97154. Unless otherwise noted, these requirements apply to all electronic records systems, whether on microcomputers, minicomputers, or mainframe computers, regardless of storage media, in the network or stand-alone configurations. Your Records Liaison will maintain custody of the File Plan, but you should keep track of which records you have so that you can help your Liaison keep the File Plan up to date. That can be a time-consuming and risky process, because you are not allowed to remove any information that is part of the government record. (18 U.S.C. Recognize which materials you do and dont need to keep. 2023 Supervisors and Managers: What You Need to Know about Whistleblower Protection, Prohibited Personnel Practices, and Retaliation, 2023 Uniformed Services Employment and Reemployment Rights Act, 2023 HHS Cybersecurity Awareness Training, 2023 Introductory Role-Based Training for Executives and Managers, 2023 Introductory Role-Based Training for IT Admin- Level 1, 2023 EEO Awareness and No FEAR Act Training, Federal employees, contractors & other users that support the operations and assets of the agency, Annual/ can be used to satisfy the annual Role Based Training Requirement, Federal employees, contractors & other users who are assigned to activate, support and sustain continuity operations, All career federal financial disclosure filers and OpDiv and StaffDiv supervisors are also able to determine whether they would like to make this training mandatory for their employees. Recommend designation of Records Managers (RMs) to support the OpDiv ROs in the implementation of recordkeeping requirements for major programmatic and administrative records. However, if other people make significant changes to your document, the drafts containing those changes are records and you must keep them. Someone else is. All Federal records have a life cycle. (36 CFR 1224.10(c))6. Unless you have a permanent Capstone account, your emails will be held in the Librarys email system for exactly seven years from the day they are created. The National Archives and Records Administration, or NARA, oversees how all Federal agencies manage their records, from creation through disposal. Temporary records are records approved by NARA for disposal after a specified retention period. Think about how much extra work and turmoil it would create if you didnt know where the necessary files were when it was time to train a new employee to take over someones job! What is an automated management process which allows records professionals to prepare SF 135s? The contractor must also ensure subcontractor compliance with this training requirement. Managing our records preserves the Library's operational history, and it helps us do our day to day work more efficiently too; we all need to be able to locate, share, and use the information we need when we need it. Who is at the lowest level on the Records Management hierarchy but their duties in the Records Management Program for their office are extremely important? 552a (2016), Producing Documents, Electronically Stored Information, and Tangible Things, or Entering onto Land, for Inspection and Other Purposes, Federal Rules of Civil Procedures, Rule 34 (2014), Delivering Government Solutions in the 21, National Archives and Records Administration (NARA) Bulletin 2010-05: Guidance on Managing Records in Cloud Computing Environments (2010), NARA Bulletin 2014-02: Guidance on Managing Social Media Records (2014), NARA Bulletin 2015-02: Guidance on Managing Electronic Messages (2015), NARA Criteria for Successfully Managing Permanent Electronic Records, (2018), NARA Guidance on Records Management Language for Contracts (2019), OMB Circular A-130, Management Information as a Strategic Resource (2016), OMB/NARA Directive M-12-18, Managing Government Records Directive (2012), OMB M-14-16, Guidance on Managing Email (2014), OMB/NARA Directive M-19-21, Transition to Electronic Records (2019), Public Law 113-187: Presidential and Federal Records Act Amendments of 2014, (128 Stat. conducts health studies, assemblies, and education training to pretend exposure to hazardous substances in waste sites CDC: centers for disease control and prevention monitors and prevents outbreaks of diseases including maintaining stats and providing immunizations CMS: centers for medicare and medicaid services And it is the law because proper record keeping is essential to a responsive and responsible government. So, if we are supposed to keep records, we need to know what they are and what they arent. If we dont dispose of records on schedule, the Library can waste time looking through records that should have already been destroyed. Publications, forms, manuals, brochures, and other types of processed documents that are stocked and distributed by the Library to customers or employees are not records. They just convey routine information, such as meeting reminders, staff whereabouts, announcements about Library events, and similar messages that inform you and your colleagues of activities but dont communicate significant information about your work. Providing records management expertise and participating in the review and development of proposed electronic records management systems. Ensuring a departing contractors record materials, including email records, have been reviewed prior to the contractors departure. Quiz & Worksheet Goals. Records schedules must be in place for all HHS records. Purpose The purpose of this Policy is to establish the principles, responsibilities, and requirements for managing HHS records. Additional contract language can be found on NARAs web publication, Records Management for Contracts at https://www.archives.gov/records-mgmt/policy/records-mgmt-language. 