USGS Records Management Program Initiatives Opportunities and Assistance

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

Agenda n n n n 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 2

Records Management Program Areas n n n 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 3

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 q Temporary – destruction/deletion based on business need q • Nonrecords Disposition at USGS discretion q Stocks of publications – excluding archival copy q Reference documents and files q Duplicates of “official” files • March 10, 2014 4

What is a record? n A record is Any documentary material, i. e. books, papers, maps, photographs, data sets q Regardless of physical form or characteristics q n Has contextual information supportive reports Made or received in the course of government business or under Federal law q Preserved or appropriate for preservation q To document as evidence of functions, policies, decisions, procedures, operations or due to the informational value of the data q March 10, 2014 5

It’s a record, if…. . It is evidence of agency of function, organizations, or activities. n Your office received for action or used it in your official duties n Your office has oversight duties on the project n Your office needs it to document activities or decisions n Records a business activity or event n It proves a transaction n Has business, legal, or historical value to the USGS n It supports facts about your work n It helps to identify who participated in a decision March 10, 2014 with you n 6

Lifecycle of Records First Stage: Files created/received March 10, 2014 Second Stage: Files maintenance and use Third Stage: Implement Disposition 7

Assistance: Records Management Contacts n Records Officer (RO) q n Bureau-wide oversight Records Liaison Officers (RLO) Mission or Regional and EROS level point of contact q Responsible for guidance to Records Liaison Coordinators q n Records Liaison Coordinators (RLC) Science Center or Program level point of contact q Raise questions or issues to RLO or RO q Coverage q Science records only n Administrative records only n All records n March 10, 2014 8

Records Management Contacts Mission Records Liaison Officer (RLO) Science Center Records Liaison Coordinator Program Records Liaison Coordinator March 10, 2014 Regional Records Liaison Officer (RLO) Science Center Records Liaison Coordinator (RLC) Program Records Liaison Coordinator 9

USGS Facts n Over 400 USGS locations producing records q n 79 USGS records schedules approved over time q n 124 RLO/RLCs for 9, 300 people= 75 to 1 person Provide disposition of temporary and permanent records Offsite temporary storage is critical for some records 100 year records retentions q 50 year records retentions q n 360 permanent record items – preserved indefinitely q March 10, 2014 Requires USGS preservation while in our custody 10

Records Disposition Possibilities Onsite destruction Temporary storage Transfer to NARA Donation March 10, 2014 11

Sample RM Savings n Herndon Warehouse – one program office q n Federal Records Center – Initial Offsite storage reviews q n 15 pallets – approximately $75, 000 in program savings In 2012 saved $1, 792 in admin costs/annually Permanent record transfers 2012 -2013 112 boxes in FRC – savings $306 q 648 USGS offices - $15, 539 q Total Sample savings: $92, 637 = 253 furlough days n Multiply this potential savings by RLOs and March 10, 2014 n 12

Average Monthly Storage Costs $23. 98/ sq ft Totals $167. 86 $11. 37/ sq ft USGS Office space USGS warehouses Totals $ 56. 85 One science project consisting of 7 boxes March 10, 2014 $0. 23/cu ft Totals $1. 61 NARA FRC 13

2013 RM Opportunities • • • Enable cost savings and resource efficiencies Enhance scientific discovery capabilities Comply with and report on Federal initiatives q q • • OMB/NARA Memorandum 12 -18 (M-12 -18) Department of the Interior records management system (e. ERDMS) Comply with Federal regulations Timely responses to data calls or protection requirements q q q March 10, 2014 Congressional, FOIA, or Discovery requests Litigation holds Document productions 14

Records Management Benefits Compliance with ELT Requirements n Reduction in costly office space implementing disposition n Information inventories facilitates current/future projects n Facilitates searches by Records Liaisons not scientists n Records Liaison network raises program, science center, Region or Mission area RM issues n Compliance with Information Quality March 10, requirements 2014 n 15

Electronic Records Management 36 CFR 1236 n n n n n 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 March 10, 2014 16

Records Storage Facilities 36 CFR 1228 Storage facility regulation n Covers n Facility requirements q Fire Safety requirements q Environmental Control requirements q n Must also comply with Privacy Act requirements q Federal Acquisition Regulations q Freedom of Information Act q National Fire Protection Act q March 10, 2014 17

When facilities don’t comply…. A Document Management company roof collapse – formerly a Safeway grocery store in June 2012 Roof parts breaking through the bay door Image of Roof collapse March 10, 2014 18

Records Management Initiatives n Role Based Training q n Training Records Liaisons Service Desk Usage Central contact point and consistent responses q Track issues and establish metrics q Drives training and policy initiatives q n Policies q n Survey Manual Chapter updates – New Employee, Exiting, Records Management Digitization Efforts – “Analog to Digital” efforts March 10, 2014 19

Records Management Initiatives (cont) Improved communication regarding document productions, FOIA, and Information Quality Act activities n Evaluate USGS records management program n March 10, 2014 20

References n Christina Bartlett, Records Officer cbartlett@usgs. gov n 703 -648 -7197 n USGS Records Management intranet n E-mail recman@usgs. gov n Records Management Contacts list n Litigation Holds listing n March 10, 2014 21