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

2. 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 2 March 10, 2014

3. 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 3 March 10, 2014

4. 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 4 March 10, 2014

5. 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 5 March 10, 2014

6. 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 6 March 10, 2014

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

8. Assistance: Records Management Contacts 8 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 March 10, 2014

9. Records Management Contacts 9 March 10, 2014

10. 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 10 March 10, 2014

11. Records Disposition Possibilities 11 March 10, 2014

12. 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 12 March 10, 2014

13. Average Monthly Storage Costs 13 $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 March 10, 2014

14. 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 14 March 10, 2014

15. 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 15 March 10, 2014

16. Electronic Records Management 36 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 16 March 10, 2014

17. 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 17 March 10, 2014

18. When facilities don’t comply…. 18 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 March 10, 2014

19. 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 19 March 10, 2014

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

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