NOAA Records Management Program 1

Records Management Fundamentals

NOAA Records Management Program 2

The Legal Basis for Federal Recordkeeping Requirements

44 U.S.C. 3101

• The head of each Federal agency shall make and preserve records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency, such records designed to furnish the information necessary to protect the legal and financial rights of the Government and of persons directly affected by the agency’s activities.

NOAA Records Management Program 3

Records Management Responsibilities

All Employee are responsible for:

– Obtaining basic records management training and guidance.– Maintaining record and nonrecord material according to NARA, and agency

requirements. – Making sure records are accessible for their entire retention period by saving them and

filing them properly.– Safeguarding records until they are authorized for disposition. The unauthorized removal,

concealment, falsification, mutilation, and/or disposition of official records are prohibited by law and are subject to penalty (18 U.S.C. 207).

– Reporting any apparent instances of unauthorized disposition to the supervisor and to the Records Officer

– Preserving any unscheduled records and promptly informing your Records Liaison Officer of their existence.

– Keeping personal papers and nonrecord material separate from agency records.– Notifying your designated Records Liaison Officer when records are no longer needed

for the conduct of current business but cannot yet be disposed of, and are eligible for transfer to a FRC or to NARA.

– Turning over records to your supervisor during your exit process.

NOAA Records Management Program 4

Federal Records includes:

“…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 U.S. 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.” (44 U.S.C. 3301)

What are Federal Records?

NOAA Records Management Program 5

Federal Records Are Just Part of The Business Information Collection

Business Information

FederalRecords

Non-Record Materials

Personal Papers

E-Mail

NOAA Records Management Program 6

When in doubt, ask yourself the following questions:– Did I generate or receive the information while conducting

agency business?– Does the item document my agency's activities or business

transactions? – Is the item a business-related document that does not exist

elsewhere?– Even if copies exist elsewhere, did my agency originally create

the item?

Recognizing Federal Records

If you answered “yes” to any one of If you answered “yes” to any one of these questions, the document is these questions, the document is

probably a Federal record.probably a Federal record.

NOAA Records Management Program 7

Federal Records Examples

• Time and attendance records

• Research Data

• Contracts

• Original drawings and specifications

• Project case files

• Tracking databases

• E-mail messages and Attachments

• Decision papers

• Personnel folders

NOAA Records Management Program 8

Is it a Record?

Consider the following:

Is it covered by NOAA records schedule?

Was it created in the course of business?– e.g., correspondence, agreements, studies

Was it received for action?– e.g., FOIA requests, controlled correspondence

Does it document NOAA activities and actions?– e.g., calendars, meeting minutes, project reports

Is it mandated by statute or regulation?– e.g., administrative record,

Does it support financial obligations or legal claims?– e.g., grants, contracts, litigation case files

Does it communicate NOAA requirements?– e.g., guidance documents, polices, procedures

NOAA Records Management Program 9

Nonrecord Material

Nonrecord Materials falls into one of three specific categories:

Extra copies of documents preserved only for convenience of reference. Depending on access restrictions, agencies may permit personnel to keep extra copies for convenience of reference in their offices and on their personal computers. Nevertheless, personnel must receive the agency’s permission to retain any of these materials for personal use.

Stocks of publications and of processed documents. Each agency needs, however, to create and maintain record sets of processed documents and of publications, including annual and special reports, special studies, brochures, pamphlets, books, handbooks, manuals, posters, and maps.

Library and museum material made or acquired and preserved solely for reference or exhibition purposes.

NOAA Records Management Program 10

What Are Personal Papers?

Personal papers are documentary materials of a private or personal nature that do not relate to, or have an effect on the conduct of agency business. Examples of personal papers include: – Materials accumulated by an official before joining Government

service that are not used subsequently in the transaction of Government business

– Materials relating solely to an individual’s private affairs, such as outside business pursuits, professional affiliations, or private political associations that do not relate to agency business

– Personal, family, or social correspondence– Insurance or medical papers. – Your personal leave records

NOAA Records Management Program 11

Working Files

Working files may be considered records if they are:

• circulated or made available to employees other than the creator, for official purposes such as approval, comment, action, recommendation, or follow up

• circulated to communicate with agency staff about agency business

• contain substantive annotations or comments

• add to the proper understanding and execution of agency policies, decisions, actions or responsibilities

NOAA Records Management Program 12

Chapter 100 – General

Chapter 200 – Administrative

Chapter 400 – Finance

Chapter 500 – Legal

Chapter 600– International

Chapter 800 – Real Estate, Facilities and Logistics

Chapter 1200 – Scientific Research

Chapter 1300 – Weather

Chapter 1400 – Satellites and Data Centers

Chapter 1500 – Marine Fisheries

Chapter 1600 – Ocean Programs

Chapter 1700 – NOAA Corps

Chapter 1800 – Marine and Aviation Technology

Chapter 2100 – Sea Grants

NOAA Records Schedules can be found at:

Http://www.corporateservices.noaa.gov/audit/records_management/schedules/

NOAA Records Schedules

NOAA Records Management Program 13

Records Destruction Request Form

RECORDS DESTRUCTION REQUEST FORM

Name Signature Date Certification Statement

Authorizing Official

I certify that, to the best of my knowledge, these records are not subject to any current or pending litigation, audit, subpoena, or other legal demand, and they are being destroyed in accordance with the applicable, approved records control schedule.

Records Liaison Officer

Destroyed By:

I certify that these records were destroyed by cross-cut shredding, pulverizing, burning, or by any disposal method authorized by NARA. All records were destroyed on the same date.

Witnessed By:

Person Completing Form/Office/Phone No.

RECORD DATA

Name of Record Series & Brief Description

Date Range Date Eligible Disposition Instructions Disposition Authority

Format Volume Start End For Disposal Paper Elect

NOAA Records Management Program 14

Records Management and Freedom of Information Act (FOIA)

• Managed records provide a focused scope for diligent searching.

• Requests for records which have been destroyed in accordance with their retention schedule do not have to be produced, if the records were destroyed prior to the request being submitted.

• A timely response to FOIA requests removes the likelihood of fines and FOIA litigation.

NOAA Records Management Program 15

NOAA Records Officer: andre.sivels@noaa.gov

Or visit

NOAA Records Management Website

http://www.corporateservices.noaa.gov/audit/records_management/

National Archives and Record Administration

www.archives.gov

For More Information Contact

NOAA Records Management Program 16

Questions?