NOAA Damage Assessment & Restoration Case Archiving

1. NOAA Damage Assessment & Restoration Case Archiving

2. Main Entry: 1ar·chive Pronunciation: \ˈär-ˌkīv\ Function: noun Etymology: French & Latin; French, from Latin archivum, from Greek archeion government house (in plural, official documents), from archē rule, government — more at arch- Date: 1603 1 : a place in which public records or historical documents are preserved; also : the material preserved —often used in plural 2 : a repository or collection especially of information Function: transitive verb Inflected Form(s): ar·chived; ar·chiv·ing Date: 1855 : to file or collect in or as if in an archive <archive documents> <archived tissue samples>

3. Or, how to keep important stuff from vanishing down a deep hole

4. WHY BOTHER?? Archiving of documents, in this case, the case files of various environmental legal actions through NOAA’s Damage Assessment, Remediation, and Restoration Program (DARRP) is crucial to ensure that those documents are preserved for the appropriate length of time (this will come up under disposition schedules) in a safe and secure environment, that at the same time preserves access for those needing the documents. For example, FOIA requests, research or litigation that causes the case files to become relevant again.

5. NARA The best place for this is at the National Archives and Records Administration – They, literally, wrote the book on managing records and assist with everything from preservation to determination of how long an item will be held.

6. HOW to bother? • Know what to save = Records • Know the schedule, type and disposition date: • Access: Open, FOIA Exempt etc. • This will vary from case to case, • E.g. NOAA Records Schedules  Chapter 500: Legal, Legislative, and Congressional Affairs  (http:www.corporateservices.noaa.gov/~ames/Records_Management/disposition_handbook.html)

7. WHAT? • Records are anything created officially or intrinsically relevant to a given case. Once a case is closed, all the materials must be sifted to determine what should be saved and what does not equal a record. This tends not to include phone #s written on a napkin and the third – or even the second – identical copy of a report. However, it is best to consult with some familiar with the materials before excising items as they may be vital or • A case may be under a hold that requires everything be saved. This is another reason to archive items in a timely fashion, to reduce the odds of running afoul of rules and regulations.

8. WHEN? • All government records are, well, governed by what is called a disposition schedule. Essentially, depending on why an item was created, by whom and for what purpose, it has an allotted lifespan. In the area of litigation for NOAA, the allotted years are as long as the case is active, plus 10. • The plus 10 is where archiving comes in. Once the records have been properly prepared, they should be transferred to NARA for storage until their time runs out or they are needed. NARA has lists of various disposition schedules, but for the purpose of NOAA, the relevant data can be found at: • http://www.corporateservices.noaa.gov/~ames/Records_Management/disposition_handbook.html • http://www.corporateservices.noaa.gov/~ames/pdfs/500-legal.pdf\

9. ACCESS • NARA is also the go-to organization for accessing these records. Because the depositing agency still technically owns deposited items, FOIA requests and the like are returned to us for determination, this makes sure that nothing that is legally protected gets into the wrong hands. • At the same time, the central location allows for those who need to view artifacts, to go through a relatively simple and codified process for requesting access. And it means we know where they are when anyone needs them.

10. From The NARA Field Bulletin (S:\RC_Shared\archiving) • NARA produces a very helpful field bulletin that has instructions for how to process and package the records as well as filling out the relevant forms. It is too large to reproduce in its entirety here, but is saved at the link above. An example is produced below. This bulletin is the most useful document to refer to when physically preparing records for transfer to NARA. • Agencies can send unscheduled, contingent, frozen, mixed, permanent and non-paper based records to the records center under certain conditions. However, there must be a pending SF-115 for unscheduled records before the center will accept them. (See 36 CFR 1228.154(b).) The SF-135 must contain the pending SF-115 number in block 6h, with the corresponding item from the schedule and the word " Pending " in parenthesis. Also, because these are unscheduled records, the agency will be required to provide a detailed folder listing for each transfer when the SF-135 is submitted.

