JPR_1440.3.pdf

Johnson Space Center

Procedural

Requirements

JPR No.: 1440.3D

Effective Date: 12/19/2018

Expiration Date: 12/19/2023

Verify correct version before use at http://server-mpo.arc.nasa.gov/Services/CDMSDocs/Centers/JSC/Home.tml.

JSC Form JF2420B (MS Word August 28, 2006) (Revised May 30, 2007)

Verify that this is the correct version before use

Compliance is Mandatory

JSC Records Management Procedural Requirements

Administrative Change 1, May 2019

Responsible Office: Information Resources Directorate http://server-mpo.arc.nasa.gov/Services/CDMSDocs/Centers/JSC/Home.tml

Johnson Space Center

Procedural

Requirements

JPR No.: 1440.3D

Effective Date: 12/19/2018

Expiration Date: 12/19/2023

JSC Form JF2420B (MS Word August 28, 2006) (Revised May 30, 2007)

Preface

P.1 PURPOSE

P.2 APPLICABILITY

P.3 AUTHORITY

P.4 APPLICABLE DOCUMENTS and forms

P.5 MEASUREMENT/VERIFICATION:

P.6 CANCELLATION:

Chapter 1 OVERVIEW

1.1 JSC Records Management Program

1.2 Records and Data Management Lifecycle

1.3 Record and Data Defined

1.4 Media Neutrality

1.5 Records/Data Retention and Disposition Requirements

Chapter 2 Organizational/PERSONNEL RESPONSIBILITIES

2.1 JSC Information Resources Directorate (IRD)

2.2 Directors of Directorate Level Organizations (DLOs), Program and Project Managers, Chiefs of Center Staff Offices, and Heads of Contractor Organizations

2.3 Office of Procurement

2.4 JSC Records Manager

2.5 Records Liaison Officer (RLO)

2.6 Organizational Records Coordinator

2.7 Organizational Records Custodians, Employees and Contractor Personnel

2.8 Information System Content Owners shall:

2.9 JSC Vital Records Officer

2.10 JSC Privacy Officer

Chapter 3 Procedures AND REQUIREMENTS

3.1 Organizational Records Inventories (ORI)

3.2 Archive Paper Records to JSC On-Site Facility

3.3 Archive Temporary Electronic Data/Records

3.4 Archival of Records to the National Archives and Records Administration (NARA)

3.5 Pre-Accession Records to NARA

3.6 Retrieve Records from the Federal Records Center or JSC On-Site facility

3.7 Managing Electronic Records

Chapter 4 Management of Vital Records

4.1 Introduction

4.2 Vital Records

4.3 Procedures and Requirements

4.4 Vital Record Designation

4.5 Vital Records Custodian Designation

4.6 Vital Records Storage/Recovery

4.7 Vital Records Reporting

4.8 Vital Records Plan

JSC Form JF2420B (Revised April 3, 2012) (MS Word August 28, 2006)

1440.3 JPR No. JSC Records Management Procedural

Requirements

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Chapter 5 Records and Forms Appendix A Acronyms Appendix B Sample JF 140 Appendix Sample Index Appendix D Records Management Training Courses in SATERN Appendix E Basic Criteria for Determining Email Record Status and Retention

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Change Record Log

Rev. Date Originator/Phone Description

Basic 8/01 GS/Patti Stockman Initial release.

A 01/04 IS2/Nancy Hutchins, X34006

Replaced ISD with IRD to indicate the merging of the Information Systems Directorate and the CIO Office.

Added mandatory requirement for Inventory of records and annual submittal of JSC Form 1229 (§1.6).

Added explanation that boxes cannot have box contents written on the outside of the records box (§4.4.4).

Corrected links throughout document.

Changed NPG 1441.1 to NPR 1441.1 throughout.

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B 12/04 IM/Nancy Hutchins, X34006

The following changes were incorporated into this directive.

Added para. 1.5, Records and Forms.

Included in para. 1.6.3, that the RM is responsible for coordinating with individuals clearing the Center to ensure that all records contained in file cabinets and servers are transferred to their first-line supervisor or individual taking over the function.

Added responsibility in para. 1.6.5 that the Organizational Records Coordinator is responsible for coordinating the annual submittal of the JSC Form 1229 and ensuring that the forms are submitted to the JSC RM.

Added paragraph 1.6.4 for the retiring employee to be responsible for transferring files to their supervisor. (CA 1623).

Added Figure 2.1 (Chapter 2), sample of a completed JSC Form 1229, as an aid to completing the annual submittal of a Records Inventory. (CA 1625)

Converted to requirements document.

Records hints and guidelines have been moved to Appendix A.

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C 11/08 Pam Baker, x31363 The following changes were incorporated into this document:

Converted to new JPR format per JPR 1410.2.

New Organizational Records Inventories application replaces JF 1229 E-Form.

Updated Applicable Documents.

Implement new NPD 1440.6 requirements.

Mandatory records index requirement.

New RLO function and yearly designation memo requirement.

New RM review requirements (Agency- and Center-level).

Reval 11/13 Pam Baker

X31363

Revalidation – Administrative Changes Only;

Corrected chapter and paragraph numbering.

