Records Management at Berkeley Lab What to Keep, What to Toss

1. Records Management atBerkeley Lab�What to Keep, What to Toss John W. Stoner Archives and Records Office (ARO) June 3, 2005

2. The Questions What information materials have to be kept? What information materials don�t have to be kept? For materials that do have to be kept, how long do they have to be kept? What exactly is a records freeze, and how does it affect what to keep and what to toss? Where can I find more information and/or get more help?

3. What Do I Have To Keep?

4. You MUST Keep Records What is a record? Original documentary material, in any media, created or received in the normal course of Laboratory business. It is worth preserving because it provides evidence of the Lab�s policies, procedures, activities, and decisions. It has technical, administrative, historical, and/or legal value.

5. Why Do We Have to Keep Records? 36 CFR Chapter XII, Subchapter B requires Federal agencies and their contractors to: "make and preserve records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency and designed to furnish the information necessary to protect the legal and financial rights of the Government and of persons directly affected by the agency's activities."

6. Why Do We Have to Keep Records? DOE Order 200.1 � Information Management Program. DOE G 1324.5B (Redesignated as DOE G 200.1-1). LBNL Prime Contract. RPM 1.16 � Archives and Records Management. BBP (Best Business Practices) � treating recorded information as a valuable corporate asset. Preserving the historical record of the Laboratory and it's accomplishments.

7. Examples of Laboratory Records General Accounting Ledgers. Stores Invoice Files. Motor Vehicle Operating and Maintenance Files. CRADA Files. Work For Others Records. R&D Administrative Records. R&D Technical Documents R&D Controlled Notebooks. Records Management Files. Environmental Record Case Files. Waste Generator Shipping/Transporting Waste Files.

8. Examples of Laboratory Records Air Monitoring Records. Audit/Investigative Case Files. Official Personnel Files of Contractor Employees. Position Classification Files. Contractor Employee Medical Folder (EMF). Equal Employment Opportunity Records. Contractor Employee Individual Training Folders. Time and Attendance Source Records. Retirement Files. Budget Reports Files. Department Space Files.

9. Examples of Laboratory Records U.S. Patent Application Case Files. Litigation Files. Work Permit (Work Orders) Records. Facility Maintenance Records. Project Planning and Design Files. Departmental Sites and Mission Photographs. Internal Publications. Audit Records.

10. What Do I Not Have To Keep?

11. You Do NOT Have to Keep Nonrecords and/or Personal Papers What are nonrecords? Library or museum materials made or acquired for reference or exhibition purposes. Extra copies of documents maintained in more than one location and preserved only for convenience of reference on which no action is recorded or taken. Stocks of publications or other processed documents that require no action and are not part of a case on which action is being taken. Routing slips and transmittal sheets adding no information to that contained in the transmitted material, e.g., concurrence, direction on how to proceed or implement. What I do with nonrecords? Destroy when superseded or no longer needed for reference.

12. You Do NOT Have to Keep Nonrecords and/or Personal Papers What are personal papers? Documentary materials of a private or nonpublic nature and Do not relate to or have an effect upon the conduct of Lab business. Examples of personal papers: Papers created before entering Laboratory service. Private materials brought into, created, or received in the office that were not created or received in the course of transacting Laboratory business. Diaries, journals, personal correspondence, or other personal notes that are not prepared or used for transacting Laboratory business.

13. You Do NOT Have to Keep Nonrecords and/or Personal Papers Examples of personal papers (continued): Materials relating solely to an individual's private affairs, such as outside business pursuits, professional affiliations, private political associations, or benefits information. Manuscripts and drafts for articles and books and volunteer and community service records. What do I do with personal papers? Keep them separate from Laboratory records. Destroy when superseded or no longer needed for the purpose for which they were created.

14. How Long Do Records Have to Be Kept?

15. How Long Do Records Have To Be Kept? How long records have to be kept is determined by records retention schedules � legal documents listing records by name or type and specifying: When they should be sent to storage. When records will be destroyed. Which historically valuable records will be sent to the National Archives (NARA). Records schedules are approved by NARA. The Lab uses twenty-seven different schedules. There are a total of 564 "items" in those schedules; each with it's own instructions on how long those records have to be kept. Currently there are 27 schedules, each often listing dozens of types of files, that relate to Lab records. A sample: Routine Procurement Files--kept for 3 years if the amount is less than $100K (and all construction contracts at or below $2,000). Employee Personnel Files�kept for 75 years Employee Medical Files�75 years R&D Technical Documents�10 years to permanent, depending on the significance of the project. R&D Controlled Notebooks (Logbooks)-- 10 years to permanent, depending on the significance of the project. R&D Raw Data�5 years Laboratory Director's Correspondence Files--kept permanently LBNL STI - permanently Currently there are 27 schedules, each often listing dozens of types of files, that relate to Lab records. A sample: Routine Procurement Files--kept for 3 years if the amount is less than $100K (and all construction contracts at or below $2,000). Employee Personnel Files�kept for 75 years Employee Medical Files�75 years R&D Technical Documents�10 years to permanent, depending on the significance of the project. R&D Controlled Notebooks (Logbooks)-- 10 years to permanent, depending on the significance of the project. R&D Raw Data�5 years Laboratory Director's Correspondence Files--kept permanently LBNL STI - permanently

