Transcription
Revised on 06/2020 to incorporate changes transmitted under NARA transmittal 31 to the General RecordsSchedules (GRS),Revised on 04/2020 to incorporate changes transmitted under NARA transmittal 30 to the General RecordsSchedules (GRS), andRevised on 4/2018 to include Updates to 201, Agency Accountability Records; 202, Budgeting Records; and 20304, Training and Workshop Records.NOAA Records SchedulesChapter 200Administrative and Housekeeping Records
Chapter 200Table of ContentsNOAASeries #Records Tile/Description200-01Office Administrative Files200-02Files Planning, Organization, and Maintenance: Designating Files Stations200-03Transitory Records200-04Library Records200-05Technical Reference Materials200-06Non-Recordkeeping Copies of Electronic Records200-07Intermediary Records200-08Records of Non-Mission Related Internal Agency Committees (Removed from 100-17)201Management Control Records201-01Audit and Investigation Case Files201-01aAudit Case Files201-01a(1)Records Maintained by NOAA Office of Audits.201-01a(2)Records Maintained by NOAA Line and Staff Offices201-01bInspector General Complaint Case Files200Administrative and Housekeeping Records
201-01b(1)Records Maintained by NOAA Office of Audits.201-01b(2)Records Maintained by NOAA Line and Staff Offices.201-01c201-01c(1)Files Containing Information or Allegations Which are of an Investigative Nature but do not Relate to aSpecific InvestigationRecords Maintained by NOAA Office of Audits.201-01c(2)Records Maintained by NOAA Line and Staff Offices.201-02Deemed Export Program Files201-02-1Records Maintained by the Chief Administrator201-02-1aControlled Technology Inventory201-02-1b201-02-1c201-02-2Deemed Export LicensesForeign National ListRecords Maintained in the Line Offices (LOs) and Staff Offices (SOs)201-02-2aAccess Control Files201-02-2bCertification Statements201-02-3201-02-3aNOAA Endorsement Supplement (ESF) for the Line Office (LO)/Staff Office Department Sponsor/NOAA(DSN) and NAO 200-12, Appendix B.Records Maintained by the Chief Administrator201-02-3bRecords Maintained in the Line Offices (LOs) and Staff Offices (SOs)201-02-4201-02-4aSummary Reports of Department Administrative Order (DAO)/NOAA Administrative Order 207-12ViolationsRecords Maintained by Office of the Chief Administrative Officer (OCAO)201-02-4bRecords Maintained in the Line Offices (LOs) and Staff Offices (SOs)201-03Agency Accountability Records
201-03aInternal Administrative Accountability and Operational Mgt. Records201-03bInternal Control Review, Response, and Mitigation Management Records201-04Project Control Files (Rescinded per GRS Transmittal 29)201-05Feasibility Studies202BUDGET AND FINANCE RECORDS – These records are created and held by NOAA Budget Office202-01aBudget Formulation, Estimates, Justification, and Submission Records202-01bBudget Formulation, Estimates, Justification, Submission Records before FY 2017202-02Budget Execution Records202-03aBudget Reports202-03bAll Other Reports – Budget Records any Office Creates and Holds202-04202-04a202-04bBudget Preparation Background RecordsHeld in Office Responsible for preparing agency’s proposal to the White HouseHeld in Other Offices202-04ABudget Administration Records202-05Electronic Budget Tracking Records202-06Credit/Bank Card Transactions202-06aOfficial Record Held in the Office of Record202-06bAll Other Copies202-06AGovernment Purchase Card Application and Approval Records NEW202-06BGovernment Travel Card Application and Approval Records NEW
202-07General Correspondence Files202-07aOfficial Record Held in the Office of Record202-07bAll Other Copies202-08Federal Financial System Data Input Records202-09Routine Procurement/Contract Records(Administrative copies only, see Chapter 700 for program records)203HUMAN RESOURCES RECORDS203-01Time and Attendance Input Records203-02Time and Attendance Source Records203-03203-04Personnel Records: Supervisor’s and Duplicate Official Personnel Folder DocumentationEmployee Training Records203-04a1Non-mission Employee Training Program Records203-04a2Mission Related Training School and Course Files203-04a2aCopy of each Training Syllabus and Other Training Materials Originated by NOAA, etc.203-04a2bGraduate Study Records Containing Correspondence from Schools, Schedules, etc.203-04a2cROTC Student Appointment Records203-04a2dDocuments Relating to the Maintenance of Special Qualifications for Agents203-04a2eNOAA Diving Center - NDC Diver Training and Certification System Training Requirements203-04a2fPilot Training Files - Requirements
