A21_REIM_Guide_and_Records_Schedule.pdf

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REIM Guide: Preserving the NPS Legacy

“Resources cannot be managed in the future without complete records of how they were managed in the past.”

Contents of this Guide

• Introduction and Executive Summary o Prefatory Note 6 o REIM: The Path to Legacy Preservation and Business Efficiency 7 o The 1953 Recordkeeping System (1953-2009) 7 o The 21st Century Recordkeeping System 9

• Module 1: Identifying Records to Protect the Legacy of Resources o Why is REIM Important 13 o Defining and Identifying NPS Records 13 o Mission Critical Records 14 o Records of Senior Officials 16 o Resource Management Records 17 o Associated Records 18 o Drafts and Working Papers 18 o Transitory and Non-records 19 o Personal Papers 20

• Module 2: The 1953 Recordkeeping System o The 1953 Recordkeeping System 23 o The 1953 Recordkeeping System File Code Descriptions 23 o How the Superseded File Codes were Applied 24 o How the Superseded File Codes were Used 25 o The Crosswalk 26

• Module 3: The 21st Century Recordkeeping System o Mission Critical Records 64 o Media Neutrality 64 o Specific NPS Record Retention Periods and Instructions 64 o File Plans 65 o Category 1: Resource (Cultural/Natural) Management 68 o Category 2: Protection and Safety 85 o Category 3: Wildland Fire Management Records 94 o Category 4: Park Facilities and Maintenance 99 o Category 5: Commercial Visitor Services 107 o Category 6: Interpretation and Education 115 o Category 7: Partnerships 123 o Category 8: National Assistance Programs 127 o Category 9: Information and Public Image Management 140 o Category 10: Management and Accountability 148

“Resources cannot be managed in the future without complete records of how they were managed in the past.”

• Module 3: The 21st Century Recordkeeping System o Introduction & National REIM Program Contacts 159 o Section 1: Establishing a REIM Program 160 o Section 2: Identifying and Protecting Resource Management Records 161 o Section 3: Designate A TIC Liaison 161 o Section 4: REIM Training 162 o Section 5: Establishing REIM Procedures for Department Employees 163 o Section 6: Establishing a Standard Recordkeeping System 163 o Section 7: Instituting File Plans 164 o Section 8: Mandating the National Archives’ Federal Records Centers 165 o Section 9: Managing Electronic Recordkeeping Systems 166 o Section 10: Protecting Against Technological Obsolescence 167 o Section 11: Capturing Records/Electronic Info Generated Under Contracts 167 o Section 12: Capturing Records Documenting Copyright 168 o Section 13: REIM Audits 168

• Glossary 170

• Appendices 174 e Recor

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Contents of this Introduction and Executive Summary

• Prefatory Note 6

• REIM: The Path to Legacy Preservation and Business Efficiency 7

• The 1953 Recordkeeping System (1953-2009) 7

• The 21st Century Recordkeeping System 9

“Resources cannot be managed in the future without complete records of how they were managed in the past.”

Prefatory Note

The records of the National Park Service (NPS) include documentation to tell future generations the impressive story of the guardians of the nation’s great natural, cultural and recreational areas.

These records contain information ensuring our accountability to the public and Congress. The value and service of these records lies in their continuous availability in making future management decisions.

Records management is an essential part of the administration of the National Park Service and is legally mandated in order to improve efficiency and ensure accountability. In an organization as varied in function and place as the National Park Service, an effective program must be instituted to control the creation, maintenance, and use, and disposition of records.

The Modules of this Guide and the related Standard Operating Procedure (SOP) documents provide the necessary step-by-step instructions for all NPS employees to effectively and uniformly manage and preserve the records and electronic information that document the Agency’s mission in the 21st Century.

• Module 1 will help employees learn to identify what is a record and what is not, as well as their role in records management process. It will also provide Senior NPS Officials some clarity on their role in records management within the NPS. A number of Standard Operating Procedures (SOPs) will accompany this module.

• Module 2 explains the NPS recordkeeping system in place before 2010 and provides a crosswalk to the new NPS Servicewide Records Schedule (SRS)

• Module 3 explains the SRS in detail, reviewing the mission critical functions, activities, record types, and retention plans for each of the ten NPS record categories established under the new SRS.

• Module 4 will provide guidance on implementing a records management program at the park or divisional level with recommendations on review teams, monitoring methods, file plan development, and the like.

• Module 5 will support the administrative professional and provide guidance on how and when to use the various NARA forms for moving, storing and destroy records at the appropriate time. A number of Standard Operating Procedures (SOPs) will accompany this module.

