Introduction to Federal Records Management Training Sponsored by

Introduction to Federal Records Management Training Sponsored by Presented by Greater Kansas City Keith A. Holden, Records Officer FEDERAL EXECUTIVE BOARD U. S. Department of Agriculture Farm Services Agency Foreign Agricultural Service 1

Course Objectives During this training you will learn: § § § § Records Management Terminology Records Authorities & Responsibilities How to set up and maintain files Records Schedules Archive Records Center Information System (ARCIS) Archiving Records Differentiate a record and a non-record 2

Course Agenda Day One § Module 1: Records Management Terminology § Module 2: What is a Record § Module 3: Records Authorities & Responsibilities § Module 4: Records Lifecycle § Module 5: Records Schedules § Q & A’s Day Two § Module 6: Identifying different Types of Records § Module 7: Electronic Software (ARCIS & ERA) § Module 8: Archiving & Preparing SF-135 § Additional Records Information § Q & A’s 3

Module - 1 Records Management Terminology 4

Terminology Active Records § Records necessary to conduct the current business of an office and therefore generally maintained in office space and equipment. Archives § The non–current records and organization preserved because of their continuing or enduring value. “National Archiving of the United States” mean those records that have been determined by the Archivist of the United States the have sufficient historical or other value to warrant their continued preservation by the Federal Government, and that have been accepted for deposit in the Archivist’s Custody. Cutoff § Ending files at regular intervals, usually at the close of a fiscal of calendar year, to permit their disposition or transfer in complete blocks and for correspondence files to permit the establishment of new files. Case files are generally cut off at the end of the year in which the case is closed. 5

Terminology Disposition § Disposition is the third stage of the life cycle. (1) The actions taken regarding records no longer needed for the conduct of the regular current business of the agency. These action include transfer to agency storage facilities or Federal records center, transfer from one Federal agency to another, transfer permanent records to the National Archives, and disposition of temporary records. (2) The action taken regarding non-records material when no longer needed, including screening and destruction. Federal Records Center § A records center operated by the National Archives and Records Administration (NARA). File Maintenance and Disposition Plan § A plan designating the physical location(s) at which program files are to be maintained, the specific type of files to be maintained there, and the organization elements(s) having custodial responsibility. A document containing the identifying number, title or description, and disposition on files held in a office. Also referred to as file plan. (FSA-290) 6

Terminology Headquarter and Field Office Records Liaison § A person responsible for overseeing a records management program in a headquarters or field office in cooperation with the agency records management officer. General Records Schedule § The NARA issued records schedule governing the disposition of specified records common to several or all Federal Agencies. Inactive Records § Records no longer required to conduct agency business and therefore ready for final disposition. Life Cycle of Records § The management concept that records pass through three stages: creation, maintenance and use, and disposition. 7

Terminology Permanent Records § Records determined by NARA as having sufficient historical or other value to warrant continued preservation by the Federal Government beyond the time they are needed for administrative, legal, or fiscal purposes. Permanent records: Note: Only about 3 to 7 percent of all Federal records are permanent. Records Management § Records Management is defined as the planning, controlling, direction, organizing, training, promoting and other managerial activities related to the creation, maintenance and use, and disposition of records to achieve adequate and proper documentation of Federal policies and transactions and effective and economical management of agency operations. Records Schedules § A document providing authority for the final disposition of recurring or nonrecurring records. Also called records disposition schedule, records control schedule, records retention schedule, or schedule. Includes the General Records Schedules and the program records schedule, which when completed becomes a comprehensive records schedule. Records Series § File units or documents arranged according to a filing system or kept together because they relate to a particular subject or function, result from the same activity, document a specific kind of transaction, take a particular physical form, or have some other relationship arising out of the creation, receipt, or use, such as restrictions on access and use. Also called schedule number or records series. 8

Terminology Temporary Records approved by NARA as approved for disposal, namely destruction or donation, either immediately or after a specified time. The majority of Federal records are temporary; That means even if they are kept for 30 years, they will eventually be destroyed. Temporary records can be program or administrative in nature and existing all formats. 9

