The Life Cycle of Records: Records Creation
Federal RequirementsThe Federal Records Act of 1950 states, "The head of each agency shall ... make and preserve records containing adequate and proper documentation ... [and] provide for effective controls over the creation ... of records in the conduct of current business." In order to comply, agencies must take several steps to ensure this law is followed.
What is a Federal Record?
The first step is to understand what a Federal record is and the various media forms in which they are created. Records are defined in various statutes, including the Federal Records Act and the Freedom of Information Act. The definition that follows is from the Federal Records Act which 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 CFR Part 1222.12.
Adequacy of Documentation
Ensuring adequacy of documentation in any information system depends on the clear articulation of recordkeeping requirements. Recordkeeping requirements specify the creation and maintenance of specific records to document agency operations and activities; facilitate action by agency officials and their successors; permit continuity and consistency in administration; make possible a proper scrutiny by Congress and other duly authorized agencies; protect the rights of the Government and those affected by its actions; and document important meetings and the formulation and implementation of basic policy and decisions.
To effectively accomplish this, an agency needs to provide guidance for all employees on the definition of Federal records and non-record materials, including those created using office automation, and the ways in which they must be managed. Each office or program should have written guidance on what records, including electronic records, are to be created and maintained and the format of the official copy. Guidance and instructions for documenting policies and decisions, especially those arrived at orally, need to be issued in writing along with guidance on the record status of working papers/files, drafts and personal papers. Procedures requiring creation of finding aids, such as captions and indexes, to facilitate access to individual files or record items, when appropriate, can also be helpful.
Working with Contractors
When working with contractors, make sure the contractor identify which contractor-created records are Federal records. When electronic records are involved, make sure agency contracts specify the delivery of background data that may have further value to the agency in addition to the final product. Agency contracts involving development of electronic systems should specify the delivery of systems documentation to the agency along with the final product. Make sure deferred ordering and delivery of data clauses are included in contracts when it is impractical to identify in advance all electronic data that should be delivered to the Government. Your agency should provide to contractors the regulations and procedures governing Federal records.
For further information, see "Documenting Your Public Service" and "Agency Recordkeeping Requirements."