The new NPS Servicewide Records Schedule (SRS) is not radically new. All of the existing required records retention periods, established in the NPS Records Schedule 2003 were maintained (permanent and temporary). Changes were primarily in new groupings of subjects, programs, and functions to more accurately reflect current NPS functions and changes to the Service since the 1953 alpha-numeric file codes were established. Crosswalk documents between the 1953 recordkeeping system and the SRS record categories are available in Module 2

“Resources cannot be managed in the future without complete records of how they were managed in the past.”

to assist NPS staff in transitioning to the SRS for the management of all records created and received.

NOTE: Parks, Offices, and Centers should not reorganize records already created and received under the old schedule. The new recordkeeping system contained in this guidance is meant for immediate implementation.

For example, General Management Plans are now included in mission-critical records in Category 1 Resource (Cultural, Natural, Lands) Management. “Park Facilities and Maintenance” is now a separate category (Category 4) that focuses (as previously in the “D” files) on non-historic structures/areas. Records documenting historic structures, historic landscapes, etc.

remain grouped with other cultural resources (as previously in the “H” files) and are now part of Category 1. Many NPS resources have cultural and natural components, so Category 1 includes both. Cultural landscapes are just one example of this.

For any questions on this Guide, Director’s Order #11D, the SRS, or the Crosswalks please contact the National Records Officer, Jason Lautenbacher (jason_lautenbacher@nps.gov, 202- 2354-1834). Assistance may also be available from park staff, Regional Office staff, program staff, and Administration staff.

REIM: The Path to Legacy Preservation and Business Efficiency

To ensure the NPS preserves, in perpetuity, the natural and cultural resources of the Unites States for the enjoyment, education, and inspiration of its people, the Agency must manage and protect its legacy. To do this each employee is responsible for creating and maintaining records and electronic information. Without these records, future generations will not know the impressive story of how NPS employees, collectively the guardians of the Nation’s immense natural and cultural resources, fulfill their mission every day. (Module 1 will help employees and Senior Officials identify records.)

The NPS also has a strong business need for excellent records management, as its records contain information ensuring accountability to the Public and Congress. The requirement for managing resources (Natural, Cultural, Lands) forever sets a high standard for recordkeeping as resources cannot be managed in the future without complete records of how they were managed in the past. Additionally, documentation of important actions and decisions must be available to protect the interests of the Agency and the Public, particularly in the event of legal actions.

The 1953 Recordkeeping System (1953-2009)

Between 1953 and 2009 NPS used a system of file codes to organize and manage records. This method of organization was an alphanumeric system, which consisted of primary key letters (ranging from A to Y) representing major functional categories and secondary numbers representing the type of record(s) being filed. The key letters represented the following subject areas:

• A – Administration and Management

“Resources cannot be managed in the future without complete records of how they were managed in the past.”

• C – Concessions

• D – Development and Maintenance (Planning)

• F – Fiscal

• H – History and Archeology

• K – Interpretation and Information

• L – Land and Recreation

• N – Natural and Social Sciences

• P – Personnel

• S – Supplies, Procurement, and Property

• W – Lands and Legal Matters

• Y – Fire Management and Forestry

In this system, the key letters and record type numbers were combined to form a file code and placed on documents and file folders. For example, a document coded “L7617” translated to: “L” or “Lands and Recreation Planning,” “76” or “Environmental Impact,” and “17” or “Statements and Studies Concerning NPS Areas.” L7617 is understood to be an “environmental impact statement” for a NPS area. (Module 2 explains the NPS recordkeeping system in place before 2010.)

This previous recordkeeping system did not encourage Parks and Offices to keep project files together. It broke out the correspondence from the draft documents, and final information products. Therefore the context of the final product was separated and sometimes divided into multiple pieces making it difficult to understand how the facility, planning report, or management decision was developed and implemented.

Also, this previous recordkeeping system was not adaptable to organizing electronic information that meets the definition of a record. Electronic record management relies on the employee’s ability to easily classify records into a retention category. The user interface needs to be simple and easy to understand with a limited number of choices to enlist the cooperation of the end user.

This Guide provides direction on how to fulfill your responsibility of legacy preservation. The Modules and SOPs present a complete understanding of how to build and maintain a records and electronic information management program for yourself, or any other level of organization in the NPS, such as a division, a Program and/or Regional Office, a Park, or any other unit and combination of units (i.e. an entire Region, including the Regional Offices and Parks).

“Resources cannot be managed in the future without complete records of how they were managed in the past.”

The 21st Century Recordkeeping System

In 2010 a joint project between the U.S. National Archives and Records Administration (NARA) and the NPS sought to replace the 1953 Recordkeeping System and address critical deficiencies.

This project resulted in the creation of the NPS Servicewide Records Schedule (SRS), which changes the 1953 Recordkeeping System in four distinct ways:

• First, the SRS mandates logically related records telling the story of a project remain intact and are filed together. (E.g. the Historic Preservation Act (106) compliance files).

