1. Records Management Training for National Oceanic and Atmospheric Administration (NOAA) Records Custodians

2. Training Objectives Identify benefits/purposes of records management
Define roles and responsibilities.
Define records, nonrecords, and personal papers
Discuss the Records Inventory process
Discuss Records Disposition process
How to develop a File Plan
NOAA Records Management Program
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3. Training Agenda 1:00 pm-1:10 pm 1:10 pm -1:50 pm 2:00 pm-2:50 pm
Welcome & Introduction
1:10 pm -1:50 pm
Module 1: Find It, Store It, Get It Back: Why Manage Business Information
Module 2: The Three R’s: Roles, Responsibilities, and Requirements
Module 3: Whose Record Are These? Identifying Federal Records
2:00 pm-2:50 pm
Module 4: Records Inventory
Module 5: Records Disposition
Module 6: File Plans
2:50 pm-3:00 pm
Wrap-Up and Questions
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4. Module 1: Find It, Store It, Get It Back: Why Manage Business Information?
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5. Module 1 Learning Objectives
Identify the benefits of proper business information management
Introduce some of the risks with not having proper business information management
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6. Why We Manage Business Information and Records
The “ultimate goal” of records management is to effectively carry out the mission of the agency while protecting the rights of citizens, assuring Government accountability, and preserving records of permanent value.
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7. Managing Records? Isn’t that something our secretary does?
Not entirely; first, you must set the example for your office
If you don’t care, others won’t care
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8. The Buck Stops With All of Us
Good records management allows staff at NOAA to do their job, and maintain accountability and credibility.
Inadequate records management leaves NOAA staff and programs vulnerable to legal and professional repercussions.
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9. Benefits of Records and Information Management
Contributes to agency operation
Meets statutory and regulatory requirements
Provides protection and support in litigation
Helps to deliver consistent and fair services
Improves customer service
Facilitates performance
Efficiency and productivity
Enhances reputation and credibility
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10. Benefits of Records and Information Management (cont’d.)
Provides continuity in the event of a disaster
Protects records
Allows quicker retrieval of documents and information
Provides better documentation more efficiently
Supports and documents historical and other research
Frees office and server space by moving inactive records to storage
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11. Any problems or risks here?
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12. How Records Management Helps in Your Job
Mitigates risk
Aids decision-making
Helps you find the information you need, when you need it
Retains agency memory
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13. Module 2: The Three R’s: Roles, Responsibilities, and Requirements
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14. Module 2 Learning Objectives
Discuss your primary recordkeeping roles and responsibilities
Discuss the role of the agency records liaison and agency records officer
Discuss that laws and regulations govern the management of Federal records
Discuss the NOAA Records Manual
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15. Records-Related Positions
Agency Records Officer
Records Liaison Officer
Records Custodian
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16. NOAA Staff Responsibilities
Agency Records Officer
Oversees the agency’s records management program and addresses high-level records requests
Creates and maintains a network of records liaison officers
Coordinates records management matters with NARA and other oversight agencies
Ensures that recordkeeping requirements are established, implemented, and periodically updated for all offices at all levels
Provides oversight and guidance related to the transfer and retrieval of inactive records sent to records center
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17. NOAA Staff Responsibilities
Records Liaison Officer
Coordinates records management activities at the component level (headquarters or a region)
Ensures the component has an up-to-date records management directive
Ensures that each office within the component has a designated records custodian and that proper records plans and training are in place
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18. NOAA Staff Responsibilities
Records Custodians
Ensuring records are filed properly according the organization file plan.
Coordinating with Records Liaison Officer to transfer records to Federal Records Center for temporary storage.
Coordinating with Records Liaison Officer to transfer records to NARA for permanent storage.
Coordinating with Records Liaison Officer to dispose of records properly.