Module - 2 What is a Record? H. R. 1233 - Presidential and Federal Records Act Amendments of 2014 11/26/2014 10

What is a Record… 44 U. S. C. § 3301 states, § § A Federal record is an information resource, in any format, that is: § In General, as used in this chapter, the term ‘records’ includes all recorded information, regardless of form or characteristics, made or received by a Federal agency under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the United States Government or because of the informational value of data in them; and does not include library and museum material made or acquired and preserved solely for reference or exhibition purposes; or duplicate copies of records preserved only for convenience. Recorded information defined. For purposes of paragraph, the term `recorded information' includes all traditional forms of records, regardless of physical form or characteristics, including information created, manipulated, communicated, or stored in digital or electronic form. Created in the course of business Received for action, or Needed to document agency activities 11

It is a record when… § The information is created or received by the your agency under Federal law or in connection with the transaction of business. § It contains evidence of your agency, organizations and activities or because of the value of the information contained in the document. 12

Module - 3 Records Authorities and Responsibilities 13

Authorities and Responsibilities § Departmental Regulations Authorities & Responsibilities § Department and Agency Records Officer § Records Management Specialist (RMS) § Records Liaison Responsibilities (RL) § Teamwork 14

Authorities & Responsibilities (DR) 3090 -001 -( Dated 7/28/2008): “Litigation Retention Policy for Documentary Material including Electronically Stored Information” § Both record and non-record documentary material in paper or electronic format frequently become the subject of litigation. Employee create and maintain an increasing portion of business information using computers. This Electronically Stored Information (ESI) must be managed alongside traditional paper records to ensure compliance with Federal laws and records management regulations. While not all paper or ESI are agency records, they may nevertheless be relevant evidence subject to discovery that is compelled or sanctioned by a court of administrative tribunal in litigation. Unmanaged and unidentified ESI residing on USDA computers also poses a threat to the Department’s ability to document and reconstruct business and decision-making processes. 15

Authorities & Responsibilities (DM)-3080 -001 Records Management: § This regulation sets out and summarizes the policies, responsibilities, and procedures for the creation, maintenance, use, and disposition of all records and other documentary materials throughout USDA in compliance with Title 44 U. S. C. Chapters 21, 29, 31, and 33, and Title 36 CFR, Parts 1220 through 1238, Records Management. It also sets out responsibilities of personnel in various USDA positions with respect to records. § The term “record” encompasses documents in all media, regardless of physical form or characteristic, including records created, used, maintained, transmitted, or disposed of in electronic form; machine-readable records that require machine processing for conversion to human-readable form; magnetic tapes, disks and drums, video files, web sites, optical disks, and floppy disks. § This includes records made or received by an agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operation or other activities of the Government or because of the informational value of data in them. § Revised April 11, 2007 to include electronic and email records 16

Authorities & Responsibilities (DR) 3099 -001 -( Dated 07/02/2012): Records Management Policy for Departing Employees, Contractors, Volunteers, and Political Appointees: § This regulation applies to all Federal employees, regardless of type of appointment. In addition, high-level officials and appointees may be required to account for records that could be classified as documentary and/or Presidential records. § It is the policy that within 90 days of employment, all employees including senior officials or political appointees, must be briefed regarding the types of records they will be required to protect and the different methods for meeting the Federal guidelines. § Prior to leaving employment with USDA, or reporting to a new USDA duty location, all departing employees must follow the clearance procedures in accordance with the provisions of this directive. See AD 1106 -2 (Records Management Exit Clearance Form). § 17

Agency Records Officer § Serve as the Senior Analyst on all Records Management matters; responsible for policy and technical program administration of the electronic records management program functions; and coordinates with National Archives and Records Administration (NARA), the Department Records Officer, and the Office of General Counsel (OGC). Records Management Staff § Assist both Headquarters and Field offices in providing records management support and assistance. 18

