NPR_1441.1.pdf

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NASA

Procedural Requirements

NPR 1441.1E

Effective Date: January 29, Expiration Date: November

30, 2021

COMPLIANCE IS MANDATORY FOR NASA EMPLOYEES

NASA Records Management Program Requirements (Update Chapter 5)

Responsible Office: Office of the Chief Information Officer

NOTE: The NASA Record Retention Schedules (NRRS), is published as a separate document entitled, NRRS 1441.1, NASA Record Retention Schedules

Table of Contents 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. NASA Records Management Program Overview

1.1 Records

1.2 Information vs. Records

1.3 "Permanent" and "Temporary" Records Differentiated

1.4 Media Neutrality

1.5 Introduction to Records Life Cycle

Chapter 2. NASA Records Management Responsibilities

2.1 The NASA Chief Information Officer

2.2 NASA General Counsel

2.3 Center Chief Counsels

2.4 Inspector General

2.5 NASA Center CIOs

2.6 NASA Records Officer

2.7 Center Records Managers

2.8 Center Records Liaison Officers

2.9 Records Owners

2.10 Information System Owners

2.11 All NASA Employees

Chapter 3. Records Life-Cycle Governance Procedural Requirements

3.1 Records Creation Phase

3.2 Active Use Records Phase

3.3 Inactive Records Phase

3.4 Records Disposition

Chapter 4. Legal Holds

NPR 1441.1E -- TOC

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4.1 Purpose of Legal Holds

4.2 Authority to Issue Legal Holds

4.3 Records and Other Documentary Materials Subject to Holds

4.4 Legal Holds Requirements

Chapter 5. Requirements for Management of Records in E-mail, Cloud, and Social Media

5.1 Determining Records in Electronic Formats or Media

5.2 Managing Information in Cloud Computing

5.3 Managing Social Media Content

5.4 Managing E-Communications Records

Appendix A. Definitions Appendix B. Acronyms Appendix C: Records Management Core Element Checklist Appendix D: Agency Filing Scheme Appendix E: NASA Records Retention Schedules Update Procedures Appendix F: Unauthorized Records Destruction Reporting Guidance Appendix G: Cloud Services Records Management Checklist

NPR 1441.1E -- TOC

This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 1441.1E -- TOC Page 2 of 64

Preface P.1 Purpose

a. This NASA Procedural Requirements (NPR) directive establishes procedural requirements in accordance with 36 Code of Federal Regulations (CFR) Chapter XII, Records Management, and NASA Policy Directive (NPD) 1440.6, NASA Records Management. It provides overall, high-level direction to NASA Centers for implementation and ongoing operation of an effective Records Management (RM) program at the Agency level and within each Center, while allowing flexibility for establishment and implementation of local procedures and processes to meet specific needs of Center-level directorates, mission programs, and offices.

b. It establishes minimum requirements for managing NASA record information throughout its life cycle -- from creation/collection, categorization, maintenance, and operational use; through retention after active use ("retirement"); to eventual disposition by destruction or transfer to the National Archives for historical preservation.

c. It also establishes the procedural requirements for development, maintenance, and use of NASA Records Retention Schedules contained in a separate publication, NRRS 1441.1, NASA Records Retention Schedules (NRRS), published in NASA Online Directives Information System (NODIS) under "other documents," that govern the length of records retention and their final disposition.

P.2 Applicability

a. This NPR is applicable to NASA Headquarters (HQ) and NASA Centers, including Component Facilities and Technical and Service Support Centers. These requirements apply to Jet Propulsion Laboratory (JPL), a Federally Funded Research and Development Center, other contractors, grant recipients, or parties to agreements only to the extent specified or referenced in the suitable contracts, grants, or agreements.

b. 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.

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

P.3 Authority

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

b. Disposal of Records, 44 U.S.C. §§ 3301 et seq.

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

d. NPD 1440.6, NASA Records Management.

P.4 Applicable Documents and Forms

a. NPD 2800.1, Managing Information Technology.

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

c. NPR 2190.1, NASA Export Control Program.

d. NPR 9660.1, Vital Financial Records for Emergency Operations.

e. NID 1600.55, Sensitive But Unclassified (SBU) Controlled Information.

f. NID 7120.99, NASA Information Technology and Institutional Infrastructure Program and Project Management Requirements.

g. ISO 15489, Information and Documentation - Records Management.

h. NASA Form 1786, Inter- or Intra-Agency Transfer of NASA Records Agreement.

i. Standard Form 115, Request for Records Disposition.

j. Standard Form 135, Records Transmittal and Receipt.

