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Records Orientation for Employees

Basic Records Management practices
by

Debra Yeager

on 10 January 2015

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Transcript of Records Orientation for Employees

Basic Records Management for BLM FFO staff
Records Orientation for Employees
Records Creation
IT ALL STARTS WITH THE RECORDS LIFE CYCLE
“ All 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 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, function, policies, decisions, procedures, operations, or other activities of the Government, or because of the informational value of data in them.” . . . 44 U.S.C. 3301
BLM must be able to justify the creation or collection of information based upon it’s functions to ensure information is only created for the proper performance of its mission.

During the creation stage records must be reviewed for :
retention value;
maintenance and use requirements and;
scheduled for a disposition authority from the National Archives and Records Administration (NARA).
Maintenance & Use
Involves the organization, storage, access, retrieval, and distribution of BLM records.

Effective and efficient maintenance will result in:

Easy access by authorized users,

Easy retrieval,

Security of proprietary, confidential, sensitive, and Privacy Act-protected information,

Appropriate preservation.
Disposition
The actions taken regarding records when they are no longer needed for current Government business. Records will either be destroyed after a specific period of time OR permanently transferred to the National Archives.
What Is A Record?
What Is A Non-record?
“. . . library and museum material made or acquired and preserved solely for reference or exhibition purposes, extra copies of documents preserved only for convenience of reference, and stocks of publications and of processed documents . . .” - 44 U.S.C. 3301
Examples include:

Duplicate copies
Convenience copies
Supplies of publications and blank forms
Personal papers
Drafts and worksheets
Routing slips, transmittal sheets, and envelopes
Catalogs, trade journals & publications
some important aspects:
The freeze on the destruction of records has been lifted.

Currently, we can destroy any records but it must be in accordance with the Combined GRS/BLM Records Schedules which are found in Manual 1220, Records & Information Management.

Contact the FFO Records Manager for more information at Ext. 7630.
BLM is
NO
longer under a record freeze, We can now destroy any records that have reached the end of their lifecycle.
They may include information such as:

Preliminary drafts,
Pre-decisional information created or acquired during the deliberative process (these might be a record),
Rough notes,
E-mail,
Diaries,
Journals,
Calendars (certain upper management calendars are records),
Schedules, and other similar materials.
“Working Files”
Work-related materials are considered records if they:

Are circulated or made available to employees, other than the originator, for official purposes such as approval, comment, action, recommendation, follow-up, or to communicate with staff about BLM business.

Contain unique information that add a proper understanding of the BLM’s formulation and execution of basic policies, decisions, actions, or responsibilities.
The term Indian Fiduciary Trust Records (IFTR) is defined as:

Records, regardless of format, that reflect the existence of Individual Indian Trust Assets (IITA) and that either:
Were/was used in the management of IITA;
Is a title or ownership record;
Reflects the collection and/or disbursement of income from IITA;
Reflects a communication with a beneficiary (Individual or Tribe); or
Were:
Created for the Bureau of Indian Affairs (BIA), Office of the Special Trustee (OST), or for a Tribe to use in the management of IITA;
Provided to BIA, OST, or a Tribe for the use in the management of IITA;
Used by the Bureau or agency that created to record to manage IITA.
Indian Fiduciary Trust Records
Indian Fiduciary Trust Records

Employees who work with Indian Fiduciary Trust
Records must print and file any e-mail messages
that relate to:

Cobell litigation
American Indian trust reform
Administration of Individual Indian Money (IIM) accounts.

Employees are no longer required to print and
file the periodic reminder notices they receive
reminding them of this requirement and should
dispose of any hard copy print-outs they have
retained of previously issued reminder notices.
The BLM manages more than 126,000 cubic feet of record material.

It is impossible to locate a document in this enormous volume of data without a logical system of paperwork management.

BLM has a system that works - The Integrated Paperwork Management System. It is clean, simple, and considered one of the best in the government.
BLM’s Integrated Paperwork Management System is a group of subsystems designed to provide a “link” for all records of the same subject area.

A four-digit subject code is assigned to every subject for which BLM has interest or responsibility. This code is derived from the Code Federal Regulations (CFR) and links to BLM Manuals, Instruction Memorandums and Information Bulletins, form numbers, correspondence, and the library indexing.
This is a list of the basic subject codes used within BLM.

1000 - General Management
2000 - Land Resource Management
3000 - Minerals Management
4000 - Range Management
5000 - Forest Management
6000 - Wildlife Management
7000 - Soil, Water, and Air Management
8000 - Recreation Programs
9000 - Technical Services

Each subject is broken down further according to what specific subject code is involved, e.g., under 2000 you will locate 2800 (Rights-of-Way); under 3000 you find 3100 (Oil & Gas).
Integrated Paperwork Management System: The Link for all BLM Records!
BLM prizes records for –

Administrative Value:
How is BLM carrying out its mission?

