Archives and Records Management (ARM)

at Berkeley Lab

John Stoner, Archives and Records Office

Introduction

• Subject: Archives and Records Management (ARM) at Berkeley Lab.

• Purpose: To give you the tools to represent your division/department in records policy matters and to assure division/department compliance with records policy.

Agenda

• Overview of ARM at the Lab

• Overview of the Berkeley Lab Records Liaison Officer Program

• Lab ARM Standards and Procedures

Overview of ARM at the Lab

ARO’s Mission

• Establish ARM program in support of the legal, fiscal, administrative, and research needs of the Laboratory.

• Assist Laboratory units in identifying and maintaining records that adequately and properly document the organization, functions, policies, decisions, procedures, and essential transactions the Laboratory.

• Assist Laboratory units in identifying , preserving and making accessible permanent, historically valuable records.

ARO’s Services

• Train Laboratory employees about records responsibilities.

• Inventory, appraise, and schedule Laboratory records.

• Ensure that Laboratory records are properly processed for transfer to storage.

• Ensure that records are destroyed only with legal authorization.

ARO’s Services

• Assist historical researchers.

• Respond to Freedom of Information Act (FOIA) requests.

• Provide assistance in preparing for program assessments, reviews, audits, and appraisals.

• Provide litigation support (via Legal Counsel).

• Provide access to recently declassified records.

DOE Records Requirements

• DOE Records Management Program

– Objectives:• Ensuring public accountability.• Maintaining public trust.• Protecting the rights and interests of both the

Government and the people.– Legal Requirements:

• Create adequate and proper documentation of their programs, policies and procedures in the form of Federal records.

• Practice effective records management.• Carry out appropriate records disposition.

DOE and Lab Records

• The majority of documentation in DOE comes from contractors.

• Contractors are responsible for:

– The creation and collection of adequate and proper documentation of DOE programs and activities.

– The proper maintenance and disposition of documentary materials belonging to the Federal Government.

NARA Records Requirements

• National Archives and Records Administration (NARA)

– Established in 1934.– Independent federal agency that:

• Preserves the nation's history.• Oversees the management of all federal records.

• NARA establishes standards for the adequate documentation of government agencies and activities.

NARA Records Requirements

• NARA approves records retention schedules which determine the length of time agency records should be retained before being destroyed or transferred to the National Archives.

• NARA maintains a network of regional records services facilities which:– Store and provide reference service on customer

agencies' records.– Destroy records at the appropriate time or transfer them

to NARA as permanent records.– Offer workshops on records management topics.– Provide technical assistance with records management

issues.

NARA Records Requirements

• Reasons for Using the Records Services Facility at San Bruno to Store Lab Records:

– Many of the Lab’s records are federal records.– Storage is relatively inexpensive.– Space at the Lab is limited and expensive.

Overview of the Berkeley LabRecords Liaison Officer Program

Records Liaison Officers (RLO’s)

• Lab personnel want to do the right thing but often lack information.

• ARO knows the records laws and regulations.

• The people who know the records the best are those who create and use them.

• For ARM to succeed at Berkeley Lab, there needs to be a a liaison between the records creators/users and ARO.

Records Liaison Officers (RLO’s)

• There need to be Records Liaison Officers (RLO’s) at the division level.

• The partnership between ARO and the RLO’s needs to be a permanent one.

• To make ARM work at Berkeley Lab, we need your help; if ARM is successful it will help you in your daily work.

Overview of RLO Duties

• RLO’s will have full access to all Laboratory records created and maintained by their division/department.

• Will represent their division/department in records policy matters and take action necessary to assure division/department compliance with records policy.

• Will ensure that their department/division is creating, preserving and archiving records that adequately and properly document "the organization, functions, decisions, procedures,

Overview of RLO Duties

and essential transactions of the [office]."

• Will prevent the accidental, unwarranted, or unscheduled destruction or removal of records within their division/department by making sure that all records are properly scheduled.

• Will identify and protect those records which have:

– Emergency operating value.– Legal rights and interests value.– Epidemiological value.– Quality assurance designations.

Overview of RLO Duties

• Will implement files maintenance procedures for making filing and retrieval of lab records more efficient.

• In cooperation with ARO, will coordinate the transfer of inactive records to the Archives and Records Office for storage at the Records Services Facility in San Bruno, ensuring that transferred records meet all necessary quality standards.