D 11/18 Kristy Medina

X34686

Major re-write to address electronic data/records to accommodate OMB-12-18 and NARA 2018- 2022 Strategic Plan.

Admin Change

5/19 Kristy Medina

X34686

2.5h – Changed Section 5.5 reference to Section 4.7.

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PREFACE

P.1 PURPOSE

a. The Johnson Space Center (JSC) Records Management Program is conducted as prescribed by this document and by NASA Policy Directive (NPD) 1440.6 and NASA Procedural Requirements (NPR) 1441.1. This directive also establishes the requirements for the identification, management, and preservation of JSC Vital Records to ensure the availability of such records for the continuity of operations and resumption of activities in the event of emergency or disaster situations.

b. This directive is a required procedure of the JSC Quality Management System, as documented in JSC Procedural Requirements (JPR) 1280.2.

P.2 APPLICABILITY

a. This directive is applicable to all organizations at JSC, including White Sands Test Facility, Ellington Field, and the Sonny Carter Training Facility.

b. This language applies to contractors, grant recipients, or parties to agreements only to the extent specified or referenced in the appropriate contracts, grants, or agreements.

c. In this directive, all mandatory actions (i.e., requirements) are denoted by statements containing the term “shall.” The terms: “may” or “can” denote discretionary privilege or permission, “should” denotes a good practice and is recommended, but not required, “will” denotes expected outcome, and “are/is” denotes descriptive material.

d. In this directive, all document citations are assumed to be the latest version unless otherwise noted.

P.3 AUTHORITY

a. NPD 1440.6, NASA Records Management

b. NPR 1441.1, NASA Records Management Program Requirements

P.4 APPLICABLE DOCUMENTS AND FORMS

a. 14 CFR Chapter V, Part 1212, Subpart 1212.6, Maintenance and Publication Requirements for Systems of Records

b. Records Management, 36 CFR, Chapter XII, Subchapter B.

c. Records Management by the Archivist of the United States and by the Administrator of the General Services, 44 U.S.C. §§ 2901 et seq.

d. Office of Management and Budget (OMB) OMB-12-18.

e. NPD1440.6, NASA Records Management http://nodis3.gsfc.nasa.gov/library/displayDir.cfm?Internal_ID=N_PD_1440_006G_&page_name=main

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f. NPR 1040.1, NASA Continuity of Operations (COOP) Planning Procedural Requirements

g. NPR 1382.1, NASA Privacy Procedural Requirements

h. NPR 1441.1, NASA Records Program Requirements

i. NPR 2810.1, Security of Information Technology

j. NRRS 1441.1, NASA Records Retention Schedule

k. JPR 1040.3, Continuity of Operations (COOP) Planning

l. JPR 1280.2, Quality Manual

m. Financial Management Requirements (FMR) 9660, NASA Financial Management Requirements

n. ANSI/ISO/ASQ Q9001-2000, American National Standard, "Quality Management Systems-requirements"

o. JF 140, JSC Records Transmittal and Receipt

p. JF 235, Review of Shipment Checklist - Federal Records Center

q. SF 135, Records Transmittal and Receipt

P.5 MEASUREMENT/VERIFICATION

a. The Center Records Manager shall assess JSC compliance with current directives or regulations, as applicable, by:

(1) Conducting routine records management reviews to examine the Organizational Records Inventories (ORI), reduction(s) of onsite inactive records, and records management practices and archiving activities.

(2) Submitting annual discrepancies to the Agency Records Officer indicating any records that are not being protected, preserved, and/or maintained in compliance with current regulations.

b. The Record Liaison Officers (RLOs), with the cooperation of their organizational Records Coordinators, shall assess their organization’s compliance with current directives by:

(1) Submitting corrective action plans, if needed, and correcting discrepancies or missing data identified during records management reviews within 30 days of reviews.

(2) Ensuring submittal of Organizational Records Inventories to the JSC Records Manager (RM).

Cumulatively, these inventories identify all records maintained, the record location and enable the identification of those records that may have outstanding retention schedules under review by the National Archives and Records Administration (NARA).

http://server-mpo.arc.nasa.gov/Services/CDMSDocs/Centers/JSC/Home.tml http://nodis3.gsfc.nasa.gov/library/displayDir.cfm?Internal_ID=N_PR_1441_001D_&page_name=main http://www.hq.nasa.gov/fmm/9600/9660.pdf

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P.6 CANCELLATION

JPR 1440.3C, JSC Files and Records Management Procedural Requirements, dated December 19, 2008.

Original Signed By:

Annette Moore Director, Information Resources

Distribution:

JDMS

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CHAPTER 1 OVERVIEW

1.1 JSC Records Management Program

a. The maintenance and preservation of Government records is required by law and NASA policy. Requirements are stated in 36 CFR Part 1220/1222 and NPD 1440.6. The proper identification, management, retention, and disposition of records are mandated.

b. The unlawful alteration, deletion or any accidental or unauthorized destruction of records is prohibited. Further, the law requires that all employees must be made aware of the provisions of the law and that any unlawful actions must be reported. Violations of these requirements can result in:

(1) Legal costs, fines and penalties.

(2) Disciplinary actions or loss of job.

(3) Loss of a Government contract.

