Records Management Training for National Oceanic and Atmospheric Administration (NOAA) Records Custodians

1. Records Management TrainingforNational Oceanic and Atmospheric Administration (NOAA) Records Custodians

2. Training Objectives 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 NOAA Records Management Program

3. Training Agenda • 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 R’s: 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 NOAA Records Management Program

4. Module 1: Find It, Store It, Get It Back:Why Manage Business Information? NOAA Records Management Program

5. Module 1 Learning Objectives Identify the benefits of proper business information management Introduce some of the risks with not having proper business information management NOAA Records Management Program

6. Why We Manage Business Information and Records 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. NOAA Records Management Program

7. Managing Records? Isn’t that something our secretary does? Not entirely; first, you must set the example for your office If you don’t care, others won’t care NOAA 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. NOAA Records Management Program

9. Benefits of Records and Information Management • 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 NOAA Records Management Program

10. Benefits of Records and Information Management (cont’d.) 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 NOAA Records Management Program

11. Any problems or risks here? NOAA Records Management Program

12. How Records Management Helps in Your Job Mitigates risk Aids decision-making Helps you find the information you need, when you need it Retains agency memory NOAA Records Management Program

13. Module 2: The Three R’s: Roles, Responsibilities, and Requirements NOAA Records Management Program

14. Module 2 Learning Objectives 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 NOAA Records Management Program

15. Records-Related Positions NOAA Records Management Program

16. NOAA Staff Responsibilities Agency Records Officer Oversees the agency’s 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 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 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. NOAA Records Management Program

19. Legal Requirements 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 1220.18) NOAA Records Management Program

20. The Law Behind 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 NOAA Records Management Program

21. Module 3:Whose Records Are These? Identifying Federal Records NOAA Records Management Program

22. Module 3 Learning Objectives 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 e-mail messages Discuss the records lifecycle Discuss the organization of records within NOAA NOAA Records Management Program

23. 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) NOAA Records Management Program

24. Recognizing Federal Records If you answered “yes” to any one of these questions, the document is probably a Federal record. • 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? NOAA Records Management Program

25. Federal Records Examples 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 Time and attendance records Contracts Original drawings and specifications Project case files Internal and external directives Personnel folders NOAA Records Management Program

26. Federal Records Formats Paper (letters, memos, completed forms, reports, maps, etc.) Electronic (databases, e-mail, spreadsheets, geographic information systems, etc.) Audio recordings Photographic prints and negatives Video recordings and motion picture films NOAA Records Management Program

27. Categories of Federal Records ProgramorAdministrative AND PermanentorTemporary Module 1-27 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 NOAA Records Management Program

29. 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. 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 NOAA Records Management Program

31. Business Information Nonrecord Materials FederalRecords Personal Papers Federal Records Are Just Part of The Story NOAA Records Management Program

32. Federal Records ActDefinition of a Record NOAA Records Management Program

33. FIOA Definition of Records NOAA Records Management Program

34. Federal Rules of Evidence Definition of a Record NOAA Records Management Program

35. Nonrecord Materials • 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 NOAA Records Management Program

36. Nonrecord Materials Are Still Important • 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 NOAA Records Management Program

37. NOAA Records Management Program

38. What Are Personal Files? • 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 NOAA Records Management Program

39. Personal or Nonpersonal? Personal Papers A date book containing only personal entries, such as doctor’s 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 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. NOAA Records Management Program

41. Is my E-mail a Federal Record? Probably yes, unless truly personal in content and use. NOAA Records Management Program

42. Can I Delete E-mail? • Yes, on the following conditions: • IF the e-mail 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 agency’s paper or electronic recordkeeping system. • IF the email only has short-term, transitory value, you may delete it immediately or whenever no longer needed for reference. Transitory e-mail may also be deleted automatically, as allowed on your system. • Ask your records officer or records liaison officer: • What is the agency e-mail policy: keeping copies electronically or in paper files? • How does the agency capture the whole e-mail record—the transmission data as well as the content of the message? NOAA Records Management Program

43. Record or Nonrecord?

44. Typical Tough Calls 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 E-mail messages Meeting files Working files Contractor records Drafts Duplicates/copies NOAA Records Management Program

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

46. Records Schedules A recordsschedule 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. NOAA Records Management Program

47. File item File unit Record series Record group Record Series A group of related files kept together as a unit NOAA Records Management Program

48. How are NOAA’s records organized in the disposition 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. Record Group 370 – NOAA All Mission and Support Functions NOAA Records Management Program

49. NOAA Records Schedules 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 NOAA Records Management Program

50. How Can You Avoid Records Problems? NOAA Records Management Program