Records Management Basics For New Supervisors

Andre SivelsNOAA Records Officer

September 9, 2015

Agenda

• New Records Management 101 Course on CLC• Presidential Records Management Directive• Records Management Stakeholders• Roles and Responsibilities• Identifying Records from Non-records and Personal Papers

• What is a Record Schedule?• What is a Record File Plan?• Records Disposition Activities• Tips for Managing Your Office Records

2

Records ManagementOn-line Training

Records Management 101

• Requirement of the Presidential

Directive on Records Management

• Currently accessible via the CLC

• Recommended for all staff

• Requires about 35-40 minutes to complete

3

Presidential Directive on Records Management

• 2016 Requirements• Agencies will manage both permanent and temporary email records in accessible electronic format

• 2019 Requirements• Federal agencies will manage all permanent electronic records in electronic format

4

Records Management

Stakeholders

Records Custodians

Office of General Counsel

NOAA Records

Management

Chief Administrative

Officer

NARA

DOC

DOC

Supervisors

Staff/ Contractors

Records Liaison Officers

Program Managers

NOAA Administrator

Chief Information

Officer

5

Records Liaison Officers Network

NOAA Staff and Corporate Offices

Name Office Phone Number

Charles McLeod

Offices of the Under Secretary, Assistant Secretary, Deputy Under Secretary, and Chief of Staff

202-482-3436

Gina Jackson

Office of General Counsel 202-482-4080

David Miller

Office of Communications 202-482-0013

Jeremy Andrucyk

Office of the Chief Administrative Officer 301-713-4576

Charlene Dunn

Office of the Chief Financial Officer 202-482-2088

Allen Hueffmeier

Office of the Acquisition and Grants 301-628-1372

Sarah Brabson

Office of the Chief Information Officer 301--628-5751

Tim Bagley

Legislative Affairs 202-482-4666

Maria Buie

Office of Workforce Management 301-713-6305

Erin McNamara

Office of the Federal Coordinator for Meteorology 301-427-2002 x 113

Gwendolyn Roache

Office of Education 202-482-2781

NOAA Line Offices

Name Office Phone Number

Nancy Jackson

Office of Marine and Aviation Operations (OMAO) 301-943-4919

Russell C. Jones

National Ocean Service 301-713-3000 x 202

Joan Moumbleaux

National Marine Fisheries Service 301-427-8678

David Murray

National Weather Service 301-713-1698 x 119

Jauvonne Tucker

National Environmental Satellite, Data, and Information Services

301-713-4719

Senita Hill

Oceanic and Atmospheric Research 301-734-1191

6

Federal agencies must provide adequate and proper documentation by implementing records management policies and programs that:• Identify records that need to be created and maintained to conduct agency

business;• Create and preserve records that document the organization, functions,

programs, policies, decisions, procedures, and essential transactions of the agency. This includes records necessary to protect the legal and financial rights of the government and of persons directly affected by the agency's activities;

• Manage records according to NARA-approved records schedules that determine where and how long records need to be maintained, and transfer permanent records to NARA; and

• Ensure that agencies address the creation, maintenance, use, and disposition of records such as databases, e-mail, web records, digital audiovisual materials, and records created from new and emerging technologies;

(44 U.S.C. 3101)

Agency Recordkeeping Responsibilities

7

What are the Supervisor’s Records Management Responsibilities?

• To ensure their work and their subordinates are adequately documented.

• To ensure records can be located and produced to support daily business activities as well as comply with FOIA, discovery requests or other request for information.

• To ensure continuity of business activities through transitional periods, new administration and reorganizations.

• Must ensure staff are following records management procedures and policies and receives records management training.

• Ensure your office has a record file plan and review it annually• Ensure a records custodian has been appointed to support the RLO

for your Line/Staff Office• Meet with subordinates to discuss records management as part of

the employee exiting process.8

NOAA Employee Records Management Responsibilities

All employees are responsible for: 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).

Keeping personal papers and nonrecord material separate from agency records.

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

Conducting a records review with their supervisor prior to exiting the agency or reassignment.

9

• (A) includes all recorded information, regardless of form or characteristics, made or received by a Federal agency 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 United States Government or because of the informational value of data in them; and

What are Federal Records?

10

• (B) does not include—

(i) library and museum material made or acquired and preserved solely for reference or exhibition purposes;

or

(ii) duplicate copies of records preserved only for convenience.

 

What are Federal Records?

11

• (2) RECORDED INFORMATION DEFINED.—For purposes of paragraph (1), the term ‘recorded information’ includes all traditional forms of records, regardless of physical form or characteristics, including information created, manipulated, communicated, or stored in digital or electronic form.

What are Federal Records?

