Identify benefits/purposes of records management Define roles and responsibilities. Define records, nonrecords, and personal papers Discuss the Records.

Records Management Training

for

National Oceanic and Atmospheric Administration (NOAA)

Records Custodians

NOAA Records Management Program

2

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

Training Objectives

10/26/2011


3

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

Training Agenda

10/26/2011


4

Module 1: Find It, Store It, Get It Back:Why Manage Business Information?

10/26/2011


5

Identify the benefits of proper business information management

Introduce some of the risks with not having proper business information management

Module 1 Learning Objectives

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6

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.

Why We Manage Business Information and Records

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7

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

Managing Records?

10/26/2011

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.

10/26/2011


9

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

Benefits of Records and Information Management

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10

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

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

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Any problems or risks here?

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12

Mitigates risk Aids decision-making Helps you find the information you need,

when you need it Retains agency memory

How Records Management Helps in Your Job

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13

Module 2: The Three R’s: Roles, Responsibilities, and Requirements

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14

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


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15

AgencyRecords Officer

Records LiaisonOfficer


RecordsCustodian

RecordsCustodian

RecordsCustodian

RecordsCustodian


Records-Related Positions

10/26/2011


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

10/26/2011


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

10/26/2011


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.

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19

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)

Legal Requirements

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20

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

The Law Behind Recordkeeping Requirements

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21

Module 3:Whose Records Are These? Identifying Federal Records

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22

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


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23

“…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)

What is a Record?

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24

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?

Recognizing Federal Records

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

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25

Time and attendance records Contracts Original drawings and

specifications Project case files Internal and external directives Personnel folders

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

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26

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

Federal Records Formats

10/26/2011


Categories of Federal Records

Program or AdministrativeAND

Permanent or Temporary

Module 1-27

10/26/2011


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

10/26/2011


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.

10/26/2011


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

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31

Business Information

FederalRecords

Nonrecord Materials

Personal Papers

Federal Records Are Just Part of The Story

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32

•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)

Federal

Records Act (FRA)

Federal Records ActDefinition of a Record

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33

• A record is the product(s) of data compilations, such as books, papers, maps and photographs, machine readable materials, regardless of physical form or format or other documentary materials regardless of physical form or characteristics•Made or received by an agency of the United States Government under Federal law in connection with the transaction of public business and the in the departments possession and control at the time the FIOA request is made

Freedom of

Information Act (FOIA)

FIOA Definition of Records

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34

• Article X Rule 1001. Provides definitions of various kinds of documentary material including some the FRA would define as non-record.

• For purposes of this article the following definitions are applicable:• (1) Writings and recordings. "Writings" and "recordings" consist of

letters, words, or numbers, or their equivalent, set down by handwriting, typewriting, printing, photostating, photographing, magnetic impulse, mechanical or electronic recording, or other form of data compilation.

• (2) Photographs. "Photographs" include still photographs, X-ray films, video tapes, and motion pictures.

• (3) Original. An "original" of a writing or recording is the writing or recording itself or any counterpart intended to have the same effect by a person executing or issuing it. An "original" of a photograph includes the negative or any print therefrom. If data are stored in a computer or similar device, any printout or other output readable by sight, shown to reflect the data accurately, is an "original".

• (4) Duplicate. A "duplicate" is a counterpart produced by the same impression as the original, or from the same matrix, or by means of photography, including enlargements and miniatures, or by mechanical or electronic re-recording, or by chemical reproduction, or by other equivalent techniques which accurately reproduces the original.

Federal Rules

of Eviden

ce(FRE)

Federal Rules of Evidence Definition of a Record

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35

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

Nonrecord Materials

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36

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

Nonrecord Materials Are Still Important

10/26/2011


Is it a draft or interim document that has not been circulated to others or does not contain substantive comments and for which there is a final version being maintained?

When in doubt, treat it as a record.Call your records officer for information.

RECORD

Recorded Information

Are you or your organization the creator of the record? Did you generate or receive the information to use for your technical/administrative work in conducting agency business?