NPR 1441.1E -- Preface This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 1441.1E -- Preface Page 3 of 64

k. National Archives and Records Administration (NARA) General Records Schedules.

l. IT-HBK 1440.01, Records Planning and Management.

m. IT-HBK 1441.01, Records Retention and Disposition.

n. ITS-HBK 1382.03-01 Privacy Risk Management and Compliance: Collections, PIAs, and SORNs.

o. NRRS 1441.1, NASA Records Retention Schedules.

P.5 Measurement/Verification

a. In order to determine the extent to which NASA employees follow the required processes specified in this NPR:

(1) The NASA Records Officer shall conduct periodic Agency RM self-assessments on behalf of the Senior Agency Official (SAO) for Records Management and report the results to NARA.

(2) The NASA Records Officer shall conduct other periodic reviews and assessments of NASA Centers' RM Programs to assess overall and/or specific effectiveness and compliance with relevant regulations and policies.

(3) Center Records Managers shall conduct periodic internal self-assessments of Records Management implementation by organizations and projects at their Centers.

P.6 Cancellation NPR 1441.1D, NASA Records Retention Schedules, dated February 24, 2003. Note for reviewers: NASA Records Retention Schedules (NRRS) previously in NPR 1441.1 are also being updated and will be incorporated by reference in the NPR. The NRRS will be published in a separate document numbered "NRRS 1441.1," titled "NASA Records Retention Schedules."

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Chapter 1. NASA Records Management Program Overview

1.1 Records

1.1.1 All Federal agencies are required by law and Agency policy to maintain and preserve records. The heads of Federal agencies are responsible for preventing any unlawful alteration, removal, or any accidental or unauthorized destruction of records.

1.1.2 Records (or Federal records) are defined in 44 U.S.C. §3301 as "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 suitable 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 the data in them."

1.1.3 Nonrecord materials include those Federally owned informational or documentary materials that do not meet the statutory definition of records (44 U.S.C. §3301) or that have been excluded from coverage by the definition.

Excluded materials include reference and duplicative information or materials intended solely for exhibit.

1.1.4 Documentary materials are NASA records when they meet both of the following conditions:

a. They are made or received by NASA under Federal law or in connection with the transaction of agency business, and

b. They are preserved or are suitable for preservation as evidence of NASA organization and activities or because of the value of the information they contain.

1.2 Information vs. Records

1.2.1 Information comes in a variety of forms and formats and the digital age has led to the creation of a multitude of new formats. The format of documentation does not alter the retention value of the content of the documentation (whether paper, film, photograph, electronic communications, notices/announcements created as blog entries, or other Web application content, or content residing in a cloud).

1.2.2 Information, regardless of format, constitutes a record when it meets the definition of a record provided in 1.1.2.

1.3 "Permanent" and "Temporary" Records Differentiated

1.3.1 A permanent record is any Federal record of such historical significance as to warrant NARA's authorization of its preservation in the National Archives beyond the time that it is needed for NASA administrative, legal, or fiscal purposes. Permanent records are indicated as such in the NRRS with a permanent disposition authority. An example of permanent records are those of senior NASA managers specified in NRRS 1/item 22.A.1. All such records will be accessioned by NARA into the National Archives for preservation for the life of the Republic..

1.3.2 A temporary record is any record which has been determined by the Archivist of the United States to have insufficient value (on the basis of current standards) to warrant its permanent preservation by the National Archives.

Temporary records are approved by NARA for disposal after a specified retention period which is provided in the NRRS. This does not mean that a temporary record may, by default, be destroyed immediately.

1.4 Media Neutrality

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

1.4.2 Records that are created electronically, e.g., "born digital," are managed electronically. NASA's approach to addressing the management of certain digital content (e.g., e-mail, cloud, and social media content) is addressed in Chapter 5.

1.4.3 Complex data and software objects within systems, including analysis and design models (e.g. trajectory analysis or structural design models) that serve as indispensable contributors to records themselves should be delivered in formats (such as a lightweight format) or standard that accommodate long-term data accessibility.

NPR 1441.1E -- Chapter1 This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 1441.1E -- Chapter1 Page 5 of 64 delivered in formats (such as a lightweight format) or standard that accommodate long-term data accessibility.