2003, Date: 11/26/2014), Universal Electronic Records Management Requirements (2017), HHS Agency Records Control Schedules (2019), General Record Schedule 6.1: Email Managed under a Capstone Approach (2017), HHS Policy for Rules of Behavior for Use of Information and IT Resources (2019), https://www.archives.gov/records-mgmt/policy/records-mgmt-language, https://www.archives.gov/about/laws/disposal-of-records.html, https://www.archives.gov/about/laws/records-management.html, https://www.archives.gov/about/regulations/regulations.html, https://www.archives.gov/about/laws/fed-agencies.html, https://www.law.cornell.edu/uscode/text/18/641, https://www.law.cornell.edu/uscode/text/18/2071, https://www.archives.gov/files/records-mgmt/policy/m-19-21-transition-to-federal-records.pdf, Disposition Dispose or destroy (temporary records) or transfer to NARA (permanent records). If you dont need to act on it, your copy of the information distributed at the meeting is a convenience copy, and you do not need to keep it. 2901 2910 (2011), Records Management by Federal Agencies, 44 U.S.C. The most common forms are paper or electronic documents, including email. i Information. Records Management Training - Additional to Security Awareness training, the HHS Records Management Training is a mandatory requirement outlined in the HHS Policy for Records Management and the Office of Management and Budget (OMB)/National Archives and Records Administration (NARA) joint Directive M-19-21, Transition to Electronic Records. Dont worry, email archiving is an efficient way to store older messages, and you will find that it has a very powerful search engine, so you should be able to find your archived emails easily if and when you need them. That period may range from very short to very long, but temporary records must be destroyed at some point, once they are no longer needed for regular business. Coordinating records management issues with other federal and regulatory agencies, including NARA, OMB, GSA, GAO, and OPM. DO delete transitory records, non-record materials, and personal emails regularly, as soon as you no longer need them for information. Managing our records preserves the Librarys operational history, and it helps us do our day to day work more efficiently too; we all need to be able to locate, share, and use the information we need when we need it. And did you know that all records and extra copies that are kept too long can create problems in litigation? Include instructions on how data will be migrated to new formats, operating systems, etc., so that records are readable throughout their entire life cycles. Think about how difficult it is to find the document youre looking for in an overcrowded office full of outdated materials, or mixed in with hundreds of files on a computer. Extra storage space for paper or electronic records costs money too. LMS/SCORM - Download the LMS/SCORM file for use in your agency's learning management system. Your duplicate copy of any document that someone else created is not a government record as long as it does not require you to take any direct action or make a decision that impacts the Library. During a legal case, the Library may be required to search for all relevant documents in its possession. ERM requirements are a starting point for OpDivs and StaffDivs to use when developing recordkeeping and record management system requirements. They belong to you. Reviewing disposition schedules for official records for legal sufficiency and provides instructions for implementing litigation holds required to comply with legal requirements. During this phase, the record that someone created or received is filed in the office and used for work. You will receive your score and answers at the end. ), are collected, organized, and categorized to facilitate their preservation, retrieval, use, and disposition. You'll find questions that challenge your understanding of file record maintenance, contingency. Coordinating modifications to the office file plans and agency records schedules. The cycle has three phases: Lets examine your responsibilities in each phase. We use email to share different kinds of information, ranging from important records of Library business to momentary updates of who, what, when, and where. But they can also occur as paper documents and in other formats that are part of the regular exchange of information that takes place at work. (44 U.S.C. Records documenting the collections must remain separate from collections materials. If they do not contain P.I.I., destroy them by recycling them. Stock publications. . Unscheduled records are records whose final disposition has not been approved by NARA. Who grants the Managing Attorneys access to specific folders by request as necessary? Once you no longer need to keep a record because you are finished working with it, tell your Records Liaison. (NARA Bulletin 2014-02: Guidance on Managing Social Media Records (2014)), The use of text messaging may create federal records that must be captured and managed in compliance with federal records management laws, regulations, and policies. Coordinating the development and implementation of the HHS records program. Integrating records management procedures and activities into HHS Chief Information Officer (CIO) policy and planning. Please note that this appendix is subject to change at any time. Describe why Records Management is important to the Library. Thereafter, the employees must complete annual Records Management training throughout the life of the contract. Define which copy of records will be declared as the agency's record copy and manage these in accordance with 36 CFR Part 1222. Agencys responsibility working with contractors, An OpDiv and StaffDiv maintains responsibility for managing its records whether they reside in a contracted environment or under agency physical custody (see 36 CFR Part 1222.32 (b)).4 Attention: This is an accessible version of the Records Management Basic Awareness course intended only for Library of Congress staff using screen-reader assistive technology. Use automated processes to manage the electronic records of an agency. We will look at that distinction shortly. Each OpDiv and StaffDiv is responsible for establishing, in consultation with continuity of operations (COOP) points of contact, an Essential Records program to select and safeguard records that would be required to ensure continuity of essential functions during and following a national disaster. Do not change, destroy, or overwrite those edited copies. These employees are identified by their positions, and their email accounts are designated as special accounts, called Capstone accounts. Each HHS OpDiv and StaffDiv must provide records management training to all staff to ensure they are aware of their responsibilities to maintain and safeguard department records, including the obligations under this Policy. This Policy provides the framework for records management program guidance and operating procedures. And did you know that you should never use your personal email account for Library business? Records can be numeric, graphic, and text information; media can include, but are