|
Records
Management Guide
The
purpose of this guide is to provide an overview of
records management in NOAA. It should be used in
conjunction with the NOAA
Disposition Handbook. NOAA does not have a mandatory
filing system and therefore it is the responsibility
of each office to determine the most efficient system.
Records
Management Authorities:
NAO 205-1 NOAA Records Management Program
DAO 205-1 Program for Records Management
Federal Records Act of 1950
44 U.S.C. Chapter 31 Records Management by Agency Heads
44 U.S.C. Chapter 33 Disposal of Records
44 U.S.C. § 101 Federal Management and Promotion of Electronic Government
Services
Records
Management Terminology and Information Top
As
a Federal employee at NOAA, you will be creating
and using Federal government records. They may be
in many formats: paper, electronic, audio visual,
maps, etc. Records document the organization, functions,
policies, decisions, procedures, operations and other
activities of the Agency.
It
is your responsibility to protect Federal records
in your custody, and there are legal implications
for destroying records without the proper authority.
Following good records management practices can benefit
the Agency in many ways such as: improving access
to information, saving time, space and money.
Records:
By
law Federal records are all documentary materials
including:
- letters
- memorandums
- completed
forms
- statistical
and narrative reports
- graphics
- photographs
- audio
and video recordings
- maps
- architectural,
engineering, and other drawings regardless of physical
- forms
- photographic
prints and negatives
- motion
picture film
- tape
recordings
- electronic
records
Records
are created or received during the conduct of agency
business, and preserved or appropriate for preservation
because they constitute evidence or contain information
of value. (44 U.S.C. 3301).
1. |
Each
agency is responsible for determining if the
materials it creates meet this definition of
a record. |
2. |
Paper
records may be originals or copies, such as file
copies of outgoing correspondence or copies forwarded
for action. |
3. |
Multiple
copies of the same document may each be a record
if each serves a separate administrative purpose
and if they are kept in separate filing or recordkeeping
systems. |
4. |
When
a record exists in multiple formats, such as
in paper and electronic form, then generally
both the paper and the electronic copies are
considered distinct records. Contact your agency's
records officer for further guidance. |
5. |
If
electronically created records are maintained
in paper recordkeeping systems, the information
necessary for a complete record must be printed. |
6. |
Many
factors contribute to the determination that
documentary materials are Federal records. If
the answer to any of the following questions
is "yes," the document is a Federal record. |
| |
-
Did the agency require creation or submission
and maintenance of the document?
-
Was the document used to conduct or facilitate
agency business?
-
If the document is a draft or a preliminary
document created for background or a similar
purpose, does it contain unique information
that explains formulation of significant
program policies and decisions?
-
Was the document distributed to other offices
or agencies for formal approval or clearance?
-
Was the document placed in an agency file?
-
Is the document part of an electronic information
system used to conduct Government business?
-
Is the document covered by an item in an
agency records schedule or regulation?
|
7. |
What
Documentary Materials Are Not Federal
Records? |
| |
-
Library and museum materials made or acquired
and preserved solely for reference or exhibit
purposes
-
Extra copies of documents preserved only
for convenience of reference
-
Stocks of publications and of processed documents.
-
Personal Papers: Materials pertaining solely
to an individual's private affairs that have
been designated as nonofficial and are kept
in the office of a Federal official. (Such
papers are to be labeled as personal and
kept separately from official records)
|
8. |
Are
Preliminary Drafts and Working Papers Federal
Records? |
| |
-
Drafts and working papers should be filed
and maintained as part of the agency's records
if they explain how the agency formulated
and executed significant program policies,
decisions, actions, or responsibilities;
or contain unique information such as annotations
or comments.
-
Questions concerning record status should
be referred to the agency records officer,
legal counsel, or other designated official.
|
9. |
Records
Maintained Under the Privacy Act of 1974: |
| |
-
All records protected by the Privacy Act
must be handled in accordance with NOAA regulations.
These records are those with information
about an individual maintained by an agency
that includes but is not limited to, that
persons education, financial transactions,
medical history, and criminal or employment
history. These records contain the name,
or identifying number, symbol, or other identifier
such as a finger or voice print or photograph.
|
11
Suggestions for Improving Records Management
in Your Office Top
By
applying any or all of them, you will decrease the
amount of paper in your office, increase the amount
of available space, and improve staff efficiency.
The key idea is to understand what portion of the
paper in your office really needs to be managed.