Records Liaison § Notice AS-2209, (Dated November 24, 2014)-Appointment of Records Liaison (RL’s)” § Responsibilities include, but not limited to the following: § Assist in maintaining, servicing, and disposing of office § § § records. Must learn the program areas functional mission that the records support and know the purpose the records serve. Maintaining the office File Maintenance and Disposition plan. Account for active and inactive records. 19

Records Liaison, cont. Responsibilities include, but not limited to the following: § Ensure that eligible records are promptly prepared to retire or transfer § Being proficient on equipment used for storing and retrieving records from the files (Check out card OF-24 § Knowing and implementing records maintenance and use, and disposition policies and procedures for records maintained 20

Records Liaison, cont Responsibilities include, but not limited to the following: • • Adjusting office records maintenance practices to provide accurate and effective reference services to the users of the records Consulting with the Agency Records Officer about problems that affect creating, maintaining, using, and disposing of records. 21

Teamwork. . we are all working together § Agency Records Officers provides training, technical § § assistance, standards and guidelines. Economical and efficient records management that protect the agency. Agency Records Officers partner with many organizations and agencies to include: § You § NARA § Various Agency's and Departmental Offices § (OIG, DOJ, OMB, and GSA). 22

Agency Records Management Responsibilities § Every Federal agency is legally required to manage its records. Records are the evidence of the agency's actions. Therefore, they must be managed properly for the agency to function effectively and to comply with Federal laws and regulations. § Agency heads have specific legal requirements for records management which include: § Making and preserving records that contain adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency and designed to furnish the information necessary to protect the legal and financial rights of the Government and of persons directly affected by the agency's activities (44 U. S. C. 3101). § Establishing and maintaining an active, continuing program for the economical and efficient management of the records of the agency (44 U. S. C. 3102). § Establishing safeguards against the removal or loss of records and making requirements and penalties known to agency officials and employees (44 U. S. C. 3105) § Notifying the Archivist of any actual, impending, or threatened unlawful destruction of records and assisting in their recovery (44 U. S. C. 3106) 23

Program Requirements Federal Agencies are required to establish and maintain an effective and efficient recordkeeping system and the following recordkeeping requirements shall be implemented. 24

Recordkeeping Requirements Adequate and Proper Documentation § Records that conduct Government business that are complete and accurate to the extent required to document the organization, functions, policies, decisions, procedures and essential transactions of the agency that is designed to furnish information necessary to protect legal and financial rights of the Government and of persons directly affected by the programs activities. § Agencies are held accountable through the proper scrutiny by congress and oversight agencies such as GAO, OMB, NARA, GSA as well as agency auditors and inspectors General’s Office. 25

In addition to the previous requirements there are other reasons to have a Records Management Program to… § Obtain necessary information easily. § Ensure timely access to information. § Control the creation and growth of records. § Improve efficiency and productivity. § Ensure regulatory compliance. 26

As well as…… § Minimize litigation costs. § Safeguard vital information. § Support management decision-making. § Preserve the memory of your office. 27

Module - 4 Records Lifecycle and Labeling Folders 28

Records Creation Records Maintenance and Use Records Disposition 29

Creation First stage of the lifecycle § § § Records are made or received by your agency. Identifies the need for information through new legislation, regulations, or administrative requirement changes to existing program operations or function. Information created or received through manual and electronic systems of records in reports, forms, correspondence and directives. 30

Maintenance and Use Second stage of the lifecycle § § § Any action involving the storage, retrieval & handling of records kept in offices by, or for, your agency. Program offices shall develop the most efficient and effective means of organizing, storing, accessing and retrieving program records. Files Maintenance and Disposition Plan (FSA-290). Tracking and Control Logs. Records Holdings/Inventories. 31

Disposition of Records Third stage of the records life cycle § Action taken regarding records no longer needed for current Government business. These actions include transfer from one Federal agency to another, transfer of general administrative of permanent records to the National Archives. (Prepare and inventory and create “chain of custody letter for signature(s). § When records are no longer needed to carry out daily business activities. § Follow cutoff/disposition information as stated in the approved Records Control Schedule and/or GRS and prepare for archiving. 32