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19. Legal Requirements
There are legal and regulatory requirements for proper recordkeeping on your part and throughout your agency
Recordkeeping requirements are all statements in statutes, regulations, and agency directives or authoritative issuances that provide general and specific requirements for Federal agency personnel on particular records to be created and maintained by the agency (36 CFR )
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20. The Law Behind 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
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21. Module 3: Whose Records Are These? Identifying Federal Records
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22. Module 3 Learning Objectives
At the completion of this module, you will be able to:
Identify Federal records
Recognize nonrecord materials
Recognize personal files and papers
Identify issues related to working files, contractor records, meeting files, drafts, duplicates, and messages
Discuss the records lifecycle
Discuss the organization of records within NOAA
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23. What is a Record?
“…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)
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24. Recognizing Federal Records
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?
If you answered “yes” to any one of these questions, the document is probably a Federal record.
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25. Federal Records Examples
Time and attendance records
Contracts
Original drawings and specifications
Project case files
Internal and external directives
Personnel folders
Generated during agency business
Documents agency's activities or business transactions
Business-related document that does not exist elsewhere
Created by the agency, even if copies exist elsewhere
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26. Federal Records Formats
Paper (letters, memos, completed forms, reports, maps, etc.)
Electronic (databases, , spreadsheets, geographic information systems, etc.)
Audio recordings
Photographic prints and negatives
Video recordings and motion picture
films
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27. Categories of Federal Records
Program or Administrative
AND
Permanent or Temporary
Module 1-27
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28. 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
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29. General Types of Records
Permanent records are records determined by NARA to have sufficient historical or other value to warrant continued preservation by the Federal Government.
Temporary records are records approved by NARA for destruction, either immediately or after a specified retention period.
Unscheduled records are records whose final disposition has not been approved by NARA.
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30. Media Formats of Records
Electronic records
Audiovisual records
Microform records
Scanned records
Cartographic, remote-sensing imagery, and related records
Architectural, engineering, and related records
Printed records
Card and other odd-sized paper records
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31. Federal Records Are Just Part of The Story
Business Information
Federal Records
Nonrecord Materials
Personal Papers
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32. Federal Records Act Definition of a Record
Federal Records Act (FRA)
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)
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33. FIOA Definition of Records
Freedom of Information Act (FOIA)
A record is the product(s) of data compilations, such as books, papers, maps and photographs, machine readable materials, regardless of physical form or format or other documentary materials regardless of physical form or characteristics
Made or received by an agency of the United States Government under Federal law in connection with the transaction of public business and the in the departments possession and control at the time the FIOA request is made
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34. Federal Rules of Evidence Definition of a Record
(FRE)
Article X Rule Provides definitions of various kinds of documentary material including some the FRA would define as non-record.
For purposes of this article the following definitions are applicable:
(1) Writings and recordings. "Writings" and "recordings" consist of letters, words, or numbers, or their equivalent, set down by handwriting, typewriting, printing, photostating, photographing, magnetic impulse, mechanical or electronic recording, or other form of data compilation.
(2) Photographs. "Photographs" include still photographs, X-ray films, video tapes, and motion pictures.
(3) Original. An "original" of a writing or recording is the writing or recording itself or any counterpart intended to have the same effect by a person executing or issuing it. An "original" of a photograph includes the negative or any print therefrom. If data are stored in a computer or similar device, any printout or other output readable by sight, shown to reflect the data accurately, is an "original".
(4) Duplicate. A "duplicate" is a counterpart produced by the same impression as the original, or from the same matrix, or by means of photography, including enlargements and miniatures, or by mechanical or electronic re-recording, or by chemical reproduction, or by other equivalent techniques which accurately reproduces the original.
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35. Nonrecord Materials
Extra copies of documents preserved only for convenience or reference
Reading files and copies circulated within an office
Working papers that do not represent significant steps in the preparation of a record
Stocks of publications and of processed documents
Catalogs and trade journals
Library and museum materials made or acquired and preserved solely for reference or exhibition
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36. Nonrecord Materials Are Still Important
You still need to manage nonrecord materials
Many of these items are considered business information
Nonrecord materials may be subject to:
Discovery through Freedom of Information Act (FOIA) requests
Litigation holds
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37. NOAA Records Management Program
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38. What Are Personal Files?
Materials not connected with the conduct of government business
For example:
Files created before entering public service
Personal, family, or social correspondence
Insurance or medical papers
Your copies of personnel-related documents
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39. Personal or Nonpersonal?
