1. Records Management Basics For New Supervisors Andre Sivels NOAA Records Officer September 9, 2015

2. 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

3. Records Management On-line Training
Requirement of the Presidential
Directive on Records Management
Currently accessible via the CLC
Recommended for all staff
Requires about minutes to complete 3

4. Presidential Directive on Records Management
2016 Requirements
Agencies will manage both permanent and temporary records in accessible electronic format
2019 Requirements
Federal agencies will manage all permanent electronic records in electronic format 4

5. Records Management Stakeholders
Records Custodians
Office of General Counsel
NOAA Records Management
Chief Administrative Officer
NARA
DOC
Supervisors
Staff/ Contractors
Records Liaison Officers
Program Managers
NOAA Administrator
Chief Information
Officer 5

6. Records Liaison Officers Network6

7. Agency Recordkeeping Responsibilities
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, , web records, digital audiovisual materials, and records created from new and emerging technologies;
(44 U.S.C. 3101) 7

8. 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

9. 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

10. What are Federal Records?
(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 10

11. What are Federal Records?
(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. 11

12. What are Federal Records?
(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. 12

13. Federal Records Are Just Part of The Business Information Collection
Non-Record Materials
Personal Papers 13

14. New Requirements for Handling Email Records
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. 14

15. 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

16. When are Copies Maintained as Records?16

17. 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

18. 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

19. Records Vs. Non-record Materials
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.

20. 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 20

21. Where to File Information?
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.
FYI material(General Announcements
Duplicates info already in official records
Reference Material such as Manuals, Catalogs, duplicate info.
Records
Personal Papers
Non-Records 22

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

23. Records Schedules 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 24

24. How to interpret a Records Schedule
Record Group 370 – NOAA All Mission and Support Functions
Record Function 1200 –Scientific and Technical Records
Record Series Project Case Files
Record Item - Project 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

25. NOAA Records Schedules
The following Chapters represent most of the NOAA’s Records Management Schedules.
Chapter 100 – General
Chapter 200 – Administrative and Housekeeping
Chapter 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 Office
NOAA Records Schedules can be found at: 26

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

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

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

29. Sample Record File Plan
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 , 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
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
100-12
Program and Correspondence
the Division Level or Lower.
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.
CHAPTER 100- AGENCY-WIDE RECORDS 30

30. Steps for Developing a Record File Plan
Identify record series maintained in your office through conducting an inventory.
Identify each disposition authority and retention for each series.
Construct the file plan so that all have access to it.
Obtain management review and approval of the file plan, and distribute or place on shared server.
Maintain both a paper and an electronic copy.
Review and update the file plan yearly. 31

31. Records Disposition Activities
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. 32

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 /30/2006
Retention Requirement (6 yrs/ 3months)
Records Must be maintained until /31/2012
Records Can be Destroyed after 1/1/2013
Example 33

33. Records Destruction Request Form34

34. 35

35. Get Organized 36

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

37. For More Information Contact
Headquarters Records Management Contacts
Andre Sivels, NOAA Records Officer
Marie Marks, Team Leader Information Management Office,
Maryann Young, Information Management Office,
NARA Contact
Henry Wolfinger, NARA Appraisal Archivist,
Or visit
NOAA Records Management Website
National Archives and Record Administration 38

38. Questions? 39