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U.S. Department of the Interior U.S. Geological Survey USGS Records Management Program: Initiatives, Opportunities, and Assistance Administration and Enterprise Information Office of Enterprise Information Christina Bartlett March 10, 2014 1

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Page 1: U.S. Department of the Interior U.S. Geological Survey USGS Records Management Program: Initiatives, Opportunities, and Assistance Administration and Enterprise

U.S. Department of the InteriorU.S. Geological Survey

1

USGS Records Management Program: Initiatives, Opportunities, and Assistance

Administration and Enterprise InformationOffice of Enterprise Information

Christina BartlettMarch 10, 2014

Page 2: U.S. Department of the Interior U.S. Geological Survey USGS Records Management Program: Initiatives, Opportunities, and Assistance Administration and Enterprise

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Agenda

Review basic records management concepts Review records lifecycle Demonstrate Records Management Benefits Highlight requirements for electronic records and

offsite storage Review potential savings Update on Records Management Contacts Records Management Initiatives

March 10, 2014

Page 3: U.S. Department of the Interior U.S. Geological Survey USGS Records Management Program: Initiatives, Opportunities, and Assistance Administration and Enterprise

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Records Management Program Areas

1) Establish Policies (recordkeeping requirements ) 2) Files maintenance 3) Essential Records (formerly vital records) 4) Training 5) Active and robust records disposition process 6) Evaluate the RM Program

March 10, 2014

Page 4: U.S. Department of the Interior U.S. Geological Survey USGS Records Management Program: Initiatives, Opportunities, and Assistance Administration and Enterprise

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Records Management is…

• Identification, accessibility, and preservation of information throughout the lifecycle

• Foundational elements are

• Records • Disposition detailed in NARA-approved records schedules Permanent – long-term researcher or historical value Temporary – destruction/deletion based on business need

• Nonrecords • Disposition at USGS discretion Stocks of publications – excluding archival copy Reference documents and files Duplicates of “official” files

March 10, 2014

Page 5: U.S. Department of the Interior U.S. Geological Survey USGS Records Management Program: Initiatives, Opportunities, and Assistance Administration and Enterprise

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What is a record?

A record is Any documentary material, i.e. books, papers, maps,

photographs, data sets Regardless of physical form or characteristics

Has contextual information supportive reports Made or received in the course of government business or

under Federal law Preserved or appropriate for preservation To document as evidence of functions, policies, decisions,

procedures, operations or due to the informational value of the data

March 10, 2014

Page 6: U.S. Department of the Interior U.S. Geological Survey USGS Records Management Program: Initiatives, Opportunities, and Assistance Administration and Enterprise

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It’s a record, if…..

It is evidence of agency of function, organizations, or activities.

Your office received for action or used it in your official duties

Your office has oversight duties on the project Your office needs it to document activities or decisions Records a business activity or event It proves a transaction Has business, legal, or historical value to the USGS It supports facts about your work It helps to identify who participated in a decision with you

March 10, 2014

Page 7: U.S. Department of the Interior U.S. Geological Survey USGS Records Management Program: Initiatives, Opportunities, and Assistance Administration and Enterprise

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Lifecycle of Records

First Stage: Files

created/received

Second Stage: Files

maintenance and use

Third Stage: Implement Disposition

March 10, 2014

Page 8: U.S. Department of the Interior U.S. Geological Survey USGS Records Management Program: Initiatives, Opportunities, and Assistance Administration and Enterprise

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Assistance: Records Management Contacts Records Officer (RO)

Bureau-wide oversight Records Liaison Officers (RLO)

Mission or Regional and EROS level point of contact Responsible for guidance to Records Liaison Coordinators

Records Liaison Coordinators (RLC) Science Center or Program level point of contact Raise questions or issues to RLO or RO Coverage

Science records only Administrative records only All records

March 10, 2014

Page 9: U.S. Department of the Interior U.S. Geological Survey USGS Records Management Program: Initiatives, Opportunities, and Assistance Administration and Enterprise

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Records Management Contacts

Mission Records Liaison Officer

(RLO)

Science Center Records Liaison Coordinator

Program Records Liaison Coordinator

Regional Records Liaison

Officer (RLO)

Program Records Liaison Coordinator

Science Center Records Liaison Coordinator

(RLC)

March 10, 2014

Page 10: U.S. Department of the Interior U.S. Geological Survey USGS Records Management Program: Initiatives, Opportunities, and Assistance Administration and Enterprise

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USGS Facts

Over 400 USGS locations producing records 124 RLO/RLCs for 9,300 people= 75 to 1 person

79 USGS records schedules approved over time Provide disposition of temporary and permanent records

Offsite temporary storage is critical for some records 100 year records retentions 50 year records retentions

