Relationship between Records Management and Science Data CHRISTINA

Relationship between Records Management and Science Data CHRISTINA BARTLETT USGS RECORDS OFFICER AUGUST 13, 2018

Records Management Requirements under the Federal Records Act (44 USC 31, 33, 35) Applicable Federal Regulations: 36 CFR 1220 -1249 but highlighted ones below 1226 Implementing Disposition 1236 Electronic Records Management 1236. 10 Controls for Electronic Information Systems 1236. 14 Protect against technological obsolescence (Migration, metadata) 1236. 20 Appropriate Recordkeeping (Declaring records, managing access, preservation, etc) 1231 Transfer of Records from the Custody of One Executive Agency to Another (Transfer submission is delegated from Director to the Records Officer)

KEY RM Requirements Must create and maintain authentic, reliable and usable records (36 CFR 1220. 32) Ensure they remain for the length of their authorized retention (36 CFR 1220. 32) Records documenting agency business are created or captured Science planning, implementation, data, modifications, and final products are ALL records Records are organized and maintained to facilitate their use and ensure integrity (36 CFR 1220. 32 and 36 CFR 1236) Controlling access and documenting our changes enable us to learn and account for our work

Records Management Areas Inventory Essential Records (Vital Records) Litigation, Subpoenas, and Records Certifications Files and Content Management Records Management Control Unclassifie d and Classified Information Evaluation and Reporting Data Migration and Preservation Retention, Storage and Dispositio n

The primary, and crosscutting, elements of the USGS Model directly map into the Records Management Model. Lifecycle of a Record Data Lifecycle Model

Records Management Changes ISSUE: Lack of communication and collaboration with Scientific Community on their records and their challenges As of Oct 2017, identification and coordination with Science Records Liaisons and Data Managers specifically Monthly meetings started in Feb 2018 on 3 rd Thursday at 2 pm eastern and gsscience_records_liaisons@usgs. gov email group Open dialogue for education flow back and forth between Records Management Program and Scientific community Records Management Program is learning about questions, issues and needs for bureau to meet RM requirements Developing guidance to facilitate the education and compliance Learning and listening to the diverse nature of the creation and types of science in USGS

USGS Projects Planning Collecting/Creating Analyzing Publishing All of these stages includes Federal records that must be preserved based on records schedules. Examples include deviations from plans, source data, project changes, derived data, lab results, pre-and post-publication presentations, and final results

Records Management Changes Issue: Missing or Outdated Records Schedules and applying them timely Creating USGS Records Schedules Missing authorities for scientific records including areas we have been doing for years Changing the posted schedules to reflect accurate and complete the authorities Departmental Records Schedules (DRS) In development for all DOI records DRS Admin, DRS Policy –completed and implemented in USGS DRS Missions are in development – USGS leading DRS Science Implementing Timely Disposition Targeted systems and records for destruction and transfer to NARA Guiding Centers on identifying projects for transfer Reduces exposure to data calls such litigation

Records Management Changes Issue: Inconsistent or Nonexistent Files Management Bringing back the Survey Manual Chapter for Files Management Developed Files Management Best Practices Piloting Files Management for 3 specific Science Centers to demonstrate how it would look by type: ecosystems, water, and geology Guidance and modification for the development of centralized File Plans in webforms with pre-loaded records schedules and file codes

Cost Center Files Management AS IS: Center Personnel’s Files Maintained Individually in network, shared, Google or One. Drive or Bison. Connect email Individual or Shared Network drive Bisonconnect emails One. Drive for Business, Google Drive Individual or Shared Network drive One. Drive for Business, Google Drive Cost Center Shared Drive or Share. Point Library 1600 -01 a Sage Grouse Project 1600 -01 b White nose bat syndrome 701 -09 Budget 404 -07 Employment Applications 904 -01 b Safety issues, complaints Folders have permissions and records schedules associated with the folders One. Drive for Business, Google Drive EMAIL records stored only in individuals email that are not filed with the related records Individual or Shared Network drive TO BE: Center Personnel Files by Project or Program activity in Share. Point cloud

Next Records Management Changes Issue: Connecting Records Management and Data Management Incorporating RM into the Data Management Plans Addressing Data Migration and Preservation Guiding the creation of electronic records to incorporate RM functionality to meet 36 CFR 1236 Offering RM agreement vehicle for scanning, destruction and other services Identifying natural touch points for RM to be less of a post-project completion activity Coordinating a standard naming convention for USGS for “projects vs studies” issue to be consistent in applying records schedules for project Create a records schedule for Science. Base Finalize Science Center RM Plan template to incorporate Data Management Coordinate with OPA on revising agreements to address Information Management including ownership of the records

Records Management Program Staff Christina Bartlett USGS Records Officer, DOI Information Quality Coordinator, Information Management Branch Chief 703 -648 -7197; cbartlett@usgs. gov Larry Reedy Records Disposition Coordinator and Section 508 Coordinator 303 -236 -6143; lreedy@usgs. gov Dionne Duncan-Hughes Litigation Coordinator (includes subpoenas and records certifications) and CUI Coordinator 703 -648 -7181; dduncan-hughes@usgs. gov General Records Management email box: recman@usgs. gov General Litigation email box: gs_litigation@usgs. gov General Controlled Unclassified Information: gs_cui@usgs. gov General Essential Records email box: gs_essential_records@usgs. gov