RECLAMATION AND ENFORCEMENT

DIRECTIVES 

U.S. DEPARTMENT OF THE INTERIOR 

OFFICE OF SURFACE MINING 

SYSTEM 

Subject Code: 

INF-1 

Transmittal Number: 

942 

Date: 

October 8, 2008 

 Subject: OSM Records Management 

 Approval: Brent Wahlquist Title: Director 

1. Purpose. This directive provides policy and procedural guidance for the Office of 

urface Mining Reclamation and Enforcement’s (OSM) Records Management program. 

c. Economy and efficiency in the organization, maintenance, use, and ultimate 

dequate controls over the creation of file materials and prevention of the 

accumu tion of unnecessary files; 

ir 

atic cutoff and periodic destruction or retirement of records using 

ained in the Records Management Manual 

S

Through the application of records management standards and techniques, the following 

objectives are achieved: 

 a. Compliance with Federal and departmental requirements; 

 b. Uniformity and simplicity in maintaining and using records; 

disposition of records; 

 d A

la

 e. Easier classification, filing, retrieval, charging out, and re-filing of records; 

 f Preservation of those records having sufficient continuing value to warrant the

permanent retention; and 

 g System

approved records disposition schedule cont

(Appendix A). 

2. Summary of Changes. The OSM Records Management Directive is being updated to 

Records management requirements for vital records and records 

stored on magnetic media have been incorporated. 

incorporate OSM organizational changes. Appendix A, The Records Management Manual, is 

being updated to incorporate changes in Department of the Interior (DOI) and Federal records 

management requirements. 

3. Definitions. 

 a. Files Maintenance and Records Disposition System encompasses the records 

reation recor ain per 

entation of the policies and transactions of OSM. 

c , ds m tenance and use, and records disposition to achieve adequate and pro

docum
 b. Alte tive Internal Control Review rna documents a specific subset of control areas

versus a review of an entire process. It focuses on documenting control techniques in place for 

control of high-risk areas. 

 c. Annual Summary of Records Holding includes all organized collections of file 

ateria occup fil The 

following information is to be included in each report: 

The total cubic feet of records on hand at the start of the fiscal year. 

ederal records centers during 

e fiscal year. 

estroyed. 

pared to the 

revious year report. 

m l ying es space and equipment, whether of temporary or permanent value. 

 (1) 

 (2) The total cubic feet of records shipped to F

th

 (3) The total cubic feet of records d

 (4) The total cubic feet of records on hand at the end of the fiscal year. 

 (5) An explanation of any significant increase or decrease com

p

4. Policy. OSM’s records management policies consist of: 

b. Effectively and efficiently managing needed records throughout their life cycle; 

d. Including all records in the OSM-approved records disposition schedule within 

yea r acquisition; 

odification, 

ansactions; and 

ent preservation 

and to provide access to unrestricted records for research purposes. 

ies

a. Properly identifying OSM recordkeeping requirements, effectively and efficiently 

managing needed records throughout their life cycle; 

c. Implementing and maintaining an OSM Vital Records Program; 

one r of their creation o

 e. Protecting all OSM records against loss, unauthorized destruction or m

and removal from OSM in order to ensure adequate documentation of organization functions, 

policies, decisions, procedures, and essential tr

f. Ensuring that the transfer of records from one organization to another is 

accomplished to promote program continuity, cost effective storage, and docum

5. Responsibilit . 

 a. The Office of the Chief Information Officer is responsible for records 

management activities in OSM. The Chief Information Officer is responsible for designating the 

OSM Records Management Officer (RMO). 

- 2 - 
b. Assistant Directors, Area Directors, Regional Directors, Field Office Directors, 

Division Chiefs, and Headquarters Heads of Staff Offices are responsible for: 

 (3) Ensuring that all vital records in their custody and needed for emergency 

ords 

ital Records Program chapter of the Department Manual 

ection 380, Chapter 6); 

 (4) Ensuring that the RMO and Records Liaison Officers (RLO) participate in 

tems) and in planning for major modifications to 

isting systems to ensure incorporation of recordkeeping requirements and records disposition 

rocedu ; 

dministration of this program; 

 and 

ies and 

 recordkeeping requirements. 

