MSFC NASA MPR 1440 2 REV L-2009 MSFC RECORDS MANAGEMENT PROGRAM《马歇尔太空飞行中心记录管理程序》.pdf

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1、CHECK THE MASTER LIST at https:/repository.msfc.nasa.gov/directives/directives.htm VERIFY THAT THIS IS THE CORRECT VERSION BEFORE USE MPR 1440.2 REVISION L EFFECTIVE DATE: May 15, 2009 EXPIRATION DATE: May 15, 2014 MARSHALL PROCEDURAL REQUIREMENTS IS01 MSFC RECORDS MANAGEMENT PROGRAM Provided by IHS

2、Not for ResaleNo reproduction or networking permitted without license from IHS-,-,-Marshall Procedural Requirements IS01 MSFC Records Management MPR 1440.2 Revision: L Program Date: May 15, 2009 Page 2 of 33 CHECK THE MASTER LIST at https:/repository.msfc.nasa.gov/directives/directives.htm VERIFY TH

3、AT THIS IS THE CORRECT VERSION BEFORE USE DOCUMENT HISTORY LOG Status (Baseline/ Revision/ Canceled) Document Revision Effective Date Description Revision F 5/14/99 History log added with this revision; previous history contained in Directives Managers Reference File. Directive is being revised to u

4、pdate authorities/references and organizational titles, add section on emergency vital records, and remove detailed information more appropriate for a guide or handbook. Revision G 8/16/99 Updated to reflect recent MSFC reorganization and resulting changes in organizational codes and documentation n

5、umbers. Revision H 12/16/99 Revised to incorporate specific definitions, responsibilities, and procedures for quality records formerly contained in MPG 1441.1A, “Control of Quality Records.” Qualified use of ink for purpose of record legibility (3.2.1.1). Added step to procedure for disposition of r

6、ecords transferred to Records Staging Area. Added statement on historical records to Appendix C. Added new design procedures records to Appendix A; updated appendix title; minor updates to Appendix B information. Added definition for data manager (1.2). Clarified some definitions (1.16, 1.21); respo

7、nsibilities (2.4.1, 3.1.3, 3.3.4 added “MPG 7100.1 and MPG 7120.1” to contract review item; added “Design inputs” as a type; added “Results of design validation and any necessary actions” as a type; added “MPG 1280.7” to records of validation of processes. Renumbered chapters/appendices to comply wi

8、th MPG 1410.2. Appendix B: updated locations of vital records for RS and CD. P.2 editorial change. Revision J 5/12/03 P.4.a. extra copies of documents preserved only for convenience of reference, such as reading and suspense copies; materials of short-term value such as drafts, working papers, and r

9、outing and transmittal sheets on which no documented administrative action has been taken; and stocks of publications and processed documents. Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Marshall Procedural Requirements IS01 MSFC Records Manageme

10、nt MPR 1440.2 Revision: L Program Date: May 15, 2009 Page 8 of 33 CHECK THE MASTER LIST at https:/repository.msfc.nasa.gov/directives/directives.htm VERIFY THAT THIS IS THE CORRECT VERSION BEFORE USE 1.12 Office of Primary Responsibility (OPR). The organization having the responsibility for the proc

11、ess/procedures for the delivery of the product or services to the customer. The OPR is responsible for identifying which records need to be generated and placed under control. 1.13 Official files. Any collection of NASA records (in any media) designated as a record-keeping location for transaction o

12、f official business. 1.14 Originator. Person or organization that creates the record. 1.15 Private (Personal) records. Personal papers or non-official records pertaining to an individuals personal affairs which are kept in the office of a Federal official. 1.16 Quality Records. A term sometimes used

13、 in the past for a subset of records to refer to specific documents cited in a procedure or work instruction which are maintained to demonstrate both MSFC conformance to specified requirements and the effective operation of the MSFC system. 1.17 Record copy. Usually the original of a record or the f

14、irst-generation of the original which is maintained by the OPR in lieu of the original. 1.18 Record custodian. The individual who is responsible for collecting, indexing, accessing, filing, storing, maintaining, and dispositioning a record or collection of records. 1.19 Records. All documentary mate

15、rials, regardless of physical form or characteristics, made or received by an agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the

16、organization, functions, policies, decisions, procedures, operations, or other activities of the Government or because of the informational value of the data in them. 1.20 Records Inventory. The consolidated compilation of all custodian records plans within an organization. This is sometimes also ca