(4) Prosecution and incarceration

c. Records and data management is subject to review, audit, and investigation by NASA, Federal or other legal authorities.

d. OMB and NARA Requirements

(1) OMB M-12-18 directs that all permanent records born electronically shall be maintained and dispositioned electronically. As stated in Goal 1.1:

“By December 31, 2019, all permanent electronic records in Federal agencies will be managed electronically to the fullest extent possible for eventual transfer and accessioning by NARA in an electronic format. By December 31, 2013, each agency will develop and begin to implement plans to achieve this transition. Agencies should also consider the benefits of digitizing permanent records created in hard-copy format or other analog formats (e.g.

microfiche, microfilm, analog video, analog audio).”

(2) NARA 2018-2022 Strategic Plan states that NARA will no longer accept paper records by December

2022.

”By December 31, 2022, NARA will, to the fullest extent possible, no longer accept transfers of permanent or temporary records in analog formats and will accept records only in electronic format and with appropriate metadata.”

1.2 Records and Data Management Lifecycle

a. Records management is the planning, controlling, organizing, training, promoting, and other management activities with respect to the life cycle of records and data. The steps in the life-cycle concept are creation, maintenance/use, and disposition.

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b. Creation – records and data are made or received.

c. Maintenance and Use - Any action involving the storage, retrieval, and handling of records kept in offices by, or for, your organization.

d. Disposition - Action taken regarding records and data no longer needed for current Government business. These actions include transfer to agency storage facilities or records center, transfer from one Federal Agency to another, transfer of permanent records to the National Archives, and disposal of temporary records.

1.3 Record and Data Defined

a. The statutory definition of Federal records/data, whether in paper or electronic format, as contained in 44 U.S.C. Section 3301 and defined in NPR 1441.1 can be found here:

http://uscode.house.gov/view.xhtml?req=granuleid:USC-1999-title44-section3301&num=0&edition=1999 and states:

"Records/data" 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 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. Library and museum material made or acquired and preserved solely for reference or exhibition purposes, extra copies of http://server-mpo.arc.nasa.gov/Services/CDMSDocs/Centers/JSC/Home.tml http://uscode.house.gov/view.xhtml?req=granuleid:USC-1999-title44-section3301&num=0&edition=1999 http://uscode.house.gov/view.xhtml?req=granuleid:USC-1999-title44-section3301&num=0&edition=1999

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b. Data can be considered a records/data if it meets the definition of a records/data.

1.3.1 Records/Data Attributes

a. A record/data is any document or data item that furnishes objective evidence of tasks required, activities performed, or results achieved. Records/data are the evidence of the performance and fulfillment of our mission and work objectives. NASA cannot effectively carry out its mission without records/data.

b. Records/data are recorded information, regardless of media or format, in the custody and made or acquired by NASA or its contractors as part of official duties and in the conduct of Government business. Records/data belong to the Government, not to individuals.

c. Records/data are valuable to NASA and the Government for:

(1) Administrative value – they document how the Agency has carried out its mission.

(2) Fiscal value – they document how the Agency has utilized its financial resources.

(3) Legal value – they protect the rights of the Agency and/or individuals.

(4) Research and historical value – they provide the raw materials for research of Agency, technological and cultural history and preserve the legacy for the future.

1.4 Media Neutrality

The basic requirements for records/data management (e.g., identification, protection, management, and disposition) are considered "media neutral" in that they apply to all records/data regardless of their format. While there may be additional requirements for specific formats, all procedural requirements in this document are considered media neutral unless otherwise noted.

1.5 Records/Data Retention and Disposition Requirements

a. Retention and disposition schedules are established for all types of records/data based on preservation requirements for administrative, legal, fiscal, and historical purposes.

b. The schedules for retention and disposition define and categorize records/data by subjects and types: permanent, temporary and non-records/data. They provide mandatory instructions for records/data when they are no longer needed for current Government business.

c. NASA Records Retention Schedules (NRRS) 1441.1 are divided in ten schedules by subject areas. The NRRS shall be used as the basis for retention standards. If the records/data are not covered in the NRRS, and an appropriate General Records Schedule (GRS) schedule is available, the GRS schedule may be used. Additional applicable instruction are provided in the

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GRS of the Federal Government issued by NARA. The NRRS is available through the JSC Records Managers Web Site and at the NASA Online Directives Information System (NODIS).

(1) Schedule 1 – Organization and Administrative Records.

(2) Schedule 2 – Legal and Technical Records.

(3) Schedule 3 – Human Resources (Personnel) Records.

(4) Schedule 4 – Property and Supply Records.

(5) Schedule 5 – Industry Relations and Procurement.

(6) Schedule 6 – Transportation.

(7) Schedule 7 – Program Formulation Records.

(8) Schedule 8 – Program Management Records.

Note: This schedule applies to all activities performed as part of programs/projects whether designated “tasks,” “work packages,” or “other terminology” and includes Project Management and Performance Records for research and development programs.