• Second, the SRS simplifies the retention periods for electronic information (records) management systems.

• Third, the SRS covers records in all media, including electronic records and complex interpretive design project, such as “Valor in the Pacific.”

• Fourth, the SRS mandates all Resource (Natural, Cultural, Lands) records and projects are immediately identified, filed by project, and protected together.

This new recordkeeping system does not list every possible record series that may be encountered in the course of doing business, but provides 10 broad categories and 48 subcategories. It does describe the types of records generated by the various program areas.

When additional records are identified they can easily be associated with an existing category and subcategory descriptions. This large category approach to records and electronic information management brings records in all media together to achieve a simplified approach to organizing and maintaining records.

If you create a record, ask yourself, “Does this record document Resources?”

Resource records, in general, belong in Category 1, Resources Management and Lands, whether they are (1) a contract project to reroof a historic structure or (2) a case incident report documenting damage to a historic landscape. Because they record events related to natural, cultural or land resources they are filed in Category 1. Similarly, if a record was created as part of fire prevention/safety planning for historic structures, then that record too is resource related.

And as a result, is filed in Category 1, because any work related to preservation of Historic Structures is mission critical, making it a Category 1, Subcategory 1.A.2, Cultural and Natural Resource Management record. If material was created during work on fire prevention planning in a non historic Visitor Center building, then those records would get filed in Category 4, Facility and Maintenance. In this latter case the records you created do not document Resources (Natural, Cultural, or Lands) and would be saved in the associated functional area, in this case Facilities and Maintenance.

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Contents of this Module

• Defining and Identifying NPS Records 12

• Mission Critical Records 13

• Records of Senior Officials 15

• Resource Management Records 16

• Associated Records 17

• Drafts and Working Papers 17

• Transitory and Non-records 18

• Personal Papers 29

“Resources cannot be managed in the future without complete records of how they were managed in the past.”

Why Is REIM Important?

As federal employees, we are required to manage our agency’s record responsibly and according to law and regulation. The National Park Service also has a strong business need for excellent records management because the mission of the National Park Service is to care for natural and cultural resources so that they are “unimpaired for future generations.”

• Resources management: The requirement for managing resources forever sets a high standard for record keeping; resources cannot be managed well in the future without complete records of how they were managed in the past.

• Efficient use of the staff and funds: Good records management makes us more efficient. Keeping records we don’t need wastes space in the office and on the file server.

Time is wasted when we look through disorganized or unneeded files to find the information we really need.

• Responsiveness: Complete information can be found quickly if it is well organized, enhancing our ability to respond in a timely manner to requests from agency staff, the public, and other agencies.

• Accountability: Documentation of important actions and decisions must be available to protect the interests of the agency and the public, particularly in the event of legal actions.

Defining and Identifying NPS Records

The Federal Records Act of 1950, as amended, (FRA - 44 U.S.C. 3301) defines records as “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 data in them.” (Records should never be managed as property.)

There are three key points in this definition, as follows:

• includes all information created or received

• includes any recorded information that provides documentation or evidence of an agency's activities

• includes every format and medium.

To help determine if an item is a record, you should ask

• Does it document NPS policies, activities, transactions, or resources?

“Resources cannot be managed in the future without complete records of how they were managed in the past.”

• Was the creator or recipient acting in an official capacity during creation or receipt of the materials?

• Is the subject matter related to an authorized activity of the agency?

Answering yes to any of these questions may indicate you have federal records. Also be mindful of Mission Critical Records.

The Federal Records Act also lists items excluded from the definition of a federal record. These items are called non-record materials and include:

• Reference materials

• Library books

• “Vertical” or subject files

• Other items maintained strictly for convenience of use

• Stocks of publications

• Blank forms stock

• Museum materials or artifacts

• Rough notes or calculations (working files)

• Personal papers

When in doubt about the record or non-record status of a document or file, contact your local records professional or the National Records Officer.

Mission Critical Records

Per Director’s Order 11D, Resource management records are those records and data sets that are most necessary for fulfillment of the NPS mission. Resource management records are NPS mission critical records, required for the management of cultural and natural resources, which will eventually become archival records. They should receive the highest priority for information preservation management activities and resources. Resource management records deserve archival care as soon as practical in the life of the record.

Resource management records/electronic information include:

• All records and data sets of natural and cultural resources and their management that contain information which affect the future management of the resource.

• General management plans and other major planning documents that record basic management philosophies and policies, or that direct park management and activities for long periods of time.

• All land records regarding legal title, rights, and usage of NPS lands.

• Any records that directly support the specific legislated mission of a park unit in addition to, or distinct from, the overall NPS mission.