Ways to Improve Records Management § Ensure employees are responsible for proper recordkeeping and put that responsibility in performance standards. § Maintain records needed to document decisions. § Designate a record copy of each document and keep it in an official file. § File records according to the office Files Maintenance and Disposition Plan (FSA-290). 33

More Ways to Improve Records Management… § File reference materials separately from official records (records vs. non-records and temporary vs. permanent). § File on a regular basis. § Designate a record clean-up day at least once a year (or more if appropriate). § Transfer inactive records to appropriate storage. § Know where records are maintained and located. 34

If you… § Create a document with a word processor, type writer, or computer. § File a document in a file folder. § Answer an inquiry from the public. § Respond to a Freedom of Information Act request. § Do anything else that documents your activities on the job. … YOU ARE A RECORDS CUSTODIAN 35

You are responsible for… § Creating records needed to conduct your business. § Recording decisions and actions taken. § Safeguarding records so that information can be found when needed. § Disposing of records in accordance with established records schedules and Federal Regulations. 36

You are responsible for ensuring the… § Safety § Security § Availability § Timely Retrieval § Proper Retention § Transfer ………………. …. OF RECORDS 37

Wake up call What are three stages of a records lifecycle? 38

Labeling Files § For easy reference, records should be placed in labeled folders. * Use straight cut folders, accordion files for loose papers and press board folders for records that are frequently used. § Separate administrative from program records: * Administrative and Program Files with a retention period of over 1 year will have two labels. Review annually and destroy superseded or obsolete documents, or destroy file relating to an employee within 1 year after separation or transfer. 39

Labeling Files (Continued) § Include the identifier such as § For records with a retention project or individuals name § Name include an additional identifier if necessary § Include the file creation or of more than 1 year include disposition instructions from the General Record Schedule open date EEOC -1 File Code Compliant Case Files Jones, John Opened: FY 2007 (LEFT SIDE LABEL) Temporary: Destroy 4 years after resolution of case. (RIGHT SIDE LABEL) 40

Example FSA-290 Files Maintenance and Disposition Plan 41

42

Module - 5 RECORDS SCHEDULES 43

Why We Have Records Schedules § Records schedules help us to ensure that records are maintained and preserved as long as they are needed. § NARA’s regulations require each agency to: § § Develop a comprehensive records schedule. Apply the schedule. 44

Records Schedules § Provide mandatory instructions… § Required by law on what to do with records for current Government business. § Provide final disposition of recurring or non-recurring records. § Help preserve those records that are valuable for historical or research purposes. § Control the growth of records in offices through the systematic disposition of records. 45

Scheduling Records • • • Agencies are responsible for writing their own records schedules. Review existing schedules. § Have your business processes changed? § Have your regulations changed? § Are you still creating the same records? § Do you need to keep records longer or shorter? § Are records being created electronically? Inventory your records. § We highly recommend you conduct an inventory to see 46 what records you have.

There are two types of Records Schedules § The General Records Schedules are issued by NARA to provide for the disposition of temporary administrative records common to many federal agencies § Program Records Schedules are records documenting the unique functions of the agency § http: //www. archives. gov/records-mgmt/ 47

General Records Schedule (GRS) § Issued by the Archivist of U. S. § Provides disposal of temporary administrative records. § Legally mandated in 1978. § Must be used by Federal Agencies to the greatest extent possible. § Use the File Maintenance and Disposition Manual to file administrative and some program records. 48

New General Records Schedules GRS 1. 1 Financial Management and Reporting Records [PDF] [WORD] [CSV] GRS 3 GRS 4 GRS 6 GRS 7 GRS 8 GRS 9 GRS 12 GRS 1. 1 FAQs GRS 1. 1 Crosswalk GRS 1. 2 Grant and Cooperative Agreement GRS 3 Records [PDF] [WORD] [CSV] GRS 1. 2 FAQs GRS 1. 2 Crosswalk GRS 1. 3 Budgeting Records (not yet issued) 2. 0 Human Resources GRS 2. 1 Employee Acquisition Records (not yet issued) GRS 2. 2 Employee Management Records (not yet issued) GRS 2. 3 Employee Relations Records (not yet issued) GRS 2. 4 Employee Compensation and Benefits Records (not yet issued) GRS 2. 5 Employee Separation Records [PDF] [WORD] [CSV] GRS 1 GRS 2. 5 FAQs GRS 2. 5 Crosswalk 49