1.5 Introduction to Records Life Cycle

1.5.1 This requirements document utilizes a "Records Life Cycle" concept as a framework for defining and prescribing Agency-wide processes to ensure management of records and valued information assets throughout their life cycle. The records' uses differ as do the requirements for managing them at different phases of the records' lives. The records life-cycle concept is also used as an organizing framework within Chapter 3 of this NPR, with sections containing the procedural requirements for each of the four life-cycle phases.

1.5.2 Figure 1 illustrates the Records Life Cycle. Records are either created or received by NASA employees or contractors in the course of conducting NASA business. During their active use phase, the records are used for various purposes by NASA in its business processes. However, there comes a time (inactive or semi-active phase) when the records are only occasionally sought for reference purposes. After the inactive records have fulfilled their authorized retention periods, they are either destroyed, if temporary records, or transferred to the National Archives, if permanently valued. In addition, copies of inactive records or records due for disposition may at times be brought into a new NASA office or function to be used as inputs for the new business processes. An example of such re-purposing was the Space Launch System Program's incorporation of temporary Solid Rocket Booster records from the completed Space Shuttle Program, with careful documentation to maintain traceability of the records' history.

Figure 1, Records Life Cycle

1.5.3 The Records Life Cycle model and approach is further described in IT-HBK 1440.01, Records Planning and Management, along with more detailed explanations and procedures/guidelines for its use.

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NPR 1441.1E -- Chapter1 Page 6 of 64

Chapter 2. NASA Records Management Responsibilities

2.1 The NASA Chief Information Officer (CIO) shall:

a. Have overall responsibility for the NASA RM Program.

b. Ensure that the Agency information technology (IT) project governance process incorporates RM requirements in the design or acquisition of new or significantly revised Electronic Information Systems (EIS) or services.

2.2 NASA Office of the General Counsel shall:

a. Review and concur on all new or revised records retention schedules for NASA records.

b. Issue notification and requirements of Agency-wide or Headquarters legal record holds necessitated by litigation or investigations.

2.3 Center Chief Counsels shall:

2.3.1. Issue notification and requirements of Center legal record holds necessitated by litigation or investigations.

2.4 Inspector General shall:

2.4.1 The NASA Inspector General shall issue notification and requirements of record holds necessitated by audits or inspections conducted by the Office of Inspector General (OIG).

2.5 NASA Center CIOs shall:

a. Ensure records management requirements are addressed in the development or acquisition of any new or significantly revised Center specific systems or services.

b. Provide Center processes for migration of inactive digital records to updated formats and media to permit records retrieval throughout their scheduled life cycle.

2.6 NASA Records Officer shall:

a. Establish and direct the NASA RM Program and its associated procedures.

b. Administer the process of developing and submitting new or revised retention schedules for approval by the Archivist of the United States.

c. Maintain and publish procedures, records retention schedules, guidance, and current information to assist Agency personnel in implementation of these procedural requirements.

d. Make RM training available so Agency personnel understand their responsibilities for protecting and managing the records they create, receive, or maintain.

e. Approve all transfers of permanent NASA records to the National Archives.

f. Implement and orchestrate regular assessments of the effectiveness of RM across the Agency.

g. Collaborate with IT personnel in implementing digital management of records that span the Agency.

h. Provide consultation to functions establishing record requirements for an Agency-wide procurement action, partnership, or agreement that will involve creation, receipt, or management of records documenting Agency functions.

i. Assist attorneys with record holds and discovery requests that span multiple NASA Centers.

j. Oversee all other Agency-level aspects of the RM program.

2.7 Center Records Managers shall:

a. Establish and administer Center RM procedures for identifying, classifying, maintaining, and disposing of records across their Center.

NPR 1441.1E -- Chapter2 This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 1441.1E -- Chapter2 Page 7 of 64

b. Identify storage locations and provide Center procedures for movement of inactive records into and out of those locations until the records have met their retention periods.

c. Coordinate transfers of records custody from one Center organization to another, or from one Center to another NASA Center, Agency, or NARA facility.

d. Collaborate with IT personnel in implementation of digital records management of Center records.

e. Provide records consultation to functions establishing requirements for Center procurement actions, partnerships, or agreements that will involve creation, receipt, or management of records documenting Center functions.

f. Coordinate with impacted organizations all record holds and legal discovery actions involving Center records.

g. Coordinate with Center Offices of Human Resources to integrated records management into the employee exit clearance process.