Does it contain informational value as evidence of your organization’s functions, policies, decisions, procedures,operations, mission, programs, projects, or activities?

YES

YES

Is It A Record?

YESRECORD

NO

YESRECORD

RECORD

RECORD

Is it material that originated in another office or outside your agency, but you commented or took action on the material?

Does it document business actions, such as: what happened, what was decided, what advice was given, who was involved, when it happened, the order of events and decisions?

YES

YES

NO

Is it published or processed information that you received anduse as reference?

YES

Is it a copy of a document or correspondence kept only forconvenience of reference on which no action is taken?

YES

NO

NO

NO

NO

NO

YESIs it information accumulated and maintained at the workplace,but which does not affect or reflect the transaction of your program business?

Is it an original document related to agency business that does not exist elsewhere?

Is it junk mail or documentation that has no work-related informational or evidentiary value?

NO

NO

YES

October 25, 2011

RECORD

RECORD

RECORD

RECORD

RECORD

Author: Anna Nusbaum,CRM Sandia National Lab, NM

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38

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

What Are Personal Files?

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39

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

Personal or Nonpersonal?

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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.

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41

Probably yes, unless truly personal in content and use.

Is my E-mail a Federal Record?

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42

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?

Can I Delete E-mail?

10/26/2011

Record or Nonrecord?From: Josephine Greene To: Daniel SchemanskiSubject: Lunch

Daniel,

Remember that we're getting together with Fred for his farewell lunch next Thursday. Should be the last time that cheap so-and-so can stick us with a lunch tab!

Oh, and don't forget that meeting after lunch with the vendor to discuss section 5 of the contract. I have serious concerns about this area.

Josephine


44

E-mail messages Meeting files Working files Contractor records Drafts Duplicates/copies

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

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45

Records Lifecycle: NOAA

Permanent (1–3%)

to Archives

Creation/Receipt Maintenanceand

Business Use

Disposition

Permanent

(20-25%)

Temporary

Destroyed

Legal Custody Transferred to The National Archives

(75-80%)

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46

A records schedule 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.

Records Schedules

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47

A group of related files kept together as a unit

Record Series

File item

File unit

Record series

Record group

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48

Record Group 370 – NOAA

All Mission and Support Functions

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.

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49

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

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50

How Can You Avoid Records Problems?

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51

Module 4: Records Inventory

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52

At the conclusion of this module, you will be able to:

Review how an inventory fits into the overall records management program

Define the key factors in establishing an inventory

Select the key elements of information to be captured

Determine how to collect the information

Module 4: Learning Objectives

10/26/2011


5310/26/2011


5410/26/2011


55

A records inventory is a complete and accurate survey of an agency’s business information that documents the function, flow, and description of records.

What is a Records Inventory?

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56

A group of related files kept together as a unit

Inventory: Usually done at the Records Series level

File item

File unit

Record series

Record group

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57

One purpose of a records inventory is to provide the information needed to schedule records.

Another purpose is to allow you to implement a special records management project.

A records inventory tells you:◦ What records are created by an agency◦ Who within the agency “owns” the records◦ Where the records are located◦ The volume of the records

Purpose of a Records Inventory

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58

Identifies those records eligible for disposal◦ Frees up much needed space◦ Ensures legal compliance◦ Allows easier FOIA response

Identifies those records eligible for transfer to the National Archives

A records inventory can point to potential records management problems

Allows easier response in case of a disaster

Benefits of a Records Inventory

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59

Goals Scope Support

Key Factors

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60

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 Reorganization of office functions Office Relocations

Goals

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61

How far-reaching is your inventory?

Scope

• An agency• An organization• A department• An office

• A program• A function• Current records• Noncurrent records

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62

Senior management needs to understand scope, purpose, and use of inventory.

Develop the plan for collecting the information.

Ask for written commitment.