Personal Papers
A date book containing only personal entries, such as doctor’s appointments and private reminders
Notes taken for your personal use at a training course
Personal copies of personnel actions and performance standards
Your payroll slip
Text of an address given at a professional meeting, but not given as a representative of your agency
Nonpersonal Papers (Items that may seem to be personal papers but are not)
Drafts, background materials, notes, and other documents prepared in the course of your assigned duties, even though these are not made part of the “official file”
Notes used to brief staff
Text of an address given or articles written in your capacity as an agency employee or government official
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40. Managing Records, Nonrecord Materials, & Personal Papers
Federal records must be managed in accordance with the Federal Records Act.
Nonrecord materials may be destroyed/deleted when no longer needed for reference, at the discretion of the agency.
Personal papers may be destroyed at the discretion of the owner.
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41. Is my E-mail a Federal Record?
Probably yes, unless truly personal in content and use.
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42. Can I Delete E-mail? Yes, on the following conditions:
IF the constitutes a permanent record or long-term temporary record of your agency, you should first make sure a copy with transmission data is properly saved in your agency’s paper or electronic recordkeeping system.
IF the only has short-term, transitory value, you may delete it immediately or whenever no longer needed for reference. Transitory may also be deleted automatically, as allowed on your system.
Ask your records officer or records liaison officer:
What is the agency policy: keeping copies electronically or in paper files?
How does the agency capture the whole record—the transmission data as well as the content of the message?
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43. Record or Nonrecord? From: Josephine Greene To: Daniel Schemanski
Subject: Lunch
Daniel,
Remember that we're getting together with Fred for his farewell lunch next Thursday. Should be the last time that cheap so-and-so can stick us with a lunch tab!
Oh, and don't forget that meeting after lunch with the vendor to discuss section 5 of the contract. I have serious concerns about this area.
Josephine

44. Typical Tough Calls E-mail messages Meeting files Working files
Contractor records
Drafts
Duplicates/copies
Generated during agency business
Documents agency's activities or business transactions
Business-related document that does not exist elsewhere
Created by the agency, even if copies exist elsewhere
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45. Records Lifecycle: NOAA
Permanent
(20-25%)
Permanent (1 –
3%)
Legal Custody Transferred to The National Archives
to Archives
Creation/Receipt
Maintenance
and
Business Use
Disposition
Temporary
(75-80%)
Destroyed
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46. Records Schedules
A 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.
Disposition refers to the actions taken when a record is no longer needed for current government business.
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47. Record Series A group of related files kept together as a unit
File item
File unit
Record series
Record group
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48. How are NOAA’s records organized in the disposition 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.
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49. NOAA Records Schedules
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
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50. How Can You Avoid Records Problems?
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51. Module 4: Records Inventory
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52. Module 4: Learning Objectives
At the conclusion of this module, you will be able to:
Review how an inventory fits into the overall records management program
Define the key factors in establishing an inventory
Select the key elements of information to be captured
Determine how to collect the information
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53. NOAA Records Management Program
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54. NOAA Records Management Program
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55. What is a Records Inventory?
A records inventory is a complete and accurate survey of an agency’s business information that documents the function, flow, and description of records.
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56. Inventory: Usually done at the Records Series level
A group of related files kept together as a unit
File item
File unit
Record series
Record group
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57. Purpose of a Records Inventory
One purpose of a records inventory is to provide the information needed to schedule records.
Another purpose is to allow you to implement a special records management project.
A records inventory tells you:
What records are created by an agency
Who within the agency “owns” the records
Where the records are located
The volume of the records
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58. Benefits of a Records Inventory
Identifies those records eligible for disposal
Frees up much needed space
Ensures legal compliance
Allows easier FOIA response
Identifies those records eligible for transfer to the National Archives
A records inventory can point to potential records management problems
Allows easier response in case of a disaster
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59. Key Factors Goals Scope Support NOAA Records Management Program
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60. Goals Why are you conducting an inventory?
