Records Management

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Basics For New Supervisors. Andre Sivels. NOAA Records Officer. September 9, 2015. Agenda. New Records Management 101 Course on CLC. Presidential Records Management Directive. Records Management Stakeholders. ID: 489548 Download Presentation

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Records Management




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Presentations text content in Records Management

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Records Management

Basics For New Supervisors

Andre Sivels

NOAA Records Officer

September 9, 2015

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Agenda

New Records Management 101 Course on CLCPresidential Records Management DirectiveRecords Management StakeholdersRoles and ResponsibilitiesIdentifying Records from Non-records and Personal PapersWhat is a Record Schedule?What is a Record File Plan?Records Disposition ActivitiesTips for Managing Your Office Records

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Records Management

On-line Training

Records Management 101Requirement of the Presidential Directive on Records ManagementCurrently accessible via the CLCRecommended for all staffRequires about 35-40 minutes to complete

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Presidential Directive on Records Management

2016 RequirementsAgencies will manage both permanent and temporary email records in accessible electronic format2019 RequirementsFederal agencies will manage all permanent electronic records in electronic format

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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

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Records Liaison Officers Network

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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; andEnsure 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

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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 annuallyEnsure a records custodian has been appointed to support the RLO for your Line/Staff OfficeMeet with subordinates to discuss records management as part of the employee exiting process.

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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.

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(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?

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(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?

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(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?

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Federal Records Are Just Part of The Business Information Collection

Business Information

Federal

Records

Non-Record Materials

Personal Papers

E-Mail

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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

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Is it A Record?

Was it created in the course of business?e.g., correspondence, agreements, studiesWas it received for action? e.g., FOIA requests, controlled correspondenceDoes it document NOAA activities and actions?e.g., calendars, meeting minutes, project reportsIs it mandated by statute or regulation? e.g., administrative recordDoes it support financial obligations or legal claims? e.g., grants, contracts, litigation case filesDoes it communicate NOAA requirements? e.g., guidance documents, polices, procédures

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When are Copies Maintained as Records?

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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.

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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 officeDocuments 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 materialTickler, follow-up, or suspense copies of correspondence, provided they are extra copies of the originalsDuplicate copies of documents maintained in the same file

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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

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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 businessMaterials 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 businessPersonal, family, or social correspondenceInsurance or medical papers. Your personal leave records

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Records

Personal 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.

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Program vs. Administrative Records

Program Records-Directly supports the mission of the agency such as:Hydrographic SurveysClimatologically AssessmentsWeather Prediction and Verification ModelsSARSAT Beacon Registration Records Administrative Records – supports common administration functions necessary to conduct businessTravel RecordsPurchase Card filesTime and Attendance files

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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

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Record Group 370 – NOAAAll 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.

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The following Chapters represent most of the NOAA’s Records Management Schedules. Chapter 100 – General Chapter 200 – Administrative and HousekeepingChapter 300 - PersonnelChapter 400 – Finance Chapter 500 – Legal Chapter 600– International Chapter 700-Procurement Supply and Equipment MaintenanceChapter 800 – Real Estate, Facilities and Logistics Chapter 900-Facilities Security and SafetyChapter 1000-Motor Vehicle Management and Transportation ServiceChapter 1100-Printing Binding Duplication and Distribution RecordsChapter 1200 – Scientific Research Chapter 1300 – Weather Chapter 1400 – Satellites and Data Centers Chapter 1500 – Marine Fisheries Chapter 1600 – Ocean ProgramsChapter 1700 – NOAA Corps Chapter 1800 – Marine and Aviation Technology Chapter 2100 – Sea Grants Chapter 2200 – Records of the Chief Information OfficerChapter 2300 – General Information Technology Management RecordsChapter 2400 – Information System Security OfficeNOAA Records Schedules can be found at: Http://www.corporateservices.noaa.gov/audit/records_management/schedules/

NOAA Records Schedules

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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

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Why Have a Record File Plan?

Consistent filing practicesQuick reference to records dispositionsOffice-specific information A key tool when implementing an electronic records management systemCategorized file arrangement

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What Does a File Plan Tell Us?

Identifying numbers, titles, or descriptions of all files held in an officeUp-to-date and accurate disposition authorities and retention periods Location of all records in an office indicating facts such as, the specific file cabinetIndication of how records are to be arranged in an officeInstructions on the identification and maintenance of non-record materials

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Sample Record File Plan

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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

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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.

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Records Disposition:The actions taken regarding records that are no longer needed for current Government businessThese 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 AdministrationDonationDisposal of temporary records.

Records Disposition Activities

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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

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Records Destruction Request Form

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Get Organized

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Tips to Maintaining an Effective Records Management Program

Appoint a Records Custodian/ Records Liaison CoordinatorConduct a Records Inventory Develop a Records File PlanMaintain records according to NOAA Records Control SchedulesDispose of records timely and properlyUse off-site storage to your advantageEnsure permanent records are transferred to NARA Inspect files annually to ensure procedures are being followed Ensure all records are covered by a records retention scheduleEnsure staff receive records management trainingEnsure records management is part of office procedures

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For More Information Contact

Headquarters Records Management ContactsAndre Sivels, NOAA Records Officer andre.sivels@noaa.govMarie Marks, Team Leader Information Management Office, marie.h.marks@noaa.govMaryann Young, Information Management Office, bhagnatee.m.young@noaa.gov NARA ContactHenry Wolfinger, NARA Appraisal Archivist, henry.wolfinger@nara.govOr visitNOAA Records Management Websitehttp://www.corporateservices.noaa.gov/audit/records_management/National Archives and Record Administrationwww.archives.gov

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Questions?

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