File Maintenance and Disposition Manual § Why are old programs in the new File Maintenance and Disposition Manual (File Plan)? § What are the new file code numbers? § What is the “Disposition Authority” and why is it important? § Can we destroy records that state they are “Unscheduled”? 50

File Maintenance and Disposition Manual § Allow for a complete filing system to include a 4 digit file code, number, description of records, retention of records and the Disposition Authority. APPL-8 Appeal Case Files – Appeals case files includes correspondence, background materials, requests for review, copies of appeal determinations, copies from the National Appeals Division and other related materials. Temporary: Cutoff files at the end of the year in which case is closed. Destroy 12 years after cutoff. DAA-0145 -2014 -0007 -0001 § Reason for change from the “Records Transfer Desk Reference Guide to the File Maintenance and Disposition Manual. 51

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority Records Schedule: DAA-0145 -2014 -0008 Request for Records Disposition Authority Records Schedule Number Schedule Status DAA-0145 -2014 -0008 Approved Agency or Establishment Farm Service Agency Record Group/Scheduling Group Records of the Farm Service Agency Records Schedule applies to Major Subdivision Farm Service Agency Schedule Subject Tobacco Programs Internal agency concurrences will be provided Yes Background Information TTPP provides payments over ten-year period to quota holdovers and producers of quota tobacco to help them make the transition for the Federal Tobacco Marketing Quota and price Support Loan Programs. Payments began in 2005 and continue through 2014. Item Count Number of Total Disposition Items 2 Number of Temporary Disposition Items 2 Number of Permanent Disposition Items Number of Withdrawn Disposition Items 0 0 GAO Approval 52

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Request for Records Disposition Authority Records Schedule: DAA-0145 -2014 -0008 Electronic Records Archives PDF Created on: 04/07/2016 Records Schedule Items Sequence Number 1 Page 3 of 6 Tobacco Transition Payment program (TTPP) Disposition Authority Number DAA-0145 -2014 -0008 -0001 TPP provides payments over a ten-years period to quota holders and producers of quota tobacco to help them make the transition for the Federal Tobacco Marketing Quota and Price Support Loan Programs. Payment began in 2005 and continue through 2014. Records include eligibility, base quota levels, eligible quota holders, proof of ownership of land, registers, individual contract folders of approved and disapproved applications, reports, compliance, appeals payment records, correspondence and other related records. Final Disposition Temporary Item Status Active Is this item media neutral? Yes Do any of the records covered by this item currently exist in electronic format(s) other than e- mail and word processing? Yes Do any of the records covered by this item exist as structured electronic data? GRS or Superseded Authority Citation Yes N 1 -145 -05 -1, item 3 Disposition Instruction Cutoff Instruction Destroy 5 years after the expiration of program. Retention Period Destroy 5 year(s) after expiration of program. 53

Module - 6 Identifying Different Types of Records/Nonrecords 54

Identifying the different types of…. Records § Non-Records § Personal Papers vs Government Papers § E-Mail § Permanent vs Temporary Records § Administrative vs Program Records § File Types 55

Recordkeeping Requirements In accordance with 36 CFR 1220 Program offices shall: § Distinguish a records from non-records materials. § Manage mission-related documents that are created or received by the program. § Identify new records or recordkeeping systems. § Manage all electronic mail related to the mission of the program. 56

What is a Nonrecord? 57

36 CFR 1222. 14 What are nonrecord materials? § Documentation owned by the U. S. Government that does not meet the conditions of record status or that is for official purposes specifically excluded from status as a record by statute. § Nonrecords include § Library museum material § Stocks of publication § May be disposed of accordingly 58

