|DIRECTIVES TRANSMITTAL||Number 201.001|
SUBJECT: RECORDS MANAGEMENT
PURPOSE: This transmittal covers changes to EEOC Order 201.001, Records Management, formerly titled EEOC RECORDS DISPOSITION PROGRAM, which implements EEOC-wide the records management program requirements set forth in the Federal Records Act regulations of the National Archives and Records Administration (NARA) in subpart B, Part 1220, title 36 of the code of Federal Regulations for all federal agencies.
EFFECTIVE DATE: December 3, 2003
DISTRIBUTION: EEOC Order 201.001, as amended, is available on EEOC’s intranet website, InSite.
CURRENT CHANGES: The major changes to this Order include: (1) the establishment of a responsibility matrix that specifies by organizational name the headquarters and field offices that have primary responsibility for maintaining and disposing of the official record copy of the EEOC's program and administrative paper and electronic records; (2) implementation of NARA's recommendations regarding the disposition of all of EEOC's Litigation Case File and Charge/Complaint (Investigative) File records; and (3) updated retention and disposal instructions for all of the administrative records of EEOC covered by NARA's General Records Schedules.
OBSOLETE DATA AND FILING INSTRUCTIONS: This Order supersedes EEOC Order 201.001, EEOC RECORDS DISPOSITION PROGRAM, dated June 17, 1980, as amended, and EEOC Order 201.002, DISPOSITION OF PERSONAL PAPERS AND OFFICIAL RECORDS, dated April 15, 1991, which should be removed from reference files and destroyed
/s/ Jeffrey A. Smith Chief Financial Officer
1. SUBJECT. RECORDS MANAGEMENT.
2. PURPOSE. This Order prescribes the policies, procedures, and standards and assigns responsibilities for managing the records of the Equal Employment Opportunity Commission for all of its activities in the headquarters and field offices, including destruction of those records.
3. EFFECTIVE DATE. December 3, 2003
4. ORIGINATOR. . Office of the Chief Financial Officer and Director of Administrative Services, Resource Management Division, Management Analysis Branch.
5. REFERENCES. Federal Records Act of 1950, as amended (44 U.S.C. 3101, et seq.); 41 CFR, chapter 201, subchapters A and B and related bulletins and handbooks; 36 CFR, chapter XII; and the General Accounting Office, (GAO), Policies and Procedures Manual for Guidance of Federal Agencies, Title 8, Records Management.
(1) Developing Commission-wide policies and procedures for records management;
(2) Administering and evaluating the overall implementation of the Commissions policies and procedures for records management;
(3) Acting or his or her designee as liaison with the National Archives and Records Administration (NARA) for direction; and
(5) Providing or arranging for training to all Commission managers, supervisors, and employees and contractors on records management.
(1) Maintains office records in accordance with the provisions of this Order;
(2) Prepares and keeps records plans current;
(3) Ensures that all records created and maintained by the office are included in the file station records plan;
(4) Prepares records, including corresponding paperwork (SF 135, Records Transmittal and Receipt, and shelf list), for shipment to the Federal Records Center;
(5) Destroys eligible records at individual files stations under authorized disposition instructions;
(6) Maintains an inventory of all records belonging to the office, including those destroyed, stored in low-cost storage space, and retired to Federal Records Centers annually, for reporting purposes; and
(7) Requests, in coordination with the office director, exceptions to, or submits to OCFO/AS recommendations for new or revised documentation, maintenance, and disposition instructions.
7. LIFE CYCLE OF ALL COMMISSION PAPER AND ELECTRONIC RECORDS.
The life cycle of all records of the Commission under this Order consist of three stages:
Tools for maintaining and using Commission records include file plans, indexes, controlled vocabularies, data dictionaries, and access and security procedures. The main tool to manage the disposition of records of the Commission is Appendix A, Matrix of Office Primary Responsibility for Commission Program Records, Including Administrative Records Common to All Offices, to this Order.
Special attention must be given to electronic records throughout their life cycle. These are records stored in a form that only a computer can process. Their storage media may include, but not limited to floppy diskettes, data cartridges, magnetic tapes and disks, and optical disks. These media may change frequently because of rapidly expanding technologies. Electronic records are increasingly supplementing and sometimes replacing paper records.