2.8 Center Records Liaison Officers (RLOs) shall:

a. Sustain general knowledge of the records, both functional mission and administrative, within their specific offices.

b. Communicate/disseminate records-related information from the Center Records Manager to their offices.

c. Coordinate the compilation of organizational/office records listings to meet Center procedural requirements as discussed in the next chapter.

d. Oversee and consult with organization/office personnel to ensure proper management and disposition of records.

2.9 Records Owners shall:

a. Differentiate, and ensure segregation of, record from nonrecord material produced or received in performance of their function.

b. Ensure applicable records access restrictions are associated with their records and appropriate protections implemented.

c. Ensure records for which they are responsible are managed and dispositioned in accordance with the requirements of this NPR.

2.10 Information System Owners shall:

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

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

c. Implement disposition of electronic records in accordance with the requirements of Records Owners and this

NPR.

d. Coordinate system records management capabilities with their primary Center technical repositories' capabilities to provide an efficient and coordinated data management strategy that supports both engineering data and records management long-term storage, retrieval, and use case objectives.

2.11 All NASA employees shall:

a. Determine if information they create, receive, or manage (e.g., book, papers, documents, pictures, e-mail) in the course of performing NASA business is "record" or "nonrecord."

b. Manage records that they have created or received in accordance with this NPR.

c. Ensure all records under their control are dispositioned only in accordance with NRRS 1441.1, NASA Records Retention Schedules or General Records Schedules (GRS).

NPR 1441.1E -- Chapter2 This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 1441.1E -- Chapter2 Page 8 of 64

Chapter 3. Records Life-Cycle Governance Procedural Requirements

3.1 Records Creation Phase

3.1.1 Upon formulation of a new organization or NASA program or project, managers/process owners over NASA offices should identify all planned systems or applications within their office that will contain Federal records.

3.1.2 RM considerations shall be addressed during the development and implementation of new business processes, programs, and projects by NASA Records Owners in coordination with their Center Records Manager. Situations and types of activities where RM considerations are relevant include:

a. Data management planning and implementation, both long and short term.

b. Organizational/mission changes that will result in creation of new records or re-purposing legacy records previously maintained by another organization/function or for another purpose.

c. Continuous Process Improvement projects that will result in creation of new records or re-purposing of legacy records.

d. Development, major upgrade, or acquisition of agency information systems/applications.

3.1.3 All records groups (series) that will be created in the new or modified business processes, programs, and systems projects shall be identified and assessed by Records Owners. The Records Owners should specifically identify:

a. Where records will be stored/maintained -- physical location or EIS and where it is housed.

b. Record series description and pertinent NRRS or GRS items citations.

c. Unscheduled record series needing new or revised schedule items.

d. Ownership and record custodianship for each record series.

e. How and when each record series will be reviewed and cut off, or other external event that will trigger a change from record active use life-cycle phase to inactive use. This cutoff serves as the start point for required retention periods and calculation of authorized disposition dates.

f. 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).

Note: Reference: NPR 2190.1, NASA Export Control Program, ITS-HBK-1382.03-01, Privacy Risk Management and Compliance: Collections, Privacy Impact Assessments (PIAs) and System of Records Notices (SORNs), and NID 1600.55, Sensitive But Unclassified (SBU) Controlled Information.

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(1) Restriction determinations for electronic systems based on the records content may be accomplished via Records or Systems Owners completion of Initial Privacy Threshold Analyses (IPTAs)/PIAs in the Privacy and Controlled Unclassified Information (CUI) Assessment Tool

(PCAT).

(2) To ensure suitable restrictions are enforced throughout the life cycle, records shall be properly identified or "tagged" as they are created by the Records Creator in accordance with appropriate Agency policy for the particular restriction.

3.1.4 When embarking on a contractual or service agreement with a third party, the relevance of Federal records to the resultant partnerships shall be evaluated and addressed by requiring organization(s) as necessary, in consultation with the Center Records Manager.

3.1.5 This NPR establishes requirements to ensure records' reliability, authenticity, integrity, usability, and preservation content, context, and structure, as required by 36 CFR 1236. General requirements in NPR 7120.7 (currently NID 7120.99) require records management considerations to be addressed as part of the IT systems development project life cycle and in NASA's IT systems governance processes.

3.1.5.1 Managers/process owners over NASA offices should identify all systems or applications within their office that will contain Federal records. Such identification should be accomplished at the formulation of a new organization or NASA program or project.