(9) Schedule 9 – Financial Management and Inspector General Records.

d. In some cases, other Federal, state, or local requirements may apply to the retention of records/data i.e. environmental records/data. Consult with the JSC RM regarding these requirements.

e. If the records/data are not scheduled in either the NRRS or the GRS, or the established retention time is deemed inappropriate, the holding organization's RLO, Records Coordinator and record custodian shall work with the RM to propose a new or revised retention schedule to be coordinated with the Agency Records Officer. Proposed retention schedules shall not be used until the proposed retention has been approved by NARA.

f. Unscheduled records/data shall be considered permanent and managed as such until a retention schedule has been approved by NARA.

https://collaboration.sp.jsc.nasa.gov/ird/DocumentManagement/recordsmanagement/default.aspx https://collaboration.sp.jsc.nasa.gov/ird/DocumentManagement/recordsmanagement/default.aspx

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CHAPTER 2 ORGANIZATIONAL/PERSONNEL RESPONSIBILITIES

2.1 JSC Information Resources Directorate (IRD)

JSC IRD shall be responsible for:

a. The overall direction of the JSC Records Management Program.

b. Designating the JSC Records Manager/Vital Records Manager to guide and oversee records/data management functions at JSC.

2.2 Directors of Directorate Level Organizations (DLOs), Program and Project Managers, Chiefs of Center Staff Offices, and Heads of Contractor Organizations

DLOs, Program and Project Managers, Chiefs of Center Staff Offices, and Heads of Contractor Organizations shall comply with the records management policy stated in NPD 1440.6 by:

a. Implementing internal records/data management practices that meet organizational needs and are compatible with requirements of this document.

b. Designating directorate-level Records Liaison Officers (RLOs) and notifying the JSC RM when personnel changes have taken place. Notification must be in writing and email is acceptable.

c. Ensuring that records/data management and archival functions are incorporated into the design, development, and implementation of new or significantly revised electronic information systems.

d. Ensuring that Statements of Work generated for NASA contracts that involve creating or maintaining Federal records/data includes the appropriate records management requirements to comply with the NPD and its authorities.

e. Designating the organization's vital records/data, if applicable, and custodians to manage them.

2.3 Office of Procurement

The Director, Office of Procurement, shall be responsible for ensuring that contracting officers insert an appropriate contract provisions concerning records/data management requirements is in all NASA contracts involving the creation or maintenance of NASA records/data in accordance with this document, NPD 1440.6, NPR 1441.1, and other applicable regulations and statutes.

2.4 JSC Records Manager

The JSC RM shall be responsible for:

a. Managing and guiding the overall implementation of records/data management activities, including electronic records/data, at JSC. Including the development of JSC records management policies and procedures.

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b. Providing technical assistance and procedural advice on creating, maintaining, using, and disposing of Federal records/data, and ensuring training is available for Records Liaison Officers, Records Coordinators and Records Custodians.

c. Collaborating with IT personnel in implementation of digital records/data management of Center records/data.

d. Serving as the point of contact on JSC records management topics with Center and Agency management as well as other agencies and outside individuals.

e. Planning and leading the execution of Center-wide initiatives such as organizational records inventory and scheduling activities.

f. Providing technical guidance in managing records/data from creation through disposition.

g. Developing a comprehensive training program for civil servant and Contractor employees who create or maintain NASA-owned records/data.

h. Conducting records/data management reviews in ORI as necessary to ensure that permanent and official records/data (regardless of medium) are selected, identified, located, and protected.

i. Conducting periodic evaluations of records/data management practices throughout the Center, identifying and documenting issues and discrepancies, and communicating corrective actions.

j. Assuring the disposition of records/data and reduction of records/data holdings in accordance with NRRS requirements.

k. Managing the on-site JSC Records Staging and Storage Facility and its contents.

l. Reporting annually to the Division Manager the costs of storing JSC records/data in the FRC.

m. Coordinating with individuals clearing the Center to ensure that all records/data in their possession, whether in hard copy or electronic form, are transferred to their first-line supervisor or individual assuming responsibility for the function(s) to which the record/data material pertains.

n. Ensuring implementation of electronic records/data management in accordance with 36 CFR 1234 and 36 CFR 1228, Subpart K.

o. Serving as backup to the Center Vital Records Officer (JSC Archivist).

2.5 Records Liaison Officer (RLO)

The RLO shall be responsible for:

a. Serving as the organizational point of contact with JSC RM on matters concerning maintenance, use, and disposition of organizational records/data.

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b. Disseminating records/data management information on matters concerning maintenance, use, and disposition of organizational records/data to the records coordinators and/or custodians within the organization.

c. Accessing and applying the records/data management directives and guidelines referenced in this document.

d. Ensuring that organizational records/data are reviewed and dispositioned as scheduled and that only those records necessary for effective work accomplishment are being retained.

e. Completing all records/data management training within SATERN. (See Appendix C for Course numbers and descriptions).

f. Attending periodic RLO briefings provided by JSC RM.

g. Consulting with JSC RM regarding problems that affect maintenance, use and disposition of organizational records/data.

h. Coordinating the annual submittal of accurate and complete Organizational Records Inventories in accordance with Section 3.1 of this document, and inventories of Vital Records in accordance with Section 4.7, as well as notifying the JSC RM.

i. Assisting the JSC Records Manager or other personnel in compliance assessments of the organization’s records/data regardless of format.

