RECORDS MANAGEMENT
(Administrative and Technical)
Sections
2.06.10 Managing Electronic Records
Appendix A - Retirement (Transfer) of NIST Records
Appendix B - Recalling Retired Records
Appendix C - Disposition of NIST Test Folders and Test Reports
Appendix D - Disposition of Papers Covered by the Privacy Act of 1974
Appendix E - Disposition of Records
by Departing Employees
2.06.01
PURPOSE
This subchapter prescribes policies, responsibilities, and procedures
for the management of records and certain nonrecord reference material
at the National Institute of Standards and Technology (NIST). Instructions
for the management of classified records are outlined in Subchapter 13.01.
2.06.02
SCOPE
This subchapter applies to NIST-Gaithersburg and NIST-Boulder and covers
administrative and technical files, file material, records, nonrecord material,
and research notebooks and technical journals.
2.06.03
POLICY
a. It is NIST policy to ensure that all administrative and technical
records, including those in electronic form, contain adequate and proper
information on the functions, organization, policies, procedures, decisions,
scientific and technical progress, and essential transactions they are
intended to document; are sufficient to protect the legal and financial
rights of the government and of persons directly affected by NIST actions;
are easily retrievable and usable; are protected from unauthorized access
to, or loss, removal, or theft of; are protected from unauthorized disclosure;
and are disposed of only in compliance with approved NIST Records Schedules
and General Records Schedules.
b. It is NIST policy that all NIST employees engaged in research and development activities maintain a thorough and accurate record of their work by keeping a research notebook following internal Operating Unit policies. Employees conducting research using electronic media shall maintain a notebook that chronologically documents the progress of their research and indexes electronic work files so that primary experimental results may be retrieved.
c. Records at NIST are to be managed in an economical and efficient manner, in accordance with the objectives of the Federal Records Act of 1950 as amended by the Federal Records Management Amendments of 1976 (44 U.S.C. 2901 et. seq.) and instructions given in Department Administrative Order (DAO) 205-1. In compliance with the provisions of the disposal of records chapter of Title 44 in the United States Code (44 U.S.C. 3301 et. seq.), records of continuing value will be preserved and records of insufficient value to warrant further attention will be destroyed.
d. Official record files are the property of the government, not
the property of individual employees. All technical records,
including research notebooks, journals, electronic records, data, calculations,
etc., pertaining to NIST activities are official files of the government
and, as such, are the property of the government, not the employee.
These records are not to be removed from NIST without the proper authority.
This applies when an employee transfers, retires, or otherwise separates
from NIST.
2.06.04
DEFINITIONS
a. Audiovisual Records - Include program and information
motion pictures, still pictures, sound records, video recordings, and related
documentation. For purposes of records management, these records include
the management of audiovisual records and related records that document
the creation and/or acquisition of audiovisual records and were created
for or used in the retrieval of information about or from audiovisual records.
b. Blowback - An enlargement of a micro-image to full readable size on a viewer or on printed paper.
c. Disposal List - Serves as a one-time authorization permitting the disposal of a specific group of records which is no longer needed. After approval by the appropriate organizational unit, records which have reached their authorized disposal date are destroyed.
d. Disposition - A plan for the future of records, i.e., a determination of how long materials should be retained in office space and/or in the NIST Records Holding Area or Federal Records Centers.
e. Electronic Recordkeeping - Procedures and systems for creating, using, maintaining, transmitting, and disposing of records in electronic form.
f. Electronic Filing - Transmittal and entry into an electronic system of records or information received from the public or other sources outside NIST, e.g., the electronic filing of patent and trademark applications and related information.
g. File Copies - Filed in a central file and/or other officially prescribed file for the continuing or permanent use and reference of an agency or office thereof. Generally, file copies do not refer to extra copies made for convenience purposes by those individuals who deal with a particular document.
h. Electronic Recordkeeping System - An electronic information system in which records are collected, organized, and categorized to facilitate their preservation, retrieval, use, and disposition (36 CFR 1234.2) while ensuring that the records it maintains will have sufficient authenticity and reliability to meet NIST's recordkeeping needs.
i. Records Management Application - Software that manages records. Its primary management functions are categorizing and locating records and identifying records that are due for disposition. Records Management Application software also stores, retrieves, and disposes of the electronic records that are maintained in its repository. The National Archives and Records Administration (NARA) recommends that agencies use DoD 5015.2-STD Design Criteria Standard for Electronic Records Management Software Applications and the DoD-certified products as a baseline when selecting a Records Management Application to manage agency's electronic records.
j. Hardcopy - Written or printed information on paper.
k. Microform - A medium containing microimages, such as microfilm, microfiche, microthin jackets, aperture cards, and computer output microfilm.