3.1.5.2 In order to ensure the proper management, maintenance, and disposition of their records, Records Owners shall:

a. Identify RM functional requirements for a system or application that is to house the records.

b. Document administrative processes external to the system that will fulfill RM requirements in cases when a decision is made to use a system that fails to provide proper management of the records.

3.1.5.3 In accordance with NPD 1440.6 and NPD 2800.1, NASA System Owners are required to ensure that records controls are incorporated into any EIS that contain NASA records. Alternatively, controls may be integrated into a recordkeeping system or process that is external to the EIS itself.

3.1.5.4 System Owners and IT project managers shall address RM considerations and requirements in all projects utilizing the 7120.7 (currently NID 7120.99) IT Projects methodology, during which appropriate records management personnel (i.e., RLOs, Center Records Manager, or NASA Records Officer) should be consulted.

a. Appendix C contains a "Records Management Core Element Checklist" which may be used as a tool for assessing basic RM functionality during the early conceptualization and planning phases of NASA IT systems development/acquisition/refresh projects, as defined in NPR 7120.7. A more detailed explanation of the origin, purpose, and use of the Core Elements Checklist can be found in

IT-HBK-1440.01.

b. When a decision during the early conceptualization and planning phase of an IT systems project is made to integrate RM capabilities into the design and development of a system itself, controls prescribed in 36 CFR 1236 shall be built into the system to ensure such properties as records' reliability, authenticity, integrity, and usability.

c. More information about RM functionalities that must be included in systems and applications is

NPR 1441.1E -- Chapter3 This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 1441.1E -- Chapter3 Page 10 of 64 provided in IT-HBK-1440.01, along with elaboration of RM touch points in the IT Projects Life-Cycle Governance process and definition of RM criteria for determining readiness of the system to advance from one project development phase to the next. The handbook provides an assessment tool for a more in-depth records analysis and assessment from which one of three architectural or strategy options may be determined for recommendation to the applicable IT Systems Project Governance Board.

d. System Owners shall include costs of compliance with this NPR when developing the business case for a new or updated existing system.

e. When a decision is made to not include RM functionality in a new or updated system, an alternate plan for managing records external to the system shall be developed and presented at appropriate review gates.

3.2 Active Use Records Phase

3.2.1 Records Management roles during the active use phase of a records life cycle are those that help ensure or facilitate ease of access to record information for ongoing business/mission uses. This section addresses requirements for identifying records, where they are located, facilitation of their retrieval, and their protection.

3.2.2 Records accounting

3.2.2.1 To account for all the records for which an organization is responsible, a complete records listing shall be created and maintained by each organizational unit RLO. This listing is sometimes called a "records plan," "file plan," "Master Records Index (MRI)," or other similar names, in accordance with Center policies. These listings describe all the records series belonging to the organizational unit.

3.2.2.2 The listing should include the following minimum important information about each record series:

a. Agency Filing Scheme (AFS) code. (Reference Appendix D.)

b. Title or summarized description.

c. Owning organization.

d. Records custodian.

e. Location (if paper/physical media records) or system/repository (electronic/digital media records) where records reside, even if in an EIS located at or run by another organization or Center.

f. Pertinent NRRS or GRS retention schedule item.

3.2.3 Organizing records

3.2.3.1 A classification scheme (the AFS or its derivative) that can be used to logically categorize records holdings based on function or business process should be developed by each Center Records Manager or organizational unit RLO:

a. For physical records, this scheme is used to organize record holdings in file cabinets, file rooms, or temporary records storage/staging facilities.

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NPR 1441.1E -- Chapter3 Page 11 of 64

b. For electronic records, the scheme is used in folder/directory structures and/or as keyword or metadata tags to accomplish the same purpose.

3.2.4 Locating records

3.2.4.1 Effective indexing and search methodologies that facilitate locating and retrieving records shall be implemented by Records Owners. Indexing/search approaches include, but are not limited to:

a. Metadata tagging and keyword indexing such as AFS and/or other key identifying attributes that will be usable even after the records' active life has expired.

b. Database search capabilities using either metadata/keyword tag criteria, full-text search, or a combination of both.

c. "Federated search" technologies (allowing records to be located using any of the above methods across multiple repositories, Line of Business (LOB) systems and locations).