203-04a2gForeign national training programs conducted by NOAA 3-05203-06Training, and course records related to NOAA-sponsored international training programs conducted forvisitors, foreign scientists, or foreign officialsEthics Training RecordsIndividual Employee Training RecordsProgram RecordsCase Records on SESCDP ParticipantsTelework/ Alternate Worksite Records - Forms NEWEqual Employment Opportunity (EEO) General Records (See Chapter 302 for EEO program records)204RECORDS MANAGEMENT PROGRAM204-01Tracking and Control Records204-02Records Management Program Records204-03204-04Vital or Essential Records Program RecordsCopies of Vital Records204-05Forms Management Records204-06Validation Records for Digitized Temporary Records NEW205INFORMATION RESOURCE MANAGEMENT RECORDS205-01FOIA, Privacy Act, and Classified Documents Administrative Records205-02General Information Request Files205-03Access and Disclosure Request Files205-04Information Access and Protection Operational Records205-04aRecords Tracking and Controlling Access to Protected Information
205-04b205-04c205-05205-06Access Control RecordsRecords Relating to Classified or Controlled Unclassified Document containersAccounting for and Control of Access to Classified and Controlled Unclassified Records and RecordsRequested Under FOIA, PA, and MDRPrivacy Act Accounting of Disclosure Files205-07Erroneous Release Records205-07a205-07b205-07c205-08Records Filed with the Record-keeping copy of the Erroneously Released RecordsRecords Filed Separately from the Record-keeping copy of the Released RecordsPrivacy Complaint Files NEWAgency Reports to the Congress, Department of Justice, or other Entities Regarding FOIA, MDR, PA, andSimilar Access and Disclosure ProgramsLegal and Regulatory Compliance Reporting Records205-09205-09a205-09b205-10Annual reports by agency CIO, Inspector General, or Senior Agency Official for PrivacyAll other agency reports and internal reports by individual system owners to the Senior Agency Officialfor Privacy (SAOP)Privacy Act Amendment Request Files205-11Automatic and Systematic Declassification Review Program Records205-12Fundamental Classification Guidance Review Files205-13Classified Information Nondisclosure Agreements205-13aRecords maintained in the individual’s official personnel folder.205-13bRecords maintained separately from the individual’s official personnel folder.205-14Personally Identifiable Information Extracts205-15Personally Identifiable Information Extract Logs205-16Privacy Act System of Records Notices (SORNs)
205-17Records Analyzing Personally Identifiable Information (PII)205-17aRecords of Privacy Threshold Analyses (PTAs) and Initial Privacy Assessments (IPAs).205-17bRecords of Privacy Impact Assessments (PIAs).205-18Computer Matching Program Notices and Agreements205-19Virtual Public Access Library Records205-20CUI Program Implementation Records NEW205-21CUI Information Sharing Agreements NEW205-22Records of Waivers of CUI Requirements NEW205-23Records of Requests for Decontrol and Challenges to CUI Designations205-23aRecords Filed with the record-keeping copy of the CUI-marked records NEW205-23bRecords Filed separately from Record-keeping copy of the CUI-marked Records NEW205-24Records of CUI Misuse NEW206Administrative Help Desk Records206-01Technical and Administrative Help Desk Operational Records207Email Managed Under a Capstone Approach207-01Email Managed Under a Capstone Approach207-02Email of Non-Capstone Officials207-02aAll others except those in item 012
207-02bSupport and/or administrative positions208Public Customer Service Records208-01Public Customer Service Operations Records208-02Customer/Client Records