2.6 Organizational Records Coordinator

The Organizational Records Coordinator shall be responsible for:

a. Serving as the point of contact with the organizational RLO on matters concerning maintenance, use, and disposition of organizational records/data.

b. Coordinating the annual review of records/data held by their organization and submitting an accurate and complete ORI to the organizational Records Liaison Officer.

c. Disseminating records/data management information received from the RLO on matters concerning maintenance, use, and disposition of organizational records to the records custodians within the organization.

d. Reviewing assigned records/data at least annually to ensure that only necessary records are retained.

e. Completing all records/data management training modules within SATERN. (See Appendix C for Course numbers and descriptions).

f. Consulting with their organizational RLO regarding problems that affect maintenance, use and disposition of organizational records/data.

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g. Assisting the RLO or other personnel in compliance assessments of the organization’s electronic information system (EIS), share drives, share point sites, etc.

2.7 Organizational Records Custodians, Employees and Contractor Personnel

Organizational Records Custodians, Employees and Contractor Personnel shall be responsible for:

a. Creating, maintaining, using, and disposing of NASA-owned records/data in accordance with the requirements in this document.

b. Consulting with the organization’s Records Coordinator regarding record/data requirements, procedural problems affecting maintenance, use and disposition of records/data.

c. Ensuring that records/data are legible and complete as required by ANSI/ISO/ASQ Q9001- 2000 (see Chapter 2).

d. Labeling records/data for appropriate access or use restrictions through consultation with suitable functional experts. Examples of such restrictions include International Traffic in Arms Regulations (ITAR), Export Control, Personally Identifiable Information (PII)/Privacy Act, Information in Identifiable Form (IIF), or other Controlled Unclassified Information/Sensitive but Unclassified (CUI/SBU).

e. Ensuring records/data are readily available upon request.

f. Completing “NASA Records Management for Everyone” online training module within SATERN. (See Appendix C for Course numbers and descriptions).

g. Retiring records/data when they have reached the required retention period has been reached as specified in NRRS 1441.1.

h. Retiring or transferring employees are responsible for ensuring that all non-records/data are disposed of and record/data material (including electronic data) is transferred to their supervisor or the individual assuming responsibility for the function(s) to which the record/data material pertains.

This includes any e-mail containing substantive information that would be valuable to the continuing operation of the NASA programs.

2.8 Information System Content Owners shall:

a. Identify records/data management as a documented requirement when developing or acquiring an EIS or automated tool that will create or maintain NASA records/data.

b. Implement processes to migrate records/data periodically within the system to newer formats in order to maintain records/data classifications, immutability, and retrievability.

c. Implement disposition of electronic records/data in accordance with the requirements of the records custodian/subject matter expert and this JPR.

http://nodis3.gsfc.nasa.gov/displayDir.cfm?Internal_ID=N_PR_1441_001D_&page_name=main

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d. Coordinate system records/data management capabilities to provide an efficient and coordinated data management strategy that supports both engineering records/data management long-term storage, retrieval, and use case objectives.

2.9 JSC Vital Records Officer

The JSC Vital Records Officer is responsible for:

a. Implement the Vital Records/data Protection Plan (Chapter 4) in coordination with the JSC Emergency Preparedness Officer.

b. Assist organizations in designating, maintaining, and protecting the organization's vital records/data and maintaining a current inventory of these records/data from ORI.

2.10 JSC Privacy Officer

The JSC Privacy Officer administers and coordinates JSC's implementation of 14 CFR Chapter V, Part 1212, Subpart 1212.6 in accordance with NPR 1382.1.

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CHAPTER 3 PROCEDURES AND REQUIREMENTS

3.1 Organizational Records Inventories (ORI)

a. ORI is the official JSC records/data management tool that complies with the requirement from NPR 1441.1.

b. Records Custodians, Records Coordinators and Records Liaison Officers shall:

(1) Review and approve the completed inventory, before it is submitted to the JSC RM.

(2) Ensure that active records/data are accessible to meet operational and customer needs, and identify those individual(s) or organization(s) that are authorized to access the records/data.

(3) Establish and implement a method for checking out records/data that ensures all records/data are locatable.

3.2 Archive Paper Records to JSC On-Site Facility

JSC has mandatory requirements for retiring records/data. The following procedures shall be followed when the Federal records/data are eligible to be retired per the NRRS 1441.1. Inactive records/data may be retired for storage to JSC’s on-site facility until they can be destroyed or transferred to the National Archives. See Appendix B for samples of JF140 and an index.

a. Records Custodians, Records Coordinators and Records Liaison Officers shall:

(1) Complete a JF 140, JSC Records Transmittal and Receipt.

(2) Complete an index of what records/data are contained in each box at the folder level and attach the index to the JF 140.

(3) Sign the JF 140 and submit to JSC-recmngr@mail.nasa.gov.

(4) Complete the JF 235 once received from JSC RM and submit to JSC-recmngr@mail.nasa.gov.

(5) Contact JSC Transportation for shipping the boxes to the JSC on-site facility.

b. JSC Records Manager or JSC Archivist shall:

(1) Review the JF 140 and index for accuracy and completeness

(2) Assign a JSC Accession number to the JF 140 for temporary records or submit a Transfer Request (TR) to NARA for permanent records.

(3) Process the JF 140 or TR and return to the Records Custodian, Records Coordinator and/or Records Liaison Officer along with JF 235, Review of Shipment Checklist.