Nonrecords may include…. § Information copies of correspondence, directives, forms, and other documents on which no administrative actions are records or taken. § Routing slips and transmittal sheets adding no information to that contained in the transmittal material. § Tickler, follow-up, or suspense copies of correspondence provided they are extra copies of the original. § Minor format changes to draft correspondence, report, etc. 59

Nonrecords may also include…. § Extra copies of documents printed or processed documents for which official record exists, such as current and superseded manuals maintained outside the office responsible for maintaining the record set. § Catalogs, trade journals, and other publications that are received from other Government agencies, commercial firms, or private institutions and that require no action and are not relied upon for action taken. 60

Removal of Record or Non-record Materials § 36 CFR 1222. 18 § Each Department officer or employee having custody or § § control over records or other non-record material is responsible to ensure their proper use and protection. No officer or employee shall allow Department records or non-record materials to leave the custody or control of the Department, even on a temporary basis, other than as authorized. This policy does not apply to the authorized release of records or other documents in the conduct of official business. 61

Nonrecords still need to be managed! Guidelines include: § § Minimize the volume of material. § Non-record material should not be interfiled with official records. Arrange by subject, source type, title or number. Index, if necessary, by subject name, title, or author. Save electronic technical reference files in a separate directory. 62

Multiple Records Copies…. Several copies of a single document or form may each have official records status because: because. . § § Each record serves a different purpose. Each record documents a different function. 63

Personal Papers May remove personal files at your discretion without agency permission if… § documents are not related to any agency business. § documents are indirectly related to agency business but outside the scope of the definition of Federal records. § (i. e. , TSP, Health Benefits Notifications, Union, information, etc. ). 64

Personal Papers can include…. § Business or professional files created before entering Government service: § files related to previously held positions, political materials, and reference files § Private files brought into, created, or received in the office, such as § family and personal correspondence and materials documenting professional activities and outside political pursuits 65

Personal Papers include. . § Materials such as diaries, journal notes, personal calendars, and appointment schedules, that are NOT prepared received or used in the process of transacting agency business. § Label file cabinets and/or drawers as “Personal Papers” 66

Government Records Work related documents belong to the Government: § Prior to departure, employees (including contractors) must turn over ALL government records to their supervisors. 67

Responsibility for Maintaining Electronic-Mail (E-mail) Records E-Mails Maybe Records § E-mails that are created or received for action are official records, if they meet the criteria in the statutory definition of records; that is, the e-mail documents the Agency mission or provides evidence of Agency business transactions Deleting E-Mails § E-mails that are not official records may be deleted when no longer needed or according to agency policy 68

GENERAL RECORDS SCHEDULE 6. 1: Email Managed under a Capstone Approach The Capstone Approach offers agencies the option of using a more simplified and automated approach to managing email that allows for the categorization and scheduling of email based on the work and/or position of the email account owner. 010 Email of Capstone officials. Capstone Officials are senior officials designated by account level or by email addresses, whether the addresses are based on an individual’s name, title, a group, or a specific program function. Capstone officials include all those listed on an approved NARA form 1005 (NA-1005), Verification for Implementing GRS 6. 1, and must include, when applicable: Permanent. Cut off in accordance with agency's business needs. Transfer to NARA 15 -25 years after cutoff, or after declassificati on review (when applicable), whichever is later. DAAGRS 20140001 69