Series Records Series Title Records Description#200AdministrativeManagement andHousekeepingRecords.This Chapter lists the most commonadministrative and housekeepingrecords that are maintained in alllevels of NOAA offices. These recordsinclude routine and facilitativerecords that many or all governmentagencies create and maintain for dayto-day administrative andmanagement functions. Thesefunctions are already scheduled in theGeneral Records Schedule (GRS),issued and approved by the NationalArchives and Records Administration(NARA), or by a SF-115 approved andsigned by the Archivist of the UnitedStates at NARA.200-01AdministrativeRecords accumulated by individual officesRecords Maintained in that relate to routine day-to-dayany Agency Office.administration and management of theoffice rather than the mission-specificactivities for which the office exists. Recordsinclude:Disposition AuthorityDispositionInstructionDAA-GRS- 2016-0016-0001(GRS 5.1, item 010)TEMPORARY.Destroy whenbusiness use ceases.Supersedes NOAA SeriesItem: 201-01, OfficeAdministrative Files
staff locators, unofficial organizationalcharts, and office seating charts (seeExclusion 1) office-level administrative policies andprocedures and files related to theirdevelopment (see Note 1) calendars or schedules of daily activities ofnon-high-level officials (high-level officialsare defined in GRS 6.1; this item coversthose positions not defined as high-level) informal requests and tracking ofpersonnel training, travel, supplies, andequipment, excluding procurement andpayment records and forms requestingtraining (e.g. SF-182) internal office activity and workloadreports studies and analyses of officeadministrative functions and activities non-mission related management reviewsand surveys minutes of meetings related toadministrative activitiesExclusion 1: This item does not apply torecordkeeping copies of organizationalcharts, functional statements, and relatedrecords that document the mission-relatedorganization, staffing, and procedures of the(GRS 23, item 1)
office. Agencies must schedule thoserecords on an agency-specific schedule.200-02Files Planning,Organization, andMaintenance:Designating FilesStationsNote 1: This item covers administrativepolicies and procedures at the office/unitlevel. See NOAA Series 100-03 for agencylevel administrative issuances; directives,bulletins, organization manuals and charts,functional statements, delegations ofauthority, and similar administrativeissuances and manuals.An office file plan must be created for each DAA-GRS-2013-0002-0016file location. The file plan lists each record (GRS 4.1, Item 010)series maintained by the office, thedisposition instruction for the series, and itsPreviously, filed as NOAAlocation. A copy of the plan should be filedSeries Item 200-47, Filesin the front of the first drawer of the firstPlanning, Organization,cabinet at each file location. Copies of theand Maintenance:plan, or consolidated plans, may be kept atDesignating Files Stationsother file locations - higher level offices, or(N1-74-228, item 1).individual desks, if such reference needsexist. Each office must have its file planapproved by the proper Records LiaisonOfficer/and Records Officer.Note 1: There must be an active file planbefore a superseded file plan can bedestroyed.TEMPORARY.Destroy when nolonger needed.
200-03Transitory RecordsNote 2: Agencies must offer any recordscreated prior to January 1, 1921, to theNational Archives and RecordsAdministration (NARA) before applyingdisposition instructions in this schedule.NEWRecords required only for a short time(generally less than 180 days) and that arenot required to meet legal or fiscalobligations, or to initiate, sustain, evaluate,or provide evidence of decision making.Records include, but are not limited to: messages coordinating schedules,appointments, and events transmittal documents such as e-mail,letters, cover memos, and facsimile coversheets that do not provide evidence ofapproval, concurrence, or decision-making,or include substantive comments received copies of circulated internalinformation such as agency instructions,notifications, circulars, newsletters, andemail blasts to employees messages received from agencydistribution lists or listservs “to-do” or task lists and assignmentsDAA-GRS-2017-0003- 0001(GRS 5.2, item, 010)Supersedes NOAA SeriesItems:200-03a Suspense Logs – anote or other reminder totake action (GRS 23, item6a);200-03b Suspense Logs –The record copy or outgoingcommunication (GRS 23,item 6b);200-04a, Schedules of DailyActivities – that have notbeen incorporated intoofficial records, at thedivision level and below.(GRS 23, item 5a);200-04b, Schedule of DailyActivities – documentingTEMPORARY.Destroy when nolonger needed forbusiness use, oraccording to agencypredetermined timeperiod or businessrule.