Fiscal Value:
How is BLM utilizing its financial resources?

Legal Value:
What are the rights of BLM should we be involved in litigation?
The National Archives and Records Administration (NARA) prizes records for -

Evidential Value:
They show that something happened.

Informational Value:
They show what happened.

Research Value:
They serve as the raw material for future histories, surveys, articles, and research.
What is NARA?
BLM Records Schedules are:

approved by the NARA,

establish the authority for the disposition of a record,

and are used as guidelines for how we keep a specific records series within BLM.

NARA has produced General Records Schedules (GRS) for records that are common to most Federal agencies. The BLM's Records Schedule is known as the
Combined GRS/BLM Records Schedule.

The schedules:

clearly describe each BLM records series

give cutoff instructions for each records series and state the retention period and disposal instructions

designate access categories for each record

identifies Privacy Act-protected records

identify forms that fall under a specific schedule

and identifies locations of what office the records may be found in such as Washington Office, State Office, or Field Office.

It is mandatory all employees follow the schedules for the records they deal with daily.
BLM INFORMATION CATEGORIES:

Category 1: Public Records

This means the public can view specific records.


Category 2: Non-Public

These records are not available to the public. Members of the public may file a request to see these records under the Freedom of Information Act (FOIA) but that does not guarantee they will be able to see the records.
E-Mail Records
All records will reach a point where they must be:

sent to a Federal Records Center (FRC) temporarily;

to the National Archives permanently;

or destroyed.

Every known BLM record has a specific retention schedule applied to it. Records are not to be kept in an office longer than the approved periods established in the schedules.

All records are Federal property and cannot, under penalty of law:

be hidden,

changed,

stolen, or

destroyed outside of their NARA-approved disposition schedule.
REMEMBER! For the willful and unlawful destruction, damage, or alienation of Federal records, there is a:

Maximum of $2,000 fine

3 years in prison

or both

(see 44 U.S. Code 3106)
Record Series
Records Disposition
What is a
Record Worth?
Any official records sent or received via e-mail on the Internet or the current BLM e-mail system should be -

printed,

a subject code assigned,

and forwarded to Central Files.

Any official e-mail record received by
specific
employees pertaining to Indian Fiduciary Trust issues should be printed with the pertinent transmission and placed in the related case file.
The National Archives and Records Administration (NARA) is the Federal agency tasked to safeguard Government records. NARA is the final authority for how agencies protect, maintain, and preserve their temporary and permanent records. One of the most famous documents in the custody of NARA is the Constitution of the United States.
Contact the FFO Records
Manager at Ext. 7630.
Any
questions?

Records Custodians are responsible for:

Preserving the integrity of official information in their custody.

Properly labeling all filing equipment, file folders, diskettes, and other media in their custody.

Securing and restricting access to any Proprietary/Confidential data in their custody.

Establishing new files as needed.

Disposing of files in accordance with the approved records schedule through the Records Manager/Liaison.

Notifying the Records Manager of any major revisions or disposition of existing files in their custody.

Establishment and day-to-day maintenance of records

Coordinating with the Records Manager or Liaison for records management issues, records inventories, and disposition of records.
Directives
Directives such as:

Instruction Memorandums (IMs),

Information Bulletins (IBs),

Federal Registers,

DOI & BLM Manuals/Handbooks,

and the Code of Federal Regulations (CFR)

may be found in Central Files in most offices.

Signatories of Memorandums Of Understandings (MOUs), Cooperative Agreements, and Interagency Agreements must be in accordance with the current Delegation of Authority (1203).
Central Files
Central Files is a centralized area within each office where you may find a reference library and the Subject Files.

The subject files are general correspondence related to the program and administrative functions of the office. Every document is filed under the pertinent subject code.

Note: Documents related to a case/lease file are not filed into in these files. See 23/1a in the Combined GRS/BLM Records Schedule.
Back issues of this electronic newsletter may be found on the New Mexico State Office records website to inform NM/OK/TX/KS BLM employees on various aspects of records management.

http://web.nm.blm.gov/records/home_page.htm

While "On The Record" is no longer being published these newsletters are very helpful for BLM employees concerning a variety of records management issues.
Custodianship of Records

"On The Records"
Newsletter
A group of records that is filed together and used together. All records scheduled under the same item in a BLM Records Schedule that have the same :

Cutoff Date (year)
Same disposal instructions
Examples:

Wild Horse & Burro Titled Adoption Case Files
Right-of-Way Grant Case Files
Oil & Gas Operational Lease and Well files
Records custodians are designated BLM employees responsible for maintaining records within their physical and legal custody in accordance with the life-cycle management requirements established in program directives and the BLM Manual 1220.

These designated employees are usually identified in the records inventory process.
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