

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Section 4:
The Records
Management Lifecycle

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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

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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

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The Records Management Life Cycle
Create or
Receive
Maintenance
and Use
Disposition

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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

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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

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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

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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

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Section 4 Practice
Records Management Life Cycle Activity:
Now that you have learned about the records management
life cycle, please complete the practice activity.

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Section 5:
Schedules & File Plans

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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

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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.

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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.

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Where to Store Agency Records
Agency specific content. Please add content.

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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?

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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

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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

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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

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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.

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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

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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

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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.

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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

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Section 7:
Resources

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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

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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/

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Agency Records Management Resources
Agency Contacts for Records Management
(Insert contact information)
Field or Headquarters Points of Contact
(Insert contact information)

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Section 8:
Summary and Review

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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

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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

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Summary
Who is responsible?
All employees and contractors are responsible for
the records they create and use

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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

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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

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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

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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

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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

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Thank You!