United States Department of Agriculture
Research, Education, and Economics

ARS * CSREES * ERS * NASS
Policies and Procedures

Table of Contents

1. Introduction
2. Authorities
3. Policy
4. Summary of Responsibilities
     Agency Administrators
     Records Management Officer (RMO)
     Senior Information Resources Management Officers (SIRMO)
     Employees
5. Definitions

1.    Introduction

Federal law requires that the head of each agency shall:

    “. . .make and preserve records containing 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).

This P&P establishes policy for the REE agencies in the maintenance, use, and disposition of all agency records and nonrecord materials. Records are any information documenting agency activities, regardless of who sent or received it, or on what medium it was recorded (e.g., paper, microform, videotape, diskette, etc.).

Manual 251.8, Records Management (currently in draft) provides guidance and step-by-step procedures for identifying, storing, transferring, and determining the disposition of agency records. The agency records schedules which will ultimately be attached to the manual are also being updated. Until these schedules are revised and approved by the National Archives and Records Administration (NARA), employees should contact the Records Management Officer (RMO) to confirm program specific records dispositions and refer to the General Records Schedules available at http://www.ars.usda.gov/afm2/ppweb to determine the appropriate disposition of administrative records (e.g., accountable officer, personnel, and procurement records, etc.).

2.    Authorities

• 18 U.S. Code Chapter 101, Section 2071; &
   44 U.S. Code Chapters 21, 29, 31, 33, & 35.
  
  
• 36 Code of Federal Regulations (CFR) Chapter XII, Subchapter B, Parts 1220-1238.
  
  
• Departmental Regulations (DR):
      DR 3080-1, Records Disposition;
      DR 3040-1, Electronic Records Management Program;
      DR 3040-2, Call Detail Records; and
      DR 3090-1, Vital Records Program.

3.    Policy

Documentary materials created or received by the REE agencies of USDA in pursuance of Federal law or in connection with the transaction of public business are records and the property of the U.S.Government. They must not be removed from agency custody or destroyed without the approval of NARA.. Employees may dispose of records, regardless of media, only in accordance with the General Records Schedules (GRS) or a NARA-approved records control schedule for the agency. Schedules contain NARA-approved retention periods and instructions on what to do with records when they are no longer needed to conduct agency business.

4.    Summary of Responsibilities

Agency Administrators

• Establish and maintain a proactive, continuing program for the economical and efficient management of agency records.
  
  
• Establish continuous and systematic control over the creation, maintenance, use, and disposition of agency records as required by related Federal laws, Departmental Regulations, or agency policies and procedures.
  
  
• Establish safeguards against the unlawful removal, loss or destruction of records.
  
  
• Establish and maintain a Vital Records Program (VRP) under which essential records are managed in the event of an emergency or disaster.

Records Management Officer (RMO)

An employee of ARS-Administrative and Financial Management (AFM), Information Technology Division (ITD), who is designated as the RMO for the REE mission area agencies.

• Promotes records management programs in conjunction with program officials, information resource managers, and senior agency management.
  
  
• Establishes clear and practical guidance in the proper management of agency records through their life cycle (creation, receipt, maintenance/use, and disposition).
  
  
• Provides technical assistance to program managers in establishing records dispositions, and in storing, tracking, and managing records in agency space or at Federal Records Centers (FRC's) and transferring permanent records to NARA.
  
  
• Informs agency officials and employees of penalties provided for unlawful removal or destruction of official records.
  
  
• Works with agency program managers and senior agency management to develop, maintain, update, and properly apply agency records schedules.
  
  
• Develops long-range goals and resource projections for the records and information management programs.
  
  
• Participates in planning and periodically reviewing electronic information systems to ensure that related records are scheduled and have current NARA-approved dispositions.
  
  
• Reviews existing electronic information systems to ensure the authorized and proper disposition of all system and system-related records; evaluates the practicality of the schedule's instructions; and identifies any needed instruction revisions.
  
  
• Provides records management training to agency employees.
  
  
• Serves as the primary agency liaison to NARA and the General Accounting Office (GAO), as necessary, in obtaining approval of proposed records schedules.
  
  
• Manages the retrieval of records from FRC's in response to internal requests, Freedom of Information Act (FOIA) or Privacy Act (PA) requests, routine inquiries from the public, and litigation or discovery actions in cooperation with agency program managers and the Office of the General Counsel.
  