l. Micrographics - The science and technology of document and information microfilming and associated microform systems.
m. Nonrecord Material - Consists of extra copies of documents preserved for convenience of reference, stocks of processed documents, preliminary work sheets, and similar papers that need not be made a matter of record, and which ordinarily are not to be incorporated into the official files.
n. Office of Record - Has primary responsibility for the subject area and for the filing and disposition of the record copy of a document.
o. Official File - Documents policy, procedural, organizational, and reportorial activities of NIST; the file consists of incoming correspondence, all background material, and the yellow "Official File Copy" tissue. Official files will be retired to the NIST Records Holding Area or Federal Records Centers.
p. Official Materials - Made, received, or obtained in connection with the transaction of public business or official duties and responsibilities.
These materials, whatever their nature, belong to the government and not to an employee because they were prepared, reviewed, or obtained (including extra copies) with government funds and/or on government time. Correspondence, or portions thereof, designated "personal," private," "confidential," etc., relevant to the conduct of public business are considered official material. Notes or transcriptions of official meetings and telephone conversations involving official business, drafts, speeches, extra copies of papers, official permits, reference materials collected to assist the employee in their work, etc., are all official materials. Some official materials may not be removed; others may be removed under certain conditions as indicated in Appendix E.
q. Personal Papers - Private or nonofficial papers pertaining only to an individual's personal affairs and kept in the office of a federal official. They will be clearly identified by that person as nonofficial and will at all times be filed separately from the official records of the office. In cases where matters requiring the transaction of official business are received in private personal correspondence, the portion of such correspondence pertaining to official business will be extracted and made a part of the official files.
r. Records - Books, papers, maps, photographs, research notebooks/technical journals, data, electronic records, or other documentary materials, regardless of physical form or characteristics, made or received by an agency of the United States 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).
(1) Current Records - Records necessary to conduct the current business of an office and therefore generally maintained in office space and equipment.
(2) Semicurrent Records - Records required so seldom to conduct agency business that they should be moved to a Records Holding Area or directly to a Federal Records Center.
(3) Noncurrent Records - Records no longer required to conduct agency business and therefore ready for authorized disposition.
(4) Permanent Records - Records considered to be unique or valuable in documenting the history of an agency, or for other reasons, and are to be preserved as part of the National Archives of the United States.
(5) Electronic Records - Any information that is recorded in a form that only a computer can process and that satisfies the definition of a Federal record in 44 U.S.C. 3301 (36 CFR 1234.2).
s. Research Notebook - A hardcovered or spiralbound notebook with pre-printed, sequentially numbered pages, such as the types available from the NIST storeroom. Research records must be permanent, contemporaneous with the research, accurate, and reasonably protected from compromise. Electronic "notebooks" are allowable at the discretion of the OU.
t. Schedules - General Records Schedules, published by
the NARA, govern the disposition of records common to all or several agencies.
In 1978, use of the General Records Schedules was made legally mandatory
[Title 44 U.S.C. 3303a(b)]. NIST records not common to all agencies
are covered by the NIST Records Schedules drafted by the NIST Records Management
Officer and approved by NARA.
2.06.05
RESPONSIBILITIES
a. The NIST Records Management Officer, Management and Organization
Division, administers the Records Management Program at NIST.
(At Boulder, a staff member of the Engineering, Maintenance and Support Services Division serves as NIST-Boulder Records Liaison, under the guidance of the NIST Records Management Officer.)
The NIST Records Management Officer is responsible for:
(1) Maintaining an effective Records Management Program;
(2) Ensuring NIST compliance with the provisions of Department Administrative Orders and all other records management policies;
(3) Assisting organizational units in planning their records management programs;
(4) Advising on equipment and methods of maintaining useful records;
(5) Destroying papers covered by the Privacy Act of 1974 (see Appendix D);
(6) Implementing policies and procedures to ensure the proper disposition of all records regardless of physical form or characteristics including paper, micrographic, audiovisual, and/or electronic records;
(7) Developing, updating, and maintaining records schedules;
(8) Providing storage and retrieval service for noncurrent records and for classified records (both current and noncurrent);
(9) Arranging training for NIST employees in sound and efficient filing and records disposal practices; and
(10) Acting as liaison with the Department of Commerce Records Management Officer in matters that relate to the management and disposition of NIST records.
b. Division chiefs and higher officials are responsible for:
(1) Authorizing the destruction of records in accordance with the schedules governing the disposal of the records (This authority may not be redelegated.);
(2) The proper and adequate documentation of programs, policies, procedures, and accomplishments; and for the maintenance of systematic files;
(3) Ensuring that the technical activities of their staff are fully documented, that appropriate control measures are in place so that either paper or electronic records are retrievable, and that all staff engaged in research are properly instructed; and
(4) Ensuring that technical records are not removed from NIST without proper authority even when an employee transfers, retires, or otherwise separates from NIST. NIST laboratories that conduct research predominately using electronic media may be allowed to implement procedures that accomplish the same policy goals stated in paragraph 2.06.03b, but use alternatives to bound notebooks.
