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Electronic Records | ITA Record Control Schedules |
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| Glossary of Terms
What are recordkeeping requirements? How long should records be retained?
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Introduction
The International Trade
Administration, Office of Organization and Management Support oversees the
ITA Records Management Program. The Records Management Officer
provides advise and guidance to ITA staff at Headquarters, Domestic Field
and the Overseas Post, conducts inspections of official records, prepares
and updates records control schedules (RCS), clears record schedules with
the National Archives and Records Administration (NARA), maintains an ITA
records database of all transfers of records to NARA and approves
records disposal. Federal employees are responsible for making and keeping records of
their work. Federal employees have three basic obligations regarding
Federal records: Policy and Guidance
Records Management Forms
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There are many, though similar, definitions of records
management. One common one is "the field of management responsible for the
systematic control of the creation, maintenance, use, and disposition of
records." From the Federal perspective, it is the planning, controlling,
directing, organizing, training, promoting, and other managerial activities
involved in records creation, maintenance, use, and disposition in order to
achieve adequate and proper documentation of the policies and transactions of
the Federal Government and effective and economical management of agency
operations (44
U.S.C. 2901).
Records management addresses the life cycle of records, i.e., the period
of time that records are in the custody of Federal agencies. The life cycle
usually consists of three stages:
Tools for maintaining and using records include file plans, indexes,
controlled vocabularies, taxonomies, data dictionaries, and access and security
procedures. The main tool used to manage the disposition of records is the
records schedule.
What are recordkeeping requirements?
"Recordkeeping requirements" are defined as all statements in statutes, regulations, and agency directives or authoritative issuances, that provide general and specific requirements for Federal agency personnel on particular records to be created and maintained by the agency (36 CFR 1220.14). Recordkeeping requirements should be outlined in procedural manuals and other issuances that specify which records need to be included in agency files or other recordkeeping systems. Clearly articulated recordkeeping requirements are essential for creating adequate and proper documentation. For more information, consult Agency Recordkeeping Requirements: A Management Guide.
Records are defined in various statues, including the Federal Records Act
and the Freedom of Information Act. The definition that follows is from the
Federal Records Act that governs agencies' records management
responsibilities.
Records include 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, functions, policies, decisions, procedures, operations, or other activities of the Government or because of the informational value of the data in them (44 U.S.C. 3301). Many of the key terms, phrases, and concepts in this statutory definition of records are defined in 36 CFR Part 1222.1
A series is the basic unit for organizing and controlling files. It is a group of files or documents kept together (either physically or intellectually) because they relate to a particular subject or function, result from the same activity, document a specific type of transaction, take a particular physical form, or have some other relationship arising out of their creation, receipt, maintenance, or use (36 CFR 1220.14 ).
Each record series must be scheduled for appropriate disposition. The series concept is a flexible one, and programs should create series by organizing documents in ways that facilitate management of the records throughout their life cycle. For example, each record series in hard copy should be physically separated from all other record series. Electronic records should be managed in ways that link records to their disposition authority, within the context of a recordkeeping system.
How long should records be retained?
The retention period for records depends upon their legal,
fiscal, administrative, and/or historical value. There is not a single retention period
for all records. Some may be
destroyed after a short period, others must be retained for many years, and
still others will be transferred to the National Archives because they possess
sufficient historical value to warrant permanent retention. The determination of the appropriate
retention period is the result of the appraisal process that takes place during
the development and approval of the records schedule.
What is a records control
schedule?
Personal papers are those of a private or unofficial nature
pertaining solely to the employee’s personal affairs. The employee should minimize the volume
of personal papers that are maintained in the office, and personal papers should
be filed separately so that they can be clearly distinguished from the records
of the office.
Vital records are records that are essential to the
continued functioning or reconstitution of the Department and its operating
units during and after and emergency.
Vital records are divided into two categories:
Vital records are duplicate records created and maintained solely in case of an emergency. They may be destroyed when no longer needed because they become outdated or are replaced by more current records. Procedures for the creation and maintenance of vital records and their identification are in the Continuity of Operations Plan (COOP) for each operating unit.
For additional Information on Records Management, contact Nina Harris at 202-482-3585 or e-mail Nina.Harris@mail.doc.gov