We have a few tips to assist agencies as they prepare an NA-1005 for approval to use GRS 6.1 and to ensure the process goes quickly and smoothly. The following list contains the top 5 reasons a NA-1005 might be returned for revisions after being submitted for registration.
- Not using the most recent form. The NA-1005 form has been updated a few times since its original issuance. To make sure you are using the correct form, look at the bottom right hand corner of the form for the date. The current form is dated 09-16.
- Not submitting one form per Record Group. NA-1005 forms should be submitted by Record Group (RG) number – one form per RG. For instance, ‘Agency A’ (RG 601) administers the programs of ‘Agency C’ (RG 604). Despite this interconnected nature, Agency A still needs to submit one form for RG 601 and another form for RG 604.
- Providing incomplete information. Make sure that all fields are filled out completely and all checkboxes are checked on the form. The most common omissions are not filling out the cutoff instruction field, or not checking the classified email question.
- Missing signatures. Both your agency Records Officer and your Senior Agency Official for Records Management (SAORM) must sign the form. Also, the approval check box must be checked and the date of signature entered. (A reminder – a digital signature on the form will not be accepted by NARA. Name, date and approval check box marked is sufficient.)
- Providing a URL to an intranet version of organizational charts. Organization charts are required for the review process. Providing a URL to an intranet version is not sufficient as the appraisal archivist cannot access it.
As we have passed election day, the Federal Government is now in transition mode. The inauguration of a new President means not only a new administration in the White House, but also new senior staff across the Federal Government.
During this time of change, we will work with Federal agencies to ensure both incoming and outgoing political appointees are trained in their records management responsibilities and are properly preserving their records. Managing records is a daily activity and requires constant training and attention throughout an employee’s Federal service.
To assist agencies with these efforts, we created several products to reflect changes in guidance since the last Presidential transition and new requirements codified in the 2014 amendments to the Federal Records Act:
Further, we delivered briefings on records management responsibilities to the Partnership for Public Service, the Assistant Secretaries for Administration and Management Roundtable, and agency records officers.
Earlier today, we released AC 09.2017: Guidance Relating to President-Elect Transition Team Materials. This memo states PETT materials are not Federal nor Presidential records, but are considered personal materials. However, transition briefing materials created by a Federal agency and agency communications with the PETT are Federal records. If a PETT member becomes an official of a Federal agency and incorporates the materials into agency working files, they become Federal or Presidential records depending on the entity they work for.
Records management takes on an increased importance during transitions. The ability to capture and share knowledge is paramount to ensuring a smooth transfer of power. Federal records protect the rights and interests of the public, hold officials accountable for their actions, and document our nation’s history. Our mission is to protect these records and make them available to the public. Sound records management at such critical times ensures today’s records will be available for future generations.
The 2017 Annual Move is well underway and for the 165 agencies who have records eligible to move, the deadline to submit transfers is rapidly approaching. On October 1st, 8,473 transfer requests were loaded into ERA representing 87,142 cubic feet of permanent records eligible for accessioning. Now, we need your action.
All transfer requests must be proposed by agencies for transfer to the National Archives. NARA does not automatically assume legal control of the records. Agencies have until December 1st to complete this activity so the records can be physically moved into archival space.
As of this past Monday, only 1,738 transfer requests have been acted on by agencies. We still have a ways to go to ensure the timely transfer of these historic records, some of which date back to the early 1900s! It’s important to take action as these records deserve continued preservation by the archival staff at NARA.
We have several tools available to assist you in this task including an instructional webinar and a review tip-sheet. The most useful tool in finding and submitting your TR is the ERA User Guide. For more information please take a look at AC Notice 02.2017 or contact firstname.lastname@example.org. Thank you!
Our Records Management Training Program will transition from the current learning management system (LMS) to a new one in the middle of November. We are planning to migrate the data in the current system on Friday, November 18 and bring the new system online on Monday, November 21. To ensure a successful transition, we will not enter any new data in the current LMS after November 10.
What does that mean for you? Starting November 11, agency personnel will not be able to:
- take tests
- register for classes
- pay for classes
We anticipate resuming these services on November 21, 2016 when the new system is live.
Customers that completed all the requirements for the Certificate for Federal Records Management Training during September – December 2016 will not receive the certificate until January 2017.
We apologize for this inconvenience, but we want to ensure our records are accurate and we have time for testing the accuracy of the data migration to the new system. We will continue to conduct scheduled training courses during the transition to the new LMS.
In the coming weeks we will provide further information about the new LMS, including the website URL and updated information on when the new system will be available and how to access it.