Establish key components of a records management program
To prepare for a records management project
Help in cost/benefit analysis and point to records management problems
Reorganization of office functions
Office Relocations
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61. Scope How far-reaching is your inventory? An agency An organization
A department
An office
A program
A function
Current records
Noncurrent records
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62. Management Support
Senior management needs to understand scope, purpose, and use of inventory.
Develop the plan for collecting the information.
Ask for written commitment.
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63. Steps in Inventorying Records
Decide on the information to be collected.
Decide how the information will be collected.
Prepare an inventory form.
Decide who will conduct the inventory, and train them if necessary.
Learn where the agency’s files are located, both physically and organizationally.
Conduct the inventory.
Verify and analyze the results.
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64. Decide on the Information to Be Collected
Record Series Information
Creating office
Title
Description/Function
Medium
Arrangement
Volume
Disposition
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65. Decide on the Information to Be Collected (cont’d.)
Information Systems Information
Name
Program/Mission
Description of content
Data inputs
Data outputs
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66. Decide How the Information Will Be Collected
Questionnaire
Interview
Physical site survey
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67. Prepare an Inventory Form
The following are some tools that can be used to capture inventory information:
Series Inventory Form
Audiovisual Records Form
Information System Description Form
Spreadsheet (to be used while conducting an inventory, or for entering and sorting later)
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68. Decide Who Will Conduct the Inventory
Normally, Agency Records Officers or experienced staff members oversee and coordinate the records inventory.
Subject Matter Experts provide majority of the inventory effort.
Should additional personnel be needed, they will need to be trained.
In many cases, the agency has existing descriptions/ collections of information.
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69. Learn Where the Agency’s Files Are Located
Review agency’s business functions.
Review agency’s recordkeeping requirements.
Review records schedules
Review file plans or existing inventories
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70. Review Office Layout and Files
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71. Conduct the Records Inventory
Gathering Data
Survey Office Cabinets or central file area and capture records series on the Records Series Inventory form.
Suggested Tips-Start with records or offices you are most familiar or where files are arranged in logical sequence with adequate labeling
Do not capture a folder by folder listings.
Complete one records series inventory form for each records series identified, arranged by fiscal year/ Calendar year. For example, you have 7 sheets for Time and Attendance records representing each year ranging for FY, 05,06,07,08,09, 10 and 11
If information on records folders is not clear ask program manager or administrative assistant for assistance.
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72. Conduct the Records Inventory (Cont.)
label each shelf or cabinet indicated it has been inventoried.
Note if records have been pulled for audit or legal matter as they may be returned some time for future filing.
Transfer key inventory record data to spreadsheet for sorting and analysis.
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73. Verify and Analyze the Results
Spot-check questionnaires for obvious errors:
Failing to indicate location
Exaggerating volume
No electronic records?
Intermixing record series under one title
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74. Verify and Analyze the Results(Cont.)
Compare records inventory data to with NOAA records schedules to identify :
records on the inventory which are not covered a NOAA record schedule?
records which can be destroyed immediately
Inactive Records which are eligible for off-site storage
Permanent records which must be transferred to NARA
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75. Sample Inventory Spreadsheet
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76. Module 5: Records Disposition
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77. Module 5: Learning Objectives
At the conclusion of this module, you will be able to:
Define records disposition
Define the various types of records disposition activities
How to complete the various types of disposition activities
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78. Records Disposition Records Disposition:
The actions taken regarding records no longer needed for current Government business
These actions may include:
Transferring temporary records to commercial storage facilities or Federal Records Centers (FRC’s)
Accession permanent records to the National Archives and Records Administration
Disposal of temporary records.
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79. Temporary Storage Transfer Records to Federal Record Center
Step 1: Identify which records to transfer
Step 2: Sort Records
Step 3: Order Records Boxes and Pack Records
Step 4: Create box inventory
Step 5: Complete Records Transmittal and Receipt Form (SF-135) and sent RLO for approval
Step 6: Send SF-135 to FRC for approval and obtain transfer number ( xxxx)
Step 7: After approval, contact Logistics ( to arrange pick up and delivery to FRC.
