# Presentation: 377435

## Everything You Need to Know About Records

**Everything You Need to Know About Records**

**A Briefing for Managers**

**Notes:**
Good morning. Thank you for taking the time to come here today to learn about your important records management responsibilities. 

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## Congratulations on your appointment!	

- 	You’ve  joined a distinguished company of public servants...

**Notes:**
I’d like to add my congratulations on your appointment. Welcome to the agency. I’m sure our agency will benefit from your experience and expertise.
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You have indeed joined a distinguished company.
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## Slide 3

**Notes:**
From the beginnings of our country, public servants have created or received records in the course of doing the people’s business.
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## U.S. Supreme Court, http:/supct.law.cornell.edu/supct/justices/fullcourt.html

**Notes:**
These records document the history of our nation and some of these records have been preserved in the National Archives of the United States.
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## George Bush Library  WHPC-A-P18879(069A)

**Notes:**
Many of the records you create while in your position will contribute to this historical record.
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## You have many important responsibilities!

- Managing people and other resources
- Reporting to the Secretary and the President
- Answering questions from the Congress and the public
*	**and*
- Managing your records

**Managing my records?????????**

**Notes:**
We understand that your position puts many demands on your time:
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Managing the staff and agency resources for one
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Reporting to the President
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Even dealing with oversight agencies, Congress and the public. 
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And among these many important responsibilities is managing your records.
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Yes, managing your records.
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## Managing Records??

- Isn’t that something my secretary does?
- Not entirely.  First, you must set the policy and provide the example for the agency.

**Notes:**
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I know managing your records is often something you think of as the bailiwick of your secretary or administrative assistant.  In reality,
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YOU need to set the records management policy and your leadership will ensure that it is followed throughout the agency. By supporting the records management policy, your leadership ensures that it is followed  Good records management is good business.
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## Why should I care about my records?

- It’s in your interest
- To find the information you need
- To document your accomplishments
- To avoid embarrassment, litigation, loss of security clearance, dismissal from Federal service, prosecution

**Notes:**
Why should you care? CLICK   Well,
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There are times when you will want to refer to information in the files. When you ensure that records are handled properly, you will be able to find the information you need when you need it.
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As your goals for the agency are realized, our records will document your accomplishments.
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Records can help avoid embarrassment, both to you and to the agency. Good record keeping can provide evidence of your actions and decisions to assist our counsel in cases of litigation against you or the agency. Poor record keeping can reflect badly on our accountability to the people and result in charges of mismanagement by you or the agency. In the past, individuals have lost security clearances or been dismissed from Federal service because of poor records management.
(NOTE: If you are aware of specific instances that are relevant to this slide, you may want to bring them up.)
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## Also....

- To protect democratic values

- Rights of citizens

- Accountability of government

- Library of Congress, Prints and Photographs Division cph 3c22425

**Notes:**
But most importantly, 
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We uphold and protect our country’s democratic values when we manage records properly.
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Rights of citizens are documented in our records. For example...
(NOTE: Provide specific examples of records in your agency. For example, INS alien records and Passport Office application records document citizenship, Social Security Administration records document a citizen’s right to benefits, etc.)
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As government employees, our accountability to the people is documented in our records. Financial records document how we spend taxpayers’ money; directives, organization charts and delegations of authority document how we perform our mission; and meeting minutes and memos to the file document decisions and actions.
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## What can I do to avoid records problems?

**Notes:**
Now, it’s OK, this isn’t one of our offices. But it IS a real government office and the records problems are easy to identify. Imagine trying to locate a contract file or a letter from the Chair of a Senate Oversight Committee in here without a map. 

So what do you do so that you don’t fall into this pit?
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## Start right and the rest is easy!

- Separate Federal records and personal files. (most will be Federal)
- Keep Federal records as long as required by law & regulation. The National Archives & Records Administration (NARA) provides authorities specifying retention periods
- Ask your records officer whether you can make copies for personal files
- Ensure that those you supervise are also managing their records correctly

**Notes:**
Get a good start, and keep the momentum going.
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First, separate Federal records from personal files.
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Make sure you know how long you must retain your records. Some retention periods are prescribed by law, all retention period must be approved by NARA.  And all retention periods must be followed.
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Some records may be security classified, subject to the Privacy Act, or otherwise restricted. The records officer can review the records to make sure you can make and keep copies.
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Finally, ensure that your staff manages records correctly by providing a good example.
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## Your records officer can help by...

