UNIVERSITY OF CALIFORNIA Records Management at Lawrence Berkeley
UNIVERSITY OF CALIFORNIA
Records Management at Lawrence Berkeley National Laboratory Karen Nelson Records Manager Archives and Records Office June 8, 2017
What we will cover in this class • Define records • Electronic records • DOE and Lab requirements • Disposition schedules • Legal holds • How to send records to Archives • How to retrieve records Footer 3
Records management supports the Lab’s mission and business processes The Lab’s records management program meets the legal, fiscal, administrative and research needs of the Laboratory and its stakeholders through the comprehensive and on-going collection of records that adequately and properly document the history, organization, functions, policies, decisions, procedures, and essential transactions of projects and research at LBNL. Footer 4
What is a record? A record is documentary material, in any media, that is created or received in the normal course of laboratory business, and is retained either temporarily or permanently, because it provides evidence of the organization's policies, procedures, activities, and decisions and has technical, administrative, historical, and/or legal value. A record can be in any format: paper, electronic (email), on a CD or disc, on a shared drive, or a hard drive. DOE records disposition schedules define the types of records and determine how long they have to be maintained. Footer 5
What is not considered a record? Non record materials include: • personal papers or emails • published materials such as books, journal articles, catalogs, and reference materials • duplicate copies Footer 6
What about electronic records? Records generated, received, and maintained in an electronic format are not excluded from records management requirements. Electronic records need to be retrievable and usable for as long as needed to conduct agency business in accordance with the DOE disposition schedules. For records with long-term retentions, such as EH&S records which have to be maintained 75 years, it is recommended the documents are printed to paper and archived. Footer 7
What about electronic records? Agencies must design and implement migration strategies to counteract hardware and software dependencies of electronic records whenever the records must be maintained and used beyond the life of the information system in which the records are originally created or captured. For additional guidance see: Managing Electronic Records at Lawrence Berkeley Laboratory Footer 8
Why do we archive records? We are required 1: to: Berkeley Section Lab Mission DOE Order 243. 1 B Chg 1 - Records SUBTITLE HERE IF Admin NECESSARY Management CRD 36 CFR, chapter XII, subchapter B – Records Management LBNL Prime Contract – DEAR Clause, Access to and Ownership of Records LBNL RPM – Archives and Records Management Policy
Why do we archive records? We need to: • Protect the Lab in the event of litigation and audits • Preserve environmental and safety information • Document the development of research projects • Maintain significant records for future researchers and historians Footer 10
Records Management Lifecycle Creation - you receive or create a record. Maintenance - a record is active when it is either in use, or being amended, or revised. We maintain records because they are essential for business, legal, scientific research, safety, or other purposes. To maintain a record’s usefulness, it needs to be easily identifiable and retrievable. Retirement – when a record is no longer needed for its initial use, it becomes inactive. At this point, a record is retained for a predetermined length of time according to the DOE disposition schedules. Paper records are stored at the Federal Records Center in San Bruno. Disposition – when the retention period is finished, the record will either be destroyed (unless under a legal hold), or transferred to the National Archives for permanent retention. Footer 11
Records Liaison Officers DOE requires each Lab to have Records Liaison Officers (RLOs) RLOs are in each division at the Lab and assist in records management: • Assisting division staff with archiving • Obtaining records disposal authorization • Preventing the unauthorized destruction of records Footer 12
Records Disposition Schedules The DOE Records Disposition Schedules provide the authority for transfer and disposal of records created and maintained by the Lab. The Lab uses the General Records Schedule and the DOE Administrative Schedule for business and operations records. Examples include: • Financial and accounting files – 6 years • Human resources files – 75 years • Records documenting Lab facilities and buildings – many are Permanent Footer 13
Records Disposition Schedules Programmatic Schedules include: The Environmental Schedule for records related to: • Hazardous waste • Site restoration 75 years • Environmental monitoring The Research and Development Schedule for R&D projects: • Project administration • Technical documents 10 years to Permanent • Data Footer 14
Legal Holds on Records A legal hold requires the suspension of destruction of records that affect litigation actions reasonably anticipated or currently in progress. Holds are identified and issued by General Counsel and are mandatory. The DOE Epidemiological Records Moratorium places a destruction freeze on certain records at the Lab: • LETS time sheets • Certain litigation records • Certain hazard related records Footer 15
Unlawful destruction or removal of records There are legal consequences for destroying records without the proper authority. The penalties for the unlawful or accidental removal, defacing, alteration, or destruction of Federal records or the attempt to do so, include a fine, imprisonment, or both. Departing employees cannot take records with them. Before you leave the lab: • Identify all records in your possession. • Reassign active records to another employee in your department. • Archive inactive records. Footer 16
Records disposals When records have reached the retention according to the schedule, they are eligible for disposal as long as they are not under a legal hold. For paper records the Federal Records Center sends disposal notices to the Lab and they are routed to the appropriate RLO. The RLO is responsible for obtaining the disposal authorization signature from the appropriate department head or business manager. The forms are returned to the FRC who handles the destruction of the records. Footer 17
How do I send records to Archives? Records transfer procedures • Only archive inactive records. • Request archive boxes through ask. US. • All documents must be in file folders that are clearly labeled or have the file title written directly on the folder. • Do not include binders or hanging file folders. Remove documents and place them in labeled folders. • Do not include electronic media - CDs, discs • Make certain files face the front of the box and boxes are not packed too full – leave at least an inch of room. Footer 18
Sending records to Archives • Fill out the Records Transfer Form and email it to aro@lbl. gov • Put a copy of the form in the first box. • After we receive your Records Transfer Form, we will contact you with the information to have Transportation pick up the boxes (you will need a project number). • Once the records arrive and are processed, we will send you a PDF of the records listing and the retention schedule and disposal date. • The records are then transferred to the Federal Records Center in San Bruno. Footer 19
How do I retrieve records from Archives? • Request records through ask. US • Files usually arrive within 5 business days from the FRC. • If you are requesting a box or boxes a project number is required. • With a project number records can be delivered to you via courier the next day as long as the request is submitted before noon. Footer 20
Archives and Records Office Contacts General questions: aro@lbl. gov 486 -5525 Services on ask. US: records requests, boxes for archiving Business records and questions on records schedules and retentions: Karen Nelson KCNelson@lbl. gov 486 -4686 R&D records: Beret Ranelletti BARanelletti@lbl. gov 486 -4685 Administrative Assistant: Sara Ross SRoss@lbl. gov 486 -5525 Footer 21
Records Management Resources Archives and Records Office • How to send records to archives • Requesting records • Assistance with business records and R&D records DOE Records Management The National Archives and Records Administration • Records management policies and guidance • Records disposition schedules Footer 22
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