routine activities containingno substantive information(GRS 23, item 5);200-04200-05200-06Library Records.Technical ReferenceMaterialsNon-RecordkeepingCopies of ElectronicRecords.Documents made or acquired and preservedsolely for reference or exhibition purposes,extra copies of documents preserved onlyfor convenience of reference, and stocks ofpublications.Note: Does not include Library ProgramRecords.Publications, phone books, extra copies ofadministrative or procedure manuals, anddirectives acquired and preserved solely forreference, or stocked for generaldistribution or handout.Non-recordkeeping copies of electronicrecords agencies maintain in email systems,computer hard drives or networks, webservers, or other locations after agenciescopy the records to a recordkeeping systemor otherwise preserve the recordkeepingversion. This includes:200-05 Transitory Records(GRS 23, item 7),Previously filed as NOAARecords Series 200-07Nonrecord, authorizeddisposition is notrequired.Previously filed as NOAARecords Series Item 20021, Library and NonrecordDocumentsNonrecord, authorizeddisposition is notrequired.Previously filed as NOAARecords Series Item 20007 and 200-30.DAA-GRS-2016-0016- 0002(GRS 5.1, item 020)Supersedes GRS 4.3, 040.Supersedes NOAA SeriesItems:2300-08a, When used toDiscard whensuperseded or nolonger needed, uponapproval ofsupervisor.TEMPORARY.Discard whensuperseded or nolonger needed.TEMPORARY.Destroyimmediately aftercopying to arecordkeepingsystem or otherwisepreserving, butlonger retention is
documents such as letters, memoranda,reports, handbooks, directives, manuals,briefings, or presentations created on officeapplications, including those in PortableDocument Format (PDF) or its equivalent senders’ and recipients’ versions ofelectronic mail messages that meet thedefinition of Federal records, and anyrelated attachments electronic spreadsheets digital still pictures or posters digital video or audio files digital maps or architectural drawings copies of the above electronic recordsmaintained on websites or web servers, butEXCLUDING web pages themselvesNote 1: Non-recordkeeping copies may beFederal records. Often, copies are nonrecords and can be immediately destroyed,but not always. Copies are non-record if theyare kept only for convenience of reference. Ifcopies are used in the course of agencybusiness to make decisions or take action,they are Federal records. The copiesdescribed here are Federal records if theyare still being used by the agency for suchproduce hard copy that ismaintained in organizedfiles (GRS 4.3, item 040);2300-08b, Whenmaintained only inelectronic form(GRS 4.3,item 040);2300-09, ElectronicCopies (GRS 4.3, item040); and2300-10a and 2300-10b,Electronic Mail and WordProcessing System Copies(GRS 4.3, item 040authorized ifrequired forbusiness use.
business purposes, but are notrecordkeeping copies of those records.Note 2: For electronic mail records, therecordkeeping system must capture thenames of sender and recipients, date(transmission data for recordkeepingpurposes), and any receipt data, along withthe message text. Sender/recipientinformation should be individual accountinformation, not the name of a distributionlist.200-07Intermediary Records.Records of an intermediary nature, meaningthat they are created or used in the processof creating a subsequent record. To qualifyas an intermediary record, the record mustalso not be required to meet legal or fiscalobligations, or to initiate, sustain, evaluate,or provide evidence of decision-making.Records include: non-substantive working files: collectedand created materials not coordinated ordisseminated outside the unit of origin thatdo not contain information documentingsignificant policy development, action, ordecision making. These working papers donot result directly in a final product or anapproved finished report. Included are suchmaterials as rough notes and calculationsand preliminary drafts produced solely forproof reading or internal discussion,DAA-GRS-2017-0003- 0002(GRS 5.2, item 020)Supersedes GRS 4.3, item01; 4.3, item 010; 4.3, item011; 4.3, item 012; 4.3,item 020; 4.3, item 030;and 4.4, item 031); GRS21,item 22; and GRS 21, item23.Supersedes NOAA SeriesItems:2300-07a, Input SourceRecords - Hardcopy oranalog input/source recordsTEMPORARY.Destroy uponverification ofsuccessful creationof the finaldocument or file, orwhen no longerneeded for businessuse, whichever islater.