GENERAL RECORDS SCHEDULE 6. 1: Email Managed under a Capstone Approach 011 012 All others except those in item 012. Email of Non-Capstone officials. Includes positions and email not covered by items 010 Email of all other officials, or 012 of this schedule. staff, and contractors not included in item 010. This item applies to the majority of email accounts/users within an agency adopting a Capstone Not media neutral; applies to approach. records managed in an electronic format only. Support and/or administrative positions. Includes non-supervisory positions carrying out Note: Agencies only using item routine and/or administrative duties. These duties 011 and/or item 012 of this GRS comprise general office or program support activities may not dispose of any email and frequently facilitate the work of Federal agencies of officials in item 010, Email of and their programs. This includes, but is not limited to, roles and positions that: process routine Capstone Officials, of this GRS transactions; provide customer service; involve without authority from NARA mechanical crafts, or unskilled, semi-skilled, or skilled in the form of another GRS or manual labor; respond to general requests for agency-specific schedule. information; involve routine clerical work; and/or Submission and approval of primarily receive nonrecord and/or duplicative email. NA-1005 is still required in these instances to document those being exempted from Capstone. Temporary. Delete when 7 years old, but longer retention is authorized if required for business use. Temporary. Delete when 3 years old, but longer retention is authorized if required for business use. DAAGRS 20140001 - 0002 DAAGRS 201400010003 70

MODULE - 7 Archives and Records Centers Information System (ARCIS) 71

What is Archives and Records Centers Information System (ARCIS)? § ARCIS was implemented in 2009 § It is a web-based IT System of the Federal Records Centers of the National Archives and Records Administration. The system is an online portal through which our agency can do business with the Federal Records Centers. § Please refer to the ARCIS manual for shipping and receiving records from the FRC. Link to ARCIS Manual: http: //www. archives. gov/frc/arcis/manuals. html 72

WHAT CAN ARCIS DO… ARCIS allows Agencies to: § Electronically conduct all transactions online. § Which will save time and reduce paperwork, and § Track all processed transactions, giving you instant access to information about your records. ARCIS does all of this in a secure, user-friendly environment! 73

ARCIS cont’d • The Farm Service Agency completed its implementation of ARCIS on October 1, 2015. As of this date, all transmittals and request for records from the Federal Records Center must be submitted through ARCIS. • You will no longer be able to retrieve records from the Federal Records Center using the paper process. 74

75

Processing forms using ARCIS § Form OF-11 – Reference Requests information will be completed by the Records Custodian in ARCIS are forwarded to the SRL for approval. § Form SF-135 - Records Transmittal & Receipt information will be completed by the Records Custodian in ARCIS are forwarded to the SRL for approval § Please maintain the OF-11 and SF-135 for your reference. 76

Module 8 ARCHIVING (GETTING STARTED) PREPARING RECORDS BOXES 77

Records Archiving (how to get started) § Separate official records from non-record material. Question(s): 1. Are they temporary or permanent? 2. What dates do they cover? 3. Should be sorted by years? § Within each office you may find various file types § § Administrative Files Grievance Files Budget Files Program Files A file type is defined as a block of records with the same disposition authority and the same retention (disposal dates). 78

Records Archiving (con’t) § § If paper records – ensure that they are letter or legal size folders (accordion or manila). When boxing records, all paper records must be in the appropriate size folders and packed upright. Letter size facing the front and legal size folders should be facing the left side of the box. Pack only one series per transfer (IMPORTANT!!) Group the records in sequential order such as alpha or numeric. For Example: Numeric (If you have labels with GRS No. ) A. GRS 1/30 Administrative Grievance Files Alpha: B. Names of employees (IF YOU DO NOT HAVE A GRS OR 79 PROGRAM NO. )

Records archiving (con’t) § § Use standard Federal Records Center boxes (ONLY) (1 cubic feet), there may be instances where other boxes are acceptable Do not over pack boxes (Leave approximately 2 inches of space in each box for inter files to be added later) Remove any metal objects such as: § § § 3 -ring binders computer binder strips Binder clips paperclips Rubber band 80

Labeling & Numbering Record Boxes § § § Place all folders in the box starting from the front. Close top lid by interlocking the four flaps (If applicable use tape). Use BLACK PERMANENT MARKERS making numbers at least 1”, clearly printed. Accession Number: 3 Digit Records Group (145 for FSA or 161 for CCC Agency Box 2 Digit Fiscal Year 1 4 Number 4 Digit Accession Number Assigned by FRC 0 0 0 1 81