  
• Periodically reviews file stations for conformity to agency file guidelines.
  
  
• Directs agency vital record recovery programs by:
  
  
  • Educating appropriate agency officials and employees in the use, protection, and management of agency vital records.
    
    
  • Assisting program managers in selecting those records essential to the agency's effectiveness during and after an emergency or disaster.
    
    
  • Routinely assisting program managers in reviewing and updating the agency's vital records and disaster recovery program records.

Senior Information Resources Management Officers (SIRMO)

• Provide leadership in assuring that information technology changes conform with NARA recordkeeping requirements.
  
  
• Manage agency computer and telecommunication resources to ensure proper handling of official records contained in the systems.
  
  
• Assist program managers in identifying program and administrative activities that use or need computer and telecommunication resources for managing records.
  
  
• Notify the Program Manager(s) and the RMO of technology changes that affect access methods or the retention of record data.

Information System and Program Managers

• Implement and support records management policies and procedures as they apply to administrative and program functions.
  
  
• Designate file stations and inform the RMO where records are to be stored and of custodians selected to manage them.
  
  
• Periodically review existing disposition instructions, and work with the RMO to assure that records have accurate and current dispositions.
  
  
• Notify the RMO of new or otherwise unscheduled records.
  
  
• Support the RMO in periodically auditing and evaluating agency administrative, program, vital, and disaster recovery records management functions.

Employees

• Maintain records according to NARA, Department, and agency requirements.
  
  
• Learn and properly apply records retention and disposition requirements.
  
  
• Safeguard against unauthorized disclosure and properly destroy records that are national security classified, sensitive, proprietary, or covered by the Privacy Act.
  
  
• Preserve any unscheduled records and notify the RMO immediately of their existence.
  
  
• Initiate action to retire eligible temporary records that are no longer needed to conduct agency business.
  
  
• Initiate action to transfer permanent records to NARA for preservation based on their approved disposition.
  
  
• Initiate action to retrieve records from storage when needed.
  
  
• Keep personal papers separate from agency records.
  
  
• Turn over records to an authorized successor (or to the RMO if one does not exist) when leaving a position or when an office closes.

5.    Definitions

Electronic Information System. An automated recordkeeping system used to organize, coordinate and integrate data relating to information handling activities (e.g., personnel, finance, etc.).

Information Resource Manager. Manager responsible for formulating agency information policy.

Nonrecords. Materials which, unlike records, do not document agency activities and are only used for reference or convenience (e.g., duplicate copies of publications or reports, suspense or tickler files, and information copies of correspondence or forms, etc.).

Personal Papers. Documentary materials belonging to an individual that are not used to conduct agency business. However, such materials may be considered agency records depending on the circumstances of their creation, maintenance, use, and disposition.

Records. Any information, created or received, regardless of media which documents agency activities. Records are those materials that:

• document agency policies and/or procedures;
  
• form the basis of actions/decisions by officials;
  
• allow scrutiny by Congress or oversight agencies; and
  
• protect the financial, legal, and other rights of the Government and individuals directly affected by agency activities.

Within REE, these typically include: hard copies and word processing versions of agricultural, economic, or statistical research or analysis reports; publications; cooperative agreement or grant files; as well as research data in the form of statistical databases; even photographs, maps, microfiche copies of diagrams, or other documentation. For the legal definition of records refer to (44 U.S.C. 3301).

Records Disposition. The final action (with NARA, and GAO concurrence, if necessary) to be taken in managing records. Includes:

• retiring temporary and permanent records to FRC storage,
  
•  transferring permanent records to NARA, and
  
• discarding records by recycling, shredding, and/or simply placing them in the trash.

Records Retention. The time period for which records are required to be kept according to NARA- approved records schedules.

Records Retiring. The process of gaining approval and physically moving inactive (temporary or permanent) records to FRCs for temporary storage.

Records Schedule(s). Documents which include NARA approved retention periods along with instructions on what to do with records when they are no longer needed to conduct agency business.

Records Scheduling. The process of developing a document that provides mandatory instructions for what to do with records (and nonrecord materials) no longer needed for current agency business. This includes establishing destruction instructions for temporary records as well as retention and transfer instructions for permanent records.

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W.G. HORNER
Deputy Administrator
Administrative and Financial Management