(4) Once the JF 235 is completed, submit instructions for shipping boxes to JSC on-site storage facility.

http://server-mpo.arc.nasa.gov/Services/CDMSDocs/Centers/JSC/Home.tml mailto:JSC-recmngr@mail.nasa.gov mailto:JSC-recmngr@mail.nasa.gov mailto:JSC-recmngr@mail.nasa.gov

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3.3 Archive Temporary Electronic Data/Records

The Office of Primary Responsibility shall maintain, in a current and usable format, all temporary electronic records/data until their disposition is met.

3.4 Archival of Records to the National Archives and Records Administration (NARA)

a. Permanent records/data shall be transferred to NARA once they have met their retention.

Record/data ownership will also transfer to NARA. Permanent records/data that NARA has appraised as having sufficient historical or other value to warrant continued preservation by the Federal Government beyond the time they are needed by NASA.

b. When an organization has permanent records/data that are eligible for transfer to NARA, the Records Custodian shall contact their organizational Records Coordinator or RLO who will work with JSC RM. All transfers should be coordinated through the JSC Records Manager. Do not contact NARA directly.

3.4.1 Preparing Paperwork

a. Records Custodian, Records Coordinators and RLO shall work together to complete a JF 140, JSC Records Transmittal and Receipt, an electronic box inventory listing, and an acronym list (see Appendix B for an example).

b. Submit the JF 140 and attachments to the JSC-Records-Manager e-mail box (global).

c. Indicate any restriction on the packaging such as “ITAR Restricted, Proprietary, Classified, etc.”

d. Retain an e-copy of the completed forms in the originating office files.

e. Upon receipt of the JF 140, the JSC RM will complete the transfer request (TR) and submit it to the National Archives for acceptance.

f. Upon approval from the ARO and NARA, JSC RM will send the Records Custodian, Records Coordinators and RLO the completed TR, along with shipping instructions.

3.4.2 Preparing the Records/data

a. Provide the e-records to the JSC RM on any of the acceptable media types listed in 3.8.2

b. Upon receipt of the TR number from NARA, JSC RM will send the custodian the TR number along with e-records/data transfer instructions.

c. Once NARA legally accepts custody of the e-records, JSC RM will notify the RLO, records coordinator and records custodian.

Note: This can take sometimes up to a year for NARA to legally accept custody of the e-records/data. Until that time, the paper records/data should not be destroyed. E-records/data born digitally shall be maintained in a current format until that time.

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3.5 Pre-Accession Records to NARA

Pre-Accessioning involves transferring physical custody of permanent electronic records/data to NARA, but not legal custody.

Note: NARA’s definition of legal custody is “Ownership of title to documentary materials.”

a. NARA takes the responsibility for long-term preservation and maintenance of the records/data, including transferring and migrating from obsolete media to a readable form at no cost to the NASA center.

b. The NASA center benefits from free, off-site security and long-term preservation of permanent electronic records/data.

c. The NASA center maintains access control over sensitive records/data while ensuring their long-term preservation.

d. NARA can enforce security classified and Freedom of Information Act (FOIA) exemptions. All restrictions must fall under one of these categories including FOIA, restricted, and classified records.

e. Pre-accessioning NASA records helps insure permanent records/data against disaster (fires, floods, tornadoes, hurricanes, earthquakes, etc.).

f. NARA will not provide access to pre-accessioned records/data without express permission from the owner of the records/data.

Note: For further information, check the NARA Web Site https://www.archives.gov/records-mgmt/bulletins/2009/2009-03.html

3.6 Retrieve Records/data from the Federal Records Center or JSC On-Site Facility

The JSC RM may retrieve inactive Agency records/data stored at the FRC at any time. These records/data may be retrieved for a period of 30 days. (See §3.4.2 for longer periods.) To retrieve records/data, RLOs, records coordinator or records custodians shall:

a. Send an e-mail to the jsc-recmnger@mail.nasa.gov and include name, mail code, and phone number of a contact person, accession #, box #, and record/folder title.

b. The requested records/data may arrive within 7 - 14 working days. To retrieve the records/data sooner, “Rush” should be indicated within the request.

c. If a scanned electronic PDF is preferred rather than hardcopy retrieval of the record/data, indicate this in the request.

d. Paper records/data should be returned within 30 days unless there is an administrative, fiscal, or legal reason for longer retention. If records/data are needed longer than 30 days, please notify the JSC RM.

mailto:jsc-recmnger@mail.nasa.gov

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3.7 Managing Electronic Records/Data

a. Electronic record/data (e-record/data) is any information (including e-mail or a digitized copy of a paper record/data) that is recorded in a form that only a computer can process and that satisfies the definition of a Federal record/data in 44 U.S.C. 3301. Electronic record/data systems are those information systems that produce, process, or store records/data by using a computer.

b. All e-records/data shall be scheduled, managed and dispositioned in accordance with approved retention schedules, just as any other record/data. The same policies and procedures that apply to other record/data mediums also apply to electronic records/data.

c. Temporary electronic records/data shall be maintained onsite by the owning Organization that created them and dispositioned according to the appropriate NASA Records Retention Schedule.

d. Permanent electronic records/data shall be maintained in an acceptable format which is not dependent on individual hardware (reel to reel tapes) or software (older versions of MS office products that can no longer be opened).

