a. There must be an annual review of this Order to ensure it remains consistent with all applicable laws, regulations, DOT guidance, and FAA requirements.
b. The FAA RM reminds all employees and contractors annually concerning the FAA’s procedures for identifying, scheduling, managing, and disposing of FAA records.
c. The FAA RM, with the assistance of the systems program manager, must create and submit a records disposition schedule to NARA not later than 1 year after identifying unscheduled records or implementing a new system.
d. All FAA offices are to make every effort to only transfer records during the months of February, May, August, and November to coincide with NARA’s records destruction schedule in an effort to reduce NARA storage costs to the FAA.
e. On a biennial basis, all FAA offices are to conduct an inventory of records. Inventory results must be forwarded to the FAA RM and DOT DRMO.
12/24/13 1350.14B (5) Providing the Office of IT Enterprise Services, AES-200, with a Vital Records Inventory Report annually in January.
c. Emergency Operations Staff (ASH) : (1) Providing and maintaining storage facilities at Emergency Operations Facilities and other suitable locations.
(2) Working with records management staff to implement the vital records plan to ensure the continuation of designated COOP essential functions.
(3) Ensuring that vital records are accessible from designated COOP locations.
(4) Assisting FAA LOB/SO offices and services on vital records protection matters.
d. Records Management Officer (RMO). RMOs are responsible for assisting their LOB/SO heads in carrying out the requirements of the Records Management and Vital Records Programs. Records Officers in the regions will assist in obtaining suitable storage areas for the protection of records at their relocation sites and at other locations.
e. FOIA Program Manager . The FOIA Program Manager will assist the FAA RM and program offices with guidance on the release of records under the FOIA. Order 1200.23, Public Availability of Information, provides additional guidance on the provisions of the FOIA Program.
13. Dates.
a. There must be an annual review of this Order to ensure it remains consistent with all applicable laws, regulations, DOT guidance, and FAA requirements.
b. The FAA RM reminds all employees and contractors annually concerning the FAA’s procedures for identifying, scheduling, managing, and disposing of FAA records.
c. The FAA RM, with the assistance of the systems program manager, must create and submit a records disposition schedule to NARA not later than 1 year after identifying unscheduled records or implementing a new system.
d. All FAA offices are to make every effort to only transfer records during the months of February, May, August, and November to coincide with NARA’s records destruction schedule in an effort to reduce NARA storage costs to the FAA.
e. On a biennial basis, all FAA offices are to conduct an inventory of records. Inventory results must be forwarded to the FAA RM and DOT DRMO.
14. Mandatory Requirements
a. All FAA offices must maintain a centralized filing system to facilitate the maintenance and disposition of official FAA records when an electronic recordkeeping system is not available, when space can accommodate one, and with management approval.
b. All FAA offices maintaining either an electronic or paper format centralized filing system are
to ensure that a current file plan, FAA Form 1350-7, “Official Files List,” is completed on an annual basis and filed with record holdings.
c. All paper format centralized filing system folders containing official FAA records must be filed in a subject file arrangement. In an effort to maintain consistency throughout the agency, folder labels (when practical) should include the minimum i...
(1) Record series classification code
(2) Current year
(3) Subject series title
(4) If applicable, cutoff date
Note: Medical and personnel records are exempt from this requirement.
d. All FAA offices, where feasible, should maintain 2 years of inactive records onsite in
order to conduct their normal business activities when space and filing systems allow. All other inactive records are to be transferred for storage to a NARA compliant storage facility and/or properly disposed of in accordance with its applicable rec...
e. All FAA offices will (must) conduct a biennial records inventory during the month of January.
f. All requests for a file code for unscheduled records must be accompanied by a completed SF 115, “Request for Disposition Authority.”
12/24/13 1350.14B 14. Mandatory Requirements a. All FAA offices must maintain a centralized filing system to facilitate the maintenance and disposition of official FAA records when an electronic recordkeeping system is not available, when space can accommodate one, and with management approval.
b. All FAA offices maintaining either an electronic or paper format centralized filing system are to ensure that a current file plan, FAA Form 1350-7, “Official Files List,” is completed on an annual basis and filed with record holdings.
c. All paper format centralized filing system folders containing official FAA records must be filed in a subject file arrangement. In an effort to maintain consistency throughout the agency, folder labels (when practical) should include the minimum information: (1) Record series classification code (2) Current year (3) Subject series title (4) If applicable, cutoff date Note: Medical and personnel records are exempt from this requirement.
d. All FAA offices, where feasible, should maintain 2 years of inactive records onsite in order to conduct their normal business activities when space and filing systems allow. All other inactive records are to be transferred for storage to a NARA compliant storage facility and/or properly disposed of in accordance with its applicable records disposition instructions.
e. All FAA offices will (must) conduct a biennial records inventory during the month of January.
f. All requests for a file code for unscheduled records must be accompanied by a completed SF 115, “Request for Disposition Authority.” 15. Compliance a. The Office of IT Enterprise Services must conduct annual strategic evaluations of the Records Management Program within select FAA operating units and notify the non-compliant organization and FAA CIO of areas of significant non-compliance. The report must include required corrective actions and a timetable for correction.
b. As part of DOT’s Records Management Review and Oversight Program, DOT reserves the right to conduct periodic strategic evaluations of the Records Management Program within select Operating Administrations and LOBs and advise the Secretary or his/her designee of significant non-compliance.