c. NIST supervisors are responsible for ensuring that all employees under their supervision are instructed on the proper procedures for maintaining records.
d. Organizational units having primary responsibility for a subject area are responsible for:
(1) Maintaining the official file copy;
(2) Providing background material upon request; and
(3) Disposing of the file when appropriate.
e. Records Liaisons assist the NIST Records Management Officer, by overseeing:
(1) Organization, maintenance, and use of records in their organizational units (files management); and
(2) Systematic disposal of these records (records scheduling and disposition).
f. NIST employees share responsibility for the adequate and proper documentation of NIST's administrative and technical operations.
NIST employees engaged in research and development activities are responsible for:
(1) Maintaining a thorough and accurate record of their work by keeping a research notebook (See Section 2.06.04s for information regarding research notebooks.);
(2) Following recordkeeping procedures outlined in Subchapter 5.09 when intellectual property issues, such as patents, copyrights, etc., are likely to be important since these records establish the legal foundation for future claims; and
(3) When using electronic media, maintaining a research notebook that
chronologically documents the progress of their research and indexes electronic
work files so that primary experimental results may be retrieved.
2.06.06
FILES MANAGEMENT
a. It is NIST policy to keep files to a minimum and automate
where possible.
b. Files are maintained on a decentralized basis. However, when a function is more efficiently served on a centralized basis, a central file for that function may be established.
c. NIST utilizes the NARA Records Management Website as a reference and guide to filing operations. The following website is incorporated by reference into this subchapter: http://www.archives.gov/records_management/index.html.
d. Records Management (at Boulder, the Engineering, Maintenance
and Support Services Division) gives advice and guidance on filing systems
and files management.
2.06.07
FILING SYSTEMS
a. Alphabetic and numeric filing are basic methods used to manage
record material. In general, records at NIST are filed alphabetically
by subject or name, with alphabetic or numeric breakdowns within the general
subject headings, as needed. Straight numeric filing may be appropriate
in some instances.
b. Division chiefs or higher officials determine the method appropriate to their needs and are authorized to establish Official File Stations.
c. In addition to general files, chronological or reading files,
and follow-up files are authorized for use at NIST. The chronological
file consists of copies of outgoing correspondence, arranged by date.
The follow-up file is a convenience file, centrally maintained, to ensure
that deadlines or action dates are met.
2.06.08
REMOVAL OF PAPERS
a. There are criminal sanctions against the unlawful removal or destruction
of records, documents, papers, and other property held by federal agencies.
These sanctions are directed in part to keep federal officers and employees
from disposing of official materials in their possession or control, thereby
depriving the government of their usefulness in conducting its affairs.
The efficiency, continuity, and consistency of many governmental activities
depend increasingly on the existence and availability of complete information
concerning previous official actions and experience. The removal
or destruction of official nonrecord materials by a departing employee
may impose substantial handicaps to the efficient functioning of an employee's
successors. Much of the information a departing employee receives,
the information they prepare, the actions they take, and the materials
they accumulate are in response or related to requests for advice or services
they have performed in connection with their official duties and responsibilities.
Accordingly, materials that would deprive the Department, or an office
thereof, of such documents or papers, or diminish its effectiveness or
efficient functioning are to be retained in that office.
b. It is Departmental policy to permit departing employees to retain or discard nonrecord official materials which they have accumulated, with certain exceptions, subject to the guidelines outlined in Appendix E of this subchapter. It is also Departmental policy to permit an employee to make an extra copy of materials which they desire to take with them provided that such materials are not restricted in their removal from the Department. Because the employee will be using government facilities, materials, and other employee assistance, normal administrative economies are to be exercised in this respect.
c. Original records must not be removed from NIST control. Any NIST employee who contemplates the removal of papers for the purpose of loaning or gifting them to anyone outside NIST who has requested them, must consult with Records Management for instructions. Usually, if the records requested are not confidential or classified, the division chief having custody may authorize the release of copies of originals, advising Records Management of this action.