1. |
Segregate
your paper into four categories: records for
which your program is responsible, administrative
records, working files, and reference materials. |
2. |
Set
up a "records center" or official file station
for your major program files. Make someone responsible
for each major program file your office maintains,
and send those persons to records management
training. |
3. |
Apply
your records schedules. Try to avoid keeping
records longer than necessary. Most programs
keep records longer than is needed. |
4. |
Hold
regular cleanup days to encourage staff to retire
older records to the Federal Records Center or
recycle them as the schedule specifies. |
5. |
Draft
lists of documents that need to be included in
the official program files and those that don't
need to be retained. Coordinate this list with
your records manager and counsel as necessary. |
6. |
Cut
off your program and administrative files at
the end of each year. Start new files and bring
forward only the material that is still active.
This will simplify retiring inactive records
later. |
7. |
File
records by type and by disposition rather than
filing everything together. For example, file
final reports which have a long retention and
active life separately from drafts which have
a short retention. Separate controlled correspondence
from general correspondence, and so on. |
8. |
Use
NOAA's Disposition Handbook file codes to help
you organize your files. Arranging them in this
manner will assist with the year-end cleanup
process. |
9. |
When
you create a new type of record or file, develop
a disposition for it in conjunction with the
records management program. This will allow you
to plan how long you need to retain records. |
10. |
When
you automate, be sure to include records management
considerations and responsibilities in your mission
needs analysis. |
11. |
Set
up a central reference file for documents that
are needed by the staff on an occasional basis,
rather than having each staff member retain a
copy. |
Records
Review Top
Each
office should conduct an annual review of
the records stored in the office. The following items
should be noted if they are identified in the review:
-
Any necessary changes in file maintenance;
- Records which are ready for transfer; and
- Records which are eligible for disposal in accordance with the NOAA Disposition
Handbook.
The
reviews should also ensure that:
-
The system's coverage is adequate;
- All of the organization's records are identified; and
- The disposition instructions are appropriate.
Notify
your Records Liaison
Officer (RLO) when changes or additions to the
Disposition Handbook are required.
Change
in Record Format - Offices should contact the
RLO when they are planning to change the format
of a record. For example, if an office plans to
microfilm records and dispose of the original hard
copy, the microfilm would then become the record
copy. However, such disposals require an additional
disposal authority from the NOAA Records Officer.
Records
Retirement Top
The
SF-135, Records Transmittal and Receipt, is used
to retire records to the Federal Records Center.
Click to may obtain the SF-135* . Instructions
on filling out* the SF-135: Instructions
for labeling boxes* is found at:
Permanent
Records: A box list is required whenever records
are considered permanent. All records must be placed
in folders that have been labeled. The box list should
include the dates and descriptions of the contents
of each folder in each box. Type on plain paper instead
of using the SF 135. The office only needs to make
two copies of the list; one as a reference, and one
to accompany copies of the SF-135.
Submit
the SF 135 to the NOAA Records Management Officer
or to your RLO. After it is reviewed it will be sent
to the Federal Records Center (FRC) for approval.
An accession number will be assigned after the SF
135 has been approved. The originating office will
be notified of the accession number and asked to
print the accession number on the boxes.
Required
Material for Records Transfer and Reference Federal
Records Center requires agencies to use specific
types of materials for preparing records transfers.
The supplies and forms are available in the current
General Services Administration (GSA) Supply Catalog
as shown below:
Standard
size record box for legal or letter-size files:
14 1/2" x 12" x 9 1/2"
NSN
8115-00-117-8249*
Note: boxes exceeding these dimensions will not fit on records center
shelving.
Special
purpose boxes:
Half-size box:
14 3/4" x 9 1/2" x 4 3/4"
NSN
8115-00-117-8338*
X-ray
box:
18" x 15 " x 5 1/2 "
NSN
8115-00-290-3386*
Magnetic
tape box (Lock Bottom)
14 3/4 " x 11 3/4 " x 11 3/4 "
NSN
8115-00-117-8347*
Note: This box is intended only for magnetic tape. It will not fit
on standard records center shelves.
Other
materials:
Tape (recommended) NSN
7510-00-073-6094*(The clear tape does not obscure numbers)
Tape- tan - 3 " NSN
7510-00-079-7905*
Standard Form 135 NSN
7540-00-634-4093*
Felt-tip marker NSN 7520-00-973-1059*
Optional Form 11 NSN 7540-00-682-6423*
Records
Disposal Notices Top
When
a group of stored records becomes eligible for disposal,
the Federal Records Center will notify the Record
Management Officer. The records Management Officer
will notify the office of origin to obtain their
approval for disposal. If the office rejects the
disposal date then a written justification for continued
retention, including a recommendation for a new disposal
date, is required.
For
further information contact:
NOAA's Records Management Officer
202-482-5958
Records Management
* |
External
link - You will exit the NOAA Administrative
Management & Executive Secretariat website.
The appearance of external links on this site
does not constitute endorsement by the Department
of Commerce/National Oceanic and Atmospheric
Administration of external web sites or the information,
products or services contained therein. |
|