“Records and data that are collected, created, or generated by other organizations working for the NPS under contracts, interagency agreements, cooperative agreements, or other agreement

“Resources cannot be managed in the future without complete records of how they were managed in the past.”

instruments with the NPS, are considered NPS records unless the contract or agreement specifically states otherwise. Originals or copies of all project documents and data generated under these agreements should be obtained and retained by the NPS office managing the project.” D.O. 11D, Records and Electronic Information Management (REIM), Section 4.1

Below is a limited list of Mission Critical Records:

• General Management Plans

• Development Concept Plans

• study plans

• annual reports

• situation reports

• special studies

• contracts relating to natural and cultural resources

• maps

• manuscripts

• museum collection management and preservation plans

• park histories

• land preservation records

• historic structure preservation and restoration

Listed below are some additional questions that may assist employees on definitively defining and identifying records:

If you can answer “yes” to one of these questions below, you may very well have a record:

• Are you or your organization the creator of the record? Did you generate or receive the information to use for your technical/administrative work in conducting business?

• Does it contain informational value as evidence of your organization’s functions, policies, decisions, procedures, operations, mission, programs, projects, or activities?

• Is it material that originated in another office or outside your organization, but you commented or took action on the material?

• Does it document business actions, such as: what happened, what was decided, what advice was given, who was involved, when it happened, the order of events and decisions?

• Is it an original document related to organizational business that does not exist elsewhere?

If you can answer “yes” to one of these questions below, you do not have a record:

“Resources cannot be managed in the future without complete records of how they were managed in the past.”

• Is it a draft or interim document that has not been circulated to others or does not contain substantive comments and for which there is a final version being maintained?

• Is it published or processed information that you received and use as reference?

• Is it a copy of a document or correspondence kept only for convenience of reference on which no action is taken?

• Is it information accumulated and maintained at the workplace, but which does not affect or reflect the transaction of your program business?

• Is it junk mail or documentation that has no work-related informational or evidentiary value?

When in doubt, treat it as a record.

Call your local records professional or the National Records Officer for assistance.

Specific Types of NPS Records

• Records of Senior Officials

• Resource Management Records

• Associated Records

• Drafts and Working Papers

• Transitory and Non-records

• Personal Papers

Records of Senior Officials

Records of Senior Officials are valuable as they document the decision making legacy of the NPS and support current and future leaders in making informed decisions. These records include decision making correspondence, appointment calendars, internal and external meeting materials, annual reports, policy and programmatic development materials, reports to Congress or the President, speeches and testimonies, budget development and execution materials. A list of Senior Officials by position is listed below. Additional information on the record creating responsibilities of Senior Officials is included in D.O. 11D, Section 3 Responsibilities, and also in REIM SOP 1, Information Resources Management and Protection for Senior Officials.

Senior Officials at WASO (including Service Center equivalents) are:

• The Director and Acting Director

• Deputy Directors and Acting Deputy Directors

• Associate Directors and Acting Associate Directors

• Deputy Associate Directors and Acting Deputy Associate Directors

• Select Program Managers (e.g. NAGPRA)

“Resources cannot be managed in the future without complete records of how they were managed in the past.”

Senior Officials in the Regional Offices are:

• The Regional Director and Acting Regional Director

• Deputy Regional Directors and Acting Regional Directors

• Associate Regional Directors and Acting Associate Regional Directors

• Deputy Associate Regional Directors and Acting Deputy Associate Directors

• Select Program Managers

Senior Officials in the Park are:

• Superintendents

• Deputy Superintendents

• Division Chiefs (including Administrative Officers)

Appendix A contains and standard operating procedure, with detailed instruction, on how to manage records of senior officials.

Resource Management Records

Resource management records are valuable, continuously active records documenting all cultural, natural, and informational resources, and are found within every unit of the National Park Service.

Resource management records include the documentary products of archeological surveys and excavations, compliance, natural resource inventories and surveys, historic structure management and maintenance, recordation and restoration projects, cultural landscape research, facilities and built environments, scientific projects, and various natural and cultural resource maintenance projects. These records document park resources and serve as information bases for their continuing management. Resource management records include, but are not limited to:

artifact and specimen inventories; computer disks, tapes, and other electronic media; drawings;

field notes; films; laboratory reports; maps; manuscripts; oral histories; photographic negatives, prints, and slides; reports; and audio and videotapes.

To help determine if an item is a resource management record, you should ask:

• Is the subject matter related to a resource or topic identified in the planning and scoping documents of the unit, such as the enabling legislation, general management plan, statement for management, resource management plan, scope of collections statement, etc.?

• Does it document NPS policies, decisions, acquisition, studies, conditions, observations, protection, monitoring, preservation, activities, transactions and management or maintenance of resources?

• Are these records used in the ongoing management of the resource? Do they provide institutional memory regarding the resource or establish baseline data?