17、lled the organizational records plan or organizational records inventory. 1.21 Records Liaison Officer (RLO). An individual designated by the Director/Manager of basic organizations (and optionally, departments) to assist the director/manager and/or program/project manager of the organization in ide

18、ntifying, maintaining, and dispositioning records through records custodians. 1.22 Records Plan (MSFC Form 2441). An itemized list of all official records maintained by a record custodian at any given organizational level providing a brief description of record content, arrangement, disposition inst

19、ructions, and disposal authority. Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Marshall Procedural Requirements IS01 MSFC Records Management MPR 1440.2 Revision: L Program Date: May 15, 2009 Page 9 of 33 CHECK THE MASTER LIST at https:/repository.

20、msfc.nasa.gov/directives/directives.htm VERIFY THAT THIS IS THE CORRECT VERSION BEFORE USE 1.23 Record series. A group of records that relate to a particular subject or function, result from the same activity, document a specific kind of transaction, take a particular form, or have some other relati

21、onship arising out of their creation, receipt, or use. 1.24 Unscheduled records or files. Records or files that are not identified in NPR 1441.1, NASA Records Retention Schedules 1 through 10 or NARAs General Records Schedules. 1.25 Vital records. Essential records that are needed to meet operationa

22、l responsibilities under national security emergencies or other emergency or disaster conditions, or to protect the legal and financial rights of the government and those affected by government activities. There are two general typesEmergency operating records (i.e., vital to carrying out the essent

23、ial functions of MSFC and NASA for the duration of a national emergency) and Legal and financial rights records (i.e., essential to the preservation of the legal rights and interest of individuals in cases where MSFC is the statutory office of record). 1.26 Vital Records Manager. The Center Vital Re

24、cords Manager is the individual designated by the MSFC Director, as required by NPD 1440.6, who is responsible for facilitating the designation, maintenance, and protection of the Centers vital records. (Typically, this is the same as the MRM.) 1.26.1 Organizational vital records manager. An individ

25、ual designated by the Director/ Manager of basic organizations to assist the director/manager in identifying, prioritizing and managing the organizations vital records. 2. RESPONSIBILITIES 2.1 The Center Director shall appoint an MRM. 2.2 The Chief Information Officer (CIO), Office of the CIO, shall

26、 institute records management controls to ensure that: 2.2.1 Important policies and decisions are adequately preserved and the accumulation of unnecessary files is prevented. 2.2.2 Records are maintained economically and efficiently and in such a manner that their maximum usefulness is attained. 2.2

27、.3 Records of continuing value are preserved and obsolete records are properly destroyed or retired. 2.2.4 Records management and archival functions are incorporated into the design, development, and implementation of information systems. 2.2.5 Center vital records are identified and managed appropr

28、iately. Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Marshall Procedural Requirements IS01 MSFC Records Management MPR 1440.2 Revision: L Program Date: May 15, 2009 Page 10 of 33 CHECK THE MASTER LIST at https:/repository.msfc.nasa.gov/directives/

29、directives.htm VERIFY THAT THIS IS THE CORRECT VERSION BEFORE USE 2.3 The MSFC Historian, Public and Employee Communications Office, in coordination with the MRM, shall: 2.3.1 Provide guidance in identifying and recommending for preservation, or the disposition of unusual accumulations of documentar

30、y materials, personal files of officials, or specialized collections of NASA or non-NASA records that could be significant to establishing the basis of the history of NASA programs and projects conducted at MSFC. 2.3.2 Refer material qualifying as records to the MRM for evaluation and disposition id

31、entification, consistent with NPD 1440.6 and NPR 1441.1. 2.3.3 Ensure that any and all records maintained by the History Office, following evaluation (2.3.2), are managed in accordance with the schedules of the NRRS. 2.4 Directors/Managers of Each MSFC/MAF Basic Organization and Program/Project shal

32、l implement the MSFC Records Management Program within their respective organizations in compliance with the provisions of this MPR, to include: 2.4.1 Establishing documented procedures/instructions for controlling records. 2.4.1.1 These procedures/instructions may be included in the documents which

33、 identify a process and its applicable records (e.g., directives and organizational issuances), or a program/project plan. Unless otherwise required by a higher level requirement, they do not have to be stand-alone documents on this topic. 2.4.1.2 These procedures/instructions shall include any appl