3.7.1 Acceptable Formats

a. Computer Aided Design

b. Digital Audio/Video/Imagery

c. Geospatial Formats

d. Portable Document Format (PDF)

e. Web content records

f. E-mail of Senior Agency Officials designated under Capstone methodology and approved by

NARA.

Note: For a complete listing of acceptable formats please see NARA’s Web Site at https://www.archives.gov/records-mgmt/policy/transfer-guidance-tables.html#computeraided

3.7.2 Acceptable Media Formats

a. External Hard Drives

b. CD-ROM & DVDs

c. File Transfer Protocol (FTP)

d. Linear Tape Open (LTO) tapes

3.7.3 Media Storage for Electronic Records/Data

a. Organizations involved in creating electronic systems shall select the appropriate media for storing Agency records/data throughout their life cycle which meet the following requirements:

http://server-mpo.arc.nasa.gov/Services/CDMSDocs/Centers/JSC/Home.tml http://www.archives.gov/records-mgmt/initiatives/pdf-records.html http://www.archives.gov/records-mgmt/initiatives/web-content-records.html https://www.archives.gov/records-mgmt/policy/transfer-guidance-tables.html#computeraided http://www.afm.ars.usda.gov/ppweb/drft251-8m.htm#T35

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(1) Permit quick and easy retrieval.

(2) Provide search capability.

(3) protect the records/data from destruction by accident, catastrophe, or unauthorized access

(4) Retain records/data in a usable format until their authorized disposition date.

(5) Meet the requirements for retiring permanent records to NARA.

b. Organizations shall ensure that information is not lost because of changing technology or deterioration by converting storage media to provide compatibility with current hardware and software. Before conversion to a different medium, they must determine that the authorized disposition of the electronic records/data can be implemented after the conversion.

Note: Contact the Center Records Manager regarding any questions as to the requirements for converting storage media; i.e., converting paper records/data to an electronic format.

3.7.4 Manage E-Communications Records/Data

a. E-mail is simply a different format for the communication method known as “correspondence.”

Depending on their subject matter, e-mail messages may qualify as unique NASA records/data and shall be managed as such.

b. Some e-mail messages contain important information and should be considered substantive in nature: NASA business discussion, decisions/direction, annotation, opinion, debate, and commentary. Substantive e-mail shall be managed in one of two ways:

(1) According to the retention schedule, NASA upper management e-mail, as “Records of Top Management.” under NRRS 1/22A1.

(2) Many e-mail messages are transient in nature or non-substantive in content. These messages may simply transmit attachments. In such cases, the attachments may be records/data, but the e-mail message itself may be similar to a paper routing slip. Manage and dispose of all non-substantive e-mail in accordance with NRRS 1/78G “Transitory Files.”

Note: Please see Appendix E for basic criteria for determining email record/data status and retention.

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CHAPTER 4 MANAGEMENT OF VITAL RECORDS/DATA

4.1 Introduction

The purpose of this chapter is to ensure the ready availability of vital records/data needed for the continued operation of essential functions within JSC in the event of a national or regional emergency/disaster. Instructions are provided for JSC personnel in the selection, preparation, and inventory of vital records/data and the transmission, maintenance, and disposition of these records at backup sites as part of the JSC's vital records program. An active vital records/data program at each Center is necessary in order to comply with NPR 1040.1.

4.2 Vital Records

Vital records/data are those essential JSC records needed to meet operational responsibilities under national security emergencies or other emergency or disaster conditions and also those records/data essential to protecting the legal and financial rights of JSC and those affected by its activities. Vital records fall into two categories: (1) emergency operating records/data and

(2) legal and financial rights records/data.

4.2.1 Emergency Operating Records/data

Emergency Operating Records are records/data vital to the essential functions of the Federal Government for the duration of an emergency or reconstitution of the organization after an emergency. Emergency operating records/data are comprised of records/data necessary for the mobilization and protection of material and manpower resources, services, and systems; the maintenance of public health, safety, and order; and the conduct of essential civil defense activities. Examples include:

a. Disaster control and emergency plans, emergency regulations, description of emergency functions, emergency management documents, records/data of amounts and locations of emergency supplies and equipment, and lists of emergency sources of supplies necessary to operate and administer the emergency site.

b. Records/data on NASA personnel and positions such as orders of succession, rosters of key employees, security clearance lists, payroll, telephone directories, and personnel qualifications and skills.

c. Emergency communications plans, procedures, operating instructions, and routing.

d. Procurement record/data such as emergency procurement regulations and contracting instructions, contractor and source lists, contract forms, vendor listings, commodity catalogues, defense materials allotment reports, and current contract files that are essential to emergency operations.

e. Scientific and technological record/data which would be required to meet priority needs of the programs of the Federal Government in a national defense emergency, including essential research and development information related to:

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(1) Aeronautical and space programs in support of the military effort, resource mobilization, or civil preparedness.

(2) Operation of NASA’s communication, tracking and data acquisition and processing capabilities as a component of the National Communications System.