reference, or consultation, and associatedtransmittals, notes, reference, andbackground materials. audio and video recordings of meetingsthat have been fully transcribed or thatwere created explicitly for the purpose ofcreating detailed meeting minutes (once theminutes are created) dictation recordings input or source records, which agenciescreate in the routine process of creating,maintaining, updating, or using electronicinformation systems and which have novalue beyond the input or outputtransaction:o hardcopy input source documents whereall information on the document isincorporated in an electronic system (SeeExclusion 1 and Note 1)o electronic input source records such astransaction files or intermediateinput/output files ad hoc reports, including queries onelectronic systems, whether used for onetime reference or to create a subsequentreport data files output from electronic systems,created for the purpose of informationsharing or reference (see Exclusion 2)previously scheduled astemporary(GRS 4.3, item 010);2300-07b, Hardcopy oranalog input/sourcerecords previouslyscheduled as permanent(GRS 4.3, item 011);2300-07c, Hardcopy orinput/source records notpreviously scheduled(GRS 4.3, item 012);2300-07d, Electronicinput/source records(GRS 4.3, item 020);2300-07e, Output recordsand Ad hoc reports(GRS 4.3, item 030); and2300-07f, Data file outputs(GRS 4.3, item 031)
Exclusion 1: This item does not allowdestruction of original hardcopy stillpictures, graphic materials or posters, aerialfilm, maps, plans, charts, sound recordings,motion picture film, or video recordingsonce they are digitized. Agencies mustfollow agency-specific schedules for theserecords. If the records are unscheduled, theagency must submit a schedule for them.Exclusion 2: This item does not include thefollowing data output files (agencies mustfollow agency-specific schedules for theserecords, except for the final bullet, whichthe GRS covers in another schedule): files created only for public accesspurposes summarized information fromunscheduled electronic records orinaccessible permanent records data extracts produced by a process thatresults in the content of the file beingsignificantly different from the sourcerecords. In other words, the processeffectively creates a new database filesignificantly different from the original data extracts containing PersonallyIdentifiable Information (PII). Such recordsrequire additional tracking and fall under
GRS 4.2, item 130 (DAA-GRS-2013-00070012)Note 1: An agency must submit anotification to NARA per 36 CFR1225.24(a)(1) prior to destroying hardcopyinput records previously scheduled aspermanent. An agency must schedule theelectronic version of unscheduled hardcopyinput records prior to destroying the inputrecord.Legal citations: 36 CFR 1225.22 (h)(2); 36CFR 1225.24 (a)(1)200-08Records of NonMission RelatedInternal AgencyCommittees.Records created and maintained bycommittees established by an agency forfacilitative or operational purposesunrelated to the agency’s mission, such asorganizing events, selecting interiorfurnishings, overseeing volunteer activities,or employee recreational activities. Recordsinclude: meeting minutes, summaries, agendas,and transcripts reports and studies membership records correspondence, mailing, and distributionrecordsDAA-GRS-2016-0016-0003(GRS 5.1, item 030)Supersedes NOAA Series Item100-17, N1-370-90-3(12/9/92) and GRS 26, item1aTEMPORARY.Destroy whenbusiness use ceases.
Exclusion: These items do not cover recordsof Federal Advisory Committee Act orinteragency committees. GRS 6.2 coversFederal Advisory Committee Act committeerecords.Note: Records of mission-relatedcommittees are potentially permanent andagencies must schedule them by an agencyspecific records schedule.
