Records Management Flashcards
What is a record?
Records are any papers, books, photographs, magnetic tapes, machine readable materials, microfilm, or other materials which document official actions, decisions, policies or procedures.
Electronic record is any information that is recorded by or in a format that only a computer can process and that satisfies the definition of a Federal record.
Temporary and Permanent records
Permanent records are any Federal record that has been determined by NARA to have sufficient value to warrant its preservation in the NARA.
Temporary records have been determined by the Archivist of the United States to have insufficient value (on the basis of current standards) to warrant its preservation by the NARA. They may be disposed of after the required retention period.
Non-records
Non-records are any Government owned informational materials such as extra copies of documents kept only for convenience of reference, stocks of publications and of processed documents intended solely for reference or exhibition and not meeting the definition of a record.
M-19-21
1.1 By 2019, Federal agencies will manage all permanent electronic records in an
electronic format.
1.2 By 2022, Federal agencies will manage all permanent records in an electronic format and with appropriate metadata.
1.3 By 2022, Federal agencies will manage all temporary records in an electronic format or store them in commercial records storage facilities.
1.4 Federal agencies will maintain robust records management programs that comply with the Federal Records Act and its regulations.
2.1 By 2020, NARA will revise records management regulations and guidance to support Federal agencies’ transition to fully electronic recordkeeping.
2.3 By 2020, OPM will revise position classification standards for archival and records management occupational series to incorporate electronic records management responsibilities and functions.
2.4 By 2022, NARA will no longer accept transfers of permanent or temporary records in analog formats and will accept records only in electronic format and with appropriate metadata.
RMDSI
RMDSI is a Strategic approach to electronic document & records management that will create an Institute-wide program for managing records in a highly efficient, and cost-effective manner, ensuring good information governance and enhanced security of official records.
I.e. RMDSI is going to ensure NIMH has a strong digital records management program for the future.
RMDSI will span across the entire IC and will touch every office and lab.
RMDSI Roles and Responsibilities
Records Program
- Provide guidance
- Manage the planning and implementation of the RMDSI Program
- Facilitate the transfer of analog records to the FRC
Record Liaison
- Responsible for serving as the conduit of information to their ICO when new policies or laws are enacted that pertain to the management of Federal records.
Record Owner
- Identify the analog records for possible transfer
- Financially responsible for the transfer of records to the FRC
- Responsible for facilitating the transfer
Record Custodian
- Oversee the retention schedule of their lab/office records
- File plan reporting in the RSS
- Facilitate the transfer of records to the FRC
File Plan
A file plan describes the records held in a single office, department, or file station (paper or electronic). It combines information from the records inventory and the records schedule to create a simple tool the office uses to organize, retrieve, and maintain its records. File plans can be used to manage records in all formats, including electronic records. A file plan lists each series held by the unit, including its series title, description, and official retention and disposition as specified in the organization’s records schedule. Most file plans also include information about how the records are to be organized (e.g., file by project number) and where the records are to be stored. A file plan can also include other helpful information by identifying records with special storage requirements for security or privacy and by noting which records are backed up off-site as essential records. File plans make it easy for employees to determine where, how, and for how long they should store the types of records specific to their organization.
RSS (Record Retention Schedule)
A records schedule is a listing of the different records series (types of records) that are held in an organization. The schedule names and describes each series, and it tells how long each type of records must be kept. Records schedules in the Federal government must be reviewed and approved by the National Archives. Approved records schedules are mandatory, and they should be reviewed and updated on a regular basis. Some records schedules will specify which program holds the official record for a particular series, but schedules typically do not include information about the storage location of the records. The schedule is developed using information gathered in a records inventory.
SORN
System of Record Notice
HHS publishes SORNs to provide public notice of the records it maintains about individuals which are retrieved by personal identifier. Each SORN describes the types of information contained in the records, the legal authority for collecting and maintaining the records, how the records are used within HHS, and the purposes (referred to as “routine uses”) for which HHS may disclose the records to non-HHS parties without the individual record subject’s consent. SORNs also indicate whether any records are exempt from certain Privacy Act requirements. Only certain types of records, described in subsections (j) and (k) of the Privacy Act, can be exempted. Exemptions require a rulemaking and are not effective until published in a Final Rule.