11. Preparation • The first step is making sure you have all the records and no extraneous materials • The second is determine whether you have mixed media: videotapes, CDs, microfiche etc., as that will require different packaging and possibly shipping to a secondary location. • The third is to make sure you have the right materials while removing the wrong ones.

12. The Right Stuff • When people are creating records, they use a lot of different things. Sticky notes, napkins, paper clips, rubber bands, staples, binder clips and so forth. • When we are packaging them for transfer, there are fewer materials that are acceptable. • Binder clips and staples are fine. Paper clips are not, as they tend to become entangled. • Manila folder and accordion files (ideally acid free) are preferred, but other types of binding will be allowed, except for three-ring binders, which don’t fit in the specified boxes.

13. Examples of acceptable, although not necessarily ideal. When in doubt, contact NARA: • seattle.transfer@nara.gov • Scott Roley: Scott.Roley@nara.gov

14. RUBBER BANDS ARE BAD!! • This is a rubber band (on water damaged paper, just one more reason to put things somewhere safe) • This is a rubber band after several years in a box, file or other storage location.

15. Boxes, boxes and even more boxes • Boxes of the right size: Standard size record box for legal or letter-size files • (this is actually fairly important as NARA won’t accept another size) • NSN 8115-00-117-8249

16. PAPERWORK The SF-135 is used by NARA to keep track of deposits, using an accession # to identify depositing org and NARA placement • SF-135 – this is the form that you use to get an accession number from NARA – it can be submitted to them for approval at any time during the process, but has to be completed before transfer • Box Lists: Levels of detail vary, but NARA must be able to verify contents easily.

17. How the SF-135 is used • There are detailed instructions on the Field Bulletin for filling it out, but the first few lines are what enables NOAA and NARA to ID the boxes, contents etc. • Every agency is assigned an ID#, NOAA’s is 370 • The year of depositing the documents is next • NARA will assign an accession number

18. 370 – 10 2323

19. Box 1 of 46 Fill out with black, felt tip marker

20. TRANSFER • The SF-135 can be filled out and transmitted as soon as you are clear on what is being deposited. The boxes can still be in the process of preparation at this point. • Up to 2 weeks to receive accession # -- can’t deposit without one – • Pack and label boxes according to Field Bulletin instructions

21. Transfer Continued • NARA will accept UPS, Fed Ex or UPS deliveries • Or in person:6125 Sand Point Way NESeattle, Washington, 98115-7999 • Depending on size, there are also instructions for palletizing

22. Important Links •  These are links to the NOAA and NARA sites that have forms and other important information • http://www.darrp.noaa.gov/northwest/index.html • http://www.corporateservices.noaa.gov/~ames/Records_Management/disposition_handbook.html • http://www.corporateservices.noaa.gov/~ames/pdfs/500-legal.pdf\ • http://www.archives.gov/northeast/nyc/forms.html • S:\RC_Shared\archiving • This last is where I have located the NARA Field Bulletin and other informational items for general archiving within the DARRP system

23. Important Links Project Specific • S:\RC_Shared\archiving • S:\RC_Shared\Elliot Bay Nara Deposit • S:\RC_Shared\Kuroshima • S:\RC_Shared\Whatcom • S:\RC_Shared\New Carissa • These items are specific to the projects I have worked on while I am here and might also serve as guides if there are other questions.

24. Don’t Panic

25. If something goes wrong, something unusual comes up or you have any other questions, there are people who will help. • Legal: Gail Siani <Gail.E.Siani@noaa.gov> if she doesn’t know the answer, she knows who to ask 2. NARA: seattle.transfer@nara.gov Scott Roley: Scott.Roley@nara.gov 3. NOAA: Elizabeth Windsor (Information Analyst) Elizabeth.Windsor@noaa.gov • Marie Marks is currently the acting Records Officer for all of NOAA but that may change. Marie.h.marks@NOAA.gov