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Identify benefits/purposes of records management Define roles and responsibilities. Define records, nonrecords, and personal papers Discuss the Records.

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Presentation on theme: "Identify benefits/purposes of records management Define roles and responsibilities. Define records, nonrecords, and personal papers Discuss the Records."— Presentation transcript:

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2 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 10/26/2011 2NOAA Records Management Program

3 1:00 pm-1:10 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 Rs: 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 10/26/2011 3NOAA Records Management Program

4 10/26/2011 4NOAA Records Management Program

5 Identify the benefits of proper business information management Introduce some of the risks with not having proper business information management 10/26/2011 5NOAA Records Management Program

6 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. 10/26/2011 6NOAA Records Management Program

7 Isnt that something our secretary does? Not entirely; first, you must set the example for your office If you dont care, others wont care 10/26/2011 7NOAA Records Management Program

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. 10/26/2011 8NOAA Records Management Program

9 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 10/26/2011 9NOAA Records Management Program

10 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 10/26/ NOAA Records Management Program

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12 Mitigates risk Aids decision-making Helps you find the information you need, when you need it Retains agency memory 10/26/ NOAA Records Management Program

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14 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 10/26/ NOAA Records Management Program

15 Agency Records Officer Records Liaison Officer Records Custodian Records Liaison Officer 10/26/ NOAA Records Management Program

16 NOAA Staff Responsibilities Agency Records Officer Oversees the agencys 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 10/26/ NOAA Records Management Program

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 10/26/ NOAA Records Management Program

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. 10/26/ NOAA Records Management Program

19 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 ) 10/26/ NOAA Records Management Program

20 44 U.S.C 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 agencys activities 10/26/ NOAA Records Management Program

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22 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 10/26/ NOAA Records Management Program

23 …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) 10/26/ NOAA Records Management Program

24 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. 10/26/ NOAA Records Management Program

25 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 10/26/ NOAA Records Management Program

26 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 10/26/ NOAA Records Management Program

27 Categories of Federal Records Program or Administrative AND Permanent or Temporary Module /26/ NOAA Records Management Program

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 10/26/ NOAA Records Management Program

29 General Types of Records 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. 10/26/ NOAA Records Management Program

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 10/26/ NOAA Records Management Program

31 Business Information Federal Records Nonrecord Materials Personal Papers 10/26/ NOAA Records Management Program

32 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) Federal Records Act (FRA) 10/26/ NOAA Records Management Program

33 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 Freedom of Information Act (FOIA) 10/26/ NOAA Records Management Program

34 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. Federal Rules of Evidence (FRE) 10/26/ NOAA Records Management Program

35 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 10/26/ NOAA Records Management Program

36 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 10/26/ NOAA Records Management Program

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38 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 10/26/ NOAA Records Management Program

39 Personal Papers A date book containing only personal entries, such as doctors 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 10/26/ NOAA Records Management Program

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. 10/26/ NOAA Records Management Program

41 Probably yes, unless truly personal in content and use. 10/26/ NOAA Records Management Program

42 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 agencys 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 recordthe transmission data as well as the content of the message? 10/26/ NOAA Records Management Program

43 From: Josephine GreeneTo: 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 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 10/26/ NOAA Records Management Program

45 Permanent (1–3%) to Archives Creation/ReceiptMaintenance and Business Use Disposition Permanent (20-25%) Temporary Destroyed Legal Custody Transferred to The National Archives (75-80%) 10/26/ NOAA Records Management Program

46 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. 10/26/ NOAA Records Management Program

47 A group of related files kept together as a unit File item File unit Record series Record group 10/26/ NOAA Records Management Program

48 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. 10/26/ NOAA Records Management Program

49 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 10/26/ NOAA Records Management Program

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52 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 10/26/ NOAA Records Management Program

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55 A records inventory is a complete and accurate survey of an agencys business information that documents the function, flow, and description of records. 10/26/ NOAA Records Management Program

56 A group of related files kept together as a unit File item File unit Record series Record group 10/26/ NOAA Records Management Program

57 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 10/26/ NOAA Records Management Program

58 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 10/26/ NOAA Records Management Program

59 Goals Scope Support 10/26/ NOAA Records Management Program

60 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 10/26/ NOAA Records Management Program

61 How far-reaching is your inventory? An agency An organization A department An office A program A function Current records Noncurrent records 10/26/ NOAA Records Management Program

62 Senior management needs to understand scope, purpose, and use of inventory. Develop the plan for collecting the information. Ask for written commitment. 10/26/ NOAA Records Management Program

63 1.Decide on the information to be collected. 2.Decide how the information will be collected. 3.Prepare an inventory form. 4.Decide who will conduct the inventory, and train them if necessary. 5.Learn where the agencys files are located, both physically and organizationally. 6.Conduct the inventory. 7.Verify and analyze the results. 10/26/ NOAA Records Management Program

64 Record Series Information Creating office Title Description/Function Medium Arrangement Volume Disposition 10/26/ NOAA Records Management Program

65 Information Systems Information Name Program/Mission Description of content Data inputs Data outputs 10/26/ NOAA Records Management Program

66 Questionnaire Interview Physical site survey 10/26/ NOAA Records Management Program

67 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) 10/26/ NOAA Records Management Program

68 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. 10/26/ NOAA Records Management Program

69 Review agencys business functions. Review agencys recordkeeping requirements. Review records schedules Review file plans or existing inventories 10/26/ NOAA Records Management Program

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71 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. 10/26/ NOAA Records Management Program

72 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. 10/26/ NOAA Records Management Program

73 Spot-check questionnaires for obvious errors: Failing to indicate location Exaggerating volume No electronic records? Intermixing record series under one title 10/26/ NOAA Records Management Program

74 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 10/26/ NOAA Records Management Program

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77 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 10/26/ NOAA Records Management Program

78 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 (FRCs) Accession permanent records to the National Archives and Records Administration Disposal of temporary records. 10/26/ NOAA Records Management Program

79 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. 10/26/ NOAA Records Management Program

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81 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. 10/26/ NOAA Records Management Program

82 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 10/26/ NOAA Records Management Program

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84 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). 10/26/ NOAA Records Management Program

85 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. 10/26/ NOAA Records Management Program

86 Recycle: -non record material, non-sensitive information Shred: sensitive, confidential, classified personal information 10/26/ NOAA Records Management Program

87 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 10/26/ NOAA Records Management Program

88 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 + 6 yrs Records Must be maintained until 12/31/2010 Disposal Date 1/1/2011 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 9/30/2005 Retention Requirement + 6 yrs,3 mon. Records Must be maintained until 12/31/2011 Disposal Date1/ /26/ NOAA Records Management Program

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90 Ensure are eligible based on their description and age. Destruction must be certified Secure crossing shredding Documenting disposal actions Disposing on a cyclical basis 10/26/ NOAA Records Management Program

91 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 10/26/ NOAA Records Management Program

92 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) 10/26/ NOAA Records Management Program

93 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! 10/26/ NOAA Records Management Program

94 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. 10/26/ NOAA Records Management Program

95 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 10/26/ NOAA Records Management Program

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98 Benefits of Records Management Roles and Responsibilities Defining Records and Non-Records Records Inventory Record Disposition Process Records File Plan 10/26/ NOAA Records Management Program

99 Andre Sivels, NOAA Records Officer Or visit NOAA Records Management Website / National Archives and Record Administration 10/26/ NOAA Records Management Program


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