8. SIMPLIFIED HEADQUARTERS AND FIELD OFFICE RECORDS MANAGEMENT REQUIREMENTS.
(1) Maintain all administrative(1) and program records in the headquarters and field offices (except litigation and charge files) on a calendar year basis. With the exception of some financial and accounting records, the cut off date for all records will be December 31, of each year;
(2) Move to a separate file drawer, shelf, or cabinet or warehouse all inactive files until it is time to destroy them or transfer them to a Federal Records Center with the prior approval of OCFO/AS;
(3) Annually inventory office files to identify the types and volume of records in the office and based on the inventory implement an annual file maintenance and disposition plan identifying all the files in the office, the filing arrangement, the volume (in cubic feet) for each file and the disposition authority, and forward a copy of the plan to OCFO/AS;
(4) Annually report to OCFO/AS using EEOC Form 163, Annual Summary of Records Holding, the volume of records held, retired and/or disposed of and the number and type of office filing equipment;
(5) When records are to be transferred to or from the Commission pursuant to a transfer of function with another agency, the Commission office must send to OCFO/AS a request to transfer either by letter or SF 135, Records Transmittal and Receipt, and include the concurrence or nonconcurrence by agency officials accompanied by the following information-
(a) A description of the records and the volume (in cubic feet);
(b) Any restrictions on using the records;
(c) The number of persons maintaining the records, if any;
(d) The current and proposed physical and organizational locations of the records;
(e) A statement as to why the transfer is in the interest of the Government; and
(f) A justification for transferring records more than five (5) years old.
(6) Records created, maintained, and stored in electronic media that are subject to this directive, should be managed and retained by one of the following methods:
(a) Printed in hard copy and stored per the above procedures;
(b) Copied to a network share drive for back-up and storage;
(c) Stored in electronic media format (CD, tapes, floppy diskettes, etc.) in file cabinets, drawer, or warehouse per the above procedures,
(d) Stored as data within an EEOC information system (database, document management system, etc.) which automates EEOCs record retention policies and schedules.
(7) When a reorganization changes a function or mission of an office, records are cut off on the date of the change, maintained by the successor office, and disposed of under the disposition instructions in this Order; and
(8) When an office discontinues functions, it transfers records eligible for retirement to a Federal Records Center. If records are not eligible for retirement or destruction, the office concerned sends a letter listing the records to OCFO/AS, who will evaluate them and recommend appropriate action.
To establish and maintain a method of coordinating and controlling the records of the Commission a matrix of responsibility is required. Appendix A to this Order establishes individual office records management responsibility on a record-by-record basis among the headquarters and their subordinate field offices. The matrix answers the question: Who needs to do what, when and where? which is an expanded version of the typical responsibility matrix.
The matrix identifies the offices having primary responsibility for the maintenance and disposal of the official record copy of the program and administrative records of the Commission by records description, including responsibilities for Commission records common to all offices under NARAs General Records Schedule 23, Records Common to Most Offices Within Agencies.
The administrative records of the Commission that are maintained and disposed under NARAs general record keeping authority are shown by a General Records Schedule (GRS) number and item shown in the Disposal Authority column of the matrix. The program records of the Commission are shown by NARA job number NC1-403-XX-X.
9. RECOMMENDING CHANGES TO MATRIX OF RESPONSIBILITY FOR RECORDS.
Offices that create and receive records will submit recommended changes and additions to the records responsibility matrix when it does not cover a particular type of paper or electronic record; existing instructions need change; office change; transfer of records; or certain instructions should be deleted. Recommendations are sent to OCFO/AS by a SF 115, Request for Authority to Dispose of Records, SF 115A, Continuation Sheet, if needed, and forwarded to OCFO/AS. Justification for the addition or change must be submitted along with the SF 115. OCFO/AS will coordinate proposed changes with offices maintaining similar records.
10. TRANSFERRING RECORDS TO FEDERAL RECORDS CENTER.
(1) Washington National Records Center. Offices served by this center are to forward all copies of the SF 135 to OCFO/AS for assignment of accession numbers. OCFO/AS will record the accession numbers on all copies of the SF 135 and return copies to the submitting office.
(2) Field Federal Records Center. Offices served by one of the Federal Records Center in the field will forward a copy (not the original) of the SF 135 to OCFO/AS. OCFO/AS will review the SF 135 to determine the appropriateness of the transfer and will accordingly notify the office by telephone or e-mail. The Federal Records Center serving the transferring offices will assign accession numbers upon receipt of the SF 135.