If you have questions please contact Gary Rauchfuss, Director, Records Management Training, at (301) 837-1710 or by email to email@example.com
“[T]echnology is not within national boundaries but on a global scale” — Dr. Patrick Gallagher, 14th Director of the U.S. Department of Commerce’s National Institute of Standards and Technology (NIST)
This week, the American National Standards Institute (ANSI) is celebrating World Standards Week (October 24-28). ANSI bridges the gap between standards developers and governmental agencies that create legislation affecting the standards community. In addition, since the passage of The National Technology Transfer and Advancement Act of 1995 (P.L. 104-113) (NTTAA) as well as the issuance of The Office of Management and Budget Circular A-119, ANSI facilitates government agencies’ use of voluntary consensus standards created by the private sector as an alternative to agency-developed standards.
Federal agencies create records with wide-ranging variability. The different file formats, metadata, and agency recordkeeping practices pose challenges to NARA’s ability to ingest, describe, and provide access to records that belong to or will come to the National Archives of the United States. Voluntary consensus standards in NARA’s regulations and guidance helps agencies adopt widely-recognized approaches, system capabilities, record types, formats, and metadata across the Federal government. The more standardized Federal records management practices become, the better we will be able to accomplish our mission to preserve and make available the permanently valuable records of the federal government.
For more information about the use of standards in government, see “Incorporation by Reference, Reasonable Availability, and the U.S. Standardization System” ANSI has also posted a schedule of events for World Standards Week 2016.
Stay tuned for future posts about standards and metadata work happening in our office.
In advance of Hurricane Matthew, we remind Agency Records Officers that NARA posts records emergency information and other useful guidance in order for them to pass along this information to other agency personnel.
For advice and assistance on preparing before the Hurricane and records recovery operations after the end of the storm, please refer to the preservation section of our website. Here, you will find a section on preparation, and several sections about what to do if you have records that have suffered damage.
Depending on the damage caused by the Hurricane, it may be necessary for your agency to implement a records recovery operation. Water damage will likely be the major records recovery issue. The web page also includes a template (.pdf) for contracting for records recovery services and a list of records recovery vendors. This list of vendors is provided by NARA for informational purposes. Inclusion on the list should not be viewed as an endorsement of the quality of the vendor’s services.
NARA staff members are available to provide additional information and guidance.
For advice on records recovery issues, please contact the Preservation Programs Division at firstname.lastname@example.org. Preservation staff monitors the email address and will respond accordingly.
For advice and assistance on other records management issues arising from the storm, including the need for emergency destruction of records under 36 CFR1229.10 or the loss of records under 36 CFR1230.14, please contact the appraisal archivist assigned to your agency. Please see this list of agency staff assignments and points of contact.
For advice and assistance on issues concerning classified national security information, please contact the Information Security Oversight Office (ISOO) on 202-357-5250 or via email at ISOO@nara.gov.
Agencies using GRS 6.1, Email Managed Under a Capstone Approach, are expected to apply items the agency uses to all existing email, including legacy email. Legacy email is defined as email that still exists in an electronic format, at the time of Capstone implementation (see GRS 6.1 FAQ #19). When submitting an NA-1005 form, agencies must summarize the state of their legacy email. For example, “no legacy email exists for this agency, as traditional records management with a print-and-file policy was enforced prior to Capstone adoption” or “agency will be including legacy email for all items being used, dating back to approximately 2010.”
If agencies do not know the status of their legacy email–for example, they are not certain if they can access or read an older format–they may still submit an NA-1005 form, but must note what action is being taken to determine if the email is readable or unreadable. For example, “agency has legacy email dating back to 2005 and will notify NARA within [30, 60, 90 days] if email is readable or unreadable.” Readable email is email that is retrievable and usable for as long as needed to conduct agency business and to transfer permanent email records into the National Archives. Agencies must submit an agency-specific schedule for email that is not retrievable and usable, i.e. unreadable.
Please refer to GRS 6.1 Frequently Asked Questions for more information, and as always, please feel free to contact the GRS Team at GRS_Team@nara.gov.
Are you travelling to San Antonio to attend ARMA Live! 2016? If so, we would like to point out a special event for attendees interested in our work.
The U.S. Federal Government Roundtable will be held in room 206-A of the Henry B. Gonzales Convention Center on Tuesday, September 27 from 1:30 pm – 3:30 pm. Meet Laurence Brewer, Chief Records Officer for the U.S. Government and other staff and leaders from our office during the event. We hope to see you there.
If you are planning to attend and would like to hear more about a particular topic, please leave a comment and we will be sure to discuss it in San Antonio.
Posted in Upcoming
We are requesting comments on a draft Bulletin entitled “Agency Records Management Training Requirements.” The draft is available here.
We anticipate releasing this Bulletin later this year. It was developed to support the July release of OMB Circular A-130, as well as current laws and Directives governing Federal records management programs. This Bulletin will specify agency records management training requirements and best practices, including who must take training, the frequency of training, and the content that should be covered.
We welcome participation in the development of this guidance. Please comment here or email PRMD@nara.gov with any questions or comments for consideration by September 29, 2016. We will review all the comments we receive.
A status update of this Bulletin will be provided at the November 17, 2016 BRIDG meeting. Thank you.