not limited to, magnetic media, such as tapes and disks, and optical disks. Your work is evidence of the Librarys work. Inserting a records management clause in contracts ensuring contractors are aware of and adhere to HHS records management policies. The second phase of the records life cycle is Maintenance and Use. Save all records for the appropriate amount of time, according to the official instructions authorized by the Government. But records can also exist in other forms, such as audio and video recordings, websites and social media, electronic systems, or microfilm. Welcome to the updated visual design of HHS.gov that implements the U.S. true. Ensure that the departing employees federal records have been turned over to the appropriate successor or official to permit continued preservation of the Department federal records. Let your Records Liaison know if you have any records that are not listed in the File Plan or if you have any records that are no longer active and can be transferred to the Records Management office for storage or dispositionand. With guidance and approval from NARA, every Federal agency creates its own customized set of disposition instructions for the records it uses in its agency business. Using information from the System Inventory in the various reporting and oversight requirements. Annually inform all agency personnel of their records management responsibilities in law, regulation, and policy, and provide training specific to the practices and policies of the organization. A template of a general records management clause for use in contracts or similar agreements can be found in Appendix D. 6.1.3.1. This is a time for your office to review its inventory of active records, update the File Plan, remove records that are eligible for disposition, and destroy unnecessary non-record materials. Signed Appointment Letter - Record. You'll find questions that challenge your understanding of file record maintenance, contingency plans, types of records, and more. During this phase, the inactive record should still be kept, but it should be stored separately from active records that are still being used. Ensure that departing employees federal records have been identified and properly disposed of in accordance with approved records disposition schedules before the employees departure. Some records are more valuable as legal or historical evidence of the Librarys work than others. You also create and receive some documents that are part of your daily workflow, but they dont capture important information about the Librarys work. Welcome to the updated visual design of HHS.gov that implements the U.S. And it helps the Library meet its responsibilities in case of a lawsuit. Records management training serves as a reminder of the responsibility to maintain and protect IHS records. Quiz, Business Records Classification & Categories Ensure that the chain of custody document has been completed and signed before the employee departs the agency. It is equally important to destroy less valuable records or convenience copies and other non-record materials soon after they are no longer needed. This course is designed to help you know your basic responsibilities for managing federal records, including the laws, policies, and procedures that govern federal records management. The Librarys version of these instructions is called the Library of Congress Records Schedule, or LRS. OpDivs and StaffDivs must identify these federal records and determine how they will be managed. Because most of our office work is done on computers, most of the records we create exist in electronic form. It saves money by efficiently storing and disposing of documents that are no longer needed for business. Completing annual records management training. Delegates oversight responsibility for the Department-wide records management program to the Chief Information Officer (CIO). Disposition specifies how long a particular type of record must be kept in the office where it is being used, if and for how long it should be stored off-site, and, most importantly, when it must be destroyed or transferred to NARA for permanent safekeeping. To sum it up: Think carefully about every email message before you delete it. The Records Management office is required to notify NARA if the unauthorized removal or destruction of any records has occurred at the Library. A system generated e-mail notification is sent. You will be able to take your personal papers with you, and you may do so without permission. 36 CFR 1220.14 Defines records management as: "The planning, controlling, directing, organizing, training, promoting, and other managerial activities involved with respect to records creation, records maintenance and use, and records disposition in order to achieve adequate and proper documentation of the policies and transactions of the federal government and effective and economical . One. But your primary contact for help with records management is someone right within your own office. If you are directed to act on something discussed at the meeting, your copy of that information and any notes you take about it are government records. Many emails are just day to day communications that dont document significant actions or decisions. Plus, get practice tests, quizzes, and personalized coaching to help you succeed. If the OpDiv and StaffDiv has identified text messaging content as federal records, it must determine whether an existing disposition authority applies, including the General Records Schedule (GRS). Distinguish between Federal records, non-record materials, and personal papers. All contract employees who have access to (1) HHS federal information or a federal information system or (2) personally identifiable information, must complete the applicable OpDiv and StaffDiv Records Management training before performing any work under their contract. Managing prompt disposal of temporary records stored in Federal Record Centers and the timely transfer of permanent records to NARA. Launch Training. Extra copies of documents are non-record materials, and you can keep them as long as you need them for work, but no longer than that. Reviewing responsive federal records provided by HHS employees, contractors, interns, and fellows for release to the public under the FOIA. A lock (LockA locked padlock) or https:// means youve safely connected to the .gov website.
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