Management Support

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63

1. Decide on the information to be collected.2. Decide how the information will be collected.3. Prepare an inventory form.4. Decide who will conduct the inventory, and

train them if necessary.5. Learn where the agency’s files are located, both

physically and organizationally.6. Conduct the inventory.7. Verify and analyze the results.

Steps in Inventorying Records

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64

Record Series Information Creating office Title Description/Function Medium Arrangement Volume Disposition

Decide on the Information to Be Collected

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65

Information Systems Information Name Program/Mission Description of content Data inputs Data outputs

Decide on the Information to Be Collected (cont’d.)

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66

Questionnaire Interview Physical site survey

Decide How the Information Will Be Collected

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67

The following are some tools that can be used to capture inventory information:

Series Inventory Form Audiovisual Records Form Information System Description Form Spreadsheet (to be used while conducting

an inventory, or for entering and sorting later)

Prepare an Inventory Form

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68

Normally, Agency Records Officers or experienced staff members oversee and coordinate the records inventory.

Subject Matter Experts 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.

Decide Who Will Conduct the Inventory

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69

Review agency’s business functions. Review agency’s recordkeeping

requirements. Review records schedules Review file plans or existing inventories

Learn Where the Agency’s Files Are Located

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70

Review Office Layout and Files

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71

Gathering Data

Survey Office Cabinets or central file area and capture records series on the Records Series Inventory form.

◦ Suggested Tips-Start with records or offices you are most familiar or where files are arranged in logical sequence with adequate labeling

Do not capture a folder by folder listings.

Complete one records series inventory form for each records series identified, arranged by fiscal year/ Calendar year. For example, you have 7 sheets for Time and Attendance records representing each year ranging for FY, 05,06,07,08,09, 10 and 11

If information on records folders is not clear ask program manager or administrative assistant for assistance.

Conduct the Records Inventory

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72

label each shelf or cabinet indicated it has been inventoried.

Note if records have been pulled for audit or legal matter as they may be returned some time for future filing.

Transfer key inventory record data to spreadsheet for sorting and analysis.

Conduct the Records Inventory (Cont.)

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73

Spot-check questionnaires for obvious errors: Failing to indicate location Exaggerating volume No electronic records? Intermixing record series under one title

Verify and Analyze the Results

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74

Compare records inventory data to with NOAA records schedules to identify :◦ records on the inventory which are not covered a

NOAA record schedule?◦ records which can be destroyed immediately◦ Inactive Records which are eligible for off-site

storage ◦ Permanent records which must be transferred to

NARA

Verify and Analyze the Results(Cont.)

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75

Sample Inventory SpreadsheetSchedule No. Record Series Title Description

Inclusive Dates

Location Medium VolumeDisposition Instructions

Eligible for Disposal?

Date Eligible for Disposal

Eligible for FRC Transfer?

Eligible NARA Transfer?

200.8 Credit/Bank Card Transactions.

Copies of bank statements of credit card transactions receipts, reports and related documentation.

10/1/2003-9/30/2004

AA Office -Cab 1-1

paper 1 Destroy when 6 years and 3 months old.

Yes 1/1/2011 No No



10/1/2004-9/30/2005

AA Office -Cab 1-2


No 1/1/2012 No No



10/1/2005-9/30/2006

AA Office -Cab 1-3


No 1/1/2013 No No



10/1/2006-9/30/2007

AA Office -Cab 1-4


No 1/1/2014 Yes No



10/1/2007-9/30/2008

AA Office -Cab 1-5


No 1/1/2015 Yes No



10/1/2008-9/30/2009

AA Office -Cab 1-6


No 1/1/2016 Yes No



10/1/2009-9/30/2010

AA Office -Cab 1-7


No 1/1/2017 Yes No

Total 14 Cubic feet

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76

Module 5: Records Disposition

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77


Define records disposition Define the various types of records

disposition activities How to complete the various types of

disposition activities


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78

Records Disposition:◦ The actions taken regarding records no longer

needed for current Government business◦ These actions may include:

Transferring temporary records to commercial storage facilities or Federal Records Centers (FRC’s)

Accession permanent records to the National Archives and Records Administration

Disposal of temporary records.