12

Federal Records Are Just Part of The Business Information Collection

Business Information

FederalRecords

Non-Record Materials

Personal Papers

E-Mail

13

U.S.C. § 2911, Disclosure Requirement For Official Business conducted using Non-official Electronic Messaging Accounts:

Requires that an officer or employee of an executive agency may not create or send a record using a non-official electronic messaging account unless such officer or employee:

• Copies an official electronic messaging account of the officer or employee in the original creation or transmission of the record; or

• forwards a complete copy of the record to an official electronic messaging account of the office employee not later than 20 days after the original creation or transmission of the record.

The Act also provides for disciplinary action against an agency officer or employee for intentional violation as such prohibition.

New Requirements for Handling Email Records

14

Is it A Record?

• 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, procédures

15

When are Copies Maintained as Records?

16

Non-record Material

Non-record 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.

17

Non-record Material (cont.)

Examples of nonrecord material include:• Information copies of correspondence, directives, forms, and other

documents on which no administrative action is recorded or taken; information, courtesy or other copies of agency documents that do not require action and are not needed to document specific program activities of the receiving office

• Documents received that provide information but are not connected to the transaction of agency business (for example, journals, or other publications, training invitations, and catalogs and other mailings from vendors)

• Routing slips and transmittal sheets adding no information to that contained in the transmitted material

• Tickler, follow-up, or suspense copies of correspondence, provided they are extra copies of the originals

• Duplicate copies of documents maintained in the same file

18

Remember that Federal agencies determine what is a record and what is non-record material. Federal agencies destroy non-record materials at their own discretion.

Federal records may be destroyed or transferred to NARA only with the written approval of the Archivist of the United States on an SF 115, Request for Records Disposition.

Records Vs. Non-record Materials

19

What Are Personal Papers?

• Personal papers are documentary materials of a private or personal nature and not used to conduct 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

20

RecordsPersonal Papers

Non-Records

• Policy & Procedures• Travel Vouchers• OPF’s• Studies• Hydrographical Surveys• Weather Models

• Professional Organization files

• Civic activities• Individual leave records• Family related material• Insurance, Benefit Info.

Where to File Information?

• FYI material(General Announcements

• Duplicates info already in official records

• Reference Material such as Manuals, Catalogs, duplicate info.

22

Program vs. Administrative Records

Program Records-Directly supports the mission of the agency such as:

• Hydrographic Surveys• Climatologically Assessments• Weather Prediction and Verification Models• SARSAT Beacon Registration Records

Administrative Records – supports common administration functions necessary to conduct business

• Travel Records• Purchase Card files• Time and Attendance files

23

Records Schedule

Identifies records as either temporary or permanent and provides the mandatory instructions for the disposition of

the records when they are no longer needed by the agency.

Agency Records Schedule

Are records schedules which specific disposition authorities for records which are unique to a specific agency.

General Record Schedules

Are records schedules issued by NARA provides disposition authority for records common to several or all Federal

agencies

Records Schedules

24

Record Group 370 – NOAA

All Mission and Support Functions

How to interpret a Records Schedule

Record Function 1200 –Scientific and Technical Records

Record Series 1200-01 Project Case Files

Record Item - Project 1200-01.a Selected Case files

Disposition: Permanent. Break closed files annually and transfer to the Federal Records Center. Transfer to National Archives when 30 years old.

25

The following Chapters represent most of the NOAA’s Records Management Schedules. • Chapter 100 – General • Chapter 200 – Administrative and Housekeeping• Chapter 300 - Personnel• Chapter 400 – Finance • Chapter 500 – Legal • Chapter 600– International • Chapter 700-Procurement Supply and Equipment Maintenance• Chapter 800 – Real Estate, Facilities and Logistics • Chapter 900-Facilities Security and Safety• Chapter 1000-Motor Vehicle Management and Transportation Service• Chapter 1100-Printing Binding Duplication and Distribution Records• 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 • Chapter 2200 – Records of the Chief Information Officer• Chapter 2300 – General Information Technology Management Records• Chapter 2400 – Information System Security OfficeNOAA Records Schedules can be found at: Http://www.corporateservices.noaa.gov/audit/records_management/schedules/

NOAA Records Schedules

26

What is an Record File Plan

Records File Pan

A listing in outline form of the main file headings and subdivision headings for each record series in an office

27

Why Have a Record File Plan?

• Consistent filing practices

• Quick reference to records dispositions

• Office-specific information

• A key tool when implementing an electronic records management system

• Categorized file arrangement

28

What Does a File Plan Tell Us?

• Identifying numbers, titles, or descriptions of all files held in an office

• Up-to-date and accurate disposition authorities and retention periods

• Location of all records in an office indicating facts such as, the specific file cabinet

• Indication of how records are to be arranged in an office• Instructions on the identification and maintenance of non-

record materials

29

Sample Record File Plan

30

FILE CODE HEADING DESCRIPTION DISPOSTION INSTRUCTIONS FILE LOCATION

MEDIA

100-02 Unofficial, Routine, or Informal Publications,

Calendars, and Announcements

Publications circulated or distributed to NOAA staff for informational purposes. These publications are not considered to be official NOAA publications, nor have they been submitted to formal editorial review board offices or receive other formal review and approval prior to publication.