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80. SF-135 form
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81. Permanent Transfer Transferring Permanent Records to NARA
Records must be scheduled as permanent
Legal custody is transferred to NARA
SF-258 must be completed
Detailed box list of folders
Records will be accessible to the public unless restrictions are invoked.
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82. Permanent Transfer (cont.)
Step 1: Identify permanent records in within NOAA records control schedules
Record Schedule will specify when records will be transferred to NARA
Step 2: Complete SF-258 form(Agreement to Transfer Records to the National Archives of the United States
Step 3: Box records and label records
Step 4: Create box list
Step 5: Contact your Records Manager to arrange transfer
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83. SF -258 Form
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84. Records Disposal
Both NARA and the agencies are responsible for preventing the unauthorized disposition of Federal records including their unlawful or accidental destruction, defacement, alteration, or removal from Federal custody. Unauthorized disposition of Federal records is against the law (44 U.S.C. 3106) and may lead to a $2,000 fine, a 3-year imprisonment, or both (18 U.S.C. 2071).
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85. Records Disposal Records Disposal
Before records can destroyed you must:
Ensure records are eligible for disposal based on:
Records are covered by a valid NOAA or NARA GRS schedule
Records are subject to any pending litigation or legal action
Offer any record created before 1924 to the National Archives for preservation.
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86. Records Disposal Methods
Recycle:
-non record material,
non-sensitive information
Shred:
sensitive, confidential, classified personal information
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87. Crime and Punishment
Failure to comply with the records management requirements can lead to significant consequences for the agency and for you personally, including:
Administrative action
Litigation against the agency
In extraordinary cases,
prison time, fines, or both for unauthorized destruction of records
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88. Calculating a Destruction Date
Example 1 Based on Calendar Year
Records: Time and Attendance
Date Range: 1/1/ /31/2004
Retention Destroy after GAO audit or when 6
years old whichever is later
Disposal Date Calculation
Ending Date of Records 12/31/2004
Retention Requirement yrs
Records Must be maintained until 12/31/2010
Disposal Date /1/2011
Example 2 Based on Fiscal Year
Records: Travel Vouchers
Date Range: 10/1/ /30/2005
Retention: Destroy 6 years, 3 months after
period covering accounts
Disposal Date Calculation
Ending Date of Records /30/2005
Retention Requirement yrs,3 mon.
Records Must be maintained
until /31/2011
Disposal Date 1/12012
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89. Records Destruction Form
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90. Ensuring Proper Records Disposal
Ensure are eligible based on their description and age.
Destruction must be certified
Secure crossing shredding
Documenting disposal actions
Disposing on a cyclical basis
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91. Module 6: Learning Objectives
At the conclusion of this module, you will be able to:
Define what is file plan
Purpose of a file plan
Components of file plan
Steps to developing a file Plan
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92. What is a File Plan?
A file plan is a listing in outline form of the main file headings and subdivision headings for each record series.
A file plan can be as comprehensive or streamlined as necessary to meet your business needs.
File plans can address all of your office information.
Records
Non-records (including reference material)
Personal records (as appropriate)
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93. What is a File Plan? (cont’d)
A file plan takes information from:
The records inventory
Your Agency Records Manual; and …
….translates it into a user-friendly, user- or office-specific document for the management of your records and business information!
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94. What is a File Plan? (cont’d)
A file plan identifies:
What records you are responsible for;
How records should be organized;
Where the records are located;
What records are vital for your operations;
When the records can be cut-off, transferred, and/or destroyed.
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95. Why Have a File Plan? A file plan is used as an organizing tool.
A file plan allows true implementation of a records management program.
A file plan offers many benefits.
Consistent filing practices
Quick reference to dispositions
Essential for implementing
electronic records management
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96. Sample File Plan
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97. Steps in Developing a File Plan
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98. SUMMARY Benefits of Records Management Roles and Responsibilities
Defining Records and Non-Records
Records Inventory
Record Disposition Process
Records File Plan
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99. For More Information Contact
Andre Sivels, NOAA Records Officer
Or visit
NOAA Records Management Website
National Archives and Record Administration
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