16. How Long Do Records Have To Be Kept? Impossible to provide a quick "checklist" of how long records have to be kept. Instead, ARO schedules Lab records by: Consulting with records creators/users. Matching very generic and standardized schedules to unique Lab records. Keys to successful scheduling: Lab records need to be organized and maintained by series. Creators/users need to provide complete and detailed description of the records when they are transferred to ARO. Record series are units of files or documents arranged according to a filing system or kept together because they: Relate to a particular subject or function Result from the same activity Document a specific kind of transaction Take a particular physical form Or have some other relationship arising out of their creation, receipt, or use (such as restrictions on access or use) Examples include personnel files, time cards, Bevatron maintenance logbooks. Records should be organized and maintained by series while they are in the active office areas and when they are transferred to storage.Record series are units of files or documents arranged according to a filing system or kept together because they: Relate to a particular subject or function Result from the same activity Document a specific kind of transaction Take a particular physical form Or have some other relationship arising out of their creation, receipt, or use (such as restrictions on access or use) Examples include personnel files, time cards, Bevatron maintenance logbooks. Records should be organized and maintained by series while they are in the active office areas and when they are transferred to storage.

17. How Long Do Records Have To Be Kept? Scheduled destruction of Lab records. Before any record at the FRC is destroyed there must be written authorization from the department head. If the department wants the records stored beyond their scheduled destruction date, written justification needs to be supplied to ARO. Records not covered by a schedule have no destruction date � they are unscheduled records. Unscheduled records cannot be destroyed � consult with ARO.

18. What Are Records Freezes?

19. Records Freezes Also known as "Records Moratoriums." For legal reasons, DOE places a moratorium on information that relates to a specific subject or field. There is then a "freeze" on the destruction of all DOE, DOE-contractor, and University records containing information specified in that order. Current freezes at the Lab. Epidemiological Records Moratorium. Hanford-Related Records Moratorium. Tobacco-Related Records Moratorium. Epidemiological Records Moratorium In a memorandum dated April 6, 1990, the Department of Energy San Francisco Operations Office (DOE/SAN) notified the Laboratory to extend the freeze on the destruction of all epidemiological records which had first been ordered by the Secretary of Energy on March 15, 1989. Epidemiological records are documents, in whatever media, that provide information about individuals working at a Department of Energy (DOE) or contractor site--their work history (when they worked there and what they did), what health hazards they were exposed to (such as external and/or internal radiation, chemicals, hazardous materials), and their medical history during or after their employment. Also included are those records which document the administrative organization and management of the site, the monitoring of environmental and area hazards, process and material controls (especially for radioactive sources and chemicals), health and safety procedures, work assignments, and location. Hanford-Related Records Moratorium A memorandum was received by the Archives and Records Office dated May 10, 1996, from the Department of Energy Oakland Operations Office (DOE/OAK) Director of Information Management, instructing the Laboratory to immediately freeze the destruction of all Hanford-related documents and documents related to the chemical separation process. This moratorium stems from current litigation involving the Department of Energy and the Hanford Nuclear Facility. Tobacco-Related Records Moratorium A memorandum was received by the Archives and Records Office dated February 4, 2000, from the Department of Energy Oakland Operations Office (DOE/OAK) General Law Division, instructing the Laboratory to identify and prevent the destruction of all documents in their possession regarding tobacco, smoking, and associated health hazards. This discovery request and moratorium were in response to a court order directed to all executive branch agencies of the government and relates to a lawsuit seeking to recover damages for costs arising from smoking-related illnesses.Epidemiological Records Moratorium In a memorandum dated April 6, 1990, the Department of Energy San Francisco Operations Office (DOE/SAN) notified the Laboratory to extend the freeze on the destruction of all epidemiological records which had first been ordered by the Secretary of Energy on March 15, 1989. Epidemiological records are documents, in whatever media, that provide information about individuals working at a Department of Energy (DOE) or contractor site--their work history (when they worked there and what they did), what health hazards they were exposed to (such as external and/or internal radiation, chemicals, hazardous materials), and their medical history during or after their employment. Also included are those records which document the administrative organization and management of the site, the monitoring of environmental and area hazards, process and material controls (especially for radioactive sources and chemicals), health and safety procedures, work assignments, and location. Hanford-Related Records Moratorium A memorandum was received by the Archives and Records Office dated May 10, 1996, from the Department of Energy Oakland Operations Office (DOE/OAK) Director of Information Management, instructing the Laboratory to immediately freeze the destruction of all Hanford-related documents and documents related to the chemical separation process. This moratorium stems from current litigation involving the Department of Energy and the Hanford Nuclear Facility. Tobacco-Related Records Moratorium A memorandum was received by the Archives and Records Office dated February 4, 2000, from the Department of Energy Oakland Operations Office (DOE/OAK) General Law Division, instructing the Laboratory to identify and prevent the destruction of all documents in their possession regarding tobacco, smoking, and associated health hazards. This discovery request and moratorium were in response to a court order directed to all executive branch agencies of the government and relates to a lawsuit seeking to recover damages for costs arising from smoking-related illnesses.