Upon receipt or notification of the approved of the SF 135 by OCFO/AS, the transferring office will retain one copy for filing and forward the original and two copies to the Federal Records Center to arrive at least two weeks before the desired date for records shipment. The Federal Records Center returns two copies of the SF 135 to the transferring office, indicating that the records may be transferred. Delay in shipment of more than thirty days will result in the return of the SF 135 requiring resubmission of the transferring paperwork. Offices are required to forward a copy of the annotated SF 135 to OCFO/AS for filing.
Folders should be packed upright, with letter-size folders facing the front of the container and legal-size folders facing the left side of the box. Only records with the same retention period should be packed in the same box. Records with different retention periods should not be packed in the same box.
(1) Headquarters offices. Headquarters offices are to notify OCFO/AS to make arrangements for files to be sent to the Suitland Federal Records Center.
(2) Field offices. Field offices should use a shipping method which will be at the lowest cost possible. When using commercial carriers obtain the lowest freight rate for office records by including the following statement on bills of lading or other shipping documents:
The agreed or declared volume of this property is hereby specifically stated by the shippers not to exceed 3.5 cents per pound.
For additional information on shipping a large volume of records, contact the nearest GSA Regional Office.
When the Federal Records Center receives the records shipment, the cartons are matched against the copy of the SF 135 submitted with the accession. That copy is then signed by the Federal Records Center and returned to the transferring office for its files. Any changes in location number will be noted on this receipt copy before it is returned to the transferring office. All offices in the headquarters and field are required to forward a copy of this receipt copy to OCFO/AS automatically to attest the authenticity of payability of vouchers from the Federal Records Center for the transferred records.
11. TRANSFER OF RECORDS TO THE NATIONAL ARCHIVES.
All Commission records of permanent historical or archival value must be transferred to the National Archives. To transfer records to the National Archives, the transferring office must complete Standard Form 258, Request to Transfer, Approval, and Receipt to National Archives of the United States, and forward the request to OCFO/AS for review and approval and further instructions.
12. VITAL RECORDS
13. DISPOSITION OF PERSONAL PAPERS.
Personal papers maintained in an employees office should be filed separately from Commission records to facilitate the application of the Federal Records Act. When both private matters and Commission business appear in the same document, the part relating to Commission business should be extracted or copied. The extraction or the copy should be treated as an official Commission record. Commission records are public records and belong to the office rather than the employee.
Extra copies of records kept only for convenience of reference cannot be considered as personal papers. However, employees may accumulate for convenience of reference extra copies of papers that he or she drafted, reviewed, or otherwise acted upon. Such copies may be kept by if doing so will not diminish the official records of the Commission; violate confidentiality required by privacy, confidentiality, or other interests protected by law; or exceed normal administrative economies.
14. FILING EQUIPMENT.
(1) Standards filing equipment for use within the Commission includes letter-size two through five-drawer metal vertical and lateral filing cabinets.
(2) Existing information storage and retrieval systems or filing stations using legal-size files should be converted to letter-size, except when it is cost-effective to retain legal-size systems. Offices should not develop new legal-size filing systems without the approval of OCFO/AS. Legal-size vertical or lateral file cabinets, shelving, or similar equipment should not be purchased by offices unless it can show the cost-effectiveness of this equipment. When returning unneeded file cabinets, return legal-size first to reduce the maximum amount of space and cost.
15. FILE SPACE.
16. DAMAGE TO, ALIENATION, AND UNAUTHORIZED DESTRUCTION OF RECORDS
(1) A complete description of the records with volume and dates if known;
(2) The office or origin;
(3) A statement of the exact circumstances surrounding the alienation, defacing, or destruction of the records;
(4) A statement of the safeguards established to prevent further loss of documentation; and
(5) When appropriate, details of the actions taken to salvage, retrieve, or reconstruct the records.
The Archivist of the United States will assist the Chair in contacting the Attorney General for the recovery of any unlawfully removed records.
Appendix A Matrix by Office of Primary Responsibility for Commission Program Records, Including Administrative Records Common to All Headquarters and Field Offices.
18. OBSOLETE DATA.
This Order supersedes EEOC Order 201.001, EEOC RECORDS DISPOSITION PROGRAM, dated June 17, 1980, as amended, and EEOC Order 201.002, DISPOSITION OF PERSONAL PAPERS AND OFFICIAL RECORDS, dated April 15, 1991, which should be removed from reference files and destroyed.
Jeffrey A. Smith
Chief Financial Officer
1. Administrative Files. Files containing administrative records, which are records concerning the support functions which are common to all government departments and agencies. These files are structured (or subdivided) according to generally understood subjects - e.g. personnel, administrative services, etc., and are made up of record copies of reports, correspondence, and other documents.