34、icable controls for storage, protection, retrieval, retention time, and disposition of records (including contractor-held records). 2.4.2 Ensuring that a custodian is assigned for each official record or collection of records for which the organization is responsible. 2.4.3 Ensuring that custodians

35、identify all records (Records Plans), collect, appropriately maintain (throughout the record lifecycle), and disposition them in accordance with NASA policies and procedures. (Specific responsibilities related to program/project records are included in Chapter 2.) 2.4.4 Furnishing the MRM by memoran

36、dum at the beginning of each fiscal year, the name, job title, and organizational element of the appointed RLO for the organization. If the appointment information is the same as the previous year, an e-mail notice to that effect from the director/manager is sufficient. (Duties of the RLO are descri

37、bed in Chapter 1.) Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Marshall Procedural Requirements IS01 MSFC Records Management MPR 1440.2 Revision: L Program Date: May 15, 2009 Page 11 of 33 CHECK THE MASTER LIST at https:/repository.msfc.nasa.gov/

38、directives/directives.htm VERIFY THAT THIS IS THE CORRECT VERSION BEFORE USE 2.4.5 Designating qualified personnel as organizational vital records managers who are responsible for assisting the director/manager in identifying and designating vital records within their respective areas of responsibil

39、ity. 2.4.6 Notifying the MRM in writing of changes in RLO and organizational Vital Records Manager appointments as they occur. 2.4.7 Managing any vital records within their areas of responsibility to include: 2.4.7.1 Identifying, safeguarding, maintaining, and updating vital records. 2.4.7.2 Submitt

40、ing a consolidated listing and location (i.e., record inventory) of any organizational vital records to the MRM at least annually, the beginning of each fiscal year, and as changes occur. 2.4.8 Appropriately dispositioning all official records considering the potential historical significance of rec

41、ords and exercising particular attention to disposition of historical materials. NOTE: This is especially true for program/project offices. 2.5 Emergency Management Director shall designate and secure vital records required by the Emergency Operations Center (EOC) personnel during the EOC operationa

42、l phase of an emergency. 2.6 Director, Office of Procurement, shall ensure that all contracts for which MSFC contractors generate and/or maintain NASA-owned records include the requirement that such records be managed and disposed of in accordance with this MPR and other applicable records regulatio

43、ns. 2.7 OPR shall ensure that applicable records, retention schedules, disposition, and the organization(s) of records custodian(s), or a link (identification) to where this information is available, are identified in its Management Directives and Organizational Issuances (OIs). 2.8 The Originator s

44、hall ensure records are created in accordance with Marshall Management Directives and OIs. The originator of a record may also be the Record Custodian. 2.9 Responsibilities and duties of the MRM, RLOs and Records Custodians are included in NPD 1440.6 and Chapter 1 of this MPR. 3. PROCEDURE 3.1 OPR P

45、rogram/Project Data Manager and/or RLO shall: 3.1.1 Document organizations Records Plans (MSFC Forms 2441 for each records location/custodian). Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Marshall Procedural Requirements IS01 MSFC Records Managem

46、ent MPR 1440.2 Revision: L Program Date: May 15, 2009 Page 12 of 33 CHECK THE MASTER LIST at https:/repository.msfc.nasa.gov/directives/directives.htm VERIFY THAT THIS IS THE CORRECT VERSION BEFORE USE 3.1.2 Maintain the currency of the organizations Records Plans. 3.1.3 Assist records custodians in

47、 the disposition of inactive (noncurrent) records in accordance with the NRRS (NPR 1441.1) and this MPR. 3.1.4 Ensure identification in MSFC Marshall Management Directives and OIs of the applicable records, retention schedules, disposition, and the organization(s) of record custodian(s) or a link (i

48、dentification) to where this information is available. 3.1.4.1 Per NPD 1440.6, the NRRS shall be used as the basis for retention standards. a. If the records are not covered in the NRRS, and an appropriate GRS schedule is available, the GRS schedule may be used (per NPR 1441.1). b. If the records ar

49、e not scheduled in either the NRRS or the GRS, or the established retention time is deemed inappropriate, the holding organizations RLO, record custodian and/or process owner shall work with the MRM to propose a new or revised retention schedule to be coordinated with the NASA Records Officer in accordance with NPR 1441.1. c. Proposed retention schedules shall not be used until the proposed