Box List Example… § § § List each box and the title of each folder. Organize the records – chronologically: alphabetical or numerical Note the beginning and ending dates or fiscal year. 145 -FY-_ _ Page 1 of ___ U. S. Department of Agriculture/Farm Service Agency DIVISION/BRANCH/SECTION Prepared by: Jamey Doe, (202)-5555 TOBACCO TRANSITION PAYMENT PROGRAM - ASSESSMENT DOCUMENTS FISCAL YEAR 2013 REPORTS BY TOBACCO PERMIT NUMBER BOX 1 Name • • • Permit No. NU TOBAC INTERNATIONAL TP-AZ-15000 SINGLE STICK, INC. TP-AZ-4 SWEDISH MATCH CIGARS, INC TP-AL-631 82

Archiving Mixed Media § FRCs will accept mixed-media records (e. g. videos, cassettes, CDs, diskettes, etc. ) for storage. § § § Please contact your local FRC before transferring mixed-media records. Describe the non-paper media in item 6(f). Mixed-media records cannot be recycled without screening, the records center will apply additional charges at the time of disposal. 83

SF-135 “Records Transmittal and Receipt” 84

SF-135 § SF-135 contains information about your transfer that enables the RFRC to properly document, store and service your records. § The Records Liaison shall complete and submit the SF-135 along with a detailed box listing of the transfer files to the Records Officer and/or Records Assistant for review and processing. § The Records Liaison should maintain one file copy until all actions are completed. 85

86

FILE DESTRUCTION DATE CALCULATOR • FYI, here is the new calculator link: http: //www. nwcg. gov/committees/incident-recordssubcommittee/resources/irsc-destruct-date-calendar 87

SF 135 – Submission and Approval § Submit SF 135 information and box listing thru ARCIS: § SF-135 information MUST be APPROVED in ARCIS by the SRL’s before the records are sent to Regional Federal Records Center. § Permanent records are reviewed and approved by WNRC archivists. 88

Shipping Records § Shipping boxes: § Agencies must arrange for the shipment of their records within 90 days after receipt of the approved SF-135. If the transfer cannot be made within this period, promptly advise the FRC. § Unexplained delays of more than 90 days will result in the FRC canceling the accession number. The agency will then be required to resubmit the accessioning paperwork, obtain approval for the shipment, and renumber the containers with a new accession number. § Currently, NARA charges $42. 00 for each submitted SF-135. § Records Liaisons and Custodians should avoid re-processing!!! 89

Shipping Records (con’t) § Inquire about shipping requirements before shipping records to any FRC: If the records are being transported a short distance by government vehicle, 50 miles or less, then the flaps of the boxes need only be tucked in. In all other instances, especially commercial transportation or shipment via the U. S. Postal Service, the boxes must be sealed with clear packing tape. § Recommended Shipping Methods: County Records Custodian ships the boxes to the FRC, according to provided guidance and with input from the State Records Liaison. Currently, there are 4 methods for transferring agency records to the FRCs: (1) government vehicle or government-leased vehicle; (2) FRC courier service (if available); (3) authorized ground shipper; and (4) authorized freight shipper. If the boxes are shipped by government vehicle or government-leased vehicle, they must be driven by a government employee or government-contracted employee. 90

Shipping Records(Con’t) § NOTE ON GROUND SHIPMENTS: To ensure your UPS Account Number falls under the Agency’s new Blanket Purchase Agreement, call 800 -742 -5877 to confirm. Let them know your site’s UPS Account should roll under the USDA-Farm Service Agency / UPS BPA. § NOTE ON FREIGHT SHIPMENTS: Though our Agency has found that it is more cost-effective to transfer via ground shipment using current Blanket Purchase Agreements than freight methods, boxes may be shipped on pallets using UPS Freight. We encourage you to perform a cost analysis. § Check with your servicing FRC regarding pallet requirements. Inquire about pallet stacking and the preferred order of boxes on the pallets. Pallets should be securely banded with shrink-wrap, steel, plastic, or cord strapping before shipping. 91

Thank You! For more information, please contact: Keith Holden, Records Officer (202) 772 -9137 Keith. Holden@wdc. usda. gov 92