Series#201201-01Records Series TitleRecords DescriptionDisposition AuthorityThe NOAA Office of Audits providesdirection and guidance to NOAA offices onthe development of responses to theDepartment of Commerce, (DOC), Officeof Inspector General (OIG) andGovernment Accountability Office (GAO)regarding audits and investigations. Inaddition, the NOAA Office of Audits assistsin negotiation and resolution of disputedfindings and recommendations andensures that responses to the OIG reflectthe NOAA perspective. The Final Reportsof Audits and Investigations are issued andmaintained by the Department ofCommerce (DOC), Office of the InspectorGeneral; however the NOAA Office ofAudits retains a copy of the Report ofFindings, and background and supportingmaterial accumulated to document theaudit or investigation. NOAA Office ofAudits follows the guidance, policies,manuals and operating procedures issuedby the DOC, Office of Inspector rol Records.Audits andInvestigation CaseFiles.Supersedes NOAA ScheduleItem N1-370-99-6.Previously filed as NOAARecords Series Item 200-02.DispositionInstruction
The following records series are createdand maintained by the Office of Audits tosupport its programmatic andrecordkeeping responsibilities. Therecords series cited in this schedule aremedia neutral.a. Audit Case Files.Case files of internal and external audits ofagency programs, operations, andprocedures, including contractors andgrantees, containing audit reports,correspondence, memoranda, andsupporting working papers.a (1). Records Maintained by NOAAOffice of Audits.a (2). Records Maintained by NOAA Lineand Staff Officesb. Inspector General Complaint Case Files.Record documents NOAA Office of Auditsinvestigations of allegations of known oralleged fraud and abuse, irregularities andviolations of laws and regulations,mismanagement, gross waste of funds,abuse of authority or a substantial andSupersedes N1-370-99-06,item 1, Audit Case -0006-0002(03/04/16)TEMPORARY. Cut offat the end of FY inwhich case is closedDestroy 8 year(s)after cutoff.TEMPORARY. Cut offat the end of FY.Destroy 8 year(s)after cutoff.
specific danger to the public health andsafety involving NOAA. These cases areinitiated through a referral from the DOC,Office of Inspector General requesting theNOAA Office of Audits to investigate aspecific matter. These cases may relate toagency personnel and programs andoperations administered or financed bythe agency, including contractors andothers having a relationship with theagency.At the conclusion of the internalinvestigation, the NOAA Office of Auditsresponds to the DOC, Office of theInspector General with a report of itsfinding. The NOAA Office of Audits retainsa copy of the Report of Findings andinternal investigative reports,correspondence, notes, attachments, andworking papers which are collected orcreated to document their review,investigation of an activity or complaint.The NOAA program office that is thesubject to the inquiry or allegation alsoestablishes and maintains a record of theinquiry or allegation which may include,but not limited to, preliminary drafts,working files, meeting notes and otherinformation supporting their review andresponse to the allegation.
b (1). Records Maintained by NOAAOffice of Audits.DAA-0370-2015-0006-0003(03/04/16)b (2). Records Maintained by NOAA Lineand Staff Offices.DAA-0370-2015-0006-0004(03/04/16)c. Files Containing Information orAllegations Which are of an InvestigativeNature but do not Relate to a SpecificInvestigation.These records include anonymous orvague allegations not warranting aninvestigation, matters referred toconstituents or other agencies forhandling, and support files providingTEMPORARY. Cut offat the end FY inwhich case is closed.Destroy 10 year(s)after cutoff or whenno longer needed forresearch andinvestigativepurposes occurs,whichever is later.TEMPORARY. Cut offat the end FY inwhich case is closed.Destroy 10 year(s)after cutoff or whenno longer needed forresearch orinvestigativepurposes occurs,whichever is later.
201-02Deemed ExportProgram Records.general information that may prove usefulin Inspector General Investigations.c (1). Records Maintained by NOAAOffice of Audits.DAA-0370-2015-0006-0005(03/04/16)c (2). Records Maintained by NOAA Lineand Staff Offices.DAA-0370-2015-0006-0006(03/04/16)Records derived from any release ofsource code subject to the ExportAdministration Regulations (EAR) to aforeign national within the United States.Such a release is deemed to be an exportto the home country or countries of theforeign national. All records are medianeutral.1. Records Maintained by the ChiefAdministratora. Controlled Technology InventoryThis record captures data including, butnot limited to, the name of theequipment/technology/item, the ExportControl Number (ECCN), the descriptionand location of the equipment, and theresponsible NOAA manager, and whetheror not access to the controlledPreviously filed as NOAARecords Series Item 20023.DAA-0370-2013-0001-0001(Sequence No. 1.1)TEMPORARY. Cut offat the end FY inwhich case is closed.Destroy 5 year(s)after cutoff.TEMPORARY. Cut offat the end FY inwhich case is closed.Destroy 5 year(s)after cutoff.TEMPORARY. Cutoff list at the end ofFY and destroy 5year(s) after cutoff.
