U.S. Department of the Interior U.S. Geological Survey Records Management Practices: Doing Right by the Records John Faundeen ASPRS May 1, 2008 Portland, Oregon

Agenda  Context  Records Management Elements  Take Away

Context  Science Records  Our Thrust is Observational  Aerial  Satellite  Principles Apply to all Science Records

October 1951 June 1994 Aerial

Satellite July 1973 May 1990

Records Management  Lifecycle  Creation, Use & Maintenance, Disposition  Each Stage Must Have Documented Processes  Ongoing Process  Constant Attention  IT Partnership  Differing Roles

Records Management Elements  Appraisal  Accession  Arrangement  Access (Description / Reference)  Preservation  Disposition

Appraisal n. ~ 2. The process of determining the length of time records should be retained, based on legal requirements and on their current and potential usefulness.  Determine Lineage  Written Agreements  Determine Quality  Data / Metadata / Reference Materials  Documentation Critical  Authenticity, Reliability, Integrity, Usability ISO :2001(E)  Intellectual Control Source: “A Glossary of Archival and Records Terminology,” Society of American Archivists 2004.

Collections Appraised (Sample)  ApolloDispose  Shuttle Hand-HeldDispose  GeminiRetain  AVHRRRetain  Landsat RBV (film)Retain  Large Format CameraRetain  Shuttle Imaging Radar-ADispose  Shuttle Imaging Radar-CRetain

Accession v. ~ 2. To take legal and physical custody of a group of records or other materials and to formally document their receipt. – 3. To document the transfer of records or materials in a register, database, or other log of the repository ʹ s holdings.  Communicate Before & After  Transfer Documents  Processing Staff  Document Provenance Change  Intellectual Control Source: “A Glossary of Archival and Records Terminology,” Society of American Archivists 2004.

Arrangement n. ~ 1. The process of organizing materials with respect to their provenance and original order, to protect their context and to achieve physical or intellectual control over the materials.  Keep Collections Together  Usually Easier to Manage & Locate (Discovery)  Arrange in Priority Order  Emergency  Physical Control Source: “A Glossary of Archival and Records Terminology,” Society of American Archivists 2004.

Access (Description / Reference) n. ~ 1. The ability to locate relevant information through the use of catalogs, indexes, finding aids, or other tools. – 2. The permission to locate and retrieve information for use (consultation or reference) within legally established restrictions of privacy, confidentiality, and security clearance.  Invest in Metadata  Require Complete Metadata in Contracts  Leverage  Internal & External Systems  Aids Discovery Actions  Intellectual Control Aid / Context Source: “A Glossary of Archival and Records Terminology,” Society of American Archivists 2004.

Preservation n. ~ 1. The process of protecting materials from deterioration or damage; the non-invasive treatment of fragile documents LAW · An order issued by a court designed to prevent the spoliation of materials potentially relevant to litigation and subject to discovery.  Federal Records Act  Access is Mute!  3-Copy Strategy  Migrate Every 3-5 Years  Metadata  Security Procedures  Usability  Physical Control Source: “A Glossary of Archival and Records Terminology,” Society of American Archivists 2004.

Preservation 13 Semis of 1 Copy < 1 SUV for 2 Copies

Disposition n. ~ 1. Materials ʹ final destruction or transfer to an archives as determined by their appraisal.  Transferring  Document  What, When, Where  Why & Who Useful  Plan for … $  Retention Schedule (legal document)  Physical Control Source: “A Glossary of Archival and Records Terminology,” Society of American Archivists 2004.

Take Away  Observational Records Have Lifecycles  Rarely Destroyed  Transfers Likely  Applying Records Management  Document What Occurred  Discovery  Context  Provenance  Intellectual & Physical Control