Re

 (1) Implementing and operating the Files Maintenance and Records 

Disposition System; 

 (2) Establishing official files; 

operations in their jurisdiction are handled in accordance with departmental vital rec

procedures as described in the V

(S

planning for any new electronic information systems (including electronic records management 

and electronic document management sys

ex

p res

 

 (5) Designating RLOs to represent their respective offices in the 

a

 (6) Reporting the designation of RLOs to the RMO;

 (7) Ensuring employees are aware of records management responsibilit

established

 

 c. The cords Management Officer (RMO), located in the Office of the Chief 

Information Officer, is responsible for the OSM-wide direction of policy and oversight for the 

iles Maintenance and Records Disposition System. This responsibility includes: 

ance 

l 

e 

sposition System and 

dvising management officials of findings and recommendations for improvement; 

 (5) Reviewing and evaluating filing equipment utilization and recommending 

appropriate action; 

F

 (1) Planning, formulating, evaluating, and prescribing basic files mainten

and records disposition policies, systems, standards, and procedures; 

 (2) Coordinating the overall files maintenance and records disposition 

program; 

 (3) Providing records management advice and assistance to all organizationa

levels; 

 (4) Inspecting the files at all organizational levels to ensure that records ar

being maintained according to the Files Maintenance and Records Di

a

- 3 - 
 (6) Coordinating, approving, and publishing changes to the Manual through 

hange notices to this directive; 

al Control Reviews and other internal 

views consider a records management component, as appropriate; 

nager for OSM; 

tion 

anagement; 

 g, records disposition activities, and 

other records m nagement matters, as requested; and 

 (11) Coordinating with other bureaus and DOI records management officials in 

d. Records Liaison Officers (RLO)

c

 (7) Ensuring that Alternative Intern

re

 (8) Serving as the Vital Records Ma

 (9) Serving as liaison with the National Archives and Records Administra

(NARA) and other agencies on matters pertaining to records m

(10) Preparing reports on records holdin

a

various DOI records management program activities. 

 

 are responsible for the administration of all 

phases of records man

(2) Evaluating the program’s effectiveness; 

 (3) Coordinating the preparation of records holding reports, records 

(4) Acting as liaison between their offices and the RMO. 

e. Managers and Supervisors

agement within their offices including: 

(1) Coordinating the files operations; 

disposition activities, and other reports as requested; and 

 are responsible for the management of files in their 

offices and will designate a recordkeeper to maintain the files under their control. 

 f. Recordkeepers are responsible for: 

 (1) The establishment, maintenance, operation of file station, and disposition 

g. Employees

of records within their offices in accordance with the prescribed procedures; and 

 (2) The preparation of required reports. 

 

 are responsible for ensuring that they are familiar with basic records 

cords, and for following the basic records management processes of their office to ensure the 

 (1) Creating and maintaining records needed to carry out their assigned duties; 

management responsibilities, including the difference between personal and Government 

re

integrity of the records. Specific responsibilities include: 

- 4 - 
 (2) Filing records according to OSM’s established filing procedures and 

plans; 

 (3) Avoiding duplicate recordkeeping unless absolutely necessary; and 

 (4) Disposing of records in accordance with OSM-approved records retention 

and disposition schedules. 

6. Procedures. The Records Management Manual has been developed to establish a 

system for the uniform organization, maintenance, and disposition of records within OSM. 

ederal law requires that OSM maintain a comprehensive records management program. The 

y-to-

. Reporting Requirements

F

Manual is designed to serve as a comprehensive resource to assist OSM staff in organizing and 

disposing of the vast array of records, documents, and other materials they use in their da

day work. 

7 . The Annual Summary of Records Holding is submitted to the 

 b on request, following the end of each fiscal year. Each recordkeeper will 

bmit a feeder report to the appropriate RLO. The RMO will submit a consolidated report to 

. 

RMO y the RLOs, up

su

the Department. 

8 Effect on Other Documents. Supersedes INF-1 Policy and Procedural Guideline for the 

ffice of Surface Mining Reclamation and Enforcement Records Management System. 

ransm I, and IVto INF-1, dated 

ay 17, 1990, are unchanged by this Directive. 

O

T ittal Number 614, dated May 17, 1990. Appendices I, II, II

M

9. References. 

 a. 44 U.S.C. Chapters 21, 29, 31, and 33 (Records Management) 

b. 5 U.S.C. 552 and 552a (Information Access) 

c. 44 U.S.C. Chapter 35 (Paperwork Reduction Act) 

d. Office of Management and Budget Circular A-130 (Management of Federal 

form n Re

e. Implementing regulations issued by the National Archives and Records 

n part B (Records Management) 

9 

ent Regulations Bulletins 

rds 

Disposition). 

In atio sources) 

Admi istration (NARA) in 36 CFR, Sub

 f. General Services Administration regulations in 41 CFR 201-

 g. NARA and Federal Information Resources Managem

 h. DOI Manuals 380 DM (Records Management) and 384 DM (Reco

- 5 - 
- 6 - 

10. UEffective DateU. Upon issuance 

11. UDistributionU. By electronic format 

12. UAppendicesU. Appendix A: Records Management Manual 

UContactU: Office of the Chief Information Officer, Records Management Officer