16. Waivers. Requests for waivers to this Order must be provided to the FAA RM.
12/24/13 1350. 148 17. Authority to change this Order: The Office of IT Enterprise Services (the de signated Office of Primary Respo nsibility for this Order) may issue changes to this Order necessary to implement and adm inister the Records Management Progra m. The FAA Adm inistrator reserves the authority to issue changes that contain po li cy or assign responsibility.
18. Distribution. Th is Order is distributed to the office and service level in Washington Headquarters, and to the branch level in the Office of Aerospace Medicine (AAM), Aircraft Certification Service (AIR), Flight Standards Service (AFS), and to all RMOs, and limited distribution to all field offices and facilities.
19. Additional information. For further information about this Order, please contact the FAA Office of Information Se rvices, Office of IT Enterprise Services.
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Admini st rator 12/24/13 1350.14B Appendix A Appendix A. Letter of Delegation
Federal Aviation
Administration
Memorandum
Date: [Type date here] To: [Type your RMO or RC Name here] From: [Type from whom here] Subject: Delegation of [Type RMO, RC or Files Custodian, whichever is appropriate] This memorandum delegates the following named individual as the Records Management Program liaison for the Office of [Type organization here] serving as its [Type job function here, i.e. Records Management Officer (RMO), Records Coordinator (RC) or Files Custodian (FC)].
Name [Type name here] Phone # [Type phone # here] Changes to appointee will be provided to the appropriate RMO or RC and the FAA RM.
12/24/13 1350.14B Appendix B Appendix B. Related Publications 44 U.S.C. Chapter 31 – Records Management by Federal Agencies (Federal Records Act) [http://www.archives.gov/about/laws/fed-agencies.html] 44 U.S.C. Chapter 33 – Disposal of Records [http://www.archives.gov/about/laws/disposal-of- records.html] 44 U.S.C. Chapter 35 – Coordination of Federal Information Policy (Paperwork Reduction Act of 1980, as amended, Paperwork Reduction Reauthorization Act of 1995, and Government Paperwork Elimination Act) [http://www.archives.gov/about/laws/fed-information-policy.html National Archives and Records Administration (NARA), Records Management Regulations, 36 CFR Chapter XII, Subchapter B General Services Administration (Creation, Maintenance and Use of Records), 41 CFR Subchapter G, part 102–193 Records Disposal Act of 1943 (44 U.S.C. 3301 et seq.) as amended Federal Property and Administrative Services Act of 1949 (40 U.S.C.471 et seq.), as amended National Archives and Records Administration (NARA), Records Management Regulations Code of Federal Regulations, Title 41, Part 101 Federal Emergency Management Agency (FEMA) Federal Preparedness Circular 65 - Federal Executive Branch Continuity of Operations (COOP) Freedom of Information Act of 1966 (5 U.S.C. § 552) Privacy Act of 1974 (5 U.S.C. § 552a) Federal Records Act of 1950, as amended (44 U.S.C. § 21, 29, 31, 33, 35, and 36), as amended Paperwork Reduction Act of 1995, as amended (44 U.S.C. Chapter § 3501 et seq) Concealment, Removal, or Mutilation of Records (18 U.S.C. § 2071) FAA Order 1280.1 -Protecting Personally Identifiable Information (PII) 12/24/13 1350.14B Appendix C Appendix C. FAA Form 1320-19, Directives Feedback Information U.S. Department of Transportation Federal Aviation Administration Directive Feedback Information Please submit any written comments or recommendations for improving this directive, or suggest new items or subjects to be added to it. Also, if you find an error, please tell us about it.
Subject: 1350.14B, Records Management To: Directive Management Officer, _________________________________ (Please check all appropriate line items) An error (procedural or typographical) has been noted in paragraph _____________________ on page ________ .
Recommend paragraph _______ on page ___________ be changed as follows: (attach separate sheet if necessary) In a future change to this directive, please include coverage on the following subject (briefly describe what you want added): Other comments: I would like to discuss the above. Please contact me.
Submitted by: ___________________________________________ Date: ________________ FTS Telephone Number: _______________________ Routing Symbol: ____________________ FAA Form 1320-19 (8-89)