Records Disposition

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Transfer Records to Federal Record Center◦ Step 1: Identify which records to transfer◦ Step 2: Sort Records◦ Step 3: Order Records Boxes and Pack Records◦ Step 4: Create box inventory◦ Step 5: Complete Records Transmittal and Receipt

Form (SF-135) and sent RLO for approval◦ Step 6: Send SF-135 to FRC for approval and obtain

transfer number (370-11-xxxx)◦ Step 7: After approval, contact Logistics

(301-372-2925 to arrange pick up and delivery to FRC.

Temporary Storage

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80

SF-135 form

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81

Transferring Permanent Records to NARA◦ Records must be scheduled as permanent◦ Legal custody is transferred to NARA◦ SF-258 must be completed◦ Detailed box list of folders◦ Records will be accessible to the public unless

restrictions are invoked.

Permanent Transfer

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Step 1: Identify permanent records in within NOAA records control schedules◦ Record Schedule will specify when records will be

transferred to NARA Step 2: Complete SF-258 form(Agreement to

Transfer Records to the National Archives of the United States

Step 3: Box records and label records Step 4: Create box list Step 5: Contact your Records Manager to

arrange transfer

Permanent Transfer (cont.)

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83

SF -258 Form

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84

Both NARA and the agencies are responsible for preventing the unauthorized disposition of Federal records including their unlawful or accidental destruction, defacement, alteration, or removal from Federal custody. Unauthorized disposition of Federal records is against the law (44 U.S.C. 3106) and may lead to a $2,000 fine, a 3-year imprisonment, or both (18 U.S.C. 2071).

Records Disposal

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Records Disposal◦ Before records can destroyed you must:

Ensure records are eligible for disposal based on: Records are covered by a valid NOAA or NARA GRS

schedule Records are subject to any pending litigation or legal

action Offer any record created before 1924 to the National

Archives for preservation.

Records Disposal

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86

Recycle: -non record material,

non-sensitive information Shred:

sensitive, confidential, classified personal information

Records Disposal Methods

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87

Failure to comply with the records management requirements can lead to significant consequencesfor the agency andfor you personally,including:

◦ Administrative action◦ Litigation against the

agency◦ In extraordinary cases, prison time, fines, or both

for unauthorized destructionof records

Crime and Punishment

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88

♦ Example 1 Based on Calendar Year

◦ Records: Time and Attendance

◦ Date Range: 1/1/2004-12/31/2004

◦ Retention Destroy after GAO audit or when 6

◦ years old whichever is later

◦ Disposal Date Calculation

◦ Ending Date of Records 12/31/2004 ◦ Retention Requirement + 6 yrs ◦ Records Must be maintained until 12/31/2010

◦ Disposal Date 1/1/2011◦

Calculating a Destruction Date

• Example 2 Based on Fiscal Year

Records: Travel Vouchers

Date Range: 10/1/2005- 9/30/2005

Retention: Destroy 6 years, 3 months after

period covering accounts

Disposal Date Calculation

Ending Date of Records 9/30/2005 Retention Requirement + 6 yrs,3

mon.Records Must be maintained until 12/31/2011

Disposal Date 1/12012

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89

Records Destruction Form

RECORDS DESTRUCTION REQUEST FORM

Name Signature Date Certification Statement

Authorizing Official

I certify that, to the best of my knowledge, these records are not subject to any current or pending litigation, audit, subpoena, or other legal demand, and they are being destroyed in accordance with the applicable, approved records control schedule.

Records Liaison Officer

Destroyed By:

I certify that these records were destroyed by cross-cut shredding, pulverizing, burning, or by any disposal method authorized by NARA. All records were destroyed on the same date.

Witnessed By:

Person Completing Form/Office/Phone No.

RECORD DATA

Name of Record Series & Brief Description

Date Range Date Eligible Disposition Instructions Disposition Authority

Format Volume Start End For Disposal Paper Elect

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90

Ensure are eligible based on their description and age.

