# Presentation: 830264

## Records Management Overview

**Peggy Sanders**
-     NIH Records Management Officer
**Karen Plá**
-     NIH Privacy Act Coordinator

## Regulations

- United States Code
- 44 U.S.C. various Chapters
- 18 U.S.C. Chapter 101
- Code of Federal Regulations (CFR)
- 36 CFR Chapter 12, Subchapter B

**Notes:**
Regulations include
44 USC covers Records Management
18 USC discusses Penalties
CFR – National Archive and Records Admin regulations

These are administered by NARA, through the Department and then through OMA to NIH

## Agency ResponsibilityGeneral Duties

- The head of the agency shall make and preserve records containing adequate and proper *documentation of the* *organization, functions, policies, decisions, procedures, and essential transactions of the agency* to protect the legal and financial rights of the Government and of persons directly affected by the agency's activities.
***44 U.S.C.  Section 3101***

**Notes:**
The Agency Head, in our case, Dr. Kirschstein is legally responsible for ensuring that NIH records  documenting the organization, functions, policy, decisions, procedures and essential transactions of the NIH are made and preserved.

This is necessary to protect the legal and financial rights of NIH and those directly affected by our activities

## Agency Responsibility

- Designate a records management official;
- Integrate the NIH records management program into office operations and ensure compliance;
- Apply the recordkeeping and disposal instructions from the NIH Records Control Schedule to office files; and
- Ensure that adequate records management training is provided to staff.
***   ******36 CFR 1222.20***
-    ***NIH Manual Chapter 1743***

**Notes:**
Program officials have delegated authority to manage the NIH Records Management Program in their respective areas.

You should:
  Designate a contact
  Make records management a regular part of the business processes of your office
  Incorporate the maintenance and disposal requirements as part of your office files; and 
  Ensure your staffs are appropriately trained.

NIH DOA: General Admin No. 14, Records Management; Mail Management 

## What is a Record?

- Documentary material (books, papers, maps, photographs, machine readable materials, or other documentary materials) regardless of physical form or characteristics;
- Made or received by an agency of the United States Government in connection with the transaction of agency business; and
- Preserved as evidence of the *organization, functions, policies, decisions, procedures, operations or other activities of the Government*.                                                        	                                                                                                   	***44 U.S.C. Section 3301***

**Notes:**
Documentary material, regardless of physical form or characteristics
Made or received by NIH in connection with agency business
And preserved as evidence of our organization, functions, policies, procedures, decisions, operations or other activities.

## Importance of Records

- Ensures continuity and consistency in administration;
- Documents official actions and the agency’s organization, structure, and achievements;
- Protects records from inappropriate and unauthorized access;
- Ensures accountability to the Administration, Congress, and the American people; and
- Protects the legal, financial, and other rights of the Government and its citizens.

**Notes:**
Proper maintenance of our Official records is necessary so that we can:
  ensure continuity, maintain consistency, document official actions, research organization, structure and achievements, provide necessary security and limit access, ensure accountability to the Administration, Congress and the American People, and protect the legal, financial and other rights of the government and its citizens.

And when we don’t meet these requirements, it is important to note that there are criminal penalties, including...

## Criminal Penalties

- The maximum penalty for the willful and unlawful destruction, damage, or removal of Federal records is a $2,000 fine, 3 years in prison, or both.                                                                     	                                                                          **	*****18 U.S.C. Section 2071***

**Notes:**
Penalties of up to $2,000 and 3 years in prison for the willful and unlawful destruction, damage, or removal of records

## Records Access Implications

- Congressional Inquiry
- FOIA
- Privacy Act
- Litigation (Subpoena)
- Vital Records (Emergency)

**Notes:**
The practical implication include problems that we have experienced within NIH related to Congressionals, FOIA request and Litigation.

I’ve done numerous presentations across NIH with the NIH FOIA Officer and she has stressed the problems caused when records that should have been destroyed, later turned up and became accessible under FOIA for issues that were then involved in litigation.

I believe Karen has some other examples...

## Good Recordkeeping Practices

- Creating and maintaining accurate and complete records of your agency’s functions and activities; and
- Properly disposing of documentary materials that are no longer needed to conduct business.

## Result of Proper Documentation

- Officials are able to reconstruct the development of their own and their predecessors’ policies and decisions;
- Furnish their successors with information needed to understand past and current actions;
- Leave an enduring record of their public service; and
- Respond to official requests.

## What are Non-Records?

- Extra copies of documents kept only for convenience or reference;
- Stocks of publications and of processed documents (i.e., maps, posters, pamphlets);  *(Note: one set should be designated and maintained as the record, separate from the copies); *
- Library or museum materials intended solely for reference or exhibit purposes; and
- Personal files.

## Examples of Non-Records

## Personal Files	

- Personal files are documentary materials of a private or nonpublic character that do not relate to, or have an effect upon the conduct of agency business.
- Personal files are excluded from the definition of Federal records and are not owned by the Government).

## Examples of Personal Files:

## Electronic Records

- Any information that is recorded in a form that only a computer can process and that satisfies the definition of a Federal record.
- E-mail may be a Federal record.  A complete e-mail record will include transmission data and distribution list (when it was sent, who sent it, and to whom)

## Two Types of Records Control Schedules

- Agency Records Schedule (NIH Manual Chapter 1743)
- Governs the disposition of program and administrative records specific to NIH
- General Records Schedule (GRS)
- NARA issued schedules governing the disposition of records common to several or all Federal agencies.  (for example: travel, payroll, budget, personnel)

## References:

**1742 ‐ Transfer, Withdrawal and Destruction of Records at the Washington National Records Center**
- Provides instructions and illustrations for preparing to retire, transfer, and retrieve NIH records. http://www1.od.nih.gov/oma/manualchapters/management/1742/
**1743 - NIH Records Control Schedule**
- Provides records retention and disposal authority. http://www1.od.nih.gov/oma/manualchapters/management/1743/
**1744 - NIH Vital Records Program**
- Provides information on emergency operating records and       rights and interests records.
- 	http://www1.od.nih.gov/oma/manualchapters/management/1744/

## Records Systems - Minimum Requirements

- Include complete identification documentation including: originators; recipients; appropriate dates and other information necessary for agency business requirements.
- Be capable of organizing and indexing records to properly preserve, retrieve, use, and dispose.
- Be accessible to all appropriate staff.
- Distinguish records from non-record material and personal files.
- Be able to apply the records disposition schedule.

## NIH Records Coordination

- Peggy Sanders, NIH Records Management Officer 496-2832, e-mail: SandersP@OD.NIH.GOV
- OMA contact to the Department and NARA
- NIH Records Listserv “Records-Mgmt-L”
- Quarterly NIH Records Liaison Meetings
- Web Page Guidance:
- 	http://oma.od.nih.gov/ms/records/
- 	http://www1.od.nih.gov/oma/manualchapters/management/1743/

## Questions?