d. Donation of Temporary Records - When the public interest will be served, a federal agency may propose the transfer of records eligible for disposal (destruction) to an appropriate person, organization, institution, corporation, or government that has requested them. Records will not be transferred without prior written approval by the NIST Records Management Officer and the National Archives and Records Administration. To request donation, send a memorandum to the NIST Records Management Officer stating:
(1) The name of the department or agency, and subdivisions thereof, having custody of the records;
(2) The name and address of the proposed recipient of the records;
(3) A list containing:
(a) An identification by series or system of the records to be transferred,
(b) The inclusive dates of the records, and
(c) The NARA disposition of job (SF-115) or GRS and item numbers that authorize disposal of the records;
(4) A statement providing evidence:
(a) That the proposed transfer is in the best interest of the government,
(b) That the proposed recipient agrees not to sell the records as records or documents, and
(c) That the transfer will be made without cost to the government;
(5) A certification that:
(a) The records contain no information the disclosure of which is prohibited by law or contrary to the public interest, and/or
(b) That records proposed for transfer to a person or commercial business are directly pertinent to the custody or operations of properties acquired from the government, and/or
(c) That a foreign government desiring the records has an official interest in them.
NARA will consider such request and determine whether the donation is in the public interest. Upon approval NARA will notify the requesting agency's Records Management Officer in writing. If NARA determines such a proposed donation is contrary to the public interest, the request will be denied and the agency's Record Management Officer will be notified that the records must be destroyed in accordance with the appropriate disposal authority.
e. Loan of Permanent and Unscheduled Records - The Archivist of the United States has authority over the placement of permanent records (44 U.S.C. 2107 and 2904). (Unscheduled records are treated as permanent records). No permanent or unscheduled records shall be loaned to nonfederal recipients without prior written approval by the NIST Records Management Officer and the National Archives and Records Administration. To request loan of permanent or unscheduled records, send a memorandum to the NIST Records Management Officer stating:
(1) The name of the department or agency and subdivisions thereof, having custody of the records;
(2) The name and address of the proposed recipient of the records;
(3) A list containing:
(a) An identification by series or system of the records to be loaned,
(b) The inclusive dates of each series, and
(c) The NARA disposition job (SF-115) and item numbers covering the records, if any;
(4) A statement of the purpose and duration of the loan;
(5) A statement specifying any restrictions on the use of the records and how these restrictions will be administered by the donee; and
(6) A certification that the records will be stored according to the environmental specifications for archival records.
f. No material, even though judged not to be records within the meaning of the disposal of records chapter of Title 44 in the U.S. Code, shall be withdrawn if its withdrawal will create such a gap in the files as to disrupt the proper documentation of NIST activities.
g. When employees transfer, retire, or otherwise separate from NIST, their collections are reviewed by the separating employee, the Records Liaison, and NIST Records Management Officer (at Boulder, the Engineering, Maintenance and Support Services Division). If the separating employee cannot be present, the division chief names a suitable replacement for review. The purpose of this review is to:
(1) Identify, select, and preserve those parts of the collections which may have continuing value to NIST; and
(2) Identify and ensure the proper disposition of any official record material and nonrecord material of no value.
Departing employees also refer to Appendix E.
2.06.09
RECORDS HOLDING AREA
a. At Gaithersburg, Records Management maintains a Records Holding
Area in Building 101, Room C29, for storing noncurrent records. Records
retention schedules are applied by records management before records are
accepted for storage in accordance with the General Records Schedules or
NIST Records Schedules for each type of record. Records are stored
in the NIST Records Holding Area or transferred to the Federal Records
Centers (Suitland, MD or St. Louis, MO). After a given period of
time, temporary records are destroyed (with the concurrence of the organizational
unit); permanent records are transferred to the National Archives.
b. Stored records may be recalled by NIST employees when needed.
Contacts with the Federal Records Centers or the National Archives MUST
BE through NIST Records Management.
2.06.10
MANAGING ELECTRONIC RECORDS
Records and information in electronic form are managed in conformance
with policies established by the National Archives to ensure the effective
and efficient management of electronic records throughout their life cycle
from creation to final disposition; to preserve records needed for fiscal,
legal, administrative, or historical purposes; to destroy in a timely manner
information no longer needed; to ensure cost effective use of automated
data processing equipment, storage media, and other resources; and to facilitate
retrieval of electronically stored records. General Records Schedules
(GRS) and NIST Electronic Records Schedules provide disposal authorization
for certain electronic records and specified hard-copy (paper) or microform
records that are integrally related to the electronic records. They
apply to disposable electronic records created or received by Federal agencies
including those managed for agencies by contractors. They cover records
created by computer operators, programmers, analysts, systems administrators,
and all personnel with access to a computer. Disposition authority
is provided for certain master files, including some tables that are components
of database management systems, and certain files created from master files
for specific purposes. In addition, these schedules cover certain
disposable electronic records produced by end users in office automation
applications. Electronic records not covered by GRS or NIST Electronic
Records Schedules may not be destroyed unless authorized by a Standard
Form 115 that has been approved by the NARA.