Lab ARM Standards and Procedures

Records Transfer Standards

• Required by Records Services Facility to maximize their storage space.

• Available online: http://www-library.lbl.gov/teid/tmAro/howto/Transfer_Standards.html

Records Transfer Standards

• Do:

– Label file folders.– Create detailed listings of folders or items in box.– Fill all but the last box of a series.

• Don’t:

– Transfer pendaflex or binders.– Send magnetic media, transparencies, chron files,

multiple copies, or publications.– Mix series or store personal papers with lab work.

Defining a Records Series

• Break records down into series.

• A records series is a group of records that are:

– Filed together or related by a common subject.– Created for the same purpose or function.

• Retention schedules are created for series of records.

• Confer with ARO about the correct retention and disposition of records - may keep you from preparing items that do not need to be retained.

Packaging

• Call ARO to order appropriate FRC boxes - record format determines box size.

• Treat the box as a file drawer - the front is the side with spaces labeled accession number and agency box number.

• Transfer records from hanging file folders and binders into labeled manila folders or accordion folders.

Packaging

• Leave about one inch of space in each box.

– Don’t overpack. – Fill all boxes except the last one.– Never send a series that is less than one box.– Leave guides and tabs if it will help the Records Services

Facility retrieve records.

Numbering Boxes

• Mark numbers on the outside of boxes in pencil only.

• Number them in the front, upper right corner, beginning with box number 1 and include the total number of boxes; example: 1 of 10, 2 of 10….

• Do not add additional identifying information to the outside of the box unless it is in pencil and easily erasable.

Preparing the Transmittal

• Transmittals must be submitted to Archives and Records Office BEFORE any records can be transferred.

• Pull down the transmittal and quality checklist from the Archives and Records Office’s Web Site:

– http://www-library.lbl.gov/teid/tmAro/faq/Rec_Trans_Form.html

• Fill in the information about the records in the fields provided:

Preparing the Transmittal• Complete all fields on the form, except the

area identified as Archives and Records Office Use Only.

• In the Brief Description of the Records, field describe the records in sufficient detail to allow the Archives and Records Office staff to verify that the right records retention has been selected for the records. Try to answer the following questions:

– Who created the records?

– How were the records used?

– What do the records include?

– How are the records arranged?

• In the Type of Materials field, check all categories of materials found in the accession.

• Complete the Records Retention and Disposition field by stating if the records are permanent or temporary.

• Do not sign the form - that space authorizes disposal of records, not storage of them.

Preparing the Transmittal• On the second and subsequent pages of the

transmittal, give the box number (1 of 10, 2 of 10. . . ), the folder numbers and the file folder headings in each box.

• If an index of the files already exists it may be used or cut and pasted into the form.

• If the existing index is used as it stands, draw a line across the pages where the list matches each box's contents and put the box number beside that portion of the list.

• The heading for every file in every box must be listed and the order of the file listings on the index must match the order of the files in the boxes.

Quality Checklist• Inexpensive storage of Lab records at the

San Francisco Records Services Facility requires that the records meet a set of processing and transfer standards.

• Fill out the Accession Check List to insure that your records meet the standards.

• The answer to all questions on the list must be “Yes” for the records to meet the standards.

• Once the records have been transported to Archives and Records if they are found to be deficient according to the standards, the records will be rejected and returned to you.

Submitting the Accession to ARO

• E-mail the electronic version of the transmittal to ARO staff (aro@lbl.gov), with an account number for Transportation pickup.

• Place a hard copy of the transmittal in the first box of the series.

• Put a sign on the boxes indicating “Hold for ARO Pickup.”

Submitting the Accession to ARO

• ARO staff will review the transmittal and put in the pickup request with Transportation.

• Keep a copy of the transmittal for yourself until we send back copies with additional identifying information.

Records Retention Schedules

• Lists of records by name or type that provide the legal authorization for the disposition of records. Specify:

– When records will be destroyed.– When they should be transferred from active office areas

to the Records Services Facility .– Which historically valuable records will be retained

permanently by the National Archives.

• Records schedules are approved by NARA.

