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NASA Ball NASA
Procedural
Requirements
NPR 1441.1E
Effective Date: January 29, 2015
Expiration Date: November 30, 2021
COMPLIANCE IS MANDATORY FOR NASA EMPLOYEES
Printable Format (PDF)

(NASA Only)

Subject: NASA Records Management Program Requirements (Update Chapter 5)

Responsible Office: Office of the Chief Information Officer


| TOC | Preface | Chapter1 | Chapter2 | Chapter3 | Chapter4 | Chapter5 | AppendixA | AppendixB | AppendixC | AppendixD | AppendixE | AppendixF | AppendixG | ALL |

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.

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).



| TOC | Preface | Chapter1 | Chapter2 | Chapter3 | Chapter4 | Chapter5 | AppendixA | AppendixB | AppendixC | AppendixD | AppendixE | AppendixF | AppendixG | ALL |
 
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