“Resources cannot be managed in the future without complete records of how they were managed in the past.”

• Are these records used to document NPS information resources? Do they provide information about the creation, use, or definition of NPS databases?

If your answer to any of these questions is “yes” you may have resource management records, and you should contact your local records officer, archivist, or curator for assistance in making appropriate decisions.

The maintenance division in every park receives and generates important resource management records such as: historic structures and rehabilitation project files, improvements to roads and trails, maps and plans, utility projects documents, the List of Classified Structures (LCS), cultural landscape studies and reports, hazardous materials clean-up project files, water system monitoring, and emergency procedures. Especially important are contracts files including specifications and products used for materials used in maintenance projects, asbestos mitigation, epoxy, roofing, construction completion reports, etc.

Associated Records

Associated records are a subset of resource management records that are essential for the control and use of museum objects. Associated records include all documentation generated by the activity of collecting and analyzing artifacts, specimens, or other resources that are (or subsequently may be) designated as part of a park’s museum collection.

Examples include but are not limited to

• analytical study data,

• artifact or specimen inventories,

• computer documentation and data,

• conservation treatment records,

• daily journals,

• drawings,

• field notes,

• manuscripts,

• maps,

• photographic negatives,

• prints and slides,

• and reports generated by archeological and scientific investigations.

All associated records must be managed as part of the museum collection.

Drafts and Working Papers

It is important to review the documents and electronic information you consider drafts and working papers, as many are records. Drafts are considered records if:

“Resources cannot be managed in the future without complete records of how they were managed in the past.”

• They were circulated or made available to employees, other than the creator, for official purposes, such as approval, comment, action, recommendations, follow up, or to communicate with NPS staff about specific business;

• They contain unique information, such as substantial annotation or comments adding to a proper understanding of the NPS’s formulation and execution of basic policies, decisions, actions, or responsibilities;

• They are needed for purposes of adequate and proper documentation of the decision making process.

Some of the most important drafts and working papers include:

• Drafts to Director’s Orders

• comments on draft Director’s orders

• revisions and updates to operating procedures

• comments on draft operating procedures

• drafts of park General Management Plans

Transitory and Non-records

Agency information materials not meeting the legal definition of records, such as extra copies of records kept for convenience, stocks of publications and processed documents, published library materials intended solely for reference.

Transitory records of short-term (180 days or less) interest, including those in electronic form (e.g., e-mail messages), which have minimal or no documentary or evidential value. Examples of transitory e-mail and other records include, but are not limited to:

• routine requests for information or publications and copies of replies requiring no administrative action, no policy decision, and no special compilation or research for reply;

• originating office copies of letters of transmittal that do not add any information to that contained in the transmitted material, and receiving office copy if filed separately from transmitted material;

• quasi-official notices including memoranda and other records that do not serve as the basis of official actions, such as notices of holidays or charity and welfare fund appeals, bond campaigns, and similar records;

• records documenting routine activities containing no substantive information, such as routine notifications of meetings, scheduling of work-related trips and visits, and other scheduling related activities;

“Resources cannot be managed in the future without complete records of how they were managed in the past.”

• suspense and tickler files or “to-do” and task lists that serve as a reminder that an action is required on a given date or that a reply to action is expected, and if not received, should be traced on a given date.

When in doubt about the record or non-record status of a document or electronic information, contact your local records professional or the National

Records Officer for definitive guidance.

Personal Papers

Personal papers are materials that belong to an individual, and are not used to conduct Agency business. They relate solely to an individual's personal and private affairs, or are used exclusively for that individual's convenience. Personal papers should not be intermixed with federal records. Examples include, but are not limited to materials that related solely to an individual’s family matters, outside business pursuits, professional activities, or private associations.

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“Resources cannot be managed in the future without complete records of how they were managed in the past.”

Contents of this Module

• The 1953 Recordkeeping System 23

• The 1953 Recordkeeping System File Code Descriptions 23

• How the Superseded File Codes were Applied 24

• How the Superseded Files Codes were Used 25

• The Crosswalk 26

“Resources cannot be managed in the future without complete records of how they were managed in the past.”

The 1953 Recordkeeping System (1953-2010)

Between 1953 and 2009 NPS used a system of file codes to organize and manage records. This method of organization was an alphanumeric system, which consisted of primary key letters (ranging from A to Y) representing major functional categories and secondary numbers representing the type of record(s) being filed. This Module explains the 1953 recordkeeping system to ensure staff has the capability to retrieve records filed using this system.

The 1953 Recordkeeping File Code Descriptions

File codes are letters, numbers, or symbols used to abbreviate lengthy file titles. In the National Park Service, we used an alphanumeric system - a primary key letter (ranging from A to Y) and then secondary (even) and tertiary (odd) numbers to further define the subject of the file. The key letters represent the following subject areas.