3.2.5 Protection and management of records

3.2.5.1 Proper RM controls that ensure records are managed and protected against unauthorized access, change, or destruction shall be established and documented by Records Owners in their office procedures for hard copy records or system IT security plan for electronic records. Controls will include, but not be limited to:

a. Roles based access controls (i.e., user access to a system or its functionalities based on the role of the user).

b. Safe and environmentally stable storage conditions to protect the record from unauthorized access, deterioration, other alteration, or destruction, with backup and restoration plans for records in EIS.

c. Controls to ensure no one may destroy records outside of authorized channels and that destruction is accomplished only in accordance with approved records retention schedules.

3.2 5.2 Records may not be removed from the Agency, except in the course of official business or scheduled records disposition.

(a) A records clearance process for all outgoing NASA personnel, including management, shall be implemented by Center Records Managers to ensure proper transition of any records custody and prevent unauthorized removal of Federal records. The process should ensure officials and employees do not remove records from the Agency without Center Records Manager or NASA Records Officer approval, in accordance with 36 CFR 1222.18, except in the course of official business.

(b) Unauthorized removal of records from the Agency shall be reported following the procedural requirements set forth in 3.4.3.3.

3.2.6 Converting analog records to digital

3.2.6.1 When a NASA organization has a business need to convert legacy analog (paper/film) records to digital formats, the Records Owner and the Center Records Manager shall ensure the conversion is to NARA-preferred formats whenever possible and always in the case of permanent records. Records owners and Center Records Managers should consult the most current NARA preferences and/or format requirements published on its agency's Web site.

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NPR 1441.1E -- Chapter3 Page 12 of 64

3.2.7 Identification, protection, and availability of essential/vital records

3.2.7.1 Identification, protection, and availability of essential/vital records in case of emergencies shall be ensured by Records Owners, working with Vital Records Managers, in accordance with 36 CFR 1223, NPR 1040.1, NASA Continuity of Operations (COOP) Planning Procedural Requirements and NPR 9660.1, Vital Financial Records for Emergency Operations.

3.2.8 Records of terminated projects or offices

3.2.8.1 In cases where organizations, programs, or projects terminate and records are not being transferred to another ongoing office, managers should follow Center procedures or Center RM direction for disposition of records that have not yet met their retention. Programs and projects may see IT-HBK 1441.01 for records disposition guidance.

3.2.9 Inter- or Intra-agency records transfers and loans

3.2.9.1 NASA Form NF-1786, Inter- or Intra-Agency Transfer of NASA Records Agreement, shall be completed by Records Custodians and associated Center Records Managers when there is a business need for custody of records to be transferred from one NASA Center, directorate, program/project office or business office to another, or from NASA to another Agency.

Note: Instructions for completing the form are on NF-1786.

3.2.9.2 When the Receiving Office represents a NASA Program/Project, and the records are received from another NASA Program/Project, the manager of the Receiving Office shall:

a. Maintain the records in such a manner so as to retain the identity of the originating Program and/or Project.

b. Disposition the records in accordance with the approved retention schedule indicated in the NF-1786 agreement when the records are no longer needed for active use.

(1) When the retention instructions are dependent upon Program completion, the completion date of the originating Program/Project shall be the disposition contingency date or records "cutoff" point discussed later in this chapter.

3.2.9.3 If the required transfer of custody is between two organizational units within a Center (or HQ), the Center or Headquarters Records Manager shall document the transfer using locally established policies and procedures.

3.2.9.4 There are occasions when Center history functions, Communications, or other offices have cause to loan records for displays or holdings by other repositories.

a. NASA may loan temporary records without NARA approval in accordance with 36 CFR 1228.

However, Center Records Managers shall ensure that such loans are documented in agreements between the loaning and receiving organizations that specify what records are being loaned, the duration and other conditions of the loan, and responsibilities for maintenance and return of the records.

b. Any loan of permanent records outside of the Agency must be coordinated with Center Records Manager and approved by NARA, in accordance with 36 CFR 1218. Center Records Managers shall ensure conditions of the loan are documented in an agreement, to which NARA is a party, that specifies the records to be loaned, the conditions and duration of the loan, and how the records are to

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NPR 1441.1E -- Chapter3 Page 13 of 64 be maintained and returned.

3.3 Inactive Records Phase

3.3.1 If records (permanent or temporary) have fulfilled their active usefulness, but have not yet fulfilled their retention period, the Records Custodian shall coordinate with the Center Records Manager to determine the available records storage options and costs for storing the records until their retention period is fulfilled and they are due for disposition.

