Records Management Fundamentals

1. Records Management Fundamentals

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.

3. Records Management Responsibilities • All Employee are responsible for: • Obtaining basic records management training and guidance. • Maintaining record and nonrecord material according to NARA, and agency requirements. • 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). • Reporting any apparent instances of unauthorized disposition to the supervisor and to the Records Officer • Preserving any unscheduled records and promptly informing your Records Liaison Officer of their existence. • Keeping personal papers and nonrecord material separate from agency records. • Notifying your designated Records Liaison Officer when records are no longer needed for the conduct of current business but cannot yet be disposed of, and are eligible for transfer to a FRC or to NARA. • Turning over records to your supervisor during your exit process.

4. What are Federal Records? Federal Records includes: “…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)

5. Federal Records Are Just Part of The Business Information Collection Business Information Non-Record Materials FederalRecords Personal Papers E-Mail

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

7. 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

8. Is it a Record? Consider the following: • Is it covered by NOAA records schedule? • Was it created in the course of business? • e.g., correspondence, agreements, studies • Was it received for action? • e.g., FOIA requests, controlled correspondence • Does it document NOAA activities and actions? • e.g., calendars, meeting minutes, project reports • Is it mandated by statute or regulation? • e.g., administrative record, • Does it support financial obligations or legal claims? • e.g., grants, contracts, litigation case files • Does it communicate NOAA requirements? • e.g., guidance documents, polices, procedures

9. Nonrecord Material Nonrecord 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.

10. What Are Personal Papers? • Personal papers are documentary materials of a private or personal nature that do not relate to, or have an effect on the conduct of 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 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 • Personal, family, or social correspondence • Insurance or medical papers. • Your personal leave records

11. Working Files Working files may be considered records if they are: • circulated or made available to employees other than the creator, for official purposes such as approval, comment, action, recommendation, or follow up • circulated to communicate with agency staff about agency business • contain substantive annotations or comments • add to the proper understanding and execution of agency policies, decisions, actions or responsibilities

12. 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 Schedules can be found at: Http://www.corporateservices.noaa.gov/audit/records_management/schedules/

13. Records Destruction Request Form

14. Records Management and Freedom of Information Act (FOIA) • Managed records provide a focused scope for diligent searching. • Requests for records which have been destroyed in accordance with their retention schedule do not have to be produced, if the records were destroyed prior to the request being submitted. • A timely response to FOIA requests removes the likelihood of fines and FOIA litigation.

15. For More Information Contact • NOAA Records Officer: andre.sivels@noaa.gov Or visit NOAA Records Management Website http://www.corporateservices.noaa.gov/audit/records_management/ National Archives and Record Administration www.archives.gov

16. Questions?