• A – Administration and Management (aka A-files)

• C – Concessions (aka C-files)

• D – Development and Maintenance (Planning – aka D-files)

• F – Fiscal (aka F-files)

• H – History and Archeology (aka H-files)

• K – Interpretation and Information (aka K-files)

• L – Land and Recreation (aka L-files)

• N – Natural and Social Sciences (aka N-files)

• P – Personnel (aka P-files)

• S – Supplies, Procurement, and Property (aka S-files)

• W – Lands and Legal Matters (aka W-files)

• Y – Fire Management and Forestry (aka Y-files)

For example, a document coded Y1415 means: Y (Fire Management), 14 (Wildland Fire Management), and 15 (Fire Prevention). Below is a complete list of the “Y-files” used in the recordkeeping system prior to 2010:

File Code Record Series Retention Y14 Wildland Fire Management Permanent Y1415 Prevention Permanent Y1417 Presuppression Permanent Y1419 Suppression Permanent Y1421 Prescribed Fire Permanent Y18 Forestry and Range Conservation and

Management Permanent

Y1815 Trees and Forests Permanent Y1819 Range Permanent Y1823 Reforestation and Rehabilitation Permanent

“Resources cannot be managed in the future without complete records of how they were managed in the past.”

Y26 Reports Permanent Y2615 Monthly Permanent Y2617 Quarterly Permanent Y2619 Semi-Annual Permanent Y2621 Annual Permanent Y2623 Situation Permanent Y34 Products, Including Wood Utilization and

Timber Cutting Permanent

Y42 [Forestry & Fire] Statistics 7 years Y42 [Fire] Statistics 7 years

How the Superseded File Codes were Applied.

Prior to 2010, file codes were assigned to records using the following considerations:

• Use or purpose. Why was the record created? What did someone want to accomplish? For example, a person who is interested in visiting a park might write to ask for some basic information about that park. In this instance, the writer of the letter sought information that was easily retrieved and sent, a routine request. Such letters are filed under K14 (Information Requests).

• Content. The subject of the record. What about that record is significant? For example, a file is created on correspondence and notes between a park unit and a neighbor complaining about unsafe trees on park property adjacent to the neighbor’s home. The resulting action is removal of a hazardous tree. This file could be given a file code of Y1815 Forestry and Range Conservation Management/Trees and Forests because the bottom line topic is a natural resource of the park unit.

• Combination. The use or purpose and content might be appropriate when the record in question is significant for both criteria. In the second example above, the inquiry might be filed in multiple places — in A36 (as a complaint), in A7615 (protection/health and safety) or in Y1815 (for the subject). However, every effort should be made to file the record according to the function that created the record, and the appropriate file code that matches the retention period needed for the specific level of significance for that records. In this example, the content and resulting action of the documentation is more significant than the fact that it is a complaint, because the resulting action impacted a park resource, and the decision process and final action must be documented. Furthermore, filing the record under Y1815 means the letter will be retained permanently and will be available as background information in the future for similar issues or related resources.

“Resources cannot be managed in the future without complete records of how they were managed in the past.”

Records can be arranged differently at different levels, so both the file codes and one of the common filing arrangements can be used at the same time. For example, a Park’s maintenance division might maintain project files for construction; these would be identified and filed as D20.

However, if they were all labeled just “D20” and filed randomly, no one will be able to find anything. So you might have labeled and arranged everything under D20 by project budget number (numeric arrangement) or project name (alphabetic arrangement). Both schemes were used: the file codes identify the series of records, and the numeric or alphabetic arrangement makes it possible to find and use specific records in that series.

How the Superseded File Codes were Used.

Prior to 2010, the originating-office organization codes were added to the file code being placed on outgoing correspondence. The organization code appeared in parentheses after the alphanumeric file code. For example, A7227(2605) indicated that the document addresses records management and originated in the Washington Administrative Program Center;

Y14(ACAD) would likely be a record concerning fire management at Acadia National Park;

D18 (NCR-RD) indicated a memorandum or letter from the National Capital Regional Director regarding a General Management Plan

Prior to 2010, records were filed by series and the alphanumeric file codes, which identified individual series, were the principle component of the arrangement. Once the series have been established, the files within the series were then arranged to provide for the easy location and retrieval of information. The most common methods of arranging records are alphabetical, numeric, chronological, or a combination of these.

• Alphabetical. Records are arranged alphabetically by name, subject, geographic location, or other element. This method has the advantage of being easily understood.

Challenges include selecting the correct subject each time and making spelling mistakes. Examples — Employee award files arranged by last name of employee, a historian’s research notes might be arranged by subject, and compliance files in a regional office might be arranged geographically by park unit.