20. Some Additional Questions

21. What are Vital Records? Two types of records are considered Vital: Emergency Operating Records � essential to continued functioning or reconstruction of the Lab during and after an Emergency. Rights and Interests Records � provide evidence of legal status, ownership, and financial status. Divisions are responsible for identifying and protecting their vital records. ARO will assist divisions with their vital records programs. Management of vital records is part of Lab's emergency and disaster preparedness planning. Each Division is responsible for identifying and protecting vital records deemed essential to the: Continuity of Lab operations before, during and after emergencies. Recreation of the legal and/or financial status of the Lab after an emergency. Protection of the legal and financial rights of the Lab and individuals affected by Lab activities. ARO will assist Divisions in meeting their responsibility by providing training and assistance on a formal basis. NOTE: Only 1 to 7 percent of an organization�s records may be vital records. Management of vital records is part of Lab's emergency and disaster preparedness planning. Each Division is responsible for identifying and protecting vital records deemed essential to the: Continuity of Lab operations before, during and after emergencies. Recreation of the legal and/or financial status of the Lab after an emergency. Protection of the legal and financial rights of the Lab and individuals affected by Lab activities. ARO will assist Divisions in meeting their responsibility by providing training and assistance on a formal basis. NOTE: Only 1 to 7 percent of an organization�s records may be vital records.

22. What Do We Do About Electronic Records? The world produces about 5 exabytes of unique information per year � roughly 800 megabytes for every man, woman, and child on earth. Ninety-two percent of new information is stored on magnetic media, primarily hard disks. NARA�s federal regulations require that electronic records be managed within a recordkeeping system. NARA accepts electronic records but only permanent electronic records. NARA accepts transfer of electronic records on various media but transfers them to magnetic tape for storage. How Much Information? 2003 http://www.sims.berkeley.edu/research/projects/how-much-info-2003/How Much Information? 2003 http://www.sims.berkeley.edu/research/projects/how-much-info-2003/

23. What Do We Do About Electronic Records? Data files and databases must be transferred as flat files or rectangular tables. Textual documents must be transferred as ASCII files but can include SGML tags. The Lab�s challenges � how to store electronic records so that they are: Immediately accessible to the right people at the right time. Organized in a recordkeeping system for scheduling and disposal. Accessible as long as the law requires. Recordkeeping System � A system in which records are collected, organized, and categorized to facilitate their preservation, retrieval, use, and disposition. Accessibility requirements require open-ended commitment to migration and upgrading as long as records must be maintained Backups are not considered a recordkeeping system � especially because of the disposition problem � see http://lists.ufl.edu/cgi-bin/wa?A2=ind0303&L=recmgmt-l&P=R24658 for details. Recordkeeping System � A system in which records are collected, organized, and categorized to facilitate their preservation, retrieval, use, and disposition. Accessibility requirements require open-ended commitment to migration and upgrading as long as records must be maintained Backups are not considered a recordkeeping system � especially because of the disposition problem � see http://lists.ufl.edu/cgi-bin/wa?A2=ind0303&L=recmgmt-l&P=R24658 for details.

24. What Do We Do About Electronic Records? In the meantime: We know that we have already lost information. We know that paper is a long-lived medium. Electronic records should be printed and filed in existing recordkeeping systems. File structures of recordkeeping systems should be replicated on network on network directories.

25. HELP!!!???

26. Where Do I Go to Get More Help? Go to the ARO web site. Contact us directly at aro@lbl.gov or x. 5525. Arrange for a free records consultation ("house call") in your office. Arrange to have all the records transfer processing done by ARO at $58 an hour (our Records Processing Recharge Service). See the previous ASD records presentation: Records at Berkeley Lab - From the Cradle to the Grave.