- Briefing you and your staff
- Identifying new types of records that will need new disposition authorities
- Reviewing separation of personal from Federal records
- Providing tools
- folder labels
- retention lists
- written instructions

**Notes:**
There is a lot of assistance available to work with you on records management issues.
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The records officer can provide more detailed information about records management;
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He/she can visit your offices and review records to ensure that new records are identified and staff know how long to keep them.
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He/she can help you determine which documents are Federal records and which documents are not;
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And provide various tools to make managing records easier.
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## What is a Federal record?

- 1.  Documentary material
- Regardless of physical form (paper, electronic,
- audiovisual, etc.)
- 2.  Made or received by an agency of  government
- 3.  Useful as evidence of agency functions, organizations or activities

**Notes:**
The law clearly defines Federal records:

NOTE: CLICK each point, and read the slide as the points are presented

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## Say that again?

- Did you receive this document as a result of your Federal job?
- Did you create or use this document to conduct or facilitate agency business?
- Did you distribute this document to others?
- Did you put the document in an agency file?
- If not, did you still need to refer to this document later to conduct government business?

**If any answer is “yes”, the document is probably a Federal record.**

**Notes:**
In plain English, 

CLICK and read each bullet

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Applying these questions to the documents in your office will help you identify Federal records.
Remember, if you answer “yes” to any of these questions, your document is a Federal record.
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## Types of Federal records:

- Paper (letters, memos, completed forms, reports, maps, etc.)
- Electronic (databases, e-mail, spreadsheets, geographic information systems, etc.)
- Audio recordings
- Photographic prints and negatives
- Video recordings & motion picture films

**Notes:**
But what kinds of documents are Federal records? Federal records can be
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Paper--what we are use to seeing and dealing with all the time. But as the definition says, records come in many forms. They can also be:
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Electronic--including databases, word processing documents, emails
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Audio records
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Photographs, slides, and negatives
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Video and motion picture films
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## Is my e-mail a Federal record?

- 	Probably yes, unless truly personal in content and use.

**Notes:**
Yes, email can be a Federal record. It may  be in a different format than a paper document, but in content it is no different than any other letter, memo, report or other documents that you receive in your daily work as a Federal employee. 
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## Can I delete e-mail?

**Can I delete e-mail?**

- Ask your records officer:
- Do I have authority from NARA to delete email?
- What is the agency email policy: keeping copies electronically or in paper files?
- How does the agency  capture the whole e-mail record—the transmission data as well as the content of the message?

**Notes:**
Yes, you can delete your email from your computer if certain conditions are met:
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We have gotten approval from NARA to delete email
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(NOTE: This is where you may want to elaborate on your agency’s email policy. If you don’t have one, this is the place to say that it may not be deleted.)
Our agency policy clearly indicates that email can be deleted after a paper copy has been made and filed appropriately. 
Alternatively We have a policy that indicates that email must be kept electronically. 

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According to our policy, you must print out the transmission information--metadata--along with the email message. (NOTE: This presumes that your agency policy is to print the metadata in hard copy. If it is not, indicate what the policy is.) 
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## Can I remove, delete or destroy other types of Federal records?

**Can I remove, delete or destroy other types of Federal records?**

- No!  Not unless your records officer provides a NARA disposition authority
- Unauthorized destruction or removal may result in prosecution and criminal penalties

**Notes:**
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In order to remove, delete or destroy Federal records, we must have approval from NARA in the form of a disposition authority. If we don’t have approval, the records may not be destroyed. 
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Earlier we talked about the consequences of poor record keeping. Unauthorized destruction of Federal records is another example of poor record keeping and is against the law. It can lead to prosecution and criminal penalties.  Good recordkeeping, including following proper disposition authorities, allows us to maintain  records needed for business, and appropriately and legally destroy those that are no longer needed.
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## What are personal files?

**What are personal files?**

- Materials not connected with the conduct of government business
*	**For example:*

** **Files created before entering                      public service
-  Personal, family or social correspondence
-  Insurance or medical papers
-  Your copies of personnel-related documents

**Notes:**
Earlier I mentioned that the first step in good records management is separating Federal records from personal files.
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Personal files are those documents that you may have that are not used in conducting government business.
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While we usually make every effort to keep our official and personal lives separate, there are times when it is convenient to have personal files at work. You may be in the habit of keeping a copy of your family and social calendar at work or pictures of your children or pets in your office. These are clearly personal documents and should not be filed with Federal records.
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## Can I take copies of Federal records with me when I leave?