• Numeric. This scheme arranges records identified by number, such as contracts, purchase orders, and similar files. This has the advantage of being consistent;

however, it is necessary to have an index because not everybody has contract numbers, etc. memorized. Potential concerns with this method include transposed numbers and the potential for filing errors.

• Chronological. This method arranges records according to date. Correspondence is commonly arranged in this manner. Disadvantages are that you have to know exactly when something was written or received to retrieve it.

“Resources cannot be managed in the future without complete records of how they were managed in the past.”

• Combination. This method arranges records using a mixture of two or more of the alphabetical, numeric, and chronological methods.

The 21st Century Recordkeeping System eliminates these file codes, replacing nearly 80 records series with 10 mission-specific categories. Reviewing the Crosswalk will illustrate the type of records making up each of the new record categories, even if your NPS unit did not use the superseded file code system. The Crosswalk will also help those Offices, Parks, and Centers that are currently using the superseded file codes to see how the new record categories, outlined in Module 3, are applicable to their organization. The complete Crosswalk is below. It is a powerful collection of record examples that can further assist in understanding the 21st Century Recordkeeping System outlined in Module 3.

It is important to remember any records already created and received under the old system need not be re-organized. Labeling and filing records under the new schedule is a “going forward activity.”

The Crosswalk

The Crosswalk is divided into two main tables denoted by the “heavy” black line between columns three and four.

Table one is made up of the columns one, two, and three. These columns represent the superseded file codes and retention periods outlined in the former Director’s Order #19.

Column one, “Sup FC” displays the superseded file codes used between 1953 and 2010.

Column two, “Title” displays the associated record to the superseded file codes. Column three, “Retention” outlines the superseded retention, or length of time a record must be retained.

Table two is made up of columns four and five. The columns represent the filed codes and retention periods mandated by Director’s Order # 11D. Column four, “New Category” displays the new record category the superseded file code and record is now associated with.

Column five, “New File Code” outlines the new record subcategory and retention, or length of time a record should be retained.

The new record categories and subcategories are explained in Module 3.

“Resources cannot be managed in the future without complete records of how they were managed in the past.”

Table 1: Superseded Director’s Order #19 Table 2: Director’s Order #11D Sup FC Title Retention New Category New File Code A. Administration and Management A14 Acting Personnel Designation (in place of temporarily absent officials) 3 months 10. Management and Accountability 10.D. Temporary, 3 years

A16 Advisory Boards on National Parks, Historical Sites, Buildings, and Monuments

Permanent 7. Partnerships 7.A.2. Permanent

A1615 [Advisory Board] Organization Permanent 7. Partnerships 7.A.1. Permanent A1619 [Advisory Board] Meetings, Recommendations, Appointments Permanent 7. Partnerships 7.A.2. Permanent

A18 Advisory Boards, Field Groups Permanent 7. Partnerships 7.A.2. Permanent A20 Advisory Boards or Groups, Other Permanent 7. Partnerships 7.A.2. Permanent A22 Associations (NPS relations with associations, institutions, societies, clubs) 15 years/3 years 7. Partnerships 7.B. Temporary, 7 years

A2415 Committees, International Permanent 10. Management and Accountability

10.A. Permanent

A2419 Committees, Departmental Permanent 10. Management and Accountability

10.A. Permanent

A2427 Committees, Interagency Permanent 10. Management and Accountability

10.A. Permanent

A2431 Committees, Washington Permanent 10. Management and Accountability

10.A. Permanent

A2435 Committees, Field Offices Permanent 10. Management and Accountability

10.A. Permanent

A2615 [Administrative] Reports, Monthly WNLN HQ, 3 years field

10. Management and Accountability

10.D. Temporary, 3 years

A2617 [Administrative] Reports, Quarterly WNLN HQ, 3 years field

10. Management and Accountability

10.D. Temporary, 3 years

A2619 [Administrative] Reports, Semi-Annual 3 years

10. Management and Accountability

10.D. Temporary, 3 years

A2621 [Administrative] Reports, Annual [Superintendents and Regional Directors]

Permanent 10. Management and Accountability

10.A. Permanent

A2623 [Administrative] Reports, Situation [Superintendents and Regional Directors]

Permanent 10. Management and Accountability

10.A. Permanent

A3415a Commendations, About Service and Personnel [re: individual employees]

OPF 10. Management and Accountability

10. D. Temporary, 3

A3415b Commendations, About Service and Personnel [providing basis for administrative action]

15 years 10. Management and Accountability

10. B. Temporary, 15 years

A 3415c Commendations, About Service and Personnel [routine correspondence]

3 months 10. Management and Accountability

10.D. Temporary, 3 years

A3419a Commendations, Concerning Concessions [re: individual employees]

OPF 10. Management and Accountability

10.D. Temporary, 3

A3419b Commendations, Concerning Concessions [providing basis for administrative actions]

15 years 10. Management and Accountability

10. B. Temporary, 15

A 3419c Commendations, Concerning Concessions [routine correspondence]

3 months 10. Management and Accountability

“Resources cannot be managed in the future without complete records of how they were managed in the past.”