360 permanent record items – preserved indefinitely Requires USGS preservation while in our custody Includes costly “special needs” records – temperature/humidty

March 10, 2014

Page 11: U.S. Department of the Interior U.S. Geological Survey USGS Records Management Program: Initiatives, Opportunities, and Assistance Administration and Enterprise

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Records Disposition Possibilities

Onsite destruction

Temporary storage

Transfer to NARA Donation

March 10, 2014

Page 12: U.S. Department of the Interior U.S. Geological Survey USGS Records Management Program: Initiatives, Opportunities, and Assistance Administration and Enterprise

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Sample RM Savings

Herndon Warehouse – one program office 15 pallets – approximately $75,000 in program savings

Federal Records Center – Initial Offsite storage reviews In 2012 saved $1,792 in admin costs/annually

Permanent record transfers 2012-2013 112 boxes in FRC – savings $306 648 USGS offices - $15,539

Total Sample savings: $92,637 = 253 furlough days Multiply this potential savings by RLOs and RLCs

March 10, 2014

Page 13: U.S. Department of the Interior U.S. Geological Survey USGS Records Management Program: Initiatives, Opportunities, and Assistance Administration and Enterprise

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Average Monthly Storage Costs

$11. 37/ sq ft

Totals $ 56.85

$23.98/ sq ft

Totals $167.86

$0.23/cu ft

Totals $1.61

USGS Office space

USGS warehouses

NARA FRC

One science project consisting of 7 boxes

March 10, 2014

Page 14: U.S. Department of the Interior U.S. Geological Survey USGS Records Management Program: Initiatives, Opportunities, and Assistance Administration and Enterprise

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2013 RM Opportunities

• Enable cost savings and resource efficiencies• Enhance scientific discovery capabilities• Comply with and report on Federal initiatives

OMB/NARA Memorandum 12-18 (M-12-18) Department of the Interior records management system (eERDMS)

• Comply with Federal regulations• Timely responses to data calls or protection requirements

Congressional, FOIA, or Discovery requests Litigation holds Document productions

March 10, 2014

Page 15: U.S. Department of the Interior U.S. Geological Survey USGS Records Management Program: Initiatives, Opportunities, and Assistance Administration and Enterprise

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Records Management Benefits

Compliance with ELT Requirements Reduction in costly office space implementing

disposition Information inventories facilitates current/future projects Facilitates searches by Records Liaisons not scientists Records Liaison network raises program, science center,

Region or Mission area RM issues Compliance with Information Quality requirements

Integrity accuracy

March 10, 2014

Page 16: U.S. Department of the Interior U.S. Geological Survey USGS Records Management Program: Initiatives, Opportunities, and Assistance Administration and Enterprise

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Electronic Records Management36 CFR 1236

Must protect records against technological obsolescence Must design and implement migration strategies to counteract hardware and

software dependencies Plan for the migration of the records to a new system before system is retired Carry out upgrades of hardware and software to retain the functionality and

integrity Ensure the retention of record functionality and integrity requires Retain the records in a usable format until their authorized disposition date. Any necessary conversion of storage media to provide compatibility with

current hardware and software Maintain a link between records and their metadata through conversion or

migration Ensure that migration strategies address non-active electronic records that

are stored off-line

March 10, 2014

Page 17: U.S. Department of the Interior U.S. Geological Survey USGS Records Management Program: Initiatives, Opportunities, and Assistance Administration and Enterprise

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Records Storage Facilities

36 CFR 1228 Storage facility regulation Covers

Facility requirements Fire Safety requirements Environmental Control requirements

Must also comply with Privacy Act requirements Federal Acquisition Regulations Freedom of Information Act National Fire Protection Act

March 10, 2014

Page 18: U.S. Department of the Interior U.S. Geological Survey USGS Records Management Program: Initiatives, Opportunities, and Assistance Administration and Enterprise

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When facilities don’t comply….

A Document Management company roof collapse – formerly a Safeway grocery store in June 2012

Image of Roof collapse

Roof parts breaking through the bay door

March 10, 2014

Page 19: U.S. Department of the Interior U.S. Geological Survey USGS Records Management Program: Initiatives, Opportunities, and Assistance Administration and Enterprise

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Records Management Initiatives

Role Based Training Training Records Liaisons

Service Desk Usage Central contact point and consistent responses Track issues and establish metrics Drives training and policy initiatives

Policies Survey Manual Chapter updates – New Employee, Exiting,

Records Management Digitization Efforts – “Analog to Digital” efforts

March 10, 2014

Page 20: U.S. Department of the Interior U.S. Geological Survey USGS Records Management Program: Initiatives, Opportunities, and Assistance Administration and Enterprise

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Records Management Initiatives (cont) Improved communication regarding document

productions, FOIA, and Information Quality Act activities

Evaluate USGS records management program

March 10, 2014