3.3.2 If permanent records have fulfilled their active use and have no further value to the Agency, the Records Custodians may coordinate with the Center Records Manager to initiate an early transfer to the National Archives. (See Disposition of Permanent Records in Section 3.4.4.)

3.3.3 In cases where organizations, programs, or projects terminate, records disposition may follow one of two processes. Programs and projects may see IT-HBK 1440.01 for program records disposition guidance.

a. If records are transferring to another ongoing office, Records Custodians should follow requirements to document an Intra-Agency transfer. (See Section 3.4.9)

b. If records are not transferring to another ongoing office, Records Custodians should follow Center procedures or Center RM direction for disposition of records in Sections 3.5.1 or 3.5.2.

3.3.4 Storage of inactive digital records.

3.3.4.1 The Center CIO shall provide guidance for periodic migrations to update both format and media of Center digital records so records remain retrievable throughout their life cycle. The National Archives and/or industry standards for migrating media should be consulted, particularly in the storage of permanent records.

3.3.4.2 Inactive digital records, regardless of whether of temporary or permanent retention value, shall be periodically migrated to current formats and/or systems by System Owners, in accordance with guidance from the Center CIO, to ensure the records are retrievable for the entire duration of their retention period, and so the Center is able to respond to any requests for the inactive records.

This applies to records stored onsite or offsite at a Federal Records Center (FRC) or commercial storage facility.

3.3.4.3 There are several optional approaches for storing inactive digital records.

a. Online. Records Custodians may continue to maintain inactive records within the system where they reside until their retention period is fulfilled. If the system has some inherent RM functionality, retiring records may simply be a matter of changing the life-cycle phase state from active to inactive through the use of metadata tagging.

b. Offline or Nearline. Retirement of records to offline or nearline storage in order to avoid bogging down systems with unused records is often preferable and permissible as long as they are retained in such a way, including migration, that they may be located and retrieved in response to such need by the Agency.

c. Physical Media. Inactive digital or analog records may be moved to physical external media (e.g., NPR 1441.1E -- Chapter3 This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 1441.1E -- Chapter3 Page 14 of 64 removable hard drives, tapes, Compact Disc (CD), Digital Video Disc (DVD) for storage during completion of their retention period. However, Records Custodians/Records Owners shall ensure migration to current media to ensure records retrievability.

3.3.4.4 Records Custodians or Records Owners should utilize "cutoff points" based on the appropriate retention schedules, at which to take appropriate action to convert the records to an inactive state. Examples of cutoff points are project closeout, system decommissioning, contract final payment, or employment termination.

3.3.5 Storage of inactive paper or other physical records

3.3.5.1 A standard process for storing paper or other physical records shall be established by Center Records Managers with procedures for controlling records inventory, box or file retrieval, check-out/check-in, and disposition/destruction services.

3.3.5.2 Basic standard procedures are provided in IT-HBK 1441.01, Records Retention and Disposition, for retiring hardcopy records to the FRC which Center Records Managers may enhance with Center unique requirements.

Note: No transitory or nonrecord collections may be retired to an FRC, except through special agreement with NARA.

3.3.6 Tracking inactive records

3.3.6.1 Necessary records retirement documentation shall be completed by Records Custodians and/or RLOs, in coordination with their Center Records Manager in the preparation of a request to transfer or retrieve records.

a. Typical documentation may include a Center form, Standard Form (SF) 135, or online requests to transfer or retrieve records through NARA's online Archives and Records Centers Information System (ARCIS).

b. The records need to be accurately and adequately described in the transaction to ensure proper scheduling and retrieval, as necessary.

3.3.6.2 NARA ARCIS accounts and permissions may be provided by Center Records Managers in accordance with Center policy and procedures.

3.3.6.3 More detailed or standardized procedures and processing instructions for retirement of records to FRCs are provided in IT-HBK 1441.01, Records Retention and Disposition. The handbook includes details such as:

a. Authorized boxes/containers and packing instructions.

b. Shipping instructions.

c. Procedures for documenting chain of custody.

3.4 Records Disposition Phase

3.4.1 Disposition of records takes place after the inactive/retention phase is complete and records have fulfilled their full prescribed retention period. Disposition takes one of two forms, depending on whether the records are of deemed temporary or permanent value. Temporary records are

NPR 1441.1E -- Chapter3 This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 1441.1E -- Chapter3 Page 15 of 64 destroyed; permanent records are transferred to the National Archives for permanent retention.