Destroy when no longer needed for current agency

business.

Ms. Fisher PAPER

100-03 Administrative Issuance The distribution copies and the official record set of all NOAA directives, bulletins, organization charts, functional statements, administrative manuals, and similar records. NARA reference number NI-370-76-02, Items 4a,4b and 6.

a. Official Record Set- The original file copy of all NOAA directives, bulletins, organization manuals and charts, functional statements, and similar administrative issuance

and manuals.

PERMANENT. Break files every 5 years and transfer to the Federal Records Center. Transfer to the National Archives when 20 years old.

Andrea Office

PAPER

100-11 Program Correspondence Subject Files -Maintained at the Operating Unit, Line Organization and Program Offices above the Division

Level.

Officials files of all incoming and outgoing correspondence, memoranda, annual reports and program area reports; special studies; long-range planning, organization, functions, and other mission-related, program-related or policy-related management issues, and are usually filed alphabetically by

subject.

PERMANENT. Break files annually and transfer to the Federal Records Center when 6 years old; transfer to the National Archives when 20

years old.

Mr. Hortons Office

PAPER

100-12 Program and Correspondence Subject Files -Maintained at the Division Level or Lower.

Officials files of all incoming and outgoing correspondence, memoranda, reports, studies and other records relating to

the management of NOAA administrative units that are created and maintained at or below the Division level within

NOAA, and usually filed alphabetically by subject.

Authorized Disposition: Break files annually and destroy when 5 years old, or 5 years

after the file is closed.

Andrea Office

PAPER

CHAPTER 100- AGENCY-WIDE RECORDS

Steps for Developing a Record File Plan

1. Identify record series maintained in your office through conducting an inventory.

2. Identify each disposition authority and retention for each series.

3. Construct the file plan so that all have access to it.

4. Obtain management review and approval of the file plan, and distribute or place on shared server.

5. Maintain both a paper and an electronic copy.

6. Review and update the file plan yearly.

31

• Records Disposition:• The actions taken regarding records that are no longer needed for current Government business

• These actions may include:•Transferring temporary records to commercial storage facilities or Federal Records Centers (FRC’s)

•Accessioning permanent records to the National Archives and Records Administration

•Donation•Disposal of temporary records.

Records Disposition Activities

32

Records Destruction Process

Review NOAA Records Schedule to determine if inactive records are eligible for disposal.

Calculate when records are eligible Destruction.

Ensure records are not subject to Litigation Hold.

Contact Records Liaison Officer to verify /document records eligible for disposal.

Complete Records Destruction Form and forward to RLO for approval.

Records can be destroyed after the Records Destruction Form is properly signed by RLO, Program Official, the person performing the destruction and a witness, if records contain Personal Identifiable Information( PII).

Records: Travel Records

– Date Range: 10/1/2005-9//30/2006

– Retention: Destroy when 6 years and 3 months old

– Destruction Date Calculation

– Ending Date of Records 9/30/2006

– Retention Requirement (6 yrs/ 3months)

– Records Must be maintained until 12/31/2012

– Records Can be Destroyed after 1/1/2013

Example

33

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

34

RECORDS DESTRUCTION REQUEST FORM

Name Signature Date Certification Statement

Authorizing Official

Office Program Manager

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

John Paul Records

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. Jane File

RECORD DATA

Name of Record Series & Brief Description

Date Range Date Eligible

Disposition Instructions Disposition Authority

Format Volume

Start End For Disposal

Paper Elect

Travel files- Travel vouchers and related supporting documentation, maintained by name of traveler. May be filed by voucher

10/1/05 9/30/06 1/1/2013 Cut off at the end of fiscal year when created. Destroy 6 years and 3 months after the period of account.

403-15 x 2

35

Get Organized

36

Tips to Maintaining an Effective Records Management Program

• Appoint a Records Custodian/ Records Liaison Coordinator

• Conduct a Records Inventory

• Develop a Records File Plan

• Maintain records according to NOAA Records Control Schedules

• Dispose of records timely and properly

• Use off-site storage to your advantage

• Ensure permanent records are transferred to NARA

• Inspect files annually to ensure procedures are being followed

• Ensure all records are covered by a records retention schedule

• Ensure staff receive records management training

• Ensure records management is part of office procedures

37

For More Information Contact

Headquarters Records Management Contacts Andre Sivels, NOAA Records Officer andre.sivels@noaa.gov Marie Marks, Team Leader Information Management Office,

marie.h.marks@noaa.gov Maryann Young, Information Management Office,

bhagnatee.m.young@noaa.gov

NARA Contact

Henry Wolfinger, NARA Appraisal Archivist, henry.wolfinger@nara.gov

Or visit

NOAA Records Management Website

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

National Archives and Record Administration

www.archives.gov 38

Questions?

39