Records Retention Schedules

• Records retention schedules in use at the Lab: – General Records Schedules (GRS)

• Set of 23 schedules.• Issued by NARA.• Include schedules relating to:

– Civilian personnel– Payroll– Accounting– Procurement– Travel– Transportation– Common "housekeeping" functions.

• Example: GRS Schedule 1 (Civilian Personnel Records)

Records Retention Schedules

– Department of Energy Records Schedule (DOERS)• Set of 14 schedules.• Pertain to record types and categories not covered by

the GRS for which DOE has obtained NARA approval.• Example - DOE Records Schedule 14 (Design and

Construction Drawings and Related Records)– DOE Programmatic Records Schedules

• Individual records series which DOE has previously submitted to NARA and received disposition approval.

• Example: NI-434-88-1 (Contractor Training Records).– DOE Research & Development Schedule (NI-434-96-9)

Records Retention Schedules

• Scheduling Lab records

– ARO service done in consultation with records creators/users.

– Matching disposition instructions in schedules to actual Lab records.

– Keys to successful records scheduling:• Lab records need to be organized and maintained by

series.• Complete description of the records at the time of

transfer needs to be provided.

Retrieval of Records From ARO

• To request a file or box that you have sent to Archives and Records:– Pull your copy of the transmittal.– Go to ARO's web page (

http://www-library.lbl.gov/teid/tmAro/aboutus/AroDefault.htm) and click on Records Request Form on the sidebar.

– Enter your Employee ID Number.– Follow the step-by-step directions.– Whenever possible, enter specific information from the

transmittal such as:• Accession Number (example: 434-95-133)• ARO Number (example: ARO-3433)• Box number• Folder title

Retrieval of Records From ARO

– If the specifics are not known, you can fill in the General Description field.

– There is on-line help and the form will prompt you if you forget an entry or make an incorrect entry.

– Once the form is complete• The request will be submitted to ARO staff.• A copy will be sent electronically to a designated

supervisor.• ARO staff will call you if they have questions about

the request.

• In a rush or emergency situation, with an Project ID, the file or box can be delivered on a next day basis. Otherwise, the file or box will be returned within five working days.

Destruction of Records

• Records stored at the Records Services Facility are covered by authorized records retention schedules which specify when records will be destroyed.

• Before any record at the Records Services Facility is destroyed at the end of its retention period, there must be written authorization from the department head.

– ARO receives a notice of destruction from the Records Services Facility for records which are up for destruction.

Destruction of Records

– ARO notifies Lab department heads of records which are up for destruction and requests authorization for that destruction.

– It is critical that department heads respond to the request of authorization within two weeks of receiving notification from ARO.

– ARO has 60 days to respond to the Records Services Facility ’s notice of destruction.

• If the department wishes to keep the records at the Records Services Facility past the destruction date, justification for continued retention must be submitted in writing.

Destruction of Records

– Justification must indicate the definite need (audit, legal, or other pertinent issues) and the estimated duration of the continued need for the records to be retained.

– If no justification can be arrived at, but the department wishes to retain the records past their authorized destruction date, ARO will return the records to the department.

• Records not covered by a schedule lack an approved disposition - they are unscheduled records. Unscheduled records should not be destroyed without first contacting ARO.

Vital Records

• Management of vital records is part of Lab’s emergency and disaster preparedness planning.

• Emergencies

– Situation of a serious nature.

– Develops suddenly and unexpectedly.

– Demands immediate action.

– Short duration.

• Disasters

– Unexpected occurrence.

– Inflicts widespread destruction and distress.

– Has long-term adverse effects on Lab operations.

Vital Records

• It is the responsibility of each Division to develop and maintain a vital records program.

• It is the responsibility of ARO to help the Divisions meet their responsibility by providing training and assistance on a formal basis.

• Offices need to identify and protect vital records deemed essential to:

– The continuity of Lab operations before, during and after emergencies.

– The recreation of the legal and/or financial status of the Lab after an emergency.

Vital Records

– The protection of the legal and financial rights of the Lab and individuals affected by Lab activities.

• Two types of Vital Records:– Emergency Operating Records - essential to continued

functioning or reconstitution of the Lab during and after an emergency.

– Rights and Interests Records - provide evidence of legal status, ownership, and financial status.

• For more details see:– http://www-library.lbl.gov/teid/tmAro/rlo/RLO_Presentatio

n/RLOVitalRecUpd1.ppt