Destruction must be certified Secure crossing shredding Documenting disposal actions Disposing on a cyclical basis

Ensuring Proper Records Disposal

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91


Define what is file plan Purpose of a file plan Components of file plan Steps to developing a file Plan


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92

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)◦ Personal records (as appropriate)

What is a File Plan?

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93

A file plan takes information from: The records inventory Your Agency Records Manual; and … ….translates it into a user-friendly, user- or

office-specific document for the management of your records and business information!

What is a File Plan?(cont’d)

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94

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.

What is a File Plan?(cont’d)

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95

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

Why Have a File Plan?

Sample File Plan

FILE PLAN FY 20___ FISCAL MANAGEMENT STAFF (FMS)

700 Title and Description Disposition Vital Record

701 Budget and Finance Policy Files

Correspondence and subject files accumulated in BPR HQ Budget Office which document agency policy and procedures governing budget administration, and reflecting policy decisions affecting expenditures for agency programs.

PERMANENT: Cut off at the end of the target budget year. Transfer to RC when 10 years old. Transfer to the NARA in 10-year blocks when 20 years old.

702 Accounting Files

Financial reports, request for office supplies and equipment, payroll binders, purchase orders, contracts, vendors, obligation reports, forms, monthly accounting reports, and receipts and vouchers.

TEMPORARY: Cut off at end of FY. Destroy 6 years and 3 months after cutoff.

yes

703 Budget Estimates and Justifications

Copies of budget estimates and justifications prepared or consolidated in BPR HQ Budget Office. Included are appropriation language sheets, narrative statements, transcripts of hearing, backup justification for hearings, and related records. (All policy and procedures documents should be filed under 701).

TEMPORARY: Cut off at the end of the target budget year. Destroy when 5 years old.

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Sample File PlanClass Code

Disposition Instructions Media Format

Vital Record

LOC

100-01 Publication, Studies and Reports

One copy of all official NOAA publications formally coordinated, prepared, and printed by the Government Printing Office, private contractors, or the agency itself including but not limited to annual reports to Congress and the Secretary of Commerce; special project studies and reports that are conducted by NOAA or under contract to NOAA; journals, technical reviews, catalogs, and other scientific and other agency guidance; public relations flyers, brochures and educational materials prepared to furnish information or to promote agency programs and operations to the public. NARA Reference Number NI-370-90-3, Item 1501-16.

100-01.a a. Official Record set. One copy of each official NOAA publication, study, report, scientific paper, or other formally published or informally produced materials.

PERMANENT. Break files annually and transfer to the Federal Records Center. Transfer to the National Archives when 20 years old.

PAPER NO 1-A

100-01.b b. All other copies. Duplicate copies of NOAA publications maintained by all NOAA operating units and divisions solely for convenience of reference.

Destroy when no longer needed for current agency business.

PAPER NO 1-B

100-01.c c. Manuscript and Reviews of Manuscripts. Manuscripts and reviews of manuscripts submitted to NOAA or other public or private publisher for review and comment prior to publication.

Destroy when no longer needed for current agency business.

PAPER NO 1-C

Records Series Name and Description

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Steps in Developing a File Plan

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Benefits of Records Management Roles and Responsibilities Defining Records and Non-Records Records Inventory Record Disposition Process Records File Plan

SUMMARY

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Andre Sivels, NOAA Records Officer [email protected]

Or visit

NOAA Records Management Websitehttp://www.corporateservices.noaa.gov/audit/records_management

/

National Archives and Record Administrationwww.archives.gov

For More Information Contact

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mailto:[email protected]

http://www.corporateservices.noaa.gov/audit/records_management

http://www.corporateservices.noaa.gov/audit/records_management

http://www.archives.gov/

Identify benefits/purposes of records management Define roles and responsibilities. Define records, nonrecords, and personal papers Discuss the Records.

Documents

proper records

management of federal

particular records

records requests

good records management

records management directive

noaa records manual

agency records liaison