End Work Products

1. Federal Records ManagementA NOAA Guide to Conducting a Records Inventory and Developing an Office File Plans

2. End Work Products • Inventory of Records within your office • Functional basis for records? • Who, What, Where are the records held? • Can the records be located in the NOAA Records Schedule? • Are any of the records ready for disposition? • A File Plan for Records within your office • Series Number from NOAA Schedule • Description • Quantify • Location • Retention

3. Legal Requirements • There are legal and regulatory requirements for proper recordkeeping on your part and throughout NOAA • 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 1220.14)

4. The Legal Basis for Federal 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.

5. 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)

6. NOAA RM Objectives The primary objectives of Federal records management are to effectively carry out the mission of the agency while protecting the rights of citizens, assuring Government accountability, and preserving records of permanent and historic value.

7. NOAA RM Objectives The primary objectives of Federal records management are to effectively carry out the mission of the agency while protecting the rights of citizens, assuring Government accountability, and preserving records of permanent and historic value.

8. Federal Record Decision Tree Related to NOAA or your role at NOAA? No Non Record Yes Are you the sender or creator? Are you the recipient? No Yes Yes Does it explain document or justify an action or decisions? Do you need to take an action? No No Non Record Non Record Yes Yes Does it explain, document or justify an action or decisions? Record File in recordkeeping system No Non Record Yes Record File in recordkeeping system Please See Record Decision Tree Handout

9. Federal Records Examples • Time and attendance records • Research Data • Contracts • Original drawings and specifications • Project case files • Tracking databases • E-mail messages and Attachments • Decision papers • 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. Business Information Non-Record Materials FederalRecords Personal Papers Federal Records are the Documentary Material subject to the Federal Records Act E-Mail

11. What is a Recordkeeping System? • A manual or electronic system in which records are collected, organized, and categorized to facilitate their preservation, retrieval, use, and disposition • Recordkeeping systems should provide these functions: • Capture/Creation • Use/Dissemination/Display • Storage • Preservation • Disposition

13. Lifecycle of Records Permanent (20-25%) Permanent Legal Custody Transferred to The National Archives (1 – 3%) to Archives Creation/Receipt Maintenance and Business Use Disposition Temporary (75-80%) Destroyed

14. A records inventory is a complete and accurate survey of an office’s business information that documents the function, flow, and description of records. What is a Records Inventory? Please See Series Inventory Form Handout

15. Focus of Inventory • Focus should be on answering four basic questions: • Who is currently creating, receiving, and maintaining business information? • What is currently being kept to support these processes? • Where and how are the records stored and maintained? • Why are certain records stored and maintained? • One way to answer these four questions is to review agency business functions and recordkeeping requirements.

16. What is a Records Schedule? A records schedule identifies records as either temporary or permanent and provides the mandatory instructions for the disposition of the records when they are inactive. Disposition refers to the actions taken when a record is no longer needed for current government business.

17. How are NOAA’s records organized in the disposition schedule? Record Group 370 – NOAA All Mission and Support Functions Record Function 200 – Administrative All NOAA Admin Support Functions Record Series 200-26 – FOIA Records All NOAA FOIA Response Functions Record Item – FOIA Requests 200-26 Disposition: Temporary. Keep for six years after close of response.

18. How do I find an appropriate record schedule? • A complete set of NOAA schedules is online at: • http://www.corporateservices.noaa.gov/audit/records_management/schedules/ • You may find that your records fall under the General Records Schedule which includes many record categories common across the Government. • http://www.archives.gov/records-mgmt/ardor/records-schedules.html • If no schedule exists for those records, the Records Officer can schedule them. • If you have questions, contact Andre Sivels, NOAARecords Officer or Donna Idlet, Office of Education ,Records Liaison Please See Chapter 200 Administrative Functions Handout

19. What does a File Plan look like? A records file plan describes the records series, description of the series, the location and quantity of the files, retention and disposition information, storage transfer information, and comments pertinent to each grouping of files. Please See Example File Plan Handout

20. SAMPLES Module 6-20

21. Key Factors in a Successful Inventory and File Plan Project • Goals • Simple goals • Basic order in the maintenance and disposition of office records • More complex goals • Planning an electronic records system • Scope • Simple scope - My cubicle • Moderate scope - Entire office at one location • Complex scope - Three line offices at 8 locations. • Support • Management support • Trained Inventory Staff support • A Plan of Action

22. The Inventory

23. 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 • To create order and provide records management information in one document.

24. An agency An organization A department An office A program A function Current records Noncurrent records Scope How far-reaching is your inventory?

25. Management Support • Management needs to understand scope, purpose, and use of inventory. • Develop the action plan for collecting the information. • Ask for written commitment from your supervisor, office manager, senior manager.

26. Decide on the Information to Be Collected Record Series Information • Creating office • Title • Description/Function • Medium • Arrangement • Volume • Disposition

27. Decide Who Will Conduct the Inventory • Subject Matter Experts (records creators and receivers) 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.

28. Some Tips • Maintain a positive, helpful, open, and facilitative approach • Remember, this is not an audit. If you reassure the program leadership and staff, most likely they’ll be more cooperative. • Set realistic timeframes and stick to them • When you miss deadlines, you risk your credibility. • Call the NOAA Records Officer, Office of Education Records Liaison Officer for assistance. Module 5-28

29. The NOAA Records Schedules

30. The File Plan

31. 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)

32. What is a File Plan? A file plan takes information from: The records inventory Your Agency Records Disposition Schedule and …translates it into a user-friendly, user- or office-specific document for the management of your records and business information. Module 6-32

33. Three Tools Needed to Create A File Plan • An Inventory of Records that fall within the scope of your project. • The applicable NOAA Records Schedules • For the Office of Education are likely to be: • Chapter 100-Enterprise-wide Records • Chapter 200-Adminstrative and Housekeeping Records • Chapter 400F-Finance and Fiscal Records • A File Plan document and format for your office.

34. What is a File Plan? 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. Module 6-34

35. 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

36. Steps in Developing a File Plan

37. NOAA Records Resource • Andre Sivels, Records Officer • National Oceanic and Atmospheric Administration • CAO/Audit and Information Management Office • 1305 East West Highway Room 7439 • Silver Spring, MD 20910 • 301-628-0946 • Andre.Sivels@noaa.gov