Briefing for NOAA Managers on Federal Records Management Presented by: NOAA/CAO/AIMO

1. Briefing for NOAA Managers on Federal Records Management Presented by: NOAA/CAO/AIMO Audits and Information Management Office Records Management Program

2. 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. 44 U.S.C. 3102 The head of each Federal agency shall establish and maintain an active, continuing program for the economical and efficient management of the records of the agency. The program, among other things, shall provide for • effective controls over the creation, maintenance and use of records in the conduct of current business; • cooperation with…the Archivist in applying standards, procedures, and techniques designed to improve the management of records…; and • compliance with appropriate sections of this title.

3. Legal Definitionof 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)

4. NOAA Records Management Program • NOAA Records Management Objectives: • Federal records management objectives in NOAA are to effectively carry out the mission of the agency while protecting the rightsof citizens, assuring Government accountability, and preserving records of permanent and historic value. NOAA must demonstrate the following: • Policies and procedures exist in writing. • Agency personnel are trained in procedures. • The procedures are followed in a continuous and regular fashion

5. Examples of Federal Records • Research Data • Contracts • Original drawings and specifications • Project case files • Instant Messages (IM) • 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

6. Federal Records Federal Records are Documentary Material subject to the Federal Records Act Business Information Non-Record Materials FederalRecords E-Mail Personal Papers

7. Business Information Non-Record Materials FederalRecords Personal Papers FOIA AND Discovery Responses This create a New record Series that must be managed as a separate Record set from the program record or origin. E-Mail

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

9. RecordsSchedules A records scheduleidentifies records as either temporary or permanent and provides the mandatory instructions for the disposition of the records when they are inactive. Dispositionrefers to the actions taken when a record is no longer needed for current government business. Disposition for permanentRecords must be transferred to NARA legal custody 20 years after close of action. NOTE: Before records can be destroyed. This form must be filled out and approved Records Liaison Officer in your office and the Program Manager with a cc to the NOAA Records Officer. http://www.corporateservices.noaa.gov/~noaaforms/eforms/nf62-23.pdf

10. Unlawful Destruction of Records Reporting and Congressional Notification 44 U.S.C. 3105 and 3106. The heads of Federal agencies must: • Prevent the unlawful or accidental removal, defacing, alteration, or destruction of records. Section 1222.24(a)(6) of this subchapter prohibits removing records from the legal custody of the agency. Records must not be destroyed except under the provisions of NARA-approved agency records schedules or the General Records Schedules issued by NARA; • Take adequate measures to inform all employees and contractors of the provisions of the law relating to unauthorized destruction, removal, alteration or defacement of records; • Implement and disseminate policies and procedures to ensure that records are protected against unlawful or accidental removal, defacing, alteration and destruction; and • Direct any unauthorized removal, defacing, alteration or destruction be reported to NARA

11. How are NOAA’s records organized in the disposition schedule? Record Group 370 – NOAA All Mission and Support Functions Record Function 1500 – Marine Fisheries All Marine Fisheries Mission Functions Record Series 1514 – ESA & MMPA All ESA and MMPA Mission Functions Record Item - Project 1514-22 ESA Section 7 Consultation

12. Records Management, FOIA, and Discovery • Managed records provide a focused scope for diligent search. • With duplicates removed, less time is spent handling and reviewing unresponsive documents. • By destroying outdated drafts, where the rationale for changes are clearly shown elsewhere, relieves agency of unnecessary time and resource in review. • Timely response to FOIA requests removes the likelihood of fines, FOIA litigation, lost fees, and contempt by requestors.

13. 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 must provide these functions: • Capture/Creation • Use/Dissemination/Display • Storage • Preservation • Disposition

14. Steps in Developing a File Plan

15. What is an Electronic Records Management System (ERMS) • An electronic system in which any agency records, regardless of format, are collected, organized, and categorized to facilitate their preservation, retrieval, use, and disposition. • Provides record content, context, and structure. • Ensures authenticity, integrity, and reliability. • Contains unchanged, redundant information (does not allow records to be updated). • Provides for Federal regulatory compliance and agency records schedule dispositions.

16. Records Web Applications? • NOAA has been changing the manner in which we work, communicate, and create Federal records. • In collaborative projects, develop workflow processes that include policies to manage Web environment Federal records. • In multi-agency collaborative projects, it is best for one agency to “lead” and manage the official records. • Recognize the Federal records management limitations to the current applications used in Web. • Consider ERMS applications to manage Web created records.

17. Records Management and E-mail • If e-mail is a means of developing decisions, sharing rationale, debating issues, it will become part of the administrative record in litigation. • Develop local policies keeping personal remarks out of agency deliberative processes in e-mails. • Manage record e-mail outside of the e-mail application. • Craft e-mail as you would a memorandum. • Provide staff with e-mail template protocols.

18. Where to begin? • Maintain records, reference materials, and personal papers separately. • Separate records from non-records. • Organize records by project, action, or decision. • Beginning with one project, organize into date order. • Destroy duplicates and non-records with no current reference value. • Place non-record reference materials into a library. • Handle e-mail as you would a project memorandum. • Apply a NOAA or GRS Records Schedule retention to the project.

19. 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/

20. NOAA Records Resource • QUESTIONS????