Record management Responsibilities for departing senior officials Presented by: NOAA/CAO/AIMO Audits and Information Management Office Records Management Program

Management Responsibilities Review material created or maintained by your office and place them in the following categories: Documentary materials: which are Federal records and active must be maintained in the office even after the official leaves are permanent must be transferred after 20 years to the National Archives and Records Administration(NARA) for permanent preservation. Non-Documentary materials: Personal Papers Non-Records

Permanent Records Can be transferred to FRC after 6 years Must be transferred to NARA after 20 years Become the official property of NARA open to the public at some point in time Electronic and Paper records must be transferred via ERA (Electronic Records Archives) Records Officer must approval permanent record transfer 20% of NOAA records permanent.

Federal Records Federal Records-: 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) Permanent Records includes: Committee records, including federal advisory boards, inter-Agency and external committees and councils in which you participated; Program development files documenting NOAA policies and programs, including correspondence, briefings, issue papers and reports on policy, strategy, research and legislative priorities, program evaluation and planning, and related topics; Reports to Congress and/or the President; and, Speeches and testimony. Calendars, schedules and logs of daily activities

Federal Records Can be Destroyed Under The following Conditions: Records covered by the NOAA Records Schedule or NARA, General Records Schedule (GRS) Time period to retain these records has expired according to NOAA or GRS (General Record Schedule) Records are not subject to a litigation hold, or required for audit investigation or pending investigation.

Documentary Material Which Can be Destroyed Personal papers are : "...documentary materials, or any reasonably segregable portion thereof, of a private or nonpublic character that do not relate to or have any effect upon the conduct of agency business." 36 CFR 1222.36(a) There are three generally accepted classes of personal papers: Materials accumulated 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; Diaries, journals, or other personal notes that are not prepared or used for, or circulated or communicated in the course, of transacting Government business Personal Papers can be destroyed at the discretion of the owner

Documentary Material Which Can be Destroyed (Continued) Non-Records Include: Extra copies of documents preserved only for convenience or reference 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

Removal of Records and Documents Excepts From DAO- 205-1, Removal of Records and Other Documents Departing officers or employees may not remove non-record materials (including collected reference publications, extra copies, working papers, drafts, and the like maintained in connection with the official business of the Department) or personal papers (such as office diaries, logs, or personal correspondence), if their removal would: a. impose substantial handicaps on the efficient, continued functioning of an office or of the successors of an officer or employee, b. diminish the records or other documentary information needed for the official business of the Department, c. violate the confidentiality required by national security, privacy, or other interests protected by law, of d. exceed normal administrative economies. Conversely, non-record materials maintained in connection with official business of the Department or personal papers of a nonofficial nature may be removed by departing officers and employees, in accordance with DAO 202-299, if their removal does not meet the criteria or conditions listed above. Records authorized for disposal under an approved Records Disposition Schedule or List may be removed only in accordance with the procedures set forth in Section 6 of DAO 205-1, Removal of Records and Other Documents. All employees and supervisor must sign Section III of the Form CD- 126 Separation Clearance Certificate

Strategies For A Success Review Review NOAA records schedule to determine the disposition for records in your possession. Return all official files back to file station, cabinet or other custodial units if the records are on loan. Purge file station or cabinets and network drives and email of all non-record material created or maintained by departing official Transfer inactive permanent records which are older than 6 years to the FRC for storage, or earlier if permitted by FRC. Transfer records older than 20 years directly to NARA. Contact your Records Liaison Officer (RLO), or Agency Records Officer for specific procedures and assistance on how transfer records for off-site storage or to the National Archives and Records Administration. Ensure RLO has a record of material transferred, destroyed or archived for your office. Note: Transferring electronic record such as calendars and email may involve support from OCIO and NARA ERA staff.

NOAA Records Resource Andre Sivels, NOAA Records Officer National Oceanic and Atmospheric Administration CAO/Audit and Information Management Office 1305 East West Highway Room 7439 Silver Spring, MD 20910 301-713-3540 x187 email address Andre.Sivels@noaa.gov NOAA Records Management Website http://www.corporateservices.noaa.gov/audit/records_management/