technology is required by a foreignnational and, if so, whether or not alicense would be required for access.b. Deemed Export LicensesDAA-0370-2013-0001-0002(Sequence No. 1.2)Record that identifies the foreign nationaland the controlled technology whichlicenses have been obtained. A record ofany licenses issued by BIS is alsomaintained.DAA-0370-2013-0001-0003c. Foreign National List(Sequence No. 1.3)This record captures data including, butnot limited to, the name of the foreignnational as well as their county orcitizenship, home country, duty station,description of work, and Federal employeesponsor. This record also identifieswhether or not the foreign nationalrequires access to controlled technologyand whether or not a license would berequired for such access.2. Records Maintained in the Line Offices(LOs) and Staff Offices (SOs)DAA-0370-2013-0001-0004a. Access Control Plans(Sequence No. 2.1)Records containing sufficient measures,safeguards, and procedures to ensure fullEAR/ITA compliance to protect againstTEMPORARY. Cutoff list at the end ofFY and destroy 5year(s) after cutoff.TEMPORARY. Cutoff list at the end ofFY and destroy 5years after cutoff.TEMPORARY.Destroy 5 yearsafter plan issuperseded.
unauthorized release of controlledtechnology to foreign nationals, at eachfacility/lab/program office. Each piece ofcontrolled equipment/technology musthave an accompany Access ControlInformation Sheet that identifies allmeasures and procedures to controlforeign nation access to the controlledtechnology regulated under EAR/ITAR.b. Certification StatementsDAA-0370-2013-0001-0005(Sequence No. 2.2)Annual certification signed by the LO/DAAor SO Director including DAA/SO DirectorCertification Statement, controlledtechnology inventory, list of foreignnational Guests, Access Control Plans, listof deemed exports censes, and a list offacilities/labs/programs that completedthe controlled technology assessment.3. NOAA Endorsement Supplement (ESF)for the Line Office (LO)/Staff OfficeDepartment Sponsor/NOAA (DSN) andNAO 200-12, Appendix B.DAA-0370-2013-0001-0006a. Records Maintained by the Chief(Sequence No. 3.1)Administratorb. Records Maintained in the LineOffices (LOs) and Staff Offices (SOs).DAA-0370-2013-0001-0007(Sequence No. 3.2)TEMPORARY. Cutoff at the end of theFY, and destroy 5years after cut off.TEMPORARY.Destroy 5 year(s)after cut off.TEMPORARY.Destroy 5 year(s)after cut off.
4. Summary Reports of DepartmentAdministrative Order (DAO)/NOAAAdministrative Order 207-12 Violations.The report focuses on the circumstancessurrounding the violation and actions toprevent future occurrences. The reportalso addresses the potential ofunauthorized release of controlledtechnology or otherwise sensitive data orinformation to the subject foreignnational.a. Records Maintained by Office of theChief Administrative Officer (OCAO)DAA-0370-2013-0001-0008(Sequence No. 4.1)b. Records Maintained in the Line Offices DAA-0370-2013-0001-0009(LOs) and Staff Offices (SOs)(Sequence No. 4.2)TEMPORARY.Destroy 5 year(s)after cut off.TEMPORARY.Destroy 5 year(s)after cut off.
Agency Accountability Records (GRS 5.7)
203-04a1 Non-mission Employee Training Program Records 203-04a2 Mission Related Training School and Course Files 203-04a2a Copy of each Training Syllabus and Other Training Materials Originated by NOAA, etc. 203-04a2b Graduate Study Records Containing Correspondence from Schools, Schedules, etc. 203-04a2c ROTC Student Appointment Records
