u.s. department of the interior u.s. geological survey usgs records management program: initiatives,...
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U.S. Department of the InteriorU.S. Geological Survey
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USGS Records Management Program: Initiatives, Opportunities, and Assistance
Administration and Enterprise InformationOffice of Enterprise Information
Christina BartlettMarch 10, 2014
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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
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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
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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
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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
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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
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Lifecycle of Records
First Stage: Files
created/received
Second Stage: Files
maintenance and use
Third Stage: Implement Disposition
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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
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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)
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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
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Records Disposition Possibilities
Onsite destruction
Temporary storage
Transfer to NARA Donation
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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
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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
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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
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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
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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
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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
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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
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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
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Records Management Initiatives (cont) Improved communication regarding document
productions, FOIA, and Information Quality Act activities
Evaluate USGS records management program
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References
Christina Bartlett, Records Officer [email protected] 703-648-7197
USGS Records Management intranet E-mail [email protected] Records Management Contacts list Litigation Holds listing
March 10, 2014