A3615a Complaints, About Service and Personnel

[re: individual employees] that result in a letter of reprimand

OPF (right side) N/A GRS 1.1

A3615b Complaints, About Service and Personnel [providing basis for investigation, etc.]

15 years 10. Management and Accountability

10.B. Temporary, 15 years

A3615c Complaints, About Service and Personnel [routine correspondence]

3 months 10. Management and Accountability

10.D. Temporary, 3 years

A3619a Complaints, Concerning Concessions [re:

individual employees] that result in a letter of reprimand

OPF (right side) N/A GRS 1.1

A3619b Complaints, Concerning Concessions [providing basis for investigation, etc.]

15 years 10. Management and Accountability

10.B. Temporary, 15 years

A3619c Complaints, Concerning Concessions [routine correspondence]

3 months 10. Management and Accountability

10.D. Temporary, 3 years

A3815a Public Relations, with Federal, State, and Local Agencies [policy and procedures]

15 years 9. Information and Image Management

9.B. Temporary, 15 years

A3815b Public Relations, with Federal, State, and Local Agencies [arrangements for meetings, events, etc.]

2 years 9. Information and Image Management

9.D. Temporary, 3 years

A3817a Public Relations, with Foreign Agencies [policy and procedures]

15 years 9. Information and Image Management

9.B. Temporary, 15 years

A3817b Public Relations, with Foreign Agencies [arrangements for meetings, events, etc.]

2 years 9. Information and Image Management

9.D. Temporary, 3 years

A3821a Public Relations, with Individuals [policy and procedures]

15 years 9. Information and Image Management

9.B. Temporary, 15 years

A3821b Public Relations, with Individuals [arrangements for meetings, events, etc.]

2 years 9. Information and Image Management

9.D. Temporary, 3 years

A3823a Public Relations, Public Involvement [policy and procedures]

15 years 9. Information and Image Management

9.B. Temporary, 15 years

A3823b Public Relations, Public Involvement [arrangements for meetings, events, etc.]

2 years 9. Information and Image Management

9.D. Temporary, 3 years

A4015a Conferences and Meetings, Departmental [record copy]

Permanent 10. Management and Accountability

10.A. Permanent

A4015b &c

Conferences and Meetings, Departmental

b. non-record copies

c. arrangements for meetings

b. 2 years HQ, 3 years field

c. 2 years

10. Management and Accountability

10.D. Temporary, 3 years

A4019a Conferences and Meetings, Washington Office [record copy]

Permanent 10. Management

10.A. Permanent

A4019b &c

Conferences and Meetings, Washington Office b. non-record copies

c. arrangements for meetings

b. 2 years HQ, 3 years field

c. 2 years

10. Management and Accountability

10.D. Temporary, 3 years

A4023a Conferences and Meetings, Regional Directors [record copy]

Permanent 10. Management

10.A. Permanent

“Resources cannot be managed in the future without complete records of how they were managed in the past.”

A4023b &c

Conferences and Meetings, Regional Directors b. non-record copies

c. arrangements for meetings

b. 2 years HQ, 3 years field

c. 2 years

10. Management and Accountability

10.D. Temporary, 3 years

A4027a Conferences and Meetings, Regional Offices [record copy]

Permanent 10. Management and Accountability

10.A. Permanent

A4027b &c

Conferences and Meetings, Regional Offices b. non-record copies

c. arrangements for meetings

b. 2 years HQ, 3 years field

c. 2 years

10. Management and Accountability

10.D. Temporary, 3 years

A4031a Conferences and Meetings, Other Field Offices [record copy]

Permanent 10. Management and Accountability

10.A. Permanent

A4031b &c

Conferences and Meetings, Other Field Offices b. non-record copies

c. arrangements for meetings

b. 2 years HQ, 3 years field

c. 2 years

10. Management and Accountability

10.D. Temporary, 3 years

A4033a Conferences and Meetings, Servicewide [record copy]

Permanent 10. Management and Accountability

10.A. Permanent

A4033b &c

Conferences and Meetings, Servicewide

b. non-record copies

c. arrangements for meetings

b. 2 years HQ, 3 years field

c. 2 years

10. Management and Accountability

10.D. Temporary, 3 years

A4035a Conferences and Meetings, Interagency [record copy]

Permanent 10. Management and Accountability

10.A. Permanent

A4035b &c

Conferences and Meetings, Interagency

b. non-record copies

c. arrangements for meetings

b. 2 years HQ,…