Briefing for NOAA Managers on Federal Records Management

Briefing for NOAA Managers on Federal Records Management

Briefing for NOAA Managers on Federal Records Management Presented by: NOAA/CAO/AIMO Audits and Information Management Office Records Management Program 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 agencys 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 withthe Archivist in applying standards, procedures, and techniques designed to improve the management of records; and compliance with appropriate sections of this title. Legal Definition of 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 NOAA Records Management Objectives: Federal records management objectives in NOAA 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. 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 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 Federal Records Federal Records are Documentary Material subject to the Federal Records Act Business Information Non-Record

Materials E-Mail Federal Records 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. Business Information E-Mail

Federal Records Non-Record Materials Personal Papers Lifecycle of Records Creation/Receipt Maintenance and Business Use

Disposition (20-25%) Permanent Legal(13%) Custody Transferred to The National Archives (75-80%) Temporary Destroy Records Schedules 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. Disposition for permanent Records 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. 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 How are NOAAs 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 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.

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 Steps in Developing a File Plan 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. 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.

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. 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. 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 [email protected] NOAA Records Management Website NOAA Records Resource QUESTIONS????

Recently Viewed Presentations

  • ASOA Course ID: 3808 Title: Supplemental Diagnostic Testing ...

    ASOA Course ID: 3808 Title: Supplemental Diagnostic Testing ...

    ASOA Course ID: 3808 Title: Supplemental Diagnostic Testing With Visual Electrophysiology (1 hour) read. Disclosure. ... pathway disturbances from amblyopia, glaucomas that are known to affect retinal or optic nerve function before structural loss of the retinal nerve fiber layer...
  • Use of Mesenchymal Stem Cells In Myocardial Infarction Treatment

    Use of Mesenchymal Stem Cells In Myocardial Infarction Treatment

    Use of Mesenchymal Stem Cells In Myocardial Infarction Treatment 4/5/06 Snehal Patel Advisor: Dr. Bettye Hollins Challenging the Dogma It has always been believed that the heart is composed of terminally differentiated cardiac myocytes but research has shown that stem...
  • TVET Australia Assessment, validation and moderation A power

    TVET Australia Assessment, validation and moderation A power

    TVET Australia Assessment, validation and moderation A power point presentation developed by the NQC to support information sessions on assessment, validation and moderation
  • Overview of glomerular diseases

    Overview of glomerular diseases

    (3) Anti-glomerular basement membrane antibody-mediated glomerulonephritis … α3 chain of the type IV collagen of the GBM is the target here …Sometimes the anti-GBM antibodies cross-react with basement membranes of . lung alveoli, resulting in simultaneous lung and kidney lesions...
  • Online, Social and Participatory Media - Media Studies

    Online, Social and Participatory Media - Media Studies

    The term P2P refers to peer-to-peer networking. A peer-to-peer network allows computer hardware and software to communicate without the need for a server. ... Simon Cowell's Syco Records (linked to Sony) Video type. Mixture of lip-synched performance and footage of...
  • Market-Based Opportunities in East Asia

    Market-Based Opportunities in East Asia

    - World Bank (2010) Maritime Shipping CKYH Green Alliance Partners - COSCO, K-Line, Yang Ming, Hanjin Shipping 'Eco-steaming', Super-slow 'Cold ironing technology' 'Nano-emulsion Fuel System' Energy reduction in container ports * - Bunkerworld May/June 2010 p24 Fish Health & Safety...
  • Using Context Clues - Valencia

    Using Context Clues - Valencia

    Using Context Clues to Determine Definitions Ways to Figure Out the Meaning (when you can't use a dictionary): pages 12 to 15 in 10 Steps to Advanced Reading * The concept of the ecological niche is almost inseparable from the...
  • HTML - Duquesne University

    HTML - Duquesne University

    HTML -history. Hypertext Markup Language is the main language for creating web pages. It was first created by Tim Berners-Lee in 1989-1990. ... </p> content to display goes as series of paragraphs <!-- comments here -- >The . Comment. element:...