- Only if the removal of these copies
- Is approved by records officials
- Will not diminish the official record
- Will not exceed normal administrative costs
- Does not include information that

- is security classified, subject to the Privacy Act, or otherwise prohibited from release

**Notes:**
It depends.
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Some things that need to be considered:
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How a copy may affect the official record. For example, a copy may be a part of a larger document that, when viewed on its own, could be taken out of context and not be a true reflection of the official record.
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The administrative cost of making copies. The cost of copying a few,  selected documents is fairly inexpensive. However, the cost of copying many boxes of documents or bound volumes may be excessive.
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Any special restrictions. The records may not be security classified, subject to the Privacy Act, or have any other restrictions on them such as ongoing litigation. (NOTE: If there are any other prohibitions that restrict records in your agency, be sure to mention them here. For example, IRS records are not releasable under 26 U.S.C. 6103.)
(NOTE: If you agency has a process, guidance, policy, etc. for departing officials, mention it here.)
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## Can I donate Federal records?

- Federal records are not yours to donate, but you may be able to donate copies of certain records.

- You may, of course, make arrangements to donate your personal papers.

**Notes:**
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Many Federal officials at your level are approached for donations of records to libraries, universities, foundations, and other private interests.  Federal records belong to the Federal Government, not to the individual employees who create or maintain them, so the decision to make a donation cannot come from any single individual. A discussion with your agency’s records officer, general counsel, and any other interested parties within your agency can determine which Federal records you may copy for donation. 
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Donating personal papers, of course, is a personal choice.  
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## What happens to the records in my office when I leave?

- Some may be needed for continuing business
- Others may be sent to storage or destroyed
- Your “permanent” records will eventually be transferred to NARA

**You can arrange to have access to your records after you leave the government.**

**Notes:**
When you leave, 
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your records will be managed in accordance with our agency’s records management policies. Some may be kept in the office for ongoing business or reference.  
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Some may need to be kept for long term legal, fiscal or administrative reasons. These will be packed in boxes and shipped to a storage facility. Others may be thrown out.
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Roughly 1-3% of all Federal records eventually are transferred to the National Archives where they become a part of our nation’s documentary heritage. Because of your position, many of your records will be included in these permanent records, serving as a record of your public service for historians, the public, and perhaps even your grandchildren.
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If you need to reference your records after you leave your position, we can arrange for you to have access to them.
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## What are the benefits of managing my records well?

- Carry out your responsibilities for records management
- Document your public service
- Save the government money by operating more efficiently
- Ensure accountability to the Congress and the public
- Avoid embarrassment and prosecution

**Notes:**
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By managing your records well, you will ensure that you are fulfilling your records management responsibilities as required.
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Your records will document the realization of your goals for our agency and your accomplishments during your tenure as a public servant.
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Managing records well allows the government to operate more efficiently and will save the taxpayers money.
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As Federal employees, we are accountable to Congress and the public. Good records management ensures that the information needed to respond to inquiries and answer questions is available
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and can save you and your agency from embarrassment as well as possible prosecution or litigation.
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## It’s in your interest!

**It’s in your interest!**

**Notes:**
So it really is in your interest to manage your records well. Good records management allows you to find the information you need when you need it; ensures that you can respond to Congress, the President, and the public; and is one of the basic tools that will allow you to fulfill your goals for our agency.
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## It’s in the public interest!

**It’s in the public interest!**

**Notes:**
Good records management ensures that records needed to protect the rights and interests of citizens are available, allows our government to function efficiently, and provides the information essential for the continuing operation of our democracy.
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## Where can I get more information?

- Consult your agency’s records officer
- Consult the NARA web site (www.nara.gov)
- See the NARA publication:  *Documenting Your Public Service*
- Ask the advice of your agency’s legal counsel, historian, inspector general, and information security officer

**Notes:**
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Please contact me if you need more information or if you staff needs assistance with your records.
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The NARA web site contains a vast amount of useful information about records management that you and your staff may find helpful.
(NOTE: If your agency’s web site includes records management guidance and publications, you may want to mention it here as another source for guidance and information.)
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The publication, “Documenting Your Public Service,” has more detail about the topics I covered today. (NOTE: You may want to obtain copies of this publication from NARA to hand out at the briefing.)
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Finally, there are a number of agency offices where you can get advice on records management issues. You may want to consult the General Counsel, Inspector General, Information Security Officer and the agency Historian. (NOTE: It will be useful if you can include individual names or office symbols in this last section.)
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## National Archives, Still Picture Branch, 4-P-21

**Notes:**
Now that you understand the importance of records management, we are ready to rollup our sleeves and put these concepts into practice to further our missions.

Thank you for your attention. I’d be happy to take any questions or comments.
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