3.4.2 Retention Schedules

3.4.2.1 All NASA records shall be dispositioned only in accordance with NRRS 1441.1 or the GRS by Records Custodians or Records Owners.

a. NRRS 1441.1, NASA Records Retention Schedules, provides records descriptions and retention/disposition instructions for records unique to NASA. These retention schedules are approved by the Archivist of the United States and provide legal authority for disposition of the records. The schedules provide titles, descriptions, retention/disposition instructions, and the disposition authority for series of NASA records.

b. NARA's GRS provides records descriptions and retention/disposition instructions for records common to multiple agencies. Retentions in the GRS always require compliance, unless NASA requires the records for a longer period of time, in which case, the Agency submits our own retention schedule for approval by NARA and incorporation into the NRRS. For NASA users' convenience, the NRRS incorporates GRS schedule items identified as records NASA maintains. In those cases, the GRS is cited as the disposal authority in brackets beneath retention/disposal instructions within the NRRS.

3.4.2.2 If an approved retention schedule cannot be identified in either the NRRS or the GRS for a set of records, the records are considered unscheduled and shall be maintained as permanent pending the approval of a retention schedule. (Reference Section 3.4.5.3 for proposing a new/revised NRRS schedule.)

3.4.3 Disposition of Temporary Records

3.4.3.1 Most NASA records are of temporary value (i.e., they will eventually be destroyed/deleted) and the retention period is largely based on the Agency's business and legal need for them. This section contains requirements for both scheduled destructions and instances of unauthorized damage, destruction, or removal of records.

3.4.3.2 Scheduled destruction.

a. Suitable local procedures for routine/periodic reviews shall be developed and implemented by Center Records Managers to identify and initiate purging of redundant and unneeded records. In developing and implementing these disposal procedures, the following factors should be considered:

(1) The ever-increasing volume of the organization's collected records and the resulting impacts on the ability to easily find/retrieve critically needed information.

(2) Risks and legal liabilities associated with possessing and possibly having to produce unneeded/redundant records for investigations or litigation.

(3) Risks and legal liabilities associated with possession of unneeded/redundant restricted access information and potential breaches of Privacy, IT Security, Export Control, or other statutory and regulatory provisions.

(4) Additional difficulties and consequences of establishing records integrity/authenticity.

(5) Costs of storing and maintaining records (including not only storage technology costs, but also IT staff resource costs to develop and support the organization's information storage infrastructure).

NPR 1441.1E -- Chapter3 This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.

NPR 1441.1E -- Chapter3 Page 16 of 64

b. Center Records Managers shall develop local destruction authorization procedures for temporary records that have met their scheduled retention requirements and are stored in FRCs or commercial or Center storage. These procedures should address the following elements:

(1) Initiation of the request for destruction authorization by the responsible RLO, custodian, or Records Owner.

(2) A description of the record set and/or listing of individual records for which destruction authorization is being requested.

(3) Identification of the applicable NRRS or GRS item authorizing destruction.

(4) Concurrence by the applicable manager(s) of the organizational unit owning the records or, in the case of dismantled organizations, managers of the most logical office concerned with similar records.

(5) Concurrence by Center Records Manager.

(6) Concurrences by the Office of General Counsel (OGC) or Center Office of Chief Counsel (OCC), and/or other higher management official, as required by Center policy.

(7) Instructions for how to handle records that are under a legal hold (destruction freeze). (Reference Chapter 4 of this NPR.)

3.4.3.3 Unauthorized damage, destruction, or removal of records.

a. Agencies are required by 36 CFR 1230 to promptly report any unlawful/unauthorized or accidental removal, defacing, alteration, or destruction of records in the custody of that agency.

b. Regardless of the circumstances, as soon as damage, destruction, or removal is discovered, the Center Records Manager shall immediately provide the NASA Records Officer with initial notification of the incident with as much detail as is known.

c. The Center Records Manager shall provide the same immediate initial notification to their local NASA OIG when the incident involves any suspected unlawful or unauthorized removal, defacing, alteration, or destruction of records. The OIG will instruct the Records Manager as to any additional information required.

d. The Center Records Manager shall quickly gather necessary details and work with the Records Owner to draft a report that will go to NARA, forwarding the draft to the Records Officer.