(3) Operation of satellite and aircraft systems capable of providing information pertaining to the nation’s resources, environment, civil defense and military objectives.

(4) Support of the Department of Defense by providing aircraft take off, landing and operational facilities, and appropriate ground and maintenance support.

f. NASA budget estimates for the current and next fiscal year.

g. Data, critical design specifications, and essential drawings of spacecraft, launch vehicles, control systems, important test facilities, and such systems which would be vital to NASA’s furnishing direct assistance in support of the military effort in an emergency.

h. Brief summaries of work in progress on current research and development projects.

4.2.2 Legal and Financial Rights Records/Data

Rights and Interests Records/data are essential for the preservation of legal rights and interests of individual citizens and the Federal Government such as legal records/data and financial agreements with external entities. Examples include:

a. Financial management records/data and reports considered to be essential for the preservation and protection of the rights of employees and others as outlined in FMR 9660, NASA Financial Management Requirements.

b. Records/data supporting legal rights maintained by NASA as the statutory office of record/data, patents and patent applications, guaranteed loans, and patent waiver agreements with contractors.

4.3 Procedures and Requirements

All organizations possessing vital records/data shall identify, safeguard, maintain, and update those records within their areas of responsibility, developing a vital records plan and designating vital records custodians.

4.4 Vital Record Designation

Only those records/data (including electronic records/systems) most critical to emergency operations, the preservation of legal or financial rights, or the reconstitution of operations following an emergency or disaster shall be designated as vital records/data. The following factors shall be considered in identifying vital records/data:

http://server-mpo.arc.nasa.gov/Services/CDMSDocs/Centers/JSC/Home.tml

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a. Impact of total loss of the record/data on the ability to reconstitute the activity and resume operations.

b. Whether there is a specific planned need for the record/data during or immediately following the emergency or disaster.

4.5 Vital Records Custodian Designation

DLOs shall name those records custodians who are responsible for maintaining and updating vital records/data within their areas of responsibility.

4.6 Vital Records Storage/Recovery

a. It is mandatory that copies of vital records/data are stored so they are retrievable if an emergency or disaster destroys the originals. Plan the media and location for storage as well as the method and schedule for transferring and renewing the copies of vital records/data to maintain currency. The strategy for accomplishing this shall be included in the organization's vital records plan. Original vital records and copies are to be dispositioned in accordance with NPR 1441.1.

b. Organizations shall arrange for off-site storage and periodic renewal of copies of vital records/data in a facility not subject to the same emergency or disaster as JSC, but still reasonably accessible to Agency staff.

c. Whenever feasible, an organization shall store copies of emergency operating records/data in a properly equipped and environmentally controlled emergency operations center.

d. If electronic files, databases or systems are identified as vital records/data, a systems contingency plan must be prepared as a section of the organization's security plan or as a separate document, in accordance with NPR 2810.1.

e. Records/data needed to protect legal and financial rights may also be stored at the FRC. If these vital records/data are recorded on a medium other than paper, the RM shall contact the FRC before initiating the transfer to ensure that appropriate environmentally controlled space is available. The latest instructions for retiring records/data to the FRC can be found in Chapter 3 of this document.

4.7 Vital Records/data Reporting

a. JSC directorates, program offices, laboratories, and contractors are responsible for creating or maintaining NASA-owned vital records/data and shall inventory them annually using ORI. Identify the media and location for storing copies of the vital records/data.

b. These inventories shall be provided to the JSC Vital RM or to the JSC RM if a Vital RM has not been designated.

c. Copies of the organization's vital records/data plan shall be provided to the JSC RM and updated as required.

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4.8 Vital Records/Data Plan

JPR 1040.3 shall be used as the procedural requirements for development of elements and activities needed for the Vital Records portion of a comprehensive COOP Plan. Plans are due to the JSC COOP Coordinator and JSC Vital Records Manager by December 10th of each year.

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CHAPTER 5 RECORDS AND FORMS

Item Description of Record/data

Record Custodian Retention Schedule

5.1 Records

Management – Reports, Delegations, General

JSC Records Manager

1/75C

5.2 Records

Management – Inventories (ORI)

JSC Records Manager

1/75D

5.3 Records

Management – Accession Folders containing JF140, Indexes, JF 235, SF 135 (older NARA form) and NARA TRs.

JSC Records Manager

1/75A1(b)

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Appendix A Acronyms

CD-ROM Compact-Disk, Read Only Memory

CFR Code of Federal Regulations

COOP Continuity of Operations

DLO Directorate-Level Organization

EIS Electronic Information System

FOIA Freedom of Information Act

FMR Financial Management Requirements

FRC Federal Records Center

FTP File Transfer Protocol

GRS General Records Schedules

IRD Information Resources Directorate

JF JSC Form

JPD JSC Policy Directive

JPR JSC Procedural Requirements

JSC Lyndon B. Johnson Space Center

MOU Memorandum of Understanding

NARA National Archives and Records Administration

NASA National Aeronautical Space Administration

NODIS NASA Online Directives Information System

NPD NASA Policy Directive

NPR NASA Procedural Requirements

NRRS NASA Records Retention Schedules

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ORI Organizational Records Inventories

OMB Office of Management and Budget